SEE 2016 OSAKA, JAPANSCIENCE, ENGINEERING AND ENVIRONMENTiPROCEEDINGS OF SECOND INTERNATIONAL CONFERENCE – SEE 2016
SCIENCE, ENGINEERING & ENVIRONMENT OSAKA, JAPAN 21-23 NOVEMBER, 2016

Science, Engineeringand Environment
Edited byProf. Dr. Zakaria Hossain
Graduate School of Bioresources
Mie University, JapanTHE GEOMATE INTERNATIONAL SOCIETYii

Copyright @ 2016 by The GEOMATE International Society
All rights reserved. In principle, no part of this publication or the information contained herein may be
reproduced in any form or by any means, translated in any language, stored in any data base or retrieval system,or transmitted in any form or by any means without prior permission in writing from the publisher.
Disclaimer: The editors and the publisher have tried their best effort to ensure the integrity and the quality ofthis publication and information herein. However, they give no warranty of any kind, expressed or impliedwith regard to the material contained in this book, and will not be liable in any event for the consequences of
its use.
Published by:
The GEOMATE International Society
Tsu city, Mie, Japan
E-mail: society@geomate.org
http://www.geomate.org/

ISBN Number: 978-4-9905958-7-6 C3051

iii

Second International Conference on Science, Engineering & Environment,
Osaka, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

Table of Contents

Prefacexvi

Organization

xvii

ID

Keynote Papers

1

1kROCK SLOPE INSTABILITY MECHANISM IDENTIFICATION USING NEW STEREOGRAPHIC METHODSJohn V Smith

22k

TUNNEL CONSTRUCTION IMPACT ON GROUNDWATER CHEMISTRY OVER 25 YEARS OF
OBSERVATION AT MATSUMOTO TUNNEL, MATSUMOTO CITY, JAPAN
Hiroyuki Ii

10Technical Papers

19

ID

Science20

2501

DILATANCY BEHAVIOR OF WASTE SHELL-SOIL MIXER FOR GROUND IMPROVEMENT
Siti Hanggita Rachmawati and Zakaria Hossain

21

2519

COALBED METHANE EVALUATION OF LOW RANK COALS IN THE AIR LAYA MINING REGION OF
SOUTH SUMATRA
Ana Asmina, Edy Sutriyono, Endang Wiwik Dyah Hastuti

26

2521

THE EFFECTS OF WATERING FREQUENCIES AND SLOW-RELEASED-FERTILIZER LEVELS ON THE
GROWTH OF PLATYCERIUM CORONARIUM IN THE YOUNG SPOROPHYTE PHASE
Sawat Pimsuwan, Yaowarat Wongsrisakulkaew

35

2533

EFFICACY OF STINGLESS BEE LEPIDOTRIGONA TERMINATA AS INSECT POLLINATOR OF F1 HYBRIDCUCUMBER
Natalee Sawatthum, Piyaporn Jitake, Orapin Rangyai, Rattana Prangprayong, Piyaporn Pimboon,
and Kanokporn Suparit

40

2560

A LONG WAVES PROPAGATION IN TWO-LAYER FLUID OVER A SUBMERGED HUMP
Fatimah Noor Harun and Muhammad Afiq Ahmad Khairuddin

44

iv

2570

PARASITES OF THREE SPOT GOURAMI (TRICHOGASTER TRICHOPTERUS PALLAS, 1770) IN THE
THUNG LAM RESERVOIR AT AMPHOE NANGRONG, BURIRAM PROVINCE, THAILAND
Supamas Sriwongpuk

51

2571

EFFECT OF PACLOBUTRAZOL CONCENTRATIONS AND TIME OF FOLIAR APPLICATION ON
FLOWERING OF ‘NAMDOKMAI-SITONG’ MANGO
Yaowarat Wongsrisakulkaew, Unaruj Boonprakob, Ravie Sethpakdee and Niran Juntawong

56

2575

BREAKING SEED DORMANCY OF N.VICTORIA AMAZONICA SOWERBY
Purin Akkarakultron, Dowroong Watcharinrat, Tongmee Mosom and Yaowamal Noimai

61

2580

GROWTH OF THE EDIBLE MICROALGA ARTHROSPIRA PLATENSIS IN RELATION TO BORON SUPPLY
Shotaro Tadama and Hideaki Shiraishi

65

2585

EFFECTS OF COURT-TYPE THAI TRADITION MASSAGE VERSUS STRETCHING EXERCISE ON UPPERBACK PAIN ASSOCIATED WITH MYOFASCIAL TRIGGER POINTS: A PILOT STUDY
Phanida Wamontree

71

2603

PHYSIOLOGICAL SPECIALIZATION OF PSEUDOPERONOSPORA CUBENSIS AND SCREENINGTECHNIQUE FOR DOWNY MILDEW RESISTANCE IN GHERKIN CUCUMBER
Piyavadee Charoenwattana, Januluk Khanobdee and Arit Udomyotin

74

2619

EFFECTIVENESS OF USING RIVER INSECT LARVAE AS AN INDEX OF CU, ZN AND AS
CONTAMINATIONS IN RIVERS, JAPAN
Hiroyuki Ii and Akio Nishida

78

2637

EFFECT OF NIR-ABSORBING OPTICAL FILTERS ON THE PHOTOSYNTHETIC RESPONSE IN
Synechocystis sp. PCC6803 UNDER SOLAR SIMULATING ARTIFICIAL LIGHT
Kota Oshita, Ayaka Hara, Takuya Suzuki and Tomonori Kawano

84

2638

HOME BASED PHYSICAL ACTIVITY INTERVENTION PROGRAMME IN WAR-TORN COUNTRY LIKEIRAQ
Jian Abdullah Noori, Soh Kim Geok, Norhaizan Mohd Esa, and Nabeel Abdulwahab Ahmed

89

2653

NUCLEOPHILIC SUBSTITUTION REACTIONS OF BUTYL METHYLCHLOROPHOSPHATE WITH SUBSTITUTED ANILINES AND DEUTERATED SUBSTITUTED ANILINES INACETONITRILE
Hasi Rani Barai, Sang Woo Joo and Seog K. Kim

95

2658

EFFECTS OF A STAGE-BASED INTERVENTION ON EXERCISE SELF-EFFICACY
Zeinab Ghiami, Kim Geok Soh, Samsilah Roslan, Kim Lam Soh

103

2660

CLARIFICATION OF SHEAR ZONE DEVELOPMENT IN A GOUGE LAYER RELATED TO SLIP INSTABILITY
Momoko Hirata, Jun Muto, and Hiroyuki Nagahama

108

2662

EXTRACTION OF ESSENTIAL OILS FROM FROZEN LEMON PEELS USING LIQUEFIED DIMETHYL
ETHER
Ayano Nakamura, Yuki Hara and Tomonori Kawano

113

2672

ELECTROCHEMICAL TECHNIQUE FOR 1,3-DICHLORO-2-PROPANOL ANALYSIS
Kanokwan Rudisirisak, Nittaya Ngowattana

117

2691

SOME PROPERTIES OF THE PRODUCT OF (P,Q) – FIBONACCI
AND (P,Q) - LUCAS NUMBER
Alongkot Suvarnamani and Mongkol Tatong

121

2703

ANTIOXIDANT PROPERTIES AND INHIBITORY EFFECTS OF TRIGONA HONEY AGAINSTSTAPHYLOCOCCUS AUREUS PLANKTONIC AND BIOFILM CULTURES
Wen Jie, Ng, Yek Jia, Chan, Zhi Khoon, Lau, Ping Ying, Lye, and Kah Yaw, Ee

125

v

2704

THE POTENTIAL OF INDIGENOUS BACTERIA TO INCREASE POROSITY AND PERMEABILITYOF RESERVOIR ROCK: PRELIMINARY STUDY FOR MICROBIAL ENHANCED OIL RECOVERY (MEOR)
Astri Rinanti

131

2715

ASSESSMENTS OF GROWTH, VOLUME AND ABOVE GROUND BIOMASS OF FOUR FOREST
PLANTATION SPECIES IN SARAWAK, MALAYSIA
Irawani Abdul Rahman and Mohd Nazip Suratman

135

2716

ASSESSMENTS OF ABOVE GROUND BIOMASS (AGB) AND CARBON STOCKS OF EUCALYPTUS
PLANTATIONS IN SABAH, MALAYSIA
Ahmad Farid Mohsin, Mohd Nazip Suratman and Shaikh Abdul Karim Yamani Zakaria

141

2723

STAND STRUCTURE AND FLORISTIC COMPOSITION OF FRAGMENTED FRESHWATER SWAMP
FORESTS IN MALAYSIA
Siti Maisarah Che Abdullah, Mohd Nazip Suratmanand Judith Gisip

147

2726

ASSESSING TSUNAMI VULNERABILITY AREAS USING SATELLITE IMAGERY AND WEIGTHED CELLBASED ANALYSIS
Abu Bakar Sambah, Guntur, Fusanori Miura, Fuad, and Defrian Marza Arisandi

153

2736

APPLICATION OF GAUSSIAN PROCESS TO SEABED LOGGING MODELS TO STUDY THE EFFECT OF
FREQUENCY VARIATIONS TO HYDROCARBON EXPLORATION
Siti Mariam Mukhtar, Hanita Daud and Sarat Chandra Dass

160

2742

QUANTUM PARTICLE SWARM OPTIMIZATION FOR ECONOMIC DISPATCH PROBLEM USING CUBICFUNCTION CONSIDERING POWER LOSS CONSTRAINT
Fahad Parvez Mahdi, Pandian Vasant, Vish Kallimani, Patrick Yeoh Siew Fai and M. Abdullah-AlWadud

166

2755

CONCEPT OF PLASTICITY INDEX TO INFLUENCE MECHANICAL BIFURCATION OF SOILS AND SOFTSEDIMENT DEFORMATION
Naoto Kaneko, Jun Muto and Hiroyuki Nagahama

173

2760

NORMAL RATIO IN MULTIPLE IMPUTATION BASED ON BOOTSTRAPPED SAMPLE FOR RAINFALLDATA WITH MISSINGNESS
Siti Nur Zahrah Amin Burhanuddin, Sayang Mohd Deni and Norazan Mohamed Ramli

180

2777

REAGENT PREPARATION FOR TEST KIT ANALYSIS OF HARDNESS
Somporn Pleanjai

186

2780

VIRTUAL SCREENING OF COMMERCIAL CYCLIC PEPTIDES AS β -OG POCKET BINDER INHIBITOR IN
DENGUE VIRUS SEROTYPE 2
Usman Sumo Friend Tambunan, Arli Aditya Parikesit, Vincentia Cheryl Adam, Mochammad Arfin
Fardiansyah Nasution, Ratih Dyah Puspitasari, Djati Kerami

190

2789

THE RELATION BETWEEN PREVALENCE OF APPLIED THAI MASSAGE AND CAUSE OF DISEASE: CASESTUDY WITH THAI TRADITIONL MEDCINE.
Nittaya Putthumrugsa, Benchawan Sopha and Kamolruth Na Nongkai

199

2801

ETHICS ON SOCIAL NETWORKING: A PRELIMINARY SURVEY IN THAILAND
Lachana Ramingwong and Sakgasit Ramingwong

202

2806

RUTHENIUM BIS-BIPYRIDINE COMPLEXES WITH N-BENZOYL-N'-(1,10-PHENANTHROLIN-5-YL)
THIOUREA AS AN OPTICAL pH SENSOR
Siew San Tan, Norhashimah Bt. Ramli and Mohammad B. Kassim

209

2867

THE STUDIES ON TINTED GLASS USAGE FACTORS AMONG VEHICLE USERS IN MALAYSIA
Mustaffa, A. A., Ahmad, H. N., Rohani, M., Basil, D. and Khairul Nizar, M.Y

215

vi

ID

Engineering

221

2508

PUNCHING SHEAR STRENGTH OF BUBBLEDECKS UNDER ECCENTRIC LOADS
Nazar K. Oukaili , Luma F. Husain

222

2509

BEHAVIORAL ANALYSIS OF CONTINUOUS CONCRETE BEAMS REINFORCED BY PRESTRESSEDCONCRETE PRISMS
Nazar K. Oukaili , Qusai Kh. Hameed

228

2510

IMPACT RESPONSE OF REINFORCED CONCRETE T-BEAMS WITH MUILTIPLE WEB OPENINGS ANDITS THEORETICAL SIMULATION
Nazar K. Oukaili and Abeer H. Al-Shammari

234

2522

TRACTOR DRIVING TECHNICAL LEARNING OF AGRICULTURAL STUDENT IN AGRICULTURAL
MACHINERY SUBJECT
Dowroong Watcharinrat

241

2526

A STUDY OF NATURAL COLOR IN FIBRE ENRICHED FRUIT MILK POWDER
Suzihaque, M.U.H, Raja Maizatulakmal Raja Abdullah and Ummi Kalthum Ibrahim

247

2535

NUMERICAL SIMULATION OF DESICCATION CRACKING PROCESS BY WEAK COUPLING OF
DESICCATION AND FRACTURE
Sayako Hirobe and Kenji Oguni

256

2541

DEVELOPMENT OF A DYNAMIC NETWORK DEA MODEL TO MEASURE PRODUCTION LINE'SPERFORMANCE: A CONCEPTUAL PAPER
N.A.M.A.Zainal, M.A.Mansor and S.N.M.Saffe

262

2543

INVESTIGATING THE RELATIONSHIP BETWEEN RAINFALL INTENSITY, CATCHMENT VEGETATION
AND DEBRIS MOBILITY
Rick Jaeger and Terry Lucke

268

2549

MECHANICAL PROPERTIES OF FIBER REINFORCED CONCRETE USING PINEAPPLE LEAF FIBER
TREATED IN SODIUM HYDROXIDE (NaOH)
Joseph Berlin P. Juanzon, James Emerson de Leon, Patrick Robert Divina2 and Mark Fernan
Tividad276

2552

STEEL FIBRE REINFORCED CONCRETE: FROM X-RAY IMAGING OBSERVATION TO MODELLING
Trevor NS Htut, Tian Sing Ng and Stephen J Foster

283

2557

PERFORMANCE OF BAMBUSA BLUEMANA LAMINATED BAMBOO BOARDS (LBB) IN TERMS OF
MECHANICAL AND PHYSICAL PROPERTIES UTILIZING POLYVINYL ACETATE GLUE AS ADHESIVE
Hermie M. del Pilar, Azel Ronn L. Barera, Dylan C. Gavino, Juvy Lee D. Gomez

290

2563

A COMPARISON OF PARALLEL BRANCH AND BOUND ALGORITHMS FOR LOCATIONTRANSPORTATION PROBLEMS IN HUMANITARIAN RELIEF
Chansiri Singhtaun and Suriya Natsupakpong

296

2565

FLOW CONTROL THROUGH VORTEX SHEDDING INTERACTION OF ONE CYLINDER DOWNSTREAM
OF ANOTHER
Jonathan Payton and Sam M Dakka

302

2583

CHALLENGES OF HACCP IMPLEMENTATION IN AGRICULTURAL FOOD PRODUCTS IN THAILAND
Kanokwan Kingphadung and Woraruthai Choothian

308

2590

TREATMENT EFFICIENCY AND COMPRESSIBILITY BEHAVIOR OF SOIL MODIFIED WITH POWDER
ACTIVATED CARBON
Mohd Yuhyi Mohd Tadza, and Fauzi Baharudin

315

vii

2608

STRENGTH OF SOFT CLAY REINFORCED WITH SQUARE AND TRIANGULAR PATTERN ENCAPSULATEDBOTTOM ASH COLUMNS
Muzamir Hasan, Nurul Aina Husaini and Norhayani Pangee

320

2612

MODEL TEST AND NUMERICAL ANALYSIS ON THE EFFECT OF THE LENGTH AND INTERVAL OF THE
FACE BOLT IN SANDY TUNNEL
Yoshifumi Taguchi

328

2616

INTEGRAL FRAMEWORK FOR SUSTAINABILITY MANAGEMENT IN CIVIL ENGINEERING WORK
Vanissorn Vimonsatit, Chandana Kulasuriya, Priyan Dias

334

2622

DEEP BASEMENT EXCAVATION IN SOFT BANGKOK CLAY CLOSED TO PALACES
Wanchai Teparaksa

339

2629

A NEW QUEUING TECHNIQUE IN ADAPTIVE MULTIPATH ROUTING FOR CONGESTION CONTROLWITH PACKET PRIORITY IN WIRED DATA NETWORKS
N.Krishna Chaitanya, S.Varadarajan

345

2635

EFFECT OF PARTICLE SHAPE ON THE PACKING AND FLOW BEHAVIOUR OF GRANULAR MATERIALS
Jieqing Gan, Sida Liu, Aibing Yu, and Zongyan Zhou

350

2643

EFFECTS OF BEND-TWIST COUPLING DEFORMATION ON THE AERODYNAMIC PERFORMANCE OF
A WIND TURBINE BLADE
Nawapon Sompong and Pongtorn Prombut

357

2650

NUMERICAL INVESTIGATION FOR THE ENHANCEMENT OF THE AERODYNAMIC CHARACTERISTICS
OF NACA 0012 AEROFOIL BY USING A GURNEY FLAP
Julanda Al-Mawali and Sam M Dakka

363

2654

ORGANIC SOLVENT-RESISTANT PROPERTIES OF PROTEINS ADSORBED ONTO BIOMASS CHARCOAL
POWDER
Hidetaka Noritomi, Jumpei Nishigami, Nobuyuki Endo2, Satoru Kato and Katsumi Uchiyama

369

2659

DC AND RF CHARACTERISTICS FLUCTUATION OF INALAS/INGAAS HEMTS ACCORDING TO THE
OPERATING TEMPERATURE VARIATION
Kenta Otsuki, Yuta Kainuma, Ryuichi Miyashita, Kimihiro Yamanaka and Hirohisa Taguchi

375

2663

IMPROVEMENT OF THE TRANSFER PATH USING A MOVING FLOW SEPARATION SYSTEM AND
A TRANSPORTATION VULNERABLE ESCALATOR SYSTEM
Minjung Shin, Jinho Hur, Minju Sung, Youngsam Moon, Jinho Kim and Heekyu Kim

379

2667

SOME ASPECTS OF THE BEFAVIOR OF UNSATURATED SOILS IN RELATION TO MOISTURE CONTENT
Gabriela B. Cazacu and Cornel Ciurea

385

2686

PREDICTION OF LOCAL SCOUR DEPTH AROUND WIDE BRIDGE PIERS UNDER CLEAR-WATER
CONDITIONS
Nordila A., Thamer A. M. and Zuliziana S

389

2688

SUSPENDED SEDIMENT DYNAMICS CHANGES IN MEKONG RIVER BASIN: POSSIBLE IMPACTS OFDAMS AND CLIMATE CHANGE
Zuliziana Suif, Chihiro Yoshimura, Oliver Saavedra, Nordila Ahmad and Seingheng Hul

394

2694

SYNERGISTIC EFFECT OF OZONATION AND BIOLOGICAL PROCESSES ON THE TREATMENT OFPOLYMER-LENS WASTEWATER
Liza Bautista-Patacsil

400

2700

UTILIZATION OF BENTONITE MATERIALS FOR IMPROVING THE BEARING CAPACITY OF LOOSESANDY SOILS
Tark, M.F., Bahr, M.A., El-Mashad, M.A. and EL-Hanafy, A.M.

406

viii

2705

A PRELIMINARY STUDY OF SOUND ABSORPTION COEFFICIENT FOR NATURAL FIBRES
N.H. Zunaidi, Wei-Hong Tan, M.S. Abdul Majid3, EA Lim

414

2711

THE WORKLOAD ANALYSIS OF HIGHLY STRESSED CRITICAL APPLICATIONRich Lee, Ing-Yi Chen

419

2730

VERTICAL HANDOVER DECISION BASED ON LEARNING VECTOR QUANTIZATION NEURALNETWORKS WITH MULTI-CRITERIA FOR UBIQUITOUS WIRELESS NETWORKS
Sunisa Kunarak

425

2733

OBTAINING COMPLETE MIXING USING HYDRODYNAMIC ANALYSIS ON BATCH REACTOR
Rositayanti Hadisoebroto, Suprihanto Notodarmojo, Idris Maxdoni Kamil, Yazid Bindar andRangga Santosa

431

2737

WASTE MINIMIZATION OF CHEESE-MAKING BY-PRODUCT DISPOSAL THROUGH ETHANOLFERMENTATION AND THE UTILIZATION OF DISTILLERY WASTES FOR FERTILIZER
Gemilang Lara Utama, Tb. Benito A. Kurnani, Sunardi and Roostita L. Balia

435

2741

DETERMINING PEAK DISCHARGE FACTOR USING SYNTHETIC UNIT HYDROGRAPH MODELLING(CASE STUDY: UPPER KOMERING SOUTH SUMATERA, INDONESIA)
Rosmalinda Permatasari a, Dantje Kardana Natakusumah b, Arwin Sabarc

439

2744

IMPROVING BIOSORPTION OF CU(II)-ION ON ARTIFICIAL WASTEWATER BY IMMOBILIZEDBIOSORBENT OF TROPICAL MICROALGAE
Astri Rinanti, Melati Ferianita Fachrul, Rositayanti Hadisoebroto, Mawar Silalahi

444

2750

SELF-ORGANIZING MAP BASED SURROGATE MODELS FOR UNKNOWN CONTAMINANT SOURCEIDENTIFICATION UNDER UNCERTAIN HYDRAULIC CONDUCTIVITY
Shahrbanoo Hazrati Y. and Bithin Datta

449

2751

MECHANICAL PROPERTIES OF BIO-COMPOSITE CONCRETE PANEL UTILIZING COCO COIR DUST
AND LOW DENSITY POLYETHYLENE
Neslyn E. Lopez and Joseph Berlin P. Juanzon

457

2752

GENERATION OF LIGHT EMISSION FABRIC USING PMMA/PS BASED CLAD-STRIPPED PLASTIC
OPTICAL FIBER
Sun Hee Moon and InHwan Sul

463

2524

EVALUATION OF SMED CONTRIBUTION USING SHAPLEY VALUE: A CONCEPTUAL PAPER
M.A.Mansor, S.S.Sulaiman, S.N.M.Shaffe and A.R.Ismail

467

2763

DAMAGES CAUSED TO INFRASTRUCTURE DUE TO GEOTECHNICAL FAILURES BY THE TC WINSTON
IN FIJI
Ravikant R Singh, Faijal Ali, Darga N Kumar, Sanjay Prasad, Atinesh V Prasad and Ravindra Chand

472

2764

STRUCTURAL DAMAGES CAUSED BY CYCLONE WINSTON TO BUILDINGS IN FIJI
Faijal Ali, Ravikant R Singh, Darga N Kumar, Ravindra Chand, Atinesh V Prasad3 and Sanjay Prasad

478

2779

EFFICIENCY OF POLYSTYRENE INSULATED CEMENT BLOCKS IN ARID REGIONS
Muawia A Dafalla and Mohammed I. Al Shuraim

484

2783

PHYSICAL PROPERTIES OF MEA-BASED HYBRID SOLUTION AS A SOLVENT FOR HIGH
CONCENTRATION CO2 CAPTURE
L.S. Tan,, A.M. Shariff, K.K. Lau and G. Murshid

488

2784

ANTITUMORAL PROPERTIES OF XANTHONES FROM MANGOSTEEN (GARCINIA MANGOSTANA L.)
HULL
Cheok, C.Y, and Chin, N.L

493

ix

2795

INFLUENCE OF RAILINGS STIFFNESS ON WHEEL LOAD DISTRIBUTION IN ONE- AND TWO-LANE
CONCRETE SLAB BRIDGES
Mohammad Abou Nouh, Ghassan Fawaz, Mounir Mabsout and Kassim Tarhini

497

2799

A SIMULATION OF RISK MANAGEMENT IN INFORMATION SYSTEM PROJECTS FOR INDUSTRIAL
ENGINEERING POSTGRADUATES
Sakgasit Ramingwong, and Lachana Ramingwong

502

2802

ENHANCED PHOTOCATALYTIC DEGRADATION OF PHENOL BY NEODYMIUM-DOPED ZINC OXIDEHIERARCHICAL MICRO/NANOSPHERES UNDER FLUORESCENT LIGHT IRRADIATION
Jin-Chung Sin, Sze-Mun Lam and Abdul Rahman Mohamed

508

2803

TRANSITION METAL OXIDE (WO3, CuO, Nb2O5)-LOADED ON ZnO NANORODS WITH ENHANCEDVISIBLE-LIGHT CATALYTIC ACTIVITY IN ERASURING PHENOL
Sze-Mun Lam, Jin-Chung Sin, Abdul Rahman Mohamed

514

2805

RELIABILITY ANALYSIS OF REINFORCED CONCRETE SLAB BRIDGES
Ali Mahmoud, Shadi Najjar, Mounir Mabsout and Kassim Tarhini

520

2809

VENDOR MANAGED INVENTORY MODEL FOR SINGLE-SUPPLIER MULTI-BUYERS SUPPLY CHAINS
Chaowalit Hamontree

526

2815

FLOW CHARACTERISTICS FOR LOW PRESSURE SOLAR PARABOLIC TROUGH COLLECTOR
Ahmad Hammad, Wael Al-Kouz, Aiman Alshare, Suhil Kiwan, and Ammar Alkhalidi

532

2817

ENSEMBLE MLP NETWORKS FOR VOICES COMMAND CLASSIFICATION TO CONTROL MODEL CAR
VIA PIFACE INTERFACE OF RASPBERRY PI
Narissara Eiamkanitchat, Nontapat Kuntekul and Phasit Panyaphruek

536

2828

DOMESTIC RECHARGE WELLS FOR RAINWATER-HARVESTING
IN DENPASAR CITY, BALI - INDONESIA
Lilik Sudiajeng, I Wayan Wiraga, I Gusti Lanang Parwita , and Gede Santosa

542

2833

ESTABLISHMENT OF JET INDEX Ji FOR SOIL ERODIBILITY COEFFICIENTS USING JET EROSION
DEVICE (JEd)
Saerahany L. Ibrahim, Jazuri Abdullah, Khairulafinawati Hashim and Junaidah Ariffin

550

2834

ESTIMATING FLEXURAL RELIABILITY OF CARBONATED RC BRIDGE BEAMS USING PARTICLE FILTER
Jonathan Sanchez, Samantha Louise Jarder, Nestor de Ocampo

556

2842

ENHANCED OIL RECOVERY USING BIOTRANSFORMATION TECHNIQUE ON HEAVY CRUDE OIL
Abdullah Al-Sayegh, Yahya Al-Wahaibi, Saif Al-Bahry, Abdulkadir Elshafie, Ali Al-Bemani,
Sanket Joshi

562

2843

SIMULATION–OPTIMIZATION TRUCK DISPATCH PROBLEM USING LOOK – AHEAD ALGORITHM IN
OPEN PIT MINES
Achmad Yusaq Faiz Fadin, Komarudin and Armand Omar Moeis

567

2844

DESIGNING LINER SHIPPING NETWORK IN INDONESIA WITH DEMAND UNCERTAINTY
Komarudin, Ayudya Triastika, Irvanu Rahman

573

2848

MULTI-PERIOD MARITIME LOGISTICS NETWORK OPTIMIZATION USING MIXED INTEGERPROGRAMMING
Komarudin, Mellianna Fiannita C. Purba, Irvanu Rahman

579

2846

DEVELOPMENT OF FAN LAWS SYSTEM TRAINER FOR LYCEUM OF THE PHILIPPINES UNIVERSITY –CAVITE MECHANICAL ENGINEERING LABORATORY
Ramon C. Maniago ME, Ariston M. Alimo-ot, Glenmour Bocar, Jim Rodger T. Navarro, and
Eduardo M. Manzano

584

x

2854

RESOURCE USAGE PREDICTION BASED ON ARIMA-ARCH MODEL FOR VIRTUALIZED SERVERSYSTEM
Biju R Mohan, and G Ram Mohana Reddy

590

2855

LIFE DATA ANALYSIS OF SERVER VIRTUALIZED SYSTEM
Biju R Mohan, and G Ram Mohana Reddy

599

ID

Environment

607

2517

INOCULANTS FUNGAL Trichoderma, Mucor AND Bacillus FOR COMMUNITY DEVELOPMENT
BASED ON SUFFICIENCY ECONOMY PHILOSOPHY
Sukhan Rattanaloeadnusorn

608

2525

HORIZONTAL TRANSFER OF PLASMID DNA BETWEEN DIFFERENT BACTERIA SPECIES UNDERMICROBIAL INTERACTIONS
Kazuhito Murakami and Akiko Inoue-Kohama

614

2531

ADSORPTIVE BEHAVIOR OF LOW-COST MODIFIED NATURAL CLAY ADSORBENTS FOR ARSENATEREMOVAL FROM WATER
Borano Te, Chatpet Yossapol and Boonchai Wichitsathian

620

2532

ESTIMATION OF POTENTIAL CONTAMINATED AREA FROM EROSION FOR A REMOTED
CONTMIANTED WATERSHED: A CASE STUDY OF THE MAE TAO BASIN, THAILAND
Somprasong K. and Chawiwatworakul P

626

2540

EVALUATION OF THE EFFECTIVENESS AND APPROPRIATENESS OF BANGKOK ACTION PLANS ON
GLOBAL WARMING MITIGATIONS
Anna Kiewchaum, Sarawut Thepanondh, Duanpen Sirithian, Kamoltip Mahavong, and Pantitcha
Outapa633

2547

RESULTS OF FIELD EXPERIMENTS OF RESERVOIRS' SILTATION FOR HARMONIOUS REALIZATION OF
HYDROPOWER AND COASTLINE PROBLEMS
Lia Matchavariani, Giorgi Metreveli, Merab Alaverdashvili, Lamzira Lagidze

639

2553

THE VALUE OF GREEN BELTS IN URBAN SPRAWL: A CASE STUDY OD TAICHUNG CITY, TAIWAN
Chih-Hao Chen, Walter Den

645

2559

THE CHANGES OF PRECIPITATION IN SAMTSKHE-JAVAKHETI REGION (GEORGIA) AGAINST THE
BACKGROUND OF CLIMATE CHANGE
Lamzira Lagidze, Dali Nikolaishvili, Lia Matchavariani and Nino Paichadze

651

2567

HYGROSCOPIC SALTS AND ANTIMICROBIAL PROPERTIESJohn V Smith

657

2568

FEASIBILITY STUDY OF BIODIESEL PRODUCTION FROM RESIDUAL OIL OF PALM OIL MILLEFFLUENT
Monthatip Klabsong , Nipapun Kungskulniti , Chanakan Puemchalad, Naowarut Charoenca andVittaya Punsuvon

663

2569

SURFACE CHLOROPHYLL-A BLOOM ALONG THE SOUTHERN COAST OF JAVA DURING 2015 INDIAN
OCEAN DIPOLE EVENT
Iskhaq Iskandar, Qurnia Wulan Sari, Eko Siswanto and Dedi Setiabudidaya

668

2578

ANALYSIS OF TIME-DEPENDENT MERCURY FLOWS THROUGH THE USE OF THERMOMETERS AND
SPHYGMOMANOMETERS IN THAILAND
Manaporn Wongsoonthornchai, Ruth Scheidegger, Suphaphat Kwonpongsagoon and Hans-Peter
Bader

672

xi

2581

MERCURY CONTAMINATION IN ENVIRONMENT SURROUNDING COAL-FIRED POWER PLANT
Kamolthip Mahavong, Poranee Pattaranawat and Sopa Chinwetkitvanich

678

2582

ADSORPTION OF Cd AND Pb USING BIOMASS OF MICROALGAE SPIRULINA PLATENSIS
Lily Surayya Eka Putri, Putri Sintya Dewi and Dasumiati

684

2584

ENVIRONMENTAL IMPACTS OF RECYCLED NONMETALLIC FRACTION FROM WASTE PRINTEDCIRCUIT BOARD
Suphaphat Kwonpongsagoon, Sawanya Jareemit, and Premrudee Kanchanapiya

690

2588

THE ANAEROBIC BAFFLED REACTOR (ABR) : PERFORMANCE AND MICROBIAL POPULATION AT
VARIOUS COD LOADING RATES
Sopa Chinwetkitvanich and Apaporn Ruchirased

697

2600

INTRODUCING SUSTAINABILITY TO FIRST-YEAR CIVIL ENGINEERING STUDENTS USING DROUGHT
AS A CASE STUDY
Gregg L. Fiegel, Tom R. Trice, and Ryan C. Alaniz

704

2610

INCIDENTS INDUCED BY ELECTROMAGNETIC WAVES EMITTED BY CELL PHONES
Yoshiro Fujii

710

2611

EVALUATION OF CU CONTAMINATION FOR RIVER USING BRYOPHYTE IN THE KINOKAWA RIVER
CATCHMENT
Takuma Kubohara and Hiroyuki Ii

713

2620

SUNLIGHT SURFACE ANALYSIS ON EARLY MODERN APARTMENT FRONT FACADES IN KUALALUMPUR, MALAYSIA
Ahmad Sanusi Hassan and Yasser Arab

718

2621

A COMPARATIVE ANALYSIS OF LEGAL SYSTEM OF RIGHT EXCHANGE FOR URBAN DEVELOPMENT
PROJECTS-LAND READJUSTMENT SYSTEM IN DEVELOPING COUNTRIES IN ASIA AND SOUTH
AMERICANorihiko YANASE, Takeo OCHI and Shigeo OKABE

724

2625

GEOTHERMAL AND HOT SPRING WATER ORIGIN DETERMINATION USING OXYGEN AND
HYDROGEN STABLE ISOTOPE IN THE TOYOHIRAKAWA CATCHMENT, HOKKAIDO, JAPAN
Hiroyuki Ii, Hiroshi Kanbara, and Yohei Kawabata

728

2626

EFFECT OF TEMPERATURE ON REMOVAL OF COD AND TSS FROM ARTIFICIAL RIVER WATER BYMUDBALLS MADE FROM EM4, RICE BRAN AND CLAY SOIL
Fadjari Lucia Nugroho, Deni Rusmaya, Yonik Meilawati Yustiani, Fajar Ibnil Hafiz and Runie Besty
Teta Putri

734

2628

EVALUATION OF RESUSPENSION OF ROAD DUST IN A CEMENT INDUSTRIAL COMPLEX AREA
Tipawan Phetrawech, and Sarawut Thepanondh

739

2630

PAIN MANAGEMENT KNOWLEDGE AMONG MEDICAL WARD NURSES IN MALAYSIA
Kim Lam Soh, Salimah Japar , Wan Zaida Wan Md Hanapi, Rosna Abdul Raman, Swee Leong Ong
and Kim Geok Soh

747

2631

THE TREND OF ENTERAL FEEDING AMONG CRITICALLY- ILL PATIENTS IN ADULT ICUs IN MALAYSIA
Salimah Japar , Kim Lam Soh, Hatifah Che Hussin, Nor Airini Ibrahim, Swee Leong Ong
and Kim Geok Soh

753

2634

ROLE OF PUBLIC PARTICIPAITON IN ENVIRONMENTAL IMPACT ASSESSENT IN THAILAND
Chutarat Chompunth

759

2641

MOMENT CHARACTERISTICS OF SOLUTE MACRODISPERSION PHENOMENA IN HETEROGENEOUS
AQUIFERS
Yasuteru Kobi, Kazuya Inoue and Tsutomu Tanaka

764

xii

2642

MODELING OF PERMEABILITY OF POROUS MEDIA WITH MIXED WETTABILITIES BASED ONNONCIRCULAR CAPILLARIES
Junichiro Takeuchi, Hidetaka Tsuji and Masayuki Fujihara

770

2651

POTENTIAL OF OYSTERS AS AN ENVIRONMENTAL INDEX
Tetsuya Fukano and Hiroyuki Ii

777

2655

FISH TOXICITIES OF NOVEL FIRE-FIGHTING FORM FORMULAE ASSAYED IN DIFFERENT WATER
CONDITIONS FROM FRESH TO BRACKISH WATERS
Asato Ikemizu and Tomonori Kawano

783

2657

HYDROGEN ISOTOPES AND AMOUNT OF PRECIPITATION SAMPLED BETWEEN OSAKA PLAIN AND
SOUTH IKOMA MOUNTAIN, JAPANHiroki Nishiwaki and Hiroyuki Ii

788

2661

THE BEHAVIOR OF STRONTIUM AGAINST THE ADSORBENT IN DIFFERENT SOLUTIONS
Keiichiro Shibata, Hidenori Yoshida, Naomichi Matsumoto and Yoshihiro Suenaga

794

2665

BIODEGRADATION CAPACITY OF URBAN RIVERS IN JAKARTA, INDONESIA
Yonik Meilawati Yustiani and Imas Komariah

799

2666

EFFECT OF MODIFIED CASSAVA FLOUR (MOCAF), LENTIL, DATES BISCUIT ON THE BLOOD
GLUCOSE LEVEL OF DIABETIC PATIENT
Fatmah804

2669

CHARACTERISTICS OF THE SLUDGE PARTICLES IN REMOVAL PROCESS OF RADIOACTIVE CESIUMFROM OCEAN SLUDGE BY DECOMPOSITION SYSTEM WITH CIRCULATION TYPE USING MICROBUBBLES AND ACTIVATING MICROORGANISMS
Kyoichi OKAMOTO, Takeshi TOYAMA and Tomoe KOMORIYA

810

2673

STRATEGY OF TURBIDITY REMOVAL IN CIKAPUNDUNG AND CISANGKUY RIVER AS WATER
SOURCES FOR BANDUNG CITY, INDONESIA
Evi Afiatun, Hary Pradiko and Hari Prayoga

2675

EFFECTS OF DRYING METHODS ON UTILIZATION OF DIETARY FIBER FROM PINEAPPLE WASTES
Lalita Siriwattananon

821

2677

SIMULATION OF THE INFLUENCE OF SHADE TREES AND REFLECTIVE PAVEMENTS ON THE
MICROCLIMATE IN HOT ANDHUMID REGIONSJulia Md. Tukiran, Jamel Ariffin and Abdul Naser Abdul Ghani

826

2678

THE RELATION BETWEEN PRECIPITATION AND THE RIVER RUNOFF IN THE SHINGU RIVER BASIN
AT THE TYPHOON NO.12 IN 2011
Masanobu Taniguchi and Hiryuki Ii

832

2693

IS THE SOUTH CHINA SEA HAS UNDERGONE A SEA LEVEL RISE? A PRELIMINARY STUDY IN
TERENGGANU, MALAYSIA
Muhd. Barzani Gasim, Hafizan Juahir, Azizah Endut, Azman Azid, Mohd. Khairul Amri Kamarudin
and Norsyuhada Hairoma

839

2706

A SIMPLIFIED METHOD FOR SOIL ANALYSES LABORATORIES
N.Chaouqi, M.El Gharous, Z.Naceri, M.Bouzziri

845

2707

BIOGEOCHEMICAL FEATURES OF CHEMICAL ELEMENTS ACCUMULATION IN THE ECOSYSTEM OF
LAKE ILMENSKOE
Tatyana G. Krupnova, Irina V. Mashkova, Anastasiya M. Kostryukova, Egor V. Artyuko

851

xiii

816

2710

ECOLOGICAL RESTORATION OF LAKE UVILDY, RUSSIA: SHORT-TERM BIENNIAL STUDY
Irina V. Mashkova, Tatyana G. Krupnova, Anastasiya M. Kostryukova, Elena E. Shchelkanova

857

2712

SOCIO-ENVIRONMENTAL MEASUREMENT FOR TOURIST SERVICE EXPERIENCE
Boo Ho Voon, Jamil Hamali, Patricia Melvin Jussem, Ai Kiat Teo, and Agnes Kanyan

862

2713

RESEARCH AND DEVELOPMENT OF INCULCATION PROCESS FOR FUTURE AGRICULTURALRESEARCH OFFICER
Supasit Deeraksa , Paisarn Worakham, Piyatida Panya

867

2717

MONITORING AIR QUALITY USING LICHENS IN CHELYABINSK, RUSSIAN FEDERATION
Anastasiya M. Kostryukova, Tatyana G. Krupnova and Irina V. Mashkova

871

2720

MECHANISM OF COAGULATION USING CHITOSAN FROM MYTILUS VIRDIS LINNEAUS SHELLS IN
WATER TREATMENT
Sinardi, Prayatni Soewondo, Suprihanto Notodarmojo, Cynthia Radiman

876

2721

FEATURES AND ACTIVITIES FOR OVERCOMING THE CHALLENGES IN THE LANDCARE MOVEMENTIN AUSTRALIA:A MODEL OF COMMUNITY SUPPORT SYSTEM
Tomomi Maekawa

880

2722

DEVELOPING A PACKAGE OF LOCAL CAPITAL STOCKS MANAGEMENT FOR ACHIEVINGENVIRONMENTAL SUSTAINABILITY: A CASE OF ICHIHARA CITYTomomi Maekawa and Hidefumi Kurasaka

886

2734

A PRELIMINARY STUDY OF THE UTILIZATION OF LIQUID SMOKE FROM PALM KERNEL SHELLS FOR
ORGANIC MOUTHWASH
M. Faisal, Asri Gani , Husni, Hiroyuki Daimon

892

2735

ASSESSMENT OF OFF-FLAVOR TAP WATER DUE TO NUTRIENT AND RIVER FLOW MANAGEMENT
PRACTICES IN THE UPPER KINOKAWA RIVERWATERSHED
Ryota Hino, Nobuyuki Egusa, Yasuhiro Wada, Masahide Ishizuka and Tatemasa Hirata

897

2754

MICROCOSM EXPERIMENTS ON A COCONUT-FIBRE BIOFILM TREATMENT SYSTEM FOR
EVALUATING WASTE WATER TREATMENT EFFICIENCIES
Naofumi Sato, W. N. K. Dharmarathne, Takeshi Saito, Hiroyasu Sato, and Norio Tanaka, and Ken
Kawamoto

903

2761

TEMPORAL VARIATIONS IN PERCHED WATER AND GROUNDWATER QUALITIES AT AN OPEN SOLIDWASTE DUMPSITE IN SRI LANKA
Udayagee Kumarasinghe, Y. Inoue, T. Saito, M. Nagamori, Y. Sakamoto, M.I.M. Mowjood, K.
Kawamoto

909

2766

EFFICIENCY OF PUBLIC TRANSPORTATION USING GNSS SYSTEM
Riza Putera, Anisa Santoso, Irene Sondang, Esty Suyanti, Garrin Nandhito dan Okky Pratama

915

2768

THE INTEGRATION OF GIS AND GNSS SYSTEM FORLAND UTILIZATION MONITORING
Komara Djaja, Riza Putera, Esty Suyanti, Irene Sondang, Garrin Nanditho dan Akmal Fathu
Rohman920

2787

STUDY ON IMPLEMENTATION OF COMMUNITY-BASED SOLID WASTE MANAGEMENT AT GUNDIH,
BUBUTAN DISTRICT, SURABAYA CITY, INDONESIA
Eddy S. Soedjono, I Made Wahyu Wijaya, Nurina Fitriani and, Premakumara Jagath Dickella
Gamaralalage

924

2790

A REVIEW ON IMPLEMENTATION OF SAFETY TRAINING AMONG STUDENTS IN SCHOOL
Nurul Husna Che Hassan, Ahmad Rasdan Ismail, Nor Kamilah Makhtar, Nik Anis Amanina Nik
Ayub, Mohd Arifpin Mansor, Norhidayah Mat Sout

929

xiv

2791

HEAVY METAL SPECIATION IN SEDIMENTS AND THE ASSOCIATED ECOLOGICAL RISK IN SAGULINGLAKE WEST JAVA INDONESIA
Eka Wardhani, Suprihanto Notodarmojo and Dwina Roosmini

935

2792

EMISSION FACTORS OF BLACK CARBON (BC) FROM RICE STRAW OPEN BURNING SPECIFIC TO
DISTRICT CIANJUR, WEST JAVA, INDONESIA.
Hafidawati, Puji Lestari and Asep Sofyan

941

2808

EFFECT OF SLOPE ADJUSTMENT ON CURVE NUMBER USING GLOBAL DIGITAL ELEVATION DATA:NEW LOOK INTO SHARPLY-WILLIAMS AND HUANG METHODS
Abolghasem Akbari, Azizan Abu Samah and Su Kong Ngien

946

2827

MT. GULUGOD BABOY: THE ASTONISHING 360 DEGREE ECOTOURISM OVERVIEW OFBATANGAS, PHILIPPINES
Ryan Joseph G. Calinao, July Aze V. Barcenas, Lilian R. Silang

2832

A MODEL OF PARTICIPATION IN A WATER REHABILITATION PROJECT OF A LOCAL GOVERNMENTUNIT IN THE PHILIPPINES
Gerby R. Muya, Merlita Medallon and Nelson Tenorio

958

2841

SINGLE ACID EXTRACTION OF HEAVY METAL IONS FROM CONTAMINATED SOILS
Hyo-il Jeon and Seungkyung Park

964

2859

PHOTOCATALYTIC DEGRADATION OF FAMOTIDINE WITH DYE- SENSITIZED TiO2 UNDER VISIBLE
LIGHT
Md. Ashraful Islam Molla, Hideyuki Katsumata, Tohru Suzuki, Satoshi Kaneco

969

2865

ENHANCED PHOTOCATALYTIC OXIDATION OF As(III) ON WO3 NANO-PARTICLES WITH CuO COCATALYST
Abdus Samad, Hideyuki Katsumata, Tohru Suzuki and Satoshi Kaneco,

975

2868

LASER LAND LEVELING FOR CROP YIELD AND WATER EFFICIENCY AT EASTERN REGION
AFGHANISTAN
Takamitsu Kajisa and Shakerullah Hashimi

981

2804

REMOVAL OF IRON (Fe) AND ZINC (Zn) IN TEXTILE WASTEWATER BY USING ACTIVATEDCARBON FROM SUGARCANE BAGASSE
Izzatul Ashikin, Z.A, Mohd Adib, M.R. and Muhammad Amirza, A. R.

987

2845

REAL TIME REMOTE FISH POND MONITORING SYSTEM
Arnel M. Avelino, Leah Q. Santos ECE, April A. Clifford, John Nelson M. Decena, Joven
B. Escares and Alfred Ray A. Sabale

993

2551

THE OPTIMIZATION OF RESERVOIR MANAGEMENT TO IMPROVE THE QUANTITY OF DRINKINGWATER RESOURCES BY USING CONCEPTUAL MODEL (CASE STUDY: CITARUM CASCADE
RESERVOIR, WEST JAVA, INDONESIA)
Lieza Corsita, Arwin Sabar and Dyah Marganingrum

2743

IMPACT OF RECYCLED WATER ON PLANTS BIOENERGETICS COMPONETS: CHALLENGES AND
SOLUTION
Rafia Azmat, Sumeira Moin, Ailyan Saleem, and Anum Khursheed, Tehseen Ahmed andMohsin Ali
Authors Index

xv

952

999

1005

Second International Conference on Science, Engineering & Environment,
Osaka, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

PrefaceOn behalf of the SEE 2016 Organizing Committee, it is our great pleasure to welcome you to the Second
International Conference on Science, Engineering & Environment, held at the Osaka International House
Foundation, Japan organized in conjunction with Mie University Research Center for Environmental Load
Reduction, The GEOMATE International Society, Useful Plant Spread Society, Glorious International, AOIEngineering, HOJUN, JCK, CosmoWinds and Beppu Construction, Japan.
The conference covers three major themes with many specific themes including:Engineering•Environmental Engineering•Chemical Engineering•Civil and Structural Engineering•Computer Software Web
Engineering•Electrical and Electronic
Engineering•Energy and Thermal Engineering•Aerospace Engineering•Agricultural Engineering•Biological Engineering and Sciences•Biological Systems Engineering•
Biomedical
andGenetic
Engineering•Bioprocess and Food Engineering•Geotechnical Engineering•Industrial and Process Engineering•Manufacturing Engineering•Mechanical and Vehicle Engineering•Materials and Nano Engineering•Nuclear Engineering•Petroleum and Power Engineering•Forest Industry Engineering

Science•Environmental Sciences•Chemistry and Chemical Sciences•Fisheries and Aquaculture Sciences•Astronomy and Space Sciences•Atmospheric Sciences•Botany and Biological Sciences•Genetics and Bacteriology•Forestry Sciences•Geological Sciences•Materials Science and Mineralogy•Statistics and Mathematics•Microbiology and Medical
Sciences•Meteorology and Palaeo Ecology•Pharmacology•Physics and Physical Sciences•Plant Sciences and Systems Biology•Psychology and Systems Biology•Zoology and Veterinary Sciences

Environment•Environmental Technology•Recycle Solid Wastes•Environmental dynamics•Meteorology and Hydrology•Atmospheric and Geophysics•Physical oceanography•Bio-engineering•Environmental sustainability•Resource management•Modelling and decision support tools•Institutional development•Suspended and biological processes•Anaerobic and Process modelling•Modelling and numerical prediction•Interaction between pollutants•Water treatment residuals•Quality of drinking water• Distribution systems on potable
water•Reuse of reclaimed waters

This year we have received many submissions over 70 universities of different countries all over the world
including Australia, Georgia, Indonesia, Iraq, Japan, Jordan, Malaysia, Oman, Philippines, Romania, Russia,
South Korea, Thailand and United States. The technical papers were selected from the vast number ofcontributions submitted after a review of the abstracts. The final papers in the proceedings have been peer
reviewed rigorously and revised as necessary by the authors. It relies on the solid cooperation of numerous
people to organize a conference of this size. Hence, we appreciate everyone who support as well as participate
in the joint conferences.
Last but not least, we would like to express our gratitude to all the authors, session chairs, reviewers,
participants, institutions and companies for their contribution to SEE 2016. We hope you enjoy the conference
and find this experience inspiring and helpful in your professional field. We look forward to seeing you at our
upcoming conference next year.
Best regards,
Prof. Dr. Zakaria Hossain, Conference ChairmanxviSecond International Conference on Science, Engineering & Environment,
Osaka, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

Organization
Scientific Committees:
Honorary Chairman: Dr. Sohji Inoue, E/Prof. Mie University, Japan
Conference Chairman: Dr. Zakaria Hossain, Prof. Mie University, Japan
Conference Organizing Committee:
Dr. Zakaria Hossain, Prof. Mie University, Japan (Chair)Dr. Satoshi Kaneco, Prof., Mie University, Japan (Co-Chair)Dr. Sohji Inoue, E/Prof. Mie University, Japan (Co-Chair)
Dr. Toshinori Sakai, Prof. Mie University, Japan (Co-Chair)
Dr. Takamitsu Kajisa, Prof. Mie University, Japan (Co-Chair)Dr. Masaaki Kondo, A/Prof. Mie University, Japan (Co-Chair)
National & International Advisory Committee:
Dr. Fumio Tatsuoka, Prof., Tokyo University of Science, Japan
Dr. Junichiro Takeuchi, Prof., Kyoto University, Japan
Dr. Kingshuk Roy, Prof., Nihon University, Japan
Dr. Sai Vanapalli, Prof., University of Ottawa, Canada
Dr. Musharraf Zaman, Prof. Univ. of Oklahama, USA
Dr. Rafiqul Tarefder, Prof. University of New Mexico, USA
Dr. M. Bouassida, Prof., National Sch. of Engg. of Tunis
Dr. L.R. Austriaco, Prof., Angles Univ. Found., Philippines
Dr. A.S.M. Abdul Awal, Prof., Univ. Technology Malaysia
Dr. M. Ibn Ibrahimy, Prof., Int. Islamic Univ., Malaysia
Dr. Mohammad Shariful Islam, Prof., BUET, Bangladesh.
Dr. Bujang B.K. Huat, Prof., Univ. Putra Malaysia
Dr. Nemy Banthia, Prof., UBC, Canada
Dr. Ian Jefferson, Prof., Univ. of Birmingham, UK
Dr. John Bolander, Prof., Univ. of California, USA
Dr. Shamsul Chowdhury, Prof., Roosevelt Univ., USA
Dr. Isabel Pinto, Prof., University of Coimbra, Portugal
Dr. Mark Jaksa, Prof., University of Adelaide, Australia
Dr. Jim Shiau, A/Prof., USQ, Australia
Dr. Hj. Ramli Bin Hj. Nazir, A/Prof., UTM, Malaysia
Dr. H.M. Shahin, Prof., Islamic University of Technology, Bangladesh
Dr. Md. Ariful Islam, A/Prof. Dhaka University, Bangladesh
Dr. Md. Nurul Amin, Prof. Dhaka University, Bangladesh
Dr. D.K. Chauhan, Prof. Noida International Univ., India
Dr. Chan Chee-Ming, A/Prof. Universiti Tun Hussein Onn Malaysia
Dr. Ahmed H. A. Dabwan, A/Prof. TATI Univ. College, Malaysia
International Technical Program Committee:
Prof. Adolf Heinrich Horn, Geological Institute - Federa University of Minas Gerais, Brazil
Prof. Bang-Fuh Chen, National Sun Yat-sen University, Taiwan
Prof. Bindeshwar Singh, Kamla Nehru Institute of Technology, India

xvii

Prof. Catherine Mulligan, Concordia Institute of Water, Energy and Sustainable Systems, Canada
Prof. Chi-Min Liu Chienkuo Technology University, Taiwan
Prof. Daffalla Rabih, Kenana Sugar Company, Sudan
Prof. Essaid Bilal, Ecole Nationale Superieure Des Mines De Saint Etienne, France
Prof. Hakan Caliskan, Usak University, Faculty of Engineering, Turkey
Prof. Ibrahim Maiyza, National Institute of Oceanography & Fisheries, Egypt
Prof. Loc Nguyen, Sunflower Soft Company, Vietnam
Prof. Marilia Hagen, Indiana University, United States
Prof. Md Najib bin Ibrahim, Universiti Teknologi MARA, Malaysia
Prof. Md. Abdul Baset Mia, BSMR Agri. Univ., Bangladesh
Prof. Mihaela Popescu, University of Craiova, Romania
Prof. Mohamed Abdou, Faculty of Education Department of Mathematics, Egypt
Prof. Mohamed Tahiri, Présidnce de l'Université Hassan II de Casablanca, MoroccoProf. Nazar Oukaili, University of Baghdad, Iraq
Prof. Radim Cajka, Technical University Ostrava, Faculty of Civil Engineering, Czech RepublicProf. Rajaraman Jambunathan, AMET University, India
Prof. Saad Farhan Ibrahim Alabdullah, University of Almustansiriyah, Iraq
Prof. Salem Alsanusi, Benghazi, Libya
Prof. Sudhir Kumar Das, Retired Senior Project Manager of Indian Railways, India
Prof. Zachary Senwo, Alabama A&M University, United States
A/Prof. Bindeshwar Singh Kamla Nehru Institute of Technology, India
A/Prof. Hasi Rani Barai, Yeungnam University, South Korea
A/Prof. Jamaluddin Mahmud, Universiti Teknologi MARA, Malaysia
A/Prof. Mohamed Ramadan, University of Hail, Saudi Arabia
A/Prof. Najam Hasan, Dhofar University, Oman
A/Prof. Nosina Krishna Chaitanya, Jawaharlal Nehru Technological University, India
A/Prof. Nurbek Saparkhojayev, Almaty Management University, Kazakhstan
A/Prof. Pandian Vasant, Universiti Teknologi Petronas, Malaysia
A/Prof. Teodor Lucian Grigorie, University of Craiova, Romania
A/Prof. Zawawi Daud, Universiti Tun Hussein Onn Malaysia
A/Prof. Abdull Halim Abdul, OIl and Gas department, Malaysia
A/Prof. Baoping Cai, China University of Petroleum, China
A/Prof. Dariusz Jakóbczak, Koszalin University of Technology, Poland
A/Prof. Edgar Allan Mendoza, University of the Philippines
A/Prof. Lakhveer Singh, Universiti Malaysia Pahang (UMP) Malaysia, Malaysia
A/Prof. Lidia Sas Paszt, Research Institute of Pomology, Poland
A/Prof. Mahmood Barbooti, University of Yechnology, Iraq
A/Prof. Majid Mirzaei, Universiti Tunku Abdul Rahman, Malaysia
A/Prof. Najeh Lakhoua, University of Carthage, Tunisia
A/Prof. Ryan Joseph Calinao, Lyceum of the Philippines University-Laguna
A/Prof. Sarawut Thepanondh, Mahidol University, Thailand
A/Prof. Yasir Al Hussein, Jerash University, Faculty of Engineering, Jordan
Dr. Abolghasem Akbari, University Malaysia Pahang, Malaysia
Dr. Ahmad Safuan A Rashid, Universiti Teknologi Malaysia, Malaysia
Dr. Akinola Johnson Olarewaju, Federal Polytechnic Ilaro, Ogun State, Nigeria
Dr. Alexandre Costa, Federal University of the valleys of Jequitinhonha and Mucuri, Brazil
Dr. Angelo Gallone, Scotland’s Rural College (SRUC), United Kingdom
Dr. Azizul Azhar Ramli, Universiti Tun Hussein Onn Malaysia
Dr. Bashir Dar, University of kashmir Delina Baramulla J&K India, India
Dr. Bassam Abdellatif, National Authority for Remote Sensing and Space Sciences, Egypt
Dr. Binh Phu Nguyen, National University of Singapore, Singapore
Dr. Cazacu Gabriela, S.C. Geotech Dobrogea, Romania
Dr. Chengen Yang, Intel Corporation, United States
Dr. Dayang Norulfairuz Abang Zaidel, Universiti Teknologi Malaysia
Dr. Evgeni Starikov, KIT, Karlsruhe, Germany; Chalmers, Gothenburg Sweden, Germany
Dr. Fatma Khanchel, University of Tunis El Manar, Tunisia
Dr. Hamidreza Khataee, Griffith University, Australia
Dr. Hêriş Golpîra, Islamic Azad University, Iranxviii

Dr. Iskhaq Iskandar, Dept. Physics, University of Sriwijaya, Indonesia
Dr. Jingwei Zhao, University of Wollongong, Australia
Dr. Jitendra Agrawal, Rajiv Gandhi Proudyogiki Vishwavidyalaya, India
Dr. Liza Patacsil, Malayan Colleges Laguna, Philippines
Dr. Mohamed Amine, Ferrag Guelma University, Algeria
Dr. Mohd Afendi Rojan, Universiti Malaysia Perlis, Malaysia
Dr. Mohd Altaf, University of kashmir Delina Baramulla J&K India, India
Dr. Mohd Hairy Ibrahim, Sultan Idris Education University, Malaysia
Dr. Mostafa Khater, Egypt - El sharqia - Zagazig, Egypt
Dr. Najam Hasan, Dhofar University, Oman
Dr. Namir Alkawaaz, University of Almustansiriyah, Iraq
Dr. Nashrul Fazli Mohd Nasir, Universiti Malaysia Perlis, Malaysia
Dr. NaufaL Mansor Kampus Uniciti Alam, Universiti Malaysia Perlis (UniMAP), Malaysia
Dr. Obed Majeed Ali, Northern Technical University, Iraq
Dr. Piyapong Janmaimool, King Mongkhut' University of Technology, Thailand
Dr. Po-Sheng Chiu, National Cheng Kung University, Taiwan
Dr. Prabu Mohandas, Adhiyamaan College of Engineering, India
Dr. Raman Kumar, D A V Institute of Engineering and Technology, India
Dr. Riccardo Colella, University of Salento, Italy
Dr. Rolando Javellonar, Romblon State University, Philippines
Dr. Shikha Agrawal, Rajeev Gandhi Technical University, India
Dr. Stefania Tomasiello CORISA, University of Salerno, Italy
Dr. Sumiyyah Sabar, Universiti Sains Malaysia, Malaysia
Dr. Suphaphat Kwonpongsagoon, Mahidol University, Thailand
Dr. Wei Hong Tan, Universiti Malaysia Perlis, Malaysia
Dr. Yoshiro Fujii, Shin Kobe Dental Clinic, Japan
Dr. Yuk Feng Huang, Universiti Tunku Abdul Rahman (UTAR), Malaysia
Dr. Zongyan Zhou, Monsh University, Australia
Dr. Purnanand Savoikar, Goa Engineering College, India
Conference Correspondence:Prof. Dr. Zakaria Hossain (Director)
Dept. of Environmental Science and Technology, Mie University, Japan
Mr. Md. Aminul Islam (Secretary)Dept. of Environmental Science and Technology, Mie University, Japan
E-mail: conference@geomate.org
Tel & Fax: +81-59-231-9578
Editorial and Executive Committee:
Prof. Dr. Zakaria Hossain
Dr. Md. Toriqul Islam
Ms. Siti Hanggita
Mr. Md. Aminul Islam
Note- A: Associate, E-Emeritus

xixSEE-Osaka, Japan, Nov. 21-23, 2016

Keynote Paper

1Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

ROCK SLOPE INSTABILITY MECHANISM IDENTIFICATION USINGNEW STEREOGRAPHIC METHODSJohn V Smith
School of Engineering, RMIT University, Australia

ABSTRACT
There are numerous mechanisms of rock slope instability. The feasible mechanisms can be identified
manually by using stereographic projection. The most complex mechanisms involve interactions of multiple
planes of weakness within the rock mass. The conventional approach to multiple planes of weakness is to
identify the orientation of their lines of intersection relative to known envelopes defined on a stereograph. In the
new approach described here, the poles to planes of weakness are joined by great circles on the stereograph. The
relationship between the great circles and the daylight envelope of a slope is shown to provide a rapid andaccurate assessment of the potential for the wedge sliding instability mechanism. The method is described as thecircle method to distinguish it from the conventional ‘intersection’ method. The circle method also allows thecritical slope angle to be identified for each feasible tetrahedral rock wedge. Multi-plane toppling mechanisms
are also shown to be readily assessed by use of the circle method. The new methods of stereographic analysis
improve the identification and stability analysis of multi-plane weaknesses in rock slopes. The improved
assessment technique is beneficial in ensuring that correct methods of stability analysis are applied to eachpotentially unstable slope. The method is applied to the Guinsaugon landslide in the Philippines and coastal cliff
instability in Sydney, Australia.
Keywords: Slope stability, Stereographic analysis, Kinematic analysis, Wedge sliding, Toppling

representation of the orientations of planes by theorientation of the line (known as a pole on thestereograph) perpendicular to the plane and thus iscapable of representing large data sets in a clear way[7].
The stereographic method of kinematic analysis
is particularly useful for assessment of the stabilityof pairs of discontinuity planes known as wedges [8](Fig. 1). The conventional representation andassessment of wedges of rock is by the orientation of
the lines of intersection of the pairs of planes [9]. Analternative method of stereographic assessment
involves finding the orientation of great circles
linking pairs of discontinuity poles [10]. These two
methods are referred to here as the intersection
method and the circle method, respectively.
This paper demonstrates the application of thecircle method of kinematic analysis of wedges to alarge rock slide-debris avalanche that occurred in thePhilippines and to the coastal rockfall hazard in
Sydney Australia. The method is shown to be
applicable to wedges with sliding kinematics andtoppling kinematics. The main benefits are 1) thecircle method is more practical (and lessconservative) than the intersection method in
identifying feasible wedges and 2) the circle method
retains information on the shape of the wedge during
the kinematic analysis which is relevant toconsideration of the potential stability of the wedge.

INTRODUCTION
Large slope failures typically involve theinstability of the rock mass and are greatly
influenced by the orientation and spacing of
discontinuities such as bedding, joints and faults [13]. Assessing the risk associated with slope stability
hazards slope first requires identification of thepotential mechanisms of failure. For the identified
mechanisms of failure, slope stability can beanalysed by techniques including static methods,
limit-equilibrium and finite element methods to finda factor of safety or a probability of failure for that
failure mechanism. [4]. It is important to note thatthe analysis applies only to the mechanism of failureand should not be assumed to demonstrate that theslope is stable unless the possibility of othermechanisms occurring is excluded. Identifying
potential instability mechanisms and ensuring thatthe most problematic mechanisms are carefully
analysed is an especially important stage of slope
stability analysis.
Appropriate allocation of the resources required
to conduct detailed stability analysis requires that theinitial assessment of failure mechanisms commonly
known as kinematic analysis is completed efficiently
and effectively. Kinematic analysis is typicallyconducted using the stereograph, a graphical tool forrecordingandcomparingorientationsofdiscontinuities [5,6]. The stereograph allows the2

SEE-Osaka, Japan, Nov. 21-23, 2016

orientations was summarized as ranges
orientations for the structures [12] (Table 1).

Fig. 1ofSchematic diagrams showing wedge blocks
susceptible to A) sliding and B) toppling
Fig. 2GUINSAUGON LANDSLIDEA catastrophic landslide occurred in southern
Leyte province in the Philippines on 17 February
2006, burying the village of Guinsaugon with theloss of 1,221 lives. The event was not attributable toa single trigger and was considered to be the resultof progressive degradation of the 15 million m3 rockmass [11]. The failure mechanism and deposit
characteristics have been described as a rock slidedebris avalanche [12]. The orientation of joints andfaults relative to the ground slope was found to be a
critical aspect of the slope failure. The location of
the landslide is on an 800 m high east-facing
escarpment following the Philippine Fault, a major
tectonic feature of the Philippines (Fig. 2).

A) Guinsaugon landslide. B) Block oflandslide rock debris. (Photographs from2010, courtesy of Dr Christian Arnhardt)

Table 1 Structural data at Guinsaugon (Catane et al.,2008)
Structure/SlipsurfaceDip (o)Dip
direction
azimuth (o)Bedding
35
252
Fault
45-56
057
Joint set 1 (NE)
80-90
030
Joint set 1 (SW)
65-90
205
Joint set 2
60
009
Slope 1 (SE)
20-75
150
Slope 2 (NE)
35-85
064
Slope 3 (east)
60-80
090
Note: Joint set 1 includes a range of orientations
from dipping 80o toward northeast to dipping 65osouthwest.

Structural Data
The beds of sedimentary and volcanic rocks dip
at a moderate angle into the escarpment and are notconsidered to be a major contributor to instability.
Structural data collection showed faults and two setsof joints were potential contributors to the instabilityof the rock mass [12] (Fig. 3A). The distribution of3

SEE-Osaka, Japan, Nov. 21-23, 2016

unlikely”. One of the advantages of the circle
method is that these impractical intersections are notgenerated. Impractical wedge intersections include
those formed by planes that are dipping in a similar
direction [9] and is extended here to cases where one
or both of the planes dip into, rather than out of, theslope face.
The extents of the range of orientation of thefault and south-west dipping joint set 1 populations(Table 1) are shown on the stereograph as individual
poles (Fig. 3). For this case example, these data will
be analysed as if they were as individual poles. Thisis a useful form of analysis as it is reasonable toassume that most wedges will have characteristics
between these limits. The two fault poles have eachbeen linked to the two joint set 1 poles forming four
π-circles (Fig. 3B). The intersection method would
generate six intersections rather than four because it
would include the intersections of the pair of fault
poles and the pair of joint poles. These additional
intersections are erroneous as each of these pairs ofstructures have similar orientation to each other andcannot form practical wedges. This is one of thereasons why the circle method is less conservative
than the intersection method.
Wedge ShapeFig. 3The circle method provides a simple way to include
the shape of a wedge in the kinematic analysis. The
angle between the two poles comprising the wedge
can be subtracted from 180o to give the angle
enclosed by the wedge. Therefore the 105o (shown
on Fig. 3B) measured between the fault and joint
poles of π-circle 4 represents a wedge with aninternal angle of 75o. This is a useful feature toobserve as the angle between the bounding
structures determines the volume of the wedge andalso the factor of safety increases as the angle
decreases [8].
In the intersection method this block shapeinformation is not retained during kinematic analysis
as the orientation of the intersection is considered
without reference to the orientation of thecontributing poles.

A) Structural data distributions (Catane etal., 2008). B) Summary of structuralorientations. Potential east-sliding wedges
shown as great circles known as π-circles.
Lower hemisphere, equal area stereographs

Inspection of the stereograph indicates thatwedges of rock can form bounded by the north-east
dipping faults and vertical to south-west dipping
joints of set 1. These two structures intersect in thesoutheast quadrant of the stereograph making thesewedges candidates for sliding from the east-facing
slope (Fig. 3). Conventional intersection method
focuses on comparing the intersection lines with thefriction of the structures and the slope face. The
circle method links discontinuities poles together
with a great circle which is then assessed relative tothe friction angle and slope direction [10]. The term
π-circle has been adopted from the structuralgeology literature to refer to a great circle linking
poles. It was noted by Markland in 1972 [9] that“mechanically unstable wedges formed by two poles
which lie on the same side of the vertical plane
normal to the slope face are in practice extremely

Friction Angle
The friction angle can be considered to be a cone
centered on the vertical direction. This cone can be
represented on a stereograph as a small circle aroundthe centre point of the stereograph. Any pole plotting
within the friction circle would be too shallowly
dipping to slide whereas any pole plotting outside
the friction circle would be sufficiently steep to slide.
The Mohr-Coulomb model of strength istypically used to represent behavior of soil and rock.
That model represents shear strength as a
combination of friction and cohesion. If a material or
4

SEE-Osaka, Japan, Nov. 21-23, 2016

interface has zero cohesion then its shear strength isrepresented by the friction angle as represented on
the stereograph. Cohesion is more difficult torepresent on a stereograph as its contribution toshear strength depends on the scale of the failuresurface. The Hoek-Brown model is a methodology
for generating strength parameters for rock masses
and for translating these into the Mohr-Coulomb
model [13]. Barton [14] has argued that cohesion ofinterfaces is significantly reduced or entirely lost in
the initial stages of deformation of a rock mass suchthat friction is the major, or only, contributor tostrength.
The study by Catane et al. [12] used the HoekBrown methodology [13] to estimate a range of rockmass strength conditions. They [12] estimated thelow end friction angle of the rock mass to be 23o andthe high end to be 32o. The total shear strength isalso contributed to by cohesion, however, it isinstructive to consider the zero cohesion case using
the stereograph.
The range of east-plunging wedges represented
by the four π-circles (Fig. 3B) can be considered inrelation to the friction circle values noted above. If
the π-circle passes through the friction circle thewedge is stable because the plunge of theintersection line is less than the friction angle. One
wedge is stable for both the low and high friction
value, one wedge is unstable for both the low andhigh friction angles and two wedges are stable forthe higher value but unstable for the lower value.
This observation is consistent with the finding of
Catane et al. [12] that the rock mass was on the limitof stability.

failure (Table 3). These directions included the eastfacing slope at the back of the failure zone and thenorth-east and south-west slopes that are observablein the failure scar (Fig. 1A). The slope angles arehighly variable and the angles shown on Fig. 4 arethose also used by Catane et al. [12].

Ground Slope
Kinematic analysis also requires consideration of
the angle and direction of the ground slope. The faceof a slope is represented as a great circle on thestereograph. For each slope a daylight envelope canbe generated. The daylight envelope encloses thepoles of planes which dip outward from the slope
face; an important requirement for instability. It has
been incorrectly stated [3] that poles forming
wedges must also be within the daylight envelope.
However, it has been shown that wedges can form
from poles outside the daylight envelope [10]. That
study showed that the relationship between the πcircle and the daylight envelope can be used forkinematic analysis of sliding wedges [10]. If the πcircle passes through the daylight envelope (without
passing through the friction circle) the wedge isdaylighting and therefore potentially unstable. If theπ-circle does not pass through the daylight envelope
the wedge is non-daylighting (for that slope) andtherefore stable.
Catane et al. [12] considered three slope
directions in their analysis of the Guinsaugon slope

Fig. 4

5

Stereographic analysis of sliding wedges at
Guinsaugon (data collected by Catane,2008). A) SE slope, B) NE slope and C)
east slope. Shaded zones indicate poles
which can form part of a wedge for the
given slope face for the lower friction angle.

SEE-Osaka, Japan, Nov. 21-23, 2016

Lower hemisphere, equal area stereographs
In the circle method, the first test for the
potential for poles to form a wedge is that the polelies in the shaded area (valid wedge-forming polezone) of the stereograph on Fig. 4 [10]. For practical
purposes this can be further restricted to the dark
shaded of the stereograph (representing planes
dipping out of the slope face) on Fig. 4 [10]. Further,a pair of poles must comprise one pole from each of
the wedge-forming pole zones on each side of thedashed line (Fig. 4). The planes represented by thesepoles both dip out of the slope but with opposite
apparent dip in the slope. The conventional
intersection method does not apply either of thesetests and therefore includes many intersection linesthat are not representative of practically feasible
wedges.
The stereograph of the southeast directed slope
shows that the poles to the fault are located within
valid wedge-forming pole zone on the boundary
between outward and inward dip on the slope face.
These planes dip perpendicular to the direction of
the slope face (Fig. 4A). For joint set 1 the part ofthe population which ranges from dipping SSW tovertical is within the practical wedge-forming zone.
The NNE-dipping poles to joint set 1 dip into theslope and will not be included in the kinematic
analysis. The π-circles which link the fault poles andthe SSW-dipping joint set 1 poles represent four
potential wedges. The four π-circles pass throughthe daylight envelope for the slope indicating thatthe wedges are all kinematically feasible relative tothe slope. The influence of friction on their stability
was outlined above.
The stereograph of the northeast directed slope
shows that the SSW-dipping poles to joint set 1 areoutside the practical limits of the wedge-forming
pole zone, meaning they actually dip into this faceand are not likely to contribute to significant wedges(Fig. 4B). The faults and the NNE-dipping part of
the joint set 1 population both lie in the valid wedgeforming pole zone but, as they are in the same halfof the zone they have the same apparent dip on theslope face and in practice do not form significant
wedges. There are no poles in the other part of thepractical wedge-forming pole zone for this slope andtherefore wedge failure is not expected from the
known structures (Fig. 4B). The stereograph of thenortheast directed slope shows that the poles tofaults are within the daylight window and close to
the dashed line representing the direction opposite to
the slope face direction. This relationship indicatesthat the faults are potentially surfaces of planar
sliding (Fig. 4B).
The stereograph of the east directed slope showsthat, like the NE slope, the SSW-dipping poles tojoint set 1 are outside the practical wedge-forming
pole zone and the faults and the NNE-dipping part of
the joint set 1 population both lie in the same part ofthe valid wedge-forming pole zone (Fig. 4C). In
contrast to the NE slope, the faults are too oblique tothe slope face to be considered significant for planar
sliding. Therefore neither wedges nor planar sliding
are practical mechanisms on this slope (Fig. 4C).
In summary, the stereographic analysis showsthat wedges formed by the faults and joint set 1 areoriented in a manner that is marginally stable for thefrictional conditions and the SE slope direction. The
NE slope direction has potential for planar sliding offaults but not wedges. The east-facing slope is not
kinematically feasible for planar or wedge sliding.
The assessment supports the general conclusion of
Catane et al. [12] that the rock mass was at themargin of stability with respect to structural failure
and that failure occurred by progressive reduction inrock mass strength.
SYDNEY COASTAL CLIFF INSTABILITY
The city of Sydney in the state of New South
Wales, Australia is well known for its coastal
scenery. This includes numerous areas of coastal
cliffs prone to instability [15]. The northern beaches
district of Sydney is one such location. The geology
comprises Early Triassic Narrabeen Group bedded
sandstones and shales and the lower parts of theoverlying Middle Triassic Hawkesbury Sandstonewhich form horizontal strata [15,16]. The
orientations of bedding and joints (n=109) werecollected in the field for this study (Fig. 5). The
orientation of bedding is approximately horizontal
and the main joint set strikes northeast-southwest
and dips steeply. Joint sets which strike NNW-SSE
and WNW-ESE are also present. These steeply
dipping and vertical joints are a major influence on
the stability of the cliffs of the Sydney northernbeaches district. The risk is increased by the many
houses built along the cliff tops and the beaches
below the cliffs are popular recreation places (Fig. 6).
The stereograph can be used to infer the shapes
and orientations of potentially unstable blocks ofrock along the coast. The π-circle method will bedemonstrated in an assessment of the potential
failure mechanisms and the kinematic stability ofwedge blocks.
Wedge Sliding
Although toppling is the dominant failure
mechanism wedge sliding will be considered first.
The orientation of the coastline is variable but anazimuth of 110 (ESE) will be considered for thewedge sliding kinematic analysis. Three sets ofjoints dip outward relative to this slope direction(Fig. 7). Three π-circles have been constructed,
linking the three joint set mean orientations (Fig. 7).
Only the two π-circles (wedges) which include theSSE-dipping pole (labeled π1 and π2) meet the6

SEE-Osaka, Japan, Nov. 21-23, 2016

criteria of having each pole with opposite apparent
dip on the slope face.

Fig. 5A) Sydney, New South Wales (NSW),
Australia northern beaches district. B)
Structural orientations of joints and bedding.
Lower hemisphere, equal area stereograph.
C) Turrimetta headland showing serrated
cliff edges formed by toppling wedges(Google Earth)7

Fig. 6

Coastal cliffs in the study area showing A)
houses close to the cliff edges and B)
protective drape nets to reduce the rock fallhazardFig. 7A) Stereographic analysis of the wedge
sliding kinematics using the circle method.
Lower hemisphere, equal area stereograph

SEE-Osaka, Japan, Nov. 21-23, 2016

whether that π-circle has a pole on either side of theslope direction being considered.
In this case study, the slope directions between
the WSW and WNW set means does indicate
potential wedge direct toppling formed by a
combination of those two discontinuity sets asshown by the presence of the π-circle (Fig. 8).
Wedge direct toppling comprising the WSW- andSSE-dipping set means can occur at the northern
limit of the slope direction range. Wedge direct
toppling formed by the WNW set mean and the
NNE set mean can occur to the south of the slope
direction range (Fig. 8).

The daylight envelopes indicate for an 80o slope face
the two π-circles each cross the daylight envelope
indicating kinematic feasibility of wedge sliding.
The daylight envelope for a 60o slope face is also
shown on Fig. 7 and it can be observed that neitherof the two π-circles cross the daylight envelope
indicating wedge sliding is not kinematicallyfeasible for that slope face.
Wedge Toppling
The circle method can also be applied toassessment of toppling failure mechanisms
comprising multiple discontinuities. Toppling is
considered to be most problematic where
discontinuities dip into a steep slope face [1-3]. In
the case of a wedge bounded by two discontinuities
it is most problematic if the line of intersection of
the discontinuities plunges into a steep face [8]. The
range of dip angles susceptible to toppling can varydepending on the friction angle of block interfaces,
slope face angle, and spacing of discontinuity sets
(block size and shape) and has not been directly
considered in this study. For the purpose of the casestudy the range of dips of planes capable ofundergoing direct toppling is taken as 60o to 90o in a
direction opposing the slope face.
Direct toppling describes the situation of blocks
which are free to move out of a slope whereas
flexural toppling involves confinement of the layers.
The analysis here is restricted to direct toppling. For
toppling, the daylight envelope of the slope does notneed to be shown so it is possible to consider a wide
range of slope directions on a single stereograph.
The range of slope face directions being consideredis extended a further 90o from each of the slope
direction limits to include all poles dipping into theslope (Fig. 8). Although the general direction of thecoast is toward ESE (Fig. 5A) the cliff orientations
vary locally along the rocky headlands (Fig. 5C). A
range of slope face directions from azimuth 030 to
150 has been considered in this analysis. Therefore,
the joint set means dipping toward WSW, WNW,
SSE and NNE are included in the topplingassessment (Fig. 8).
Before considering the stability of wedge
toppling, the stability of planar toppling will beconsidered. If a discontinuity has a strike within 20oof the strike of the slope it is considered to besusceptible to planar toppling [2]. Therefore thisrange either side of the WSW- and WNW-dipping
set means are marked as planar direct toppling
directions (Fig. 8).
Having identified the planar toppling directions,
it is necessary to determine if the remaining
directions are susceptible to wedge toppling. Using
the circle method, this is achieved by observing
whether a π-circle passes through that direction and

Fig. 8A) Stereographic analysis of the wedge
toppling
kinematics.
Lowerhemisphere, equal area stereograph

The shape of the toppling wedges can be inferredfrom the information on the stereograph. The shapeof the blocks adjacent to the rock face will be thesupplement of the angle measured between the poleson the stereograph. For SE facing cliffs, the wedges
are approximately right angle blocks. This is
illustrated along the southern cliff line of theheadland in Fig. 5C. The shape of the topplingwedges on slopes facing east and northeast is
between 110 and 120 degrees. Such an obtuse
angled block shape is illustrated schematically in Fig.
1B.
8

SEE-Osaka, Japan, Nov. 21-23, 2016

CONCLUSION

Rock Mechanics and Mining Sciences &Geomechanics Abstracts 1980 Feb 1 (Vol. 17,
No. 1, pp. 57-61). Pergamon.
[6] Priest SD, Hemispherical projection methods inrock mechanics. Allen & Unwin; 1985.
[7] Lisle RJ, Leyshon PR, Stereographic projection
techniques for geologists and civil engineers.
Cambridge University Press; 2004 Apr 1.
[8] Hudson JA, Harrison JP, Engineering rockmechanics, vol. I. Pergamon.
[9] Markland JT, A Useful Technique Fro
Estimating the Stability of Rock Slopes when
the Rigid Wedge Slide Type of Failure is
Expected. Imperial College of Science &Technology; 1972.
[10] Smith JV, A method for assessing discontinuity
poles for potential wedge sliding. Engineering
Geology. 2016 Mar 4;202:55-61.
[11] Guthrie RH, Evans SG, Catane SG, Zarco MA,
Saturay Jr RM, The 17 February 2006 rockslide-debris
avalancheatGuinsaugon
Philippines: a synthesis. Bulletin of engineering
geology and the environment. 2009 May
1;68(2):201-13.
[12] Catane SG, Cabria HB, Zarco MA, Saturay Jr
RM, Mirasol-Robert AA, The 17 February 2006
Guinsaugon rock slide-debris avalanche,
Southern
Leyte,
Philippines:
depositcharacteristics and failure mechanism. Bulletinof Engineering Geology and the Environment.
2008 Aug 1;67(3):305-20.
[13] Hoek E, Brown ET, Practical estimates of rockmass strength. International Journal of RockMechanics and Mining Sciences. 1997 Dec
31;34(8):1165-86.
[14] Barton N, Shear strength criteria for rock, rockjoints, rockfill and rock masses: Problems andsome solutions. Journal of Rock Mechanics andGeotechnicalEngineering.
2013Aug
31;5(4):249-61.
[15] Leventhal AR, Kotze GP, Landslide
susceptibility and hazard mapping in Australia
for land-use planning—with reference tochallenges
inmetropolitan
suburbia.
Engineering Geology. 2008 Dec 1;102(3):23850.
[16] Kotze GP, An assessment of rockfall frequency
for the coastal cliff-lines of Pittwater local
government
area,
Sydney.
Australian
Geomechanics. 2007 Mar;42(1):213-9.
[17] Smith JV, A new approach to kinematic
analysis of stress-induced structural slope
instability. Engineering Geology. 2015 Mar
17;187:56-9.
[18] Smith JV, Self-stabilization of toppling andhillside creep in layered rocks. Engineering
Geology. 2015 Sep 28;196:139-49.

The circle method is stereographic technique forkinematic analysis of wedges. The method can beapplied to sliding and toppling mechanisms. The
method has a number of benefits over theconventional intersection method. The circle method
excludes intersection formed by near parallel planes
or by planes with dip directions not conducive to thepractical formation of wedges. These spurious
intersections are commonly included in theconventional intersection method.
In addition, the circle method displays the poles
and on the connecting great circle (π-circle) and thus
retains information about the shape of blocks. Thesefeatures make the circle method advantageous forassessing the kinematics of potential wedge sliding
and wedge direct toppling and the geometry of
wedge-shaped blocks capable of producing
rockslides in joint-controlled rock masses and rockfalls from steep slopes and cliffs.
Although stereographs have been used for many
years they have not yet been superseded as a tool for
visualizing complex three-dimensional relationshipsof planar and linear features. The circle method
outlined in this paper and other developments suchas application of stereographic methods to nonvertical stress trajectories [17] and to flexural
toppling [18] indicate that stereographic methods
can continue to contribute to advances ingeotechnical engineering knowledge.
ACKNOWLEDGEMENTS
RMIT University Research Associate, Dr
Christian Arnhardt provided photographs of
Guinsaugon landslide from fieldwork he conductedat the site in November 2010 as part of theEnvironmental and Rural Developement Program Disaster Risk Management (EnRD-DRM) of theGerman Society for International Cooperation (GIZ).
REFERENCES[1] Goodman RE, Introduction to rock mechanics.
New York: Wiley; 1989 Jan 17.
[2] Hoek E, Bray JD, Rock slope engineering. CRC
Press; 1981 Jun 30.
[3] Wyllie DC, Mah CW, Rock Slope Engineering:
Civil and Mining, Spon Press. New York, NY(431pp.). 2004.
[4] Wang YJ, Yin JH, Chen Z, Lee CF, Analysis ofwedge stability using different methods. Rockmechanics and rock engineering. 2004 Apr
1;37(2):127-50.
[5] Lucas JM, A general stereographic method for
determining the possible mode of failure of any
tetrahedral rock wedge. International Journal of9Sixth International Conference on Geotechnique, Construction Materials andEnvironment, Bangkok, Thailand,Nov. 14-16, 2016, ISBN: 978-4-9905958-6-9 C3051

TUNNEL CONSTRUCTION IMPACT ON GROUNDWATERCHEMISTRY OVER 25 YEARS OF OBSERVATION AT MATSUMOTO
TUNNEL, MATSUMOTO CITY, JAPAN
Hiroyuki Ii
Professor, Faculty of Systems Engineering, Wakayama University, Japan

ABSTRACT
Construction on the Matsumoto Tunnel north of Matsumoto city, started at the foot of the Matsumoto plateau
in 1980. Over the course of 25 years, approximately 11 million m3 of water inflow in the tunnel was drained. Water
inflow in the tunnel during tunnel construction varied from 1 to 8 m3 per minute decreasing to 1 to 0.6 m3 perminute between 1993 and 1995. At present, inflow maintains a rate of 0.6 m3 per minute. 3H concentration, an
indicator of groundwater age during tunnel construction, was less than 0.3 T.U. It has increased and remained lessthan 1.0 T.U. since 2003. Currently, it remains at 0.6 T.U. and the age of water in flowing into the tunnel has been
estimated to be over 30 years old from initial 3H concentration for surface water which varied from 4 to 10 T.U.
As oxygen stable isotope values and HCO 3 - concentration of water inflow in the tunnel were uniform for 25 years,
the source of water inflow in the tunnel is not thought to have changed. Roughly 25 to 50 million m3 water wasstored in rocks above the tunnel in the plateau from 10 % porosity measured by rock sample. However, when only
3 million m3 groundwater, one tenth of porosity was drained, groundwater level decreased widely. Therefore thedecrease of groundwater pressure was brought about by drainage of one tenth of total pore. From long term
observation, groundwater level increased marginally owing to a decrease of water inflow in the tunnel. An increase
in SO 4 2- and Ca2+ concentrations due to the solubility of the tunnel liner concrete was found.
Keywords: Tunnel construction, Long term drainage, Groundwater level, Tunnel seepage, Groundwater chemistry

INTRODUCTION
Many tunnels have been constructed in Japan.
Before the construction of a tunnel, groundwaterconditions are researched in detail for evaluating theconsequences of tunnel construction. However,following tunnel construction, no long term ongoingstudies regarding environmental conditions werereported despite a huge number of tunnels being
constructed across the country. In contrast to this,studies focusing on the disposal of radioactive waste
using deep underground tunnels were conducted inwhich groundwater flow and water chemistry over along term were investigated for Miocene marine
sedimentary rock at Horonobe in Hokkaido and for
granite at Tono in Gifu [1]. However, it wasdetermined that groundwater condition depended oneach area’s unique geological and topographicalfeatures [1] so information regarding how
groundwater flow and water chemistry may havebeen influenced by tunnel construction over a long
period was insufficient. Therefore, in this paper,
groundwater condition due to tunnel construction
starting in 1990 was researched and studied for over
25 years using water chemistry, groundwater leveland flow of water inflow in the tunnel.
STUDY AREA

10

SEE-Osaka, Japan, Nov. 21-23, 2016

The Matsumoto tunnel, approximately 2000 m inlength, was constructed within a plateau north of
Matsumoto city in central Japan. Tunnel construction
began in October 1990 and the tunnel was completed
in November 1992 [2]. A Quaternary Period riverterrace sedimentary layer is found on the top of theplateau which mainly consists of andesite tuff breccia
and sandstone formed in the Miocene period. Water
analysis around the tunnel revealed that [1] oxygenand hydrogen isotopes and main soluble substances
between water inflow in the tunnel and a dried up

11

SEE-Osaka, Japan, Nov. 21-23, 2016

minute. However, after 1993, a small change forwater inflow in the tunnel was recognized. A timeseries for water inflow in the tunnel and monthly
precipitation are shown in Fig.4. Monthly
precipitation varied from 0 to 400 mm and water
inflow was between 500 mm and 700 mm per minute.
Peaks and bottoms for precipitation sometimes
seemed to coincide with those values in following
months for water inflow although abnormal values
due to machine trouble for flow mater weresometimes observed.

spring and well were the almost same. On the other
hand, isotope values and main soluble substances foran undried well and spring on the tunnel weredifferent from those for tunnel inflow in the tunnel.
Subsequently, water chemistry analysis was able topredict the influence of tunnel construction on thespring and well [2]. During tunnel construction, a
tracer test was performed by Br- injection into aborehole and sampling in the tunnel determined
effective porosity to be 0.48 % using a three
dimensional FEM transport analysis. The effective
porosity value was very low relative to porosity, 7 to
15 % for Miocene sedimentary rock [3]. On the other
hand, before tunnel construction, effective porosity
was measured at 10 % using tritium concentration forwater inflow in the tunnel [4]. Groundwater level andwater inflow in the tunnel were studied for 5 years [5].

Cutting face water during construction
During tunnel construction, cutting face water
was sampled at the both directions. Main soluble
substances, Ca2+, HCO 3 -, and SO 4 2-concentrations
were shown in Fig.5. The left side was the west
entrance and the right side was the east side with
2000m of total tunnel length. SO 4 2- concentrations
around the entrance of the east side were lower thanthose at other areas and were observed to be
extremely high (1200 m) from the west side, HCO 3 -METHOD
Around the Matsumoto tunnel, spring, river, welland cutting face water was sampled during tunnel
construction. After the tunnel penetrated wascompleted, total water inflow in and along the tunnel
was sampled. Flow rate for water inflow in and along
the tunnel was measured from the beginning of tunnel
construction.
Main soluble substances, NO 3 -, Cl-, Ca2+, andSO 4 2- concentrations were measured by ion exchange
chromatography. HCO 3 - concentration was measured
by titration and 3H concentration was measured byliquid scintillation counter. The stable hydrogen andoxygen isotopic ratio were measured by mass
spectrometer (Sercon Geo Wet System).
RESULTS
Flow rate of water inflow in tunnel
Measurement of water inflow in the Matsumoto
Tunnel began from the beginning of construction andhas continued until present. Measurements were
performed over 25 years with the amount of water
inflow in the Matsumoto Tunnel reachingapproximately 11 million m3 as shown in Fig.2.
During tunnel construction, storage water in rocks
from the cutting face was drained and high water
inflow was observed. In November 1992 at the tunnel
penetrated (when the tunnel went throughcompletely), the amount of water inflow reached 3
million m3 when one million m3 per years wascontinually drained as water inflow.
Although, uniform flow rate for water inflow inthe tunnel as shown in Fig.2 was recognized after thetunnel penetrated, small changes of water inflow inthe tunnel were observed as shown in Fig.3. Water
inflow in the tunnel varied from 1 to 0.8 m3 perminute from 1993 to 1994 but decreased to 0.6 m3 in
1995. Currently, water inflow is stable at 0.6 m3 per
12

SEE-Osaka, Japan, Nov. 21-23, 2016

to be on top of the plateau because the plateau was
divided and isolated by a valley and river, surface
water on the plateau infiltrated and gradually
migrated into the tunnel level. In this process,NO 3 -and SO 4 2- were thought to be decomposed undera reductive condition and NO 3 - concentration for old
groundwater was thought to be under the detection
limit and SO 4 2- concentration was thought to remain
at 50 mg /L.
On the other hand, in some locations, 3H
concentrations were over the detection limit of 0.3
T.U. At a point 700 m from the west side, 3H
concentrations were over 9 T.U. which was the sameas surface water, and NO 3 - and Cl- concentrations
were extremely high. Thus surface water on theplateau was thought to flow directly into the tunnel.
Similarly at points 450, 1200 and 1900 m, 3H
concentrations were over 2 T.U. At 1200 m from thewest side, SO 4 2- concentrations were 250 mg/L and at
locations 450 and 1900 m from the west side Clconcentrations were over 5mg/L relatively higher
than the other areas. SO 4 2- was also thought to be of
agricultural origin because the main fertilizer was(NH 4 ) 2 SO 4 . Therefore, at specific points 450, 1200
and 1900 m, surface water was thought to mix withold groundwater and the mixed water was thought toflow into the tunnel.
On the other hand, oxygen isotopic ratio values
for cutting face water were -11.3 to -11.7 ‰ as shownin Fig.7, uniform although hydrogen isotopic ratios
were between -79 and -83 ‰. In general, hydrogenand Ca2+ concentrations in contrast were almost thesame value.
As farm houses, rice fields and fruit trees wereobserved on the plateau, surface water contaminatedwith NO 3 - and Cl- was suspected. 3H concentration
was an indicator of water age. NO 3 - and Cl- and 3H
concentrations are shown in Fig.6. Most 3H
concentrations for water inflow in the tunnel wereless than 0.3 T.U. therefore it was thought to be oldgroundwater reserved in rocks. If 3H concentration
for the recharge water is assumed to be 10 T.U., thetraveling time for water inflow in the tunnel is over
50 years. Therefore, as the recharge area was thought

13

SEE-Osaka, Japan, Nov. 21-23, 2016

isotope values included a large margin of error, butisotope values for cutting face water were uniform.
Dried upspring and well
After the tunnel was completed, some springs andwells around the tunnel dried up. Fig 8 showed wells,
springs, rivers and dried up wells and springs aroundthe tunnel with their average oxygen isotope values.
Dried up springs and wells were observed within 1.5
km from the tunnel and the altitude was higher than
the tunnel level. However, some wells and springs
above the tunnel were not dried up. The average
oxygen isotope values for river, spring and wellvaried from -12.4 to -10.8 ‰. In particular, theoxygen isotope values for the dried up springs andwells were -11.7 to -11.3 which coincided with theaverage value of -11.6 for water inflow in tunnel.
As shown in Fig.6, water inflow in tunnel
contained high concentration of Ca2+ and HCO 3 -.
Ca2+ and HCO 3 - concentrations for the cutting facewater in the tunnel (tunnel cutting), accumulated
water inflow in the tunnel after tunnel construction(total tunnel), dried up spring and well, non-dried up
spring and well, and spring and well at the lower
altitude than tunnel level (low altitude) are shown as
in Fig.9. Although HCO 3 - concentration for dried up
spring, M-27 with -11.4 ‰ in Fig.5 at the north oftunnel was over 150 mg/L (extremely high), HCO 3 concentrations for most dried up springs and wells
were the same as those for the total tunnel and tunnel
cutting face. On the other hand, most HCO 3 concentrations for non-dried up springs and wells on

14

SEE-Osaka, Japan, Nov. 21-23, 2016

were lower than those around the tunnel. Fromisotopic ratios, the recharge area for water inflow intunnel and dried up spring and well waters were
thought to be the mountain area at the north east of
the tunnel. The recharge area for deep borehole water
was the higher mountain area at the north east of thetunnel.
Groundwater level and porosity
Fig.11 showed dried up springs and wells with thedates of their drying up. Tunnel construction started
on the east side in October 1990 and on the west sidein November 1991. At the north of tunnel, two wells
dried up in June 1991 and in September 1991 as isshown in Fig.12. At the south of the tunnel, threesprings and one well dried up in October 1991,
February, May and June 1992 as shown in Fig.13.
However the spring M13 and bore hole M40 did not
dry up. Groundwater level was estimated from driedup spring and well points and drainage along thewhole tunnel line as shown in Figs.12 and 13. The
slope of the groundwater level at the N-S direction
was 40m/1000m = 0.04 at the north of tunnel and48m/1280m = 0.038 at the south of tunnel. M14
spring in the south of the tunnel, was recovered in
May 2005. M40 bore hole was found in December
2011. The altitude of M40 bore hole was about 750 m
and higher than that of M14 spring. Therefore,groundwater level gradually was recovered. From
Fig.2, water inflow in the tunnel was 1000L/min
when most springs dried up in 1992 however since1995 water inflow in the tunnel has remained at
600L/min. Following 2005, some springs recovered,and a decrease of water inflow into the tunnel wasthought to bring about spring recovery.
The total volume for the unsaturated zone wasestimated to be 250 million m3 (2,000m × 2,500m ×50m) to 500 million m3 (2,000m × 2,500m ×100m)
from the geographical features and the groundwaterlevel. M14 spring, the farthest dried up spring, dried
up in June 1992 and at that time the amount of water
inflow into the tunnel reached about 3 million m3 andeffective porosity was 0.5 to 1% from volume for theunsaturated zone and total drainage water during thattime. On the other hand, effective porosity for rocks
at the Matsumoto Tunnel was determined to be
0.48 % by field tracer testing during tunnel
construction [3]. Therefore, those effective porosity
values were almost the same. Porosities measured
from rocks sampled at the Matsumoto Tunnel area
were about 10 % [3], [4]. As a result, effective
porosity was one tenth of porosity and effective
porosity was thought to be due to cracks and mainpores connecting with the tunnel. The amount of porewater for the unsaturated zone was calculated to be 25
to 50 million m3 from 10 % pore value and the volumeof the unsaturated zone. At the present, the amount ofwater inflow into the tunnel is 11 million m3. If

the plateau were less than 50 mg/L and Ca2+
concentration was also low. Therefore water inflow
in the tunnel and dried up spring and well water were
thought to be in contact with rocks for a long time.
To determine the recharge area of water inflow inthe tunnel, oxygen and hydrogen isotopic ratios forwater samples around the tunnel were measured. Fig.
10 showed δD and δ18O values for sampled water.
Isotope values for dried springs and wells coincidedwith those for water inflow in tunnel. However,isotopic ratios for deep borehole water and non-driedup springs and wells above the tunnel level weredifferent values. Isotopic ratios for non-dried up
springs and wells coincided with those for rivers andponds around the tunnel and these values were higher
than those for dried up springs and wells. Isotopic
ratios for deep boreholes were lower than those forthe dried up springs and wells. From Figs.1 and 3,
there are higher mountains at the north east of thetunnel and isotopic ratios for river water at the area
15

SEE-Osaka, Japan, Nov. 21-23, 2016

saturated with water. 2 years later, about 3 million
m3 of groundwater was drained and groundwaterlevel decreased. The total rock volume ofunsaturated zone was calculated to be 250 to 500
million m3 from groundwater level estimated fromdried up springs and wells. Therefore, specific yieldwas 3/500= 0.6 % to 3/250=1.2%. The specific yieldcoincided with an effective porosity of 0.48 % asdetermined by tracer test during construction.
Effective porosity and specific yield were one tenthof porosity. Thus, effective porosity and specificyield were thought to indicate main pores or cracks.
Therefore, pores in the unsaturated zone stillretained a lot of groundwater, 25-3=22 to 50-3=47
million m3 just after tunnel construction. After
construction of the tunnel concrete liner, drainage
flow rate decreased from 1.0 m3/min to 0.6 m3/min.
Ca2+ and SO 4 2- concentrations for water inflow indrainage water from the tunnel is assumed to comefrom pore water for the unsaturated zone, 20 to 40 %of pore water still remains in the unsaturated zone.
Long term changes of water chemistry
For 25 years, 3H, Ca2+ and SO 4 2-concentrationsand δ18O values for water around the Matsumoto
Tunnel were measured. Fig.14 showed a time seriesof 3H concentrations. Although 3H values at the
cutting face were variable, 3H values at the tunnel
remained low, less than 0.6 T.U. The 3H values of
surface water decreased from 10 T.U. to 4 T.U. over
25 years. Furthermore, 3H values deceased afterhydrogen nuclear bomb experiments [6]. Therefore,
the age of water inflow into the tunnel was estimatedto be over 30 years old from initial 3H concentration
for surface water which varied from 4 to 10 T.U.
Figs.15 and 16 show a time series of Ca2+ andSO 4 2-concentrations. Ca2+ and SO 4 2- concentrations
for water inflow in the tunnel increased from 25 to 55
mg/L and 40 to 100 mg/L. Both values increased
between 1992 and 1994 when the tunnel concrete
liner was finished. The concrete contained CaSO 4 , so
the solute of the tunnel concrete liner was thought tohave increased Ca2+ and SO 4 2-concentrations forwater inflow in tunnel.
Fig.17 shows a time series of δ18O values. δ18O
values for water inflow in the tunnel were uniform
over 25 years. Therefore the water source for water inthe tunnel was thought to not have changed but tohave remained the same over 25 years.

the tunnel increased because of soluble of (solutefrom?) the concrete liner. Although groundwaterlevel increased marginally and some dried up springs
were recovered because of a decrease in flow rate of
the water inflow in the tunnel, fundamentally, a bigchange in groundwater levels was not found.
Drainage water have maintained low 3H
concentration until now even when the total volume
of water inflow in the tunnel reached 11 million m3.
The drainage water was thought to be oldgroundwater. Old groundwater for the unsaturated
zone was less than 14 to 39 million m3 as somegroundwater was also drained under the groundwaterlevel for maintaining the groundwater level. As stable
isotope values for cutting face and water inflow intunnel were uniform until now, groundwater source is
not thought to have changed.

DISCUSSION
Judging from water chemistry around the tunnel,
flow rate for water inflow in the tunnel and spring andwell conditions, groundwater level and groundwater
sources were estimated as shown in Fig.18. Before
tunnel construction, rock above the tunnel was

CONCLUSION
In 1980, the Matsumoto Tunnel construction at
16

SEE-Osaka, Japan, Nov. 21-23, 2016

the north of Matsumoto city started at the foot of the
Matsumoto Plateau which is isolated by surrounding
mountains. 11 million m3 of water inflow in tunnel
has been drained until present. Water inflow in thetunnel was thought to be derived from precipitationon the plateau. Since 1980, groundwater level andflow rate of water inflow in the tunnel have beenmeasured and then the amount of water inflow in thetunnel from 1980 reached about 11 million m3 andgroundwater level 2km around the tunnel decreased
for the first two years but has kept uniform until now.
For 25 years, water inflow in tunnel, river andspring waters around the tunnel have been sampledmany times and water chemistry and isotope values
have been measured. Water inflow in the tunnel forthe first years during tunnel construction varied from
1 to 8 m3 per minute and from 1993 to 1995 it
decreased 1 to 0.6 m3 per minute. At present inflow is
stable at 0.6 m3 per minute. 3H concentration, an
indicator of groundwater age during tunnel
construction was less than 0.3 T.U. It increased andhas stayed less than 1.0 T.U. since 2003. On the other
hand, 3H concentrations of river and well water on theplateau were 4 T.U. Therefore, age of water inflow intunnel was estimated to be over 30 years old frominitial 3H concentrations for surface water which
varied from 4 to 10 T.U. Oxygen stable isotope valuesand HCO 3 - concentration of water inflow in thetunnel were uniform over 25 years. Therefore, as
stable isotope values for the cutting face and water
inflow in the tunnel was uniform until now, thegroundwater source is not thought to have changed.
Effective porosity and specific yield were one

tenth of porosity, about 10 % measured by sampled
rocks. 25 to 50 million m3 of water was storage inrocks above the tunnel in the plateau from a 10 %porosity value. However when only 3 million m3
groundwater, about 1% effective porosity andspecific yield, was drained, groundwater level
decreased widely. As the water was low 3H
concentration, the drained groundwater was deemed
to be old. Therefore, old groundwater in theunsaturated zone was determined to be less than 14 to
39 million m3. From long term observation,
groundwater level increased marginally owing to adecrease of water inflow in the tunnel and a SO 4 2- andCa2+ concentration increase was found because of thesolubility of tunnel liner concrete.
REFERENCES[1] Nakao, S, Kikuchi T, and Ishido, T, “Current
status of regional hydrogeological, studies andnumerical simulations on geological disposal”,
Bull. Geol. Surv. Japan, vol. 55(11/12), 2004,
p.409 - 415,
[2] Ii H, and Misawa S, “Groundwater chemistry
within a plateau neighboring Matsumoto city,
Japan”, J. of Environmental Geology, Vol. 24(3),1994, pp. 166-175.
[3] Ii H, “Effective porosity and longitudinal
dispersivity of sedimentary rocks determined bylaboratory and field tracer tests”, J. ofEnvironmental Geology, Vol. 25(2), 1995, pp.
71-85.

17

SEE-Osaka, Japan, Nov. 21-23, 2016[4] Ii H, Ohtsuka Y, Mori N, Inagaki T, and Misawa
S, “Effective porosity and specific yield of asedimentary rock determined a field tracer test
using tritium as a tracer”, J. of Environmental
Geology, Vol. 27(3), 1996, pp. 170-177.
[5] Ii H, and Kagami H, “Groundwater level andchemistry changes resulting from tunnel
construction near Matsumoto City, Japan”, J. ofEnvironmental Geology, Vol. 31(1/2) 97, pp. 7684.

[6] Duvert C., Stewart M.K., Cendón D. I., andRaiber M. ”Time series of tritium, stable isotopes
and chloride reveal short-term variations ingroundwater contribution to a stream”, Hydrol.
Earth Syst. Sci., Vol. 20, 2016, pp.257-277.

18

SEE-Osaka, Japan, Nov. 21-23, 2016

Technical Papers

19SEE-Osaka, Japan, Nov. 21-23, 2016

Science20

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

DILATANCY BEHAVIOR OF WASTE SHELL-SOIL MIXER FOR
GROUND IMPROVEMENT
Siti Hanggita Rachmawati and Zakaria Hossain
Graduate School of Bioresources, Mie University, Japan
ABSTRACTA large amount of waste shell husk has been produced in Japan every year that not only requires a huge amountof money for its disposal but also causing a serious environmental problems. The shell waste has been investigatedas recycle aggregate for soil improvement. In this study, shell waste-soil mixture with varying percentage of shell
was used to investigate the effectiveness of shell in soil. Dilatancy behavior that controls the performance of earth
reinforcement was used as main parameter in this study. Three percentages (10%, 20%, 30%) and control (0%) ofshell husk were demonstrated in this study. The water content for all the tests were close to optimum water content(Wopt) or dry side of Wopt to maintain the similarity of the test samples. All the results showed that the verticaldisplacements increased with the increase in horizontal displacement. This research revealed that the percentageof shell husk could decrease the dilatancy behavior than control which means of ground improvement.
Keywords: Recycle, Shell Waste, Dilatancy Behavior, Soil Improvement
amount of abandon shell husk is about 151,000
tons/year and nearly 32 million US$ for disposal cost
[6].
The present study used abandon shell husk
(mactridaes) as ground improvement material.
Shear tests under four normal stresses of 40, 60, 80
and 100 kPa were performed to evaluate dilatancy
behavior of clayey soil of Mie Prefecture, Japan
which was added by three percentages (10%, 20%,30%) abandon shell husk and also control (without
reinforcement). In direct shear test, dilatancy is
described as the ratio (δy/δx) of incremental verticaldisplacement (δy) to incremental horizontal
displacement (δx) [2]. Pertinent discussion on the
improvement of dilatancy behavior of ground using
different percentage of shell husk are made.

INTRODUCTION
The stability of whole kinds of earth fill structures
have to persistent under any circumstances. Natural
phenomena such as weathering, erosion, earthquake,and drought reduce the stability then lead to thefailure. To tend these problems are required ground
improvement that could enhance the stability of earth
fill structures [7]. One of main parameters that control
the performance of earth reinforcement is dilatancy
behavior which explained the volume or shapechanging caused by pressure distribution [5].
Previous studies about dilatancy behavior wereapplied on soil reinforcement that using geosynthetic
or geogrid. These grounds reinforcement arecommonly used in world wide.
Now-a-days, recycle aggregates are graduallyused for ground reinforcement. The aim of recycle
aggregate utilizing is one way to apply sustainable
development on construction industry including
earthwork construction [8], [11], [12]. Recycling
principle has benefits which are protecting limited
natural resources of aggregates, increasing theabandon waste value and problem solving of waste
storage [6], [12]. Many researchers used organic andinorganic materials as recycled aggregates in theirinvestigations. The comparisons between soil without
reinforcement and soil with reinforcement havedifferent trends. Previous studied showed that theapplication of recycle aggregates as groundreinforcement have expected results [3], [7], [9].
Shell husk is one kind of aggregate which has
been investigated widely as reinforcing ground.
Clamshells have important part in Japanese people
dietary and every year in Japan, large quantity of shellhusk waste are generated. According to the Japanese
Ministry of Forestry, Fisheries and Agriculture, total

PROPERTIES OF GROUND
Properties of soil
Figure 1 illustrates the particle size distribution of
clayey soil.
Table 1. Properties of soilParameters
Dry density (ρ d )Optimum Water Content (W opt )Spesific gravity (ρ s )Cohesion (c)Angle of internal friction (φ)
Sand > 75 μm
Silt >5-75μm
Clay <5μm
Liquid limit
Plastic limit
Plasticity Index

21

Clayey Soil
1.80g/cm3
13.29%
2.589
15.66
77.27
85.00%
11.00%
4.00%
39.00%
26.80%
12.20%

SEE-Osaka, Japan, Nov. 21-23, 2016

Approximately 7 % is coarse gravel, 19% ispebble, 7% is granule, 10% is fine sand, 29% ismedium sand, 13% is coarse sand, 11% is silt and 4%
is clay. The other properties of soil are shown in Table
1. Plasticity chart given in Figure 2 revealed that thissoil contains silt having properties of higher
permeability, higher compressive strength, higher dry
density and low toughness .

Percentage passing (%)

80
60
40
20
0
0.1

Percentage Passing ( % )

100
90
80
70
60
50
40
30
20
10
0
0.001

100

1
Shell size (mm)10Fig. 4 Shell size distribution curve
Table 2. Physical properties of shell husk

0.01
0.1
1
Particle's diameter (mm)10Physical Properties
Water absorption ratio
Spesific Gravity
Unit Weight

100

Values obtained
1.23%
2.723
1.57

Fig.1 Particle size distribution curve

Plasticity Index (%)

80
70
60
50

CH

40
CL

30

MH

20
10

ML

CL-ML

0
0

10

20

Fig. 5 Shell-soil mixer

30

40

50

60

70

EQUIPMENTS AND METHODOLOGY80

Liquid Limit (%)

Description of the testing equipment

Fig. 2 Plasticity chart of soil

Dry Unit Weight (ρd)

1.9
1.85
1.8
0% shell husk
10% shell husk
20% shell husk
30% shell husk

1.75
1.7
1.65
1.6
0

5

10

15

20

Fig. 6 Pullout and shear testing apparatus

Water content (%)

Fig. 3 Compaction curves for soil-shell mixer
Properties of shell husk

In this study, the apparatus used is able to perform anddirect shear test. The shear box with clamping systemin outside (6), has rectangular shape of size 150 mm
in length, 100 mm in width and 100 mm in height. It
consists of fixed lower box (1) and a moving upper
shear box (2), both have 50 mm in depth. Thisapparatus is specifically constructed that the mobilityof soil parallel to the shear surface is totally controlled
by the four side walls along with its girder during test

The mactridae shell husks waste were collectedfrom the seashore closed to Mie University, Tsu city,
Mie Prefecture, Japan. Then the shell husks were
graded by performing sieve analysis. The finenessmodulus and the maximum size of the abandon shellhusks were 4.35 and 4.76 mm, respectively. The shellsize distribution curve is shown in Fig.2 and thephysical properties in Table 2.
22

SEE-Osaka, Japan, Nov. 21-23, 2016(3). The friction between upper box and lower box isremoved by using the vertical screws that have been
set at both long side of upper box. The normal stress
is applied through a lower jack (4) below lower box
which is balanced by the opposite stresses of theupper box (5). The data of shear force, horizontal andvertical displacements in this test are recorded bycomputer software DCS-100 which connected withload cell (7), two dial gages (8,9), through one loadcell, and two displacement transducers (one for shear
displacement and other for vertical displacement
measurement).

Figure 8 describes the relationship between
horizontal displacement and vertical displacementof soil with 10% shell husk as recycled aggregate. The
vertical displacement of 60 and 80 kPa for 0-2 mmhorizontal displacement are almost similar and afterthat the vertical displacement of 80 kPa gradually
increases higher than 60 kPa. On the contrary withvertical displacement of 40 and 60 kPa which has
slightly difference on 5-6.7 mm horizontal
displacement and not so much different in the end of
the test.
Vertical displacements of 80 and 100 kPa aregradually increase and have similar trends. There isno single number that identified as negative value ofvertical displacement. In this part, the highest numberof vertical displacements are noted as 6.57, 6.88, 8.01,
8.87 mm for 40, 60, 80 and 100 kPa respectively.

Method of testingThis study used 0%, 10%, 20%, and 30 % of
Mactridae shell husk as coarse aggregate in the ratio
mass of clayey soil. Water was added gradually to the
mixture shell husk and clayey soil with water content
9-13%. The water content which were used in thisresearch are slightly less than that of the optimum
water content of soil for every percentages (Fig. 3).
The reason is to maintain the water content in dryside of optium and also for field condition with
unsaturated soil. Then the mixture between shell, soil
and water were filled in shear box by three layers.
Every layer had same compaction energy hence thedensity of soil-shell mixture kept almost stable forevery test. The shear load through screw jack (10) wasapplied after the consolidation by normal stresses
reached equilibrium. Screw jack worked underelectrically operated constant pressure with a constant
speed of 1.0 mm/min and the force was measured
using a tension load cell (7). Normal stresses (verticalload) are maintained stable during the test. The
specification of this equipment is based on JIS and theJapanese Geotechnical Society (JGS: T941-199X) [4].

In Fig 9. could be seen the sverticaldisplacement
versus horizontal (shear) displacement of soil with
20% shell husk. The dilatancy in term of verticaldisplacement of 60, 80 and 100 kPa are slightly
different on 0-1.5 mm shear (horizontal)
displacement then it spreads gradually . For 40 kPa,
the vertical displacement gradually increased having
moderately wide gap with other normal stresses. The
trends between 80 and 100 kPa have similar patterns
but quite different on numbers. The similar trends
also happen between 40 and 60 kPa, however, therange is higher. In this case, there is not negative valueof vertical displacement. The peaks of verticaldisplacements are recorded 5.57, 7.67, 9.11, 10.86
mm for normal stresses 40, 60, 80 and 100 kPa
respectively.

RESULT AND DISCUSION

Dilatancy behavior of soil with 30% shell husk

Dilatancy behavior of soil with 0% shell husk

Figure 10 illustrates relationship between verticaldisplacement and horizontal displacement of soil with
30% shell husk. The vertical displacement trend of 60
and 80 kPa almost similar on 0-2 mm horizontal
displacement.

Dilatancy behavior of soil with 20% shell husk

The vertical displacement and horizontal
displacement which are known as dilatancy behavior
is plotted in Fig. 7. The vertical displacement of 40
and 60 kPa are slightly different on 0-4.7 mm ofhorizontal displacement
then the range is start increasing till the end of test.
On the other hand, the vertical displacement range
between 80 and 100 kPa is slightly different after 46.7 mm. Also, the vertical displacement for 80 and
100 kPa almost increase two times than other lower
stresses. There is not negative displacement for any
normalstresses.
The
maximum
verticaldisplacements are calculated as 6.25, 7.32, 10.07,
11.06 mm for normal stresses of 40, 60, 80 and 100
kPa respectively.

12

v, mm

10
8

100 kPa

6

80 kPa4

60 kPa
40 kPa

2
0
0

1

2

3

4

5

6

7

u, mm

Fig 7. Dilatancy behavior of soil with 0 % shell
Dilatancy behavior of 10% shell husk
23

SEE-Osaka, Japan, Nov. 21-23, 2016

increasing along with the increasing of horizontal
displacement. These phenomena are related tovolume change by means direct shear test for every
type of percentage of shell [2]. Over all data showedthat the percentage of shell husk as ground
improvement materialhas significant effect todecrease the vertical displacement than soil without
shell. It was observed that the mixing of waste shellhusk in soil resulted more stress-transfer ability of theground thereby increased the resisting forces [7].
There are several negative value in the beginning of
30% percentage of shell husk under 40 kPa normal
stress which is indicated the increasing volume. It isshown that there is a decrease in the density of clayeysoil with the increase of percentage of waste shellhusk [9].

108100 kPa

6v, mm

80 kPa4

60 kPa2

40 kPa

0
0

1

2

3

4

5

6

7

u, mm

Fig. 8. Dilatancy behavior of soil with 10% shellhusk
12

CONCLUSIONS

10

v, mm

8

100 kPa

6

80 kPa4

60 kPa2

40 kPaGenerally the graphs show the dilatancy (verticaldisplacement) increase with shear (horizontal)
displacement. Soil without reinforcement (zeropercent of shell husk) was reached the highest valueof vertical displacement.
The lowest verticaldisplacement was obtained by soil with 10% shellhusk. It is concluded that shell husk could improve
the soil ability.

0
0

1

2

3

4

5

6

7

u, mm

Fig 9. Dilatancy behavior of soil with 20% shell
husk
ACKNOWLEDGEMENTS
12

Special gratitude and high appreciate forpartnership between Mie University, Japan andSriwijaya University, Indonesia, which contribute toperform this research.

v, mm

10
8

100 kPa

6

80 kPa4

60 kPa2

40 kPaREFERENCES

0
-2

0

1

2

3

4

5

6

7

[1] Andersland OB., Khattak, AS, and Al-Khafaji
AWN, “Effect of Organic Ground onSoil Shear
Strength”, Laboratory Shear Strength of Soil,
ASTM STP 740, Yong RN and Townsend FC,
Eds., American Society for Testing andMaterials, 1981, pp. 231-232.
[2] Arora KR, Soil Mechanics and Foundation
Engineering, Nai Sarak-Delhi: Standard
Publishers Distributors, 1978.
[3] Baumgartl Th and Horn R, “Effect of aggregatestability on soil compaction”, J. Soil and Tillage
Research, Vol. 19, 1991, pp. 203-213.
[4] Hossain MZ, “Development of a Small-Scale
Universal Apparatus for Evaluating SoilStructure Interaction”, J. of Civil Engineeringand Architecture”, Vol. 5, No. 4 (Serial No. 41),
April. 2011, pp. 314-321.
[5] Hossain MZ and Inagaki H, “Dilatancy behaviorof soil-structure interfaces for farm roads andembankments”, J. of Agricultural Engineering,u, mm

Fig 10. Dilatancy behavior of soil with 30% shellhusk
It is shown between the vertical displacement of
40 kPa and other normal stresses has large range.
Initially, the dilatancy of 40 kPa has negative value
and almost zero on 0-2 mm of shear displacement.
The similar trends and value between 60 and 80 kPa
are occured on 0-2 mm of vertical displacement. By
the end of test, the vertical displacements of 80 and
100 kPa have not much difference. The maximum
vertical displacement for normal stresses of 40, 60, 80
and 100 kPa are 3.54, 8.51, 9.64, 10.10 mm,
respectively.
Discussion
All the graphs show the vertical displacements are24

SEE-Osaka, Japan, Nov. 21-23, 2016Vol 2 (1), 2011, pp.12-17.
[6] Hossain MZ, “Waste Shell Husks Concrete :Durability, Permeability and Mechanical
Properties, J. of Building Construction and
Planning Research, Vol. 1, September. 2013 pp.
61-66.
[7] Hossain MZ, “Influence of Recycle Aggregate
Composites on the Factor of Safety of Earthen
Structures”, J. of Geosciences, Vol.4, July. 2013,
pp.844-849.
[8] Li X, Zhu Y and Zhang Z, “ An LCA-based
environmental impact assessment model for
construction processes “, J. Building andEnvironment, Vol. 45, 2010, pp. 766-775.
[9] Malkawi AIH, Alawneh AS, Abu-Safaqah OT,“Effects of organic matter on the physical andthe physicochemical properties of an illitic soil”,
J. Applied Clay Science, Vol. 14, 1999, pp. 257278.
[10] Ng CWW and Menzions B, “Advanced
Unsaturated Soil Mechanics and Engineering”,
New York: Taylor and Francis, 2007, pp.47[11] Ortiz O, Castells F and Sonnemann G,“Sustainability in the construction industry: A
review of recent developments based on LCA”,
J. Construction and Building Materials, Vol. 23,
2009, pp 28-39.
[12] Tam VWY and Tam CM, “ A review on theviable technology for construction waste
recycling”, J. Resources Conservation andRecycling, Vol. 47, 2006, pp. 209-221.

25

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

COALBED METHANE EVALUATION OF LOW RANK COALSIN THE AIR LAYA MINING REGION OF SOUTH SUMATRA
1

Ana Asmina1, Edy Sutriyono2, Endang Wiwik Dyah Hastuti3
Postgraduate Study Program of Mining Engineering of Sriwijaya University
2,3
Geology Study Program of Engineering Faculty of Sriwijaya University
Jl. Srijaya Negara, Bukit Besar, Palembang, Indonesia

ABSTRACTThis study was carried out to evaluate the coalbed methane content of coal seams occurring at shallow depths in
Air Laya mining area. Tectonically, the region is situated in the Paleogene South Sumatra basin. The present
evaluation employed well log and core analysis for different coal seams of Mio-Pliocene Muara Enim sequence.
Interpretation of seven log profiles suggests that there are four major layers of coal exposed at depths between 79264 m. The apparent thickness of individual stratum in each well varies significantly, and average 6.7-13.7 m.
Results of core description reveal low rank coals of subbituminous and high volatile bituminous, and there appears
an increase in vitrinite reflectance with depth from 0.49% up to 0.59%. These low rank coals contain predominantly
huminite, ranging from 56-86 vol. %, and less abundant liptinite and inertinite, ranging from 0.2-12.2 vol. % and4.2-19.2 vol. % respectively. All samples analyzed consist of a small number of minerals, high moisture content of
2.4-12.6 wt. %, volatile matters of >39 wt. %, and fixed carbons of >43 wt. %. The amount of gas for each coalbed
varies from 4.1-5.3 m3/t, but the resulted estimates tend to increase with depth. The sum of the estimated gas-inplace is approximately 3,019x106 m3. Additionally, the present work suggests that the onset of gas generation within
the near surface coals may occur due to biogenic controls during the coal-forming processes, as a result of deeper
burial in Pliocene time prior to the subsequent basin inversion commencing in the Plio-Pleistocene.
Keywords: Coalbed Methane, Subbituminous, South Sumatra Basin

INTRODUCTION
Coalbed methane (CBM) has recently become an
important unconventional gas resource, especially in
the USA as it contributes up to 7% of total natural gas
production for the state [1]. This phenomenon to someextent has led initiation of extensive CBM explorationin several other countries, including Indonesia, China,
India, and South Africa. The results of exploratory
activities for the Indonesian region have been reported
for examples by [2]˗[9]. Indonesia has been recognized
to have at least eleven onshore coal basins with aconsiderable amount of CBM resources. Studies on
deep coal seams (>300 m) suggested that the country
has the gas-in-place potential of about 213 tcf [10],[11], approximately 337 tcf [12], and around 453 tcf[13], [14]. These published gas estimates indicate thatIndonesia’s CBM might have been assessed by lesscomprehensive analysis. This is in part due to the lackof a data set available for the evaluation, particularly
as a result of difficulties in getting access to a packageof information on the sub-surface geology, as well assome experimental yields necessitated for the gas
measurements remain strictly confidential.

Amongst the Indonesian onshore basins, the Southand Central Sumatra basins in Sumatra and the Barito
and Kutei basins in Kalimantan are presumably tohave the vast amount of CBM resources. This seems
likely as the most economically significant coaldeposits occur in those areas. More importantly, thedeep coal seams in the islands are apparently to be thekey reservoir system that currently becomes the main
targets for CBM exploration. Based on volumetriccalculation, the South and Central Sumatra basins areinferred to have CBM prospectivity of approximately
183 tcf and 145 tcf respectively [13]. Besides, theseauthors reported that the Barito coal seams holdnatural gas of about 120 tcf, and the Kutei basin
comprises gas potential of around 51 tcf. Their studies
suggested further that the South Sumatra region is themost prospective coalfield for coal seam gas
exploration in Indonesia. This scenario is consistent
with that proposed by several workers [2], [15], [16].
The present study was aimed at evaluating the
CBM content of low rank coals in Air Laya mining
area, administratively included in the Muara Enim

26

SEE-Osaka, Japan, Nov. 21-23, 2016

Regency that is one of the coal producing areas inSouth Sumatra Province. This work has employed log
observation from seven shallow wells and core

analysis for the coal beds of the sequence. The localityof each well is shown in Fig.1.

Fig. 1 Topographic map showing the locality of wells studied in the Air Laya mining region of South Sumatra.

Tectonically, the region is situated within the
Paleogene South Sumatra basin. The basin iscommonly referred to as a graben-like depocenter
located in a back-arc setting. The initial developmentof this basin took place in the Eocene [17], coincident
with the inception of tensional regime at the SW
margin of Sundaland in the Early Tertiary. The historyof sedimentation is generally attributed to two
different major events with respect to sea levelchanges, transgression through Late Oligocene-Early
Miocene time and regression during Middle MiocenePliocene time. The close of transgressive regime took
place in the Middle Miocene, followed by regression
in relation to the commencement of regional
compressive strain fields in the region. The basin wasunder the influence of regression up to the early Late
Pliocene. The cessation of a regressive phase occurredin conjunction with the onset of regional uplift in
response to the Plio-Pleistocene orogeny. The Late
Neogene event is considered as the latest tectonic
episode responsible for basin inversion, leading to theformation of the present geologic features throughout
the region.

The Neogene coal bearing sequence in the basin is
the Mio-Pliocene Muara Enim Formation. The thickcoal seams are present in this unit. The succession
consists mainly of paralic mudstones and sandstones
intercalated with siltstones and coals, developed
during widespread sea level lowstands in the Late
Tertiary. Previous studies suggested that the coaldeposits are fluvio-deltaic in origin [18], [19]. The areaof an interest of the present study is the coal seams of
the Mio-Pliocene rock succession (Fig. 2).
METHODSThis study evaluates the CBM content of low rankcoals exposed at shallow depths, using log profiles andcore samples derived from seven wells. The wells
were drilled and penetrated the coal bearing formationin the Air Laya mining region of South Sumatra. The
thickness and depth of coal seams are interpreted
primarily on the basis of log data. The lateralcontinuation and the variety of coal thickness are
determined by correlating all logs observed. Analysis
of core samples is undertaken to gain the principal

27

SEE-Osaka, Japan, Nov. 21-23, 2016

parameters accounted for the gas volume
measurements, thus the amount of gas-in-place within
the seams. The yielded coal parameters, including
maceral content, organic matter, moisture content,
fixed carbon, volatile matter and relative density, areutilized for determining the rank of coals.
The gas volume is calculated by following theprocedure proposed by [20], but with some necessary
modification in order to be more appropriate
geologically for the area studied, as carried out by[21]. The modified parameters in calculation are thegeothermal gradient value and the approximate surface
temperature of the region. The volumetric formulaused in the appraisal of gas content generally adopts
the geothermal gradient of 1.8ᵒC/100 m and the surface
temperature of 11ᵒC. However, the present assessment
has employed the temperature gradient of 4.97ᵒC/100
m and the ambient surface temperature of 22ᵒC. In thispaper, the sum of gas-in-place within the coal seams
has been assessed by adopting the equation of [22].

LAF: Lahat Formation; TAF: Talang Akar Formation;
BRF: Baturaja Formation

Fig. 2 Generalized stratigraphy of the Paleogene South Sumatra basin.
Also shown is the division of coal seams within the Muara Enim Formation.
The coal beds studied in the present work are part of the M2 seam group.

28

SEE-Osaka, Japan, Nov. 21-23, 2016
A BRIEF OVERVIEW OF GEOLOGYThe South Sumatra basin has long been recognized
as one of oil as well as coal producing areas inIndonesia. The history of the basin began in Early
Tertiary, following the initiation of tensional forces inthe southwestern margin of Sundaland in Eocene or~40 Ma [17]. The initial tension allowed the formationof graben-like structures and fault blocks in the preTertiary crystalline rocks underlying the basin. Hence,the pre-Tertiary sequence was fragmented by faults,
forming blocky and rough basement topography.
In a regional context, this tectonic stress field isgenerally considered to have been responsible for thedevelopment of back-arc basins extending along theeastern side of Sumatra [17], [23], [24]. The island
forms the western section of the amalgamatedcontinental blocks of Sundaland. Evolution of thiscomposite landmass from Late Paleozoic to Late
Mesozoic time has been overviewed recently by [25],and it may be beyond the main purpose of the present
paper to discuss the development of these continental
fragments.
As a tensional event proceeded, the region rifted,
the depocenter deepened and widened in thesouthwestern and central section of the basin, and sea
level highstands commenced in the Oligocene [26].
During the rifting period, widespread sedimentation ofclastic materials took place from terrestrial to shallow
marine environments. The deposition that formed thebasal Lahat sequence occurred in the Late EoceneEarly Oligocene. The clastic sediments were sourced
principally from the surrounding basement highs, andaccumulated in terrestrial environment.
As a rifting event continued and subsidence of thebasin accelerated in the Late Oligocene-Early
Miocene, the depositional environment shifted frominitially smaller and separated to deeper and broader
lakes [27]. This regime was followed by a sea levelrise, which gradually encroached into basinal area. At
this time, sedimentation resulted in the Talang Akar
sequence, which is composed mainly of sandstones,
siltstones, shales, and few coal seams [23].
Subsequent deposition took place throughout
Early-Middle Miocene time as transgression
proceeded. This period was the time of extensive sea
level highstands in the basinal area. Sedimentation
resulted in the predominantly calcareous rocks
constituting the Baturaja Formation, and the mainly
shales and claystones of the Gumai Formation.
In the late Middle Miocene, the regressive cycle
commenced as transgression ended, and sedimentary
environments gradually shifted from deeper marine toshallow marine, to transitional or deltaic condition,and eventually to terrestrial sites [23]. This cycle

resulted in consecutively the Air Benakat succession,
the coal bearing Muara Enim sequence, and the Kasairock unit. Sedimentation during regression ceased in
Plio-Pleistocene time, marked by the deposition of
tuffaceous and pumiceous materials sourced from the
Quaternary volcanoes. Owing to the Late Neogene
orogeny, the basin underwent inversion and uplift, as
well as extensive denudation to form the present
geologic configuration in the entire region.
RESULTS AND DISCUSSION
Log data used in this study were measured fromseven wells with reference number W1-W7 (Fig.1).
The W1 and W3 wells were drilled to a total depth(TD) of less than 200 m, and the rest W2, W4, W5,
W6, and W7 wells penetrated the TDs ranging from240-278 m. All wells encountered the coal bearing
Muara Enim Formation. The sequence is one of coalbearing successions in the Paleogene South Sumatra
basin, containing a large amount of coal deposit, as
well as its associated natural gases. The coal seams
constitute approximately 10-20% of the whole unit
[19].
The correlation of seams on logs implies thatlateral continuity of strata is extensive. This
interpretation is concordant with that proposed by [13]and [19]. Results of log observation show that there
appear at least four major coal beds, known as A1, A2,
B, and C seams (Fig. 3). With respect to the regional
stratigraphy, layers A1 and A2 are part of Mangus
seams, whereas beds B and C are included within
Suban and Petai units respectively. However, unlessstated otherwise the division names (Mangus, Suban,
and Petai) are not used for the simplicity, instead thesorter terms A1, A2, B, and C are utilized throughout
this paper.
In the study area, the coal seams of the Muara
Enim succession occur at stratigraphic levels between
166-264 m (Table 1). Individual seam determinedfrom each log varies in thickness. Coal bed A1 is 6.99.5 m thick with mean 8.2 m. The apparent thicknessof layers A2, B, and C ranges between 7.0-10.3 m,
11.5-16.3 m, and 1.3-9.9 m and average 8.6 m, 13.7 m,
and 6.7 m, respectively. These data indicate that the B
bed is the thickest coal seam, and the C bed is thinnest
coal stratum. Maceral analysis reveals that the Air
Laya coals are composed predominantly of vitrinite or
huminite (73-74 vol. %), but individual seam varies inhuminite content, ranging from 56-86 vol. %.
Components such as liptinite (3-6 vol. %), inertinite(11-16 vol. %), and mineral matters (6-11 vol. %) areapparently less abundant.

29

SEE-Osaka, Japan, Nov. 21-23, 2016

W1

W2

W4

W3

W5

Cs
Cs

A1

Cs

IC
CsSt

St
A1

Ss

A1

A2

A2

A2

Cs

Cs

B
Cs

B

Ss

Ss
Cs
Ss
Cs

Ss
C
Ss

St
IC
StCs

IC
SsCs
St
C

A1

A1

Ss

Ss

A2

A2

Cs

B

C
Cs
Keys:
A1/A2/B/C
Cs
St
Ss
IC St-Cs

A1

IC
CsSt

B

Cs

Cs
Ss

Ss
A2

Ss

IC
StCs

Cs

Cs
A1

W7

W6

A2

St

Cs

Cs

Ss

B
IC
CsSt

B

IC
StCs

Cs
Ss

Cs
C

Cs

B

Ss

Ss

IC
SsSt

Cs

C
: Coal seam
: Claystone: Siltstone: Sandstone: Intercalated with Siltstone and Claystone

Cs

C

Cs
C
Cs

Fig. 3 Correlation of the well logs studied showing a variety of coal thicknesses.

30

Cs

SEE-Osaka, Japan, Nov. 21-23, 2016

Table 1 Analytical results of CBM evaluation in Air Laya mining area

Observation

Parameters(unit)

Coal Seams
A1
yieldsA2
meanyieldsBmeanyieldsC
mean

yieldsRemarksmean

Depth
79.4-166
100.3-183
126.5-207.5
164.4-263.5(m)
Log
Log analysis
Thickness
11.56.9-9.5
8.2
7-10.38.6
13.7 1.3-9.9
6.7
(m)
16.3
Vitrinite
65.864.665.456-86
74.7
73.8
73.9
73.8
(vol. %)
80.6
78.8
81.4
Liptinite
2.21.2-6.6
3.6
0.2-7.6
3.1
5.6 3.4-9.2
5.9(vol. %)
12.2
Inertinite
9.014.06.2Petrographic
4.2-14.8
11.1
15.5
14.7
11.5
(vol. %)
19.2
16.4
15.8
analysis
Minerals
5.43-30
10.6
2.8-10
7.6
3-9
5.8
10.0
(vol. %)
15.0
VR
0.380.330.400.400.49
0.49
0.52
0.59
(%)
0.77
0.64
0.83
0.58
Ash
4.023.506.394.3110.77
7.28
6.11
6.78
(wt. %)
30.43
9.99
7.94
12.13
Core
Moisture
3.902.753.852.367.24
6.07
6.47
4.97
(wt. %)
12.59
10.58
9.18
7.45
FC
32.5542.2143.4243.7443.14
47.69
46.80
47.81
(wt. %)
48.95
59.35
53.23
54.32
VM
33.0832.6240.3531.19Proximate
38.84
38.94
40.47
40.44
(wt. %)
42.41
42.07
41.57
43.85
analysisTS0.620.200.230.600.76
0.42
0.41
1.28
(wt. %)
0.91
1.10
1.06
2.17
CV
4,9035,8236,3516,5436,303
6,697
6,805
6,949
(cal/g)
7,150
7,524
7,319
7,350
RD
1.231.231.221.221.31
1.27
1.26
1.26
(g/cm3)
1.51
1.31
1.28
1.29
*)
Gas content
Average
3.3-4.8
4.1
4.2-5.6
4.9
4.4-5.4
4.9 4.9-5.7
5.3(m3/t)
4.1-5.3
Gas-in-place**)
554
623
1,049
793
Total 3,019(x106 m3)
VR: vitrinite reflectance; FC: fixed carbon; VM: volatile matter; TS: total sulphur; CV: calorific value (gross value); RD: relative
density; *) estimated using the modified formula of [20]; **) calculated using the method of [22].

In addition, the results of petrographic analysis in
this study are commonly similar to those reported by[28]. Analysis of core sample A1 yielded VR values
ranging from 0.38-0.77%, with mean 0.49%. The VR
measurements of coals A2, B, and C resulted in 0.330.64% with mean 0.49%, 0.40-0.83% with mean
0.52%, and 0.40-0.58% with mean 0.59% respectively.
These data suggest that the analyzed coals may be of
subbituminous and high volatile bituminous. In
addition, the VR yields show that there is an increasein vitrinite reflectance with depth. The values seemslightly higher than those proposed by [19], possibly
due to the more locally thermal influence on the coalseams analyzed. The increase in degree of maturation
with depth for the South Sumatran coals has also beenreported elsewhere [1], [13], [28], [29]. Importantly,
the yielded VR may imply that the onset of gas
generation within these low rank coals might haveoccurred due to biogenic processes, as the coal bearing
sequence was subjected to the zone of higher
paleogeothermal gradient through deeper burial in
Pliocene time. The essay on biogenic origin has also
been suggested by [19].
The proximate parameters, including ash content,
inherent moisture, fixed carbon (FC), volatile matter(VM), total sulphur (TS), calorific value (CV), andrelative density (RD), have been analyzed on air driedbasis (adb) (Table 1). In order to better understand thecharacteristics of coals within the region, each of theseparameters is compared to the result of proximate
analysis reported by [28]. Most of the coal elements
are in general akin to those suggested by these authors.
The ash content of the A1 samples ranges from 4.030.4 wt. % with mean 10.8 wt. %, whereas the A2, B,
and C seams have ash composition in that order of 3.510 wt. % with mean 7.3 wt. %, 6.4-7.9 wt. % with

31

SEE-Osaka, Japan, Nov. 21-23, 2016

mean 6.1 wt. %, and 4.3-12.1 wt. % with mean 6.8 wt.
%. Inherent moisture varies among the coal beds, butthey are all characterized by high values. To comparewith the analytical results published by [28], the Air
Laya mining coals are relatively lower in moisture
content. Individual coal bed contains fixed carbons
that range from 32.6-49.0 wt. % with mean 43.1 wt. %for seam A1, 42.2-59.4 wt. % with mean 47.7 wt. %for seam A2, 43.4-53.2 wt. % with mean 46.8 wt. %for seam B, and 43.7-54.3 wt. % with mean 47.8 wt. %for seam C. The present value is apparently higher
than that shown by [28], but remains on the range ofvalues typical for the low rank coals. The VM content
obtained from analysis of sample A1 ranges from33.1-42.4 wt. % with an average of 38.8 wt. %. The
other coal specimens result in various VM contents,
ranging from 32.6-42.1 wt. % with an average of 38.9
wt. % (seam A2), 40.4-41.6 wt. % with an average of
40.5 wt. % (seam B), and 31.2-43.9 wt. % with anaverage of 40.4 wt. % (seam C).
Analysis of the sulphur content yields the meanvalue ranging from 0.4-1.3 wt %. Each coal seamvaries in the total sulphur matter. The A1 coal resultsin 0.6-0.9 wt. % and average 0.8 wt. %, the A2 and B
bed possess exactly the same value of 0.2-1.1 wt. %and average 0.4 wt. %, and the C layer has 0.6-2.2 wt.
% and average 1.3 wt. %. The calorific data generated
from of the analyzed cores indicate that the A1 coal is
subbituminous with calories varying between 4,9037,150 cal/g and average 6,303 cal/g, whereas the A2,
B, and C coals are high volatile bituminous withcalorific values ranging from 5,823-7,524 cal/g andaverage 6,697 cal/g, 6,351-7,319 cal/g and average
6,805 cal/g, and 6,543-7,350 cal/g and average 6,949
cal/g respectively. The density of these subbituminoushigh volatile bituminous coals is relatively constantwith mean of 1.3 g/cm3.
The average gas volume for the Air Laya mining
coals is approximately 4.1-5.3 m3/t, but each seam has
slightly different content. The estimate for the A1 bed
ranges from 3.3-4.8 m3/t with mean 4.1 m3/t, whilst theA2, B, and C coals comprise natural gas in the rangeof 4.2-5.6 m3/t with mean 4.9 m3/t, 4.4-5.4 m3/t withmean 4.9 m3/t, and 4.9-5.7 m3/t with mean 5.3 m3/t,
respectively. The resulted gas estimates suggest that
there is an increase in gas content with depth ortemperature gradient (Fig. 4). This implies that thehigher coal rank, principally due to the deeper burial,
may contain the higher gas volume. Evaluation of gasin-place in the present study indicates that individualseam possesses distinctive values, but the total gas inall seams is about 3,019x106 m3.

32

Fig. 4 Diagram displaying the depth vs gas content
relation. This graph suggests that the gas content rises
as the depth increases.
CONCLUSIONSIn order to conclude the above discussion, some
remarks are drawn as the following:
1. The coal seams in Air Laya mining area are
subbituminous and high volatile bituminous withvarious apparent thickness and extensive lateral
distribution throughout the region.
2. The average gas content is about 4.1-5.3 m3/t, andthere appears an increase in gas content with depth.
3. The total of gas-in-place is approximately
3,019x106 m3.
ACKNOWLEDGEMENT
The authors would like to take this opportunity to
acknowledge PTBA for providing the log data and thecore analysis. This paper is published with thepermission of the management of PTBA.
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“Indonesia’s 337 tcf CBM resource a low costalternative to gas”, LNG Oil and Gas Journal,
2001, pp. 40-45.
[13] Stevens, S.H. and Hadiyanto. “Indonesia: coalbed
methane indicators and basin evaluation”, SPEInternational, SPE 88630, 2004.
[14] Godfrey, P., Ee, T., and Hewitt, T. “Coal bed
methane development in Indonesia: golden
opportunityor
impossible
dream?”,
ProceedingsofIndonesianPetroleum
Association, IPA10-BC-180, 2010.
[15] Saghafi, A. and Hadiyanto. “Methane storage
properties of Indonesian Tertiary coals”,

Proceedings of the Southeast Asian Coal
Geology Conference, 2000, pp. 121-124.
[16] Kurnely, K., Tamtomo, B., Aprilian, S., andDoria, I. “A preliminary study of developmentof coalbed (CBM) in South Sumatra”, Societyof Petroleum Engineers, SPE 80518, 2003.
[17] Daly, M.C., Cooper, M.A., Wilson, I., Smith,D.G., and Hooper, B.G.D. “Cenozoic plate
tectonics and basin evolution in Indonesia”,
Marine and Petroleum Geology, 1991, v. 8, pp.
2-21.
[18] Boyd, J.D. and Peacock, S.G. “Sedimentologicalanalysis of a Miocene deltaic system: Air
Benakat and Muara Enim Formations, Central
Marangin Block, South Sumatra”, Proceedingsof Indonesian Petroleum Association, 1986, pp.
245-258.
[19] Mazumder, S., Sosrowidjojo, I.B., and Ficarra, A.
“The Late Miocene coalbed methane system in
the South Sumatra basin of Indonesia”, SPEInternational, SPE 133488, 2010, pp. 1-29.
[20] Kim, A.G. “Estimating methane content ofbituminous coalbeds from adsorption data”, US
Dept. of Interior, Bureau of Mines, RI8245,
1977, pp. 1-22.
[21] Oeke, S., Yunitha, Sukiyah, E., and Sunardi, E.
“Prediksi kandungan gas metana batubara
berdasarkan formula Kim dengan study kasus
di Indonesia bagian barat”, Bionatura Jurnal,
2013, v. 15, pp. 139-144.
[22] Mavor, M.J. and Nelson, C.R. “Coalbed reservoir
gas-in-place analysis”, Gas Research Institute,
1997.
[23] de Coster, G.L. “The geology of the Central andSouth Sumatra basins”, Proceedings ofIndonesian Petroleum Association, 1974, pp.
77-110.
[24] Pulunggono, A. “Tertiary structural features
related to extensional and compressive
tectonics in the Palembang basin, South
Sumatra”, Proceedings of Indonesian Petroleum
Association, 1986, pp. 187-208.
[25] Hall, R. “The origin of Sundaland”, Proceedingsof Sundaland Resources, MGEI Annual
Convention, 2014, pp. 1-25.
[26] Adiwidjaja, P. and de Coster, G.L. “Pre-Tertiary
paleogeography and related sedimentation inSouth Sumatra”, Proceedings of IndonesianPetroleum Association, 1973, pp. 89-103.
[27] Sudarmono, Suherman, T., and Eza, B.
“Paleogene basin development in Sundalandand its role to the petroleum system in thewestern Indonesia”, Proceedings of thePetroleum System of SE Asia and Australasia

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Conference, Indonesian Petroleum Association,
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[28] Sanusi, S., Kuswandi, A., Jufri, R.M., andAnggarini, K.S. “Evaluation of coalbed
methane potential of Muara Enim Formation in
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Annual Convention, 2014, pp. 467-483.
[29] Amijaya, H. and Littke, R. “Properties ofthermally metamorphosed coal from Tanjung
Enim area, South Sumatra basin, Indonesia
with special reference to the coalification pathof maceral”, International Journal of Coal
Geology, 2006, v. 66, pp. 271-295.

34

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

THE EFFECTS OF WATERING FREQUENCIES AND SLOWRELEASED-FERTILIZER LEVELS ON THE GROWTH OF
PLATYCERIUM CORONARIUM IN THE YOUNG SPOROPHYTE
PHASE
Sawat Pimsuwan1, Yaowarat Wongsrisakulkaew1,
Nadda Jumradjit1, Patthamawadee Thumsuk1 and Supawadee Mulmanee1
1
Faculty of Agricultural Technology, Rajamangala University of Technology Thanyaburi, Thailand
ABSTRACTThis study was conducted at the nursery of the Crop Production Department, Faculty of Agricultural
Technology, Rajamangala University of Technology, from February to August 2015. The effects of two factors
on the growth of P. coronarium ferns in the young sporophyte phase were assessed using a factorial in CRD
experiment. Factor A consisted of 3 watering frequencies: watered every day, every two days and every threedays. Factor B consisted of 4 levels of a commercial slow-released-fertilizer (SRF: 13-13-13, 3 months): 0 g, 1 g,
2 g and 3 g per pot. It was found that the ferns which received water once every three days possessed the highest
canopy of 29.47 cm, a sterile leaf width of 14.054 cm, a fertile leaf width of 22.58 cm and a fertile leaf length of
22.20 cm. On the other hand, the fertilizer level of 2 g gave the highest canopy of 27.31cm and a sterile leaf
width of 14.63 cm, while the fertilizer level of 3 g gave the biggest fertile leaf width of 21.54 cm and a fertile
leaf length of 19.62 cm. However, no interaction between the two factors was demonstrated.
Keywords: watering frequency, fertilizers for staghorn fern, sporophyte, platycerium, slow-released-fertilizer

This fern is a unique adaptation that is very
attractive as an epiphyte fern. The stem is a rhizome.
There are two types of leaves (fronds), the sterile
leaf (shield frond) and the fertile leaf. The sterileleaves are like a basket which gathers organic matter.
They turn brown and form layers between which theroots grow. They can then store water like a spongeand protect the rhizome [15]. The fertile leaf form
spore patches. In nature, staghorn ferns grow wellas they naturally enrich themselves allowing for
frequent propagation.
Within the fern genus platycerium, P.
coronarium has been very popular among
ornamental plant growers [12]. It has been referred
to as the queen of staghorn ferns. The leaves aredimorphous with unequal base leaves. Fertile leaves
are asymmetrical with consecutively forked
branches [1]. P. coronarium is a distinctive andlarge fern that frequently grows in the crotches of
the tallest trees. In the primitive forests, fertile
leaves can reach 200 cm long with suspended
dichotomous lobes [2]. There is a relationshipbetween P. coronarium and P. ridleyi as indicatedby the location of their spores which create an
appendage resembling a spoon [7].
The process of fern spore germination depends
on the time of storage and the conditions of storage,
including temperature, humidity and light [2][10].
When the spores are cultured in the nursery, the

INTRODUCTION
Ferns are plants that do not have flowers or fruits.
They propagate by means of spores. A variety offern species classifications based on natural habitat
is as follows: aquatic ferns named Water Clover(Marsilea spp) and Azolla (Azolla pinnata R.Br);
terrestrial ferns named Tree Fern (Cyatheales),Golden Chicken Fern (Cibotium barometz); andepiphyte ferns named Bird's-nest Fern (Asplenium
nidus) and Staghorn Fern (Platycerium spp) [4].
Ferns have a great many uses for humans, forexample: wicker from Climbing Ferns (Lygodium
polystachyum Wall.ex Moore); food from Vegetable
Ferns (Diplazium esculentum) [13],[16]; andornamental plants from Oak-leaf Fern (Drynaria
quercifolia) and Staghorn Fern (Platycerium spp).
Many ferns are beautiful and are used as
ornamental plants. Ferns’ delicate beauty make them
ideal for gardens of ornamental plants. Theiraesthetics are determined by their foliage color andform [17]. The genus Platycerium is one of the mostbeautiful ferns among the few epiphytic fern genera.
This genus is divided into 18 species bybiogeography. There are three main groups
consisting of the Java-Australian line, MalayanAsiatic line and Afro-American line [5],[7].
The popularity of the staghorn fern leaves overother species makes this a good ornamental plant.
35

SEE-Osaka, Japan, Nov. 21-23, 2016

important factors affecting propagation are thestrength of the wind, humidity, light and temperature.
The process of germination transforms the spores
into the young sporophyte phase. The spore cultures
are kept in plastic containers which maintains
constant moisture [11]. The ferns are then able toadapt to these conditions even though they are notnatural. When the young sporophytes are ready to
be introduced into the external environment, they
will be strong enough to adapt.
The important factors that affect the growth of
the staghorn fern are moisture and nutrients. The
sterile leaves of the staghorn fern retain moisture.
There is no need for frequent watering. Normallystaghorn ferns get nutrients from natural organic
matter. When the ferns grow in the nursery, thenecessary nutrients can be added with slow releasefertilizers which gradually release nutrients. Thismethod does not pollute the environment and it
releases the nutrients in a way that fits plant growth[8]. This experiment wanted to consider how slow
release fertilizers might be beneficial to growers
working with staghorn ferns in the nursery [9].
The purpose of this research is to study
watering frequencies and levels of slow-releasedfertilizer on the growth of P. coronarium in theyoung sporophyte phase.

commercial slow-released-fertilizer (SRF:13-13-13 ,3 months): 0 g, 1 g, 2 g and 3 g per pot with 3
replications. The data was statistically analyzed by
ANOVA (Analysis of Variance) and comparisonswere made with Duncan at a significance level of 05.
RESULTSThis study found that for Factor A, thefrequency of watering every three days resulted in
the average following results: a canopy height of
29.47 cm; a sterile leaf width of 14.05 cm; a fertile
leaf width of 22.58 cm; and a fertile leaf length of
22.20 cm. There was no statistical differencecompared to other watering frequencies. For Factor
B, the commercial slow-released-fertilizer weight of
2 grams per pot resulted in the average following
results: a canopy height of 27.31 cm; and a sterile
leaf width of 14.63 cm. The rate of 3 grams per pot
gave the biggest fertile leaf width of 21.54 cm and afertile leaf length of 19.62 cm. There was no
statistical difference compared to the other levels(Table 1 and Fig 1-3).
Table 1 The results of two factors on the growth ofstaghorn ferns in the young sporophyte
phase at 12 weeks

MATERIALS AND METHODS

Growth of P. coronarium ( X / cm)

Materials

TreatmentThis research began with the cultivation of P.
coronarium spores. Plants were transplanted into
plastic containers until they were one year old. The
factors that were controlled included moisture,humidity, light and temperature. In the nursery,
plants with a similar diameter size of about 27 cm onaverage were selected. They were then put into 8 x
8 inch plastic pots with plant material. The
preparation of plant material involved chopping
coconuts and soaking them in water for 1 hour. Thisabsorption of water in the coconut reduces thecoconut acidity. These young sporophyte phase ferns
were then arranged on the plant bench by Factorial
experimental design. The slow release fertilizers
were prepared at the different levels of 1 g, 2 g and 3
g with 500 ml of water.

Factor A
Every dayEvery 2 days
Every 3 days
CV%
F-testFactor B
SRF 0 g/pot
SRF 1 g/pot
SRF 2 g/pot
SRF 3 g/pot
CV%
F-testExperimental design and data analysis
Factorial experiment in CRD was used in thisexperiment. Factor A consisted of 3 watering
frequencies: watered every day, every two days andevery three days. Factor B consisted of 4 levels of a36

CanopyHeightSterileLeaf
WidthFertileLeaf
WidthFertileLeaf
Length

18.98
23.45
29.47
27.23
ns

10.58
9.87
14.05
43.75
ns

13.01
18.17
22.58
36.60
ns

14.38
16.59
22.20
28.17
ns

17.06
25.19
27.31
26.31
27.23
ns

7.52
11.81
14.63
11.35
43.75
ns

11.93
17.38
20.83
21.54
36.60
ns

14.08
17.81
19.40
19.62
28.17
ns

SEE-Osaka, Japan, Nov. 21-23, 2016

Fig. 1 Watered every day with SRF: 0 g, 1 g, 2 g and
3 g/pot

Fig. 6 Sterile leaf width of P. coronarium with
3 watering frequencies

Fig. 2 Watered every 2 days with SRF: 0 g, 1 g, 2 g
and 3 g/pot

Fig. 3 Watered every 3 days with SRF: 0 g, 1 g,
2 g and 3 g/pot

Fig. 7 Sterile leaf width of P. coronarium with
4 levels of SRF

Fig. 4 Canopy width of P. coronarium with
3 watering frequencies
Fig. 8 Fertile leaf width of P. coronarium with
3 watering frequencies

Fig. 5 Canopy width of P. coronarium with 4 levelsof SRF
Fig. 9 Fertile leaf width of P. coronarium with
4 levels of SRF

37

SEE-Osaka, Japan, Nov. 21-23, 2016

epiphyte ferns can grow and have the ability to
thrive [14]. As an epiphytic fern, staghorn ferns cangrow in tree crotches. The shield fronds gather dry
leaves of plants and other dust from which the fern
can absorb nutrients as a result of fermentation.
Another way is to use bio-fertilizers instead ofchemical fertilizers, for example, compost fromleaves and manure for the staghorn ferns.
ACKNOWLEDGEMENTS
This research was partially funded by The
Faculty of Agricultural Technology, Rajamangala
University of Technology Thanyaburi, Thailand.
And this text was edited by Dr. Satain Pokul and Mr.
Bruce Groening.

Fig. 10 Fertile leaf length of P. coronarium with
3 watering frequencies

REFERENCES[1] Aspiras R.A. Sporophyte and gametophyte
development of Platycerium coronarium(Koenig) Desv. and P. grande (Fee) C. Presl.
(Polypodiaceae) through in vitro propagation.
Saudi J Biol Sci. 2010 Jan;17(1): 13–22[2] Bonomo M.C., Martínez O.G, Tanco M.E.,
Cardozo R. and Avilés Z. Spores germinationand gametophytes of Alsophila odonelliana(Cyatheaceae) in different sterile
media
ΦYTON ISSN 0031 9457, (2013) 82: 119-126[3] Boonkerd T., Chantanaorrapint S. andKhwaiphan W. Pteridophyte Diversity in the
Tropical Lowland Rainforest of Khao Nan
National Park, Nakhon Si Thammarat Province,
Thailand. The Natural History Journal of
Chulalongkorn University 8(2) 2008: 83-97[4] Dubuisson J., Schneider H. and Hennequin S.
Epiphytism in ferns: diversity and history.
Science Direct. Vol. 332, Issues 2–3, 2009, P.
120–128[5] Hoshizaki B.J.. Morphology and Phylogeny of
Platcerium Species. Biotropica Vol. 4, No. 2,(Aug., 1972), 93-117 Published by: Association
for Tropical Biology and Conservation Stable
URL: http://www.jstor.org/stable/2989731 Page
Count: 25[6] Jagadeeswaran R., Murugappan
V. andGovindaswamy M., Effect of Slow Release
NPK Fertilizer Sources on the Nutrient use
Efficiency in Turmeric (Curcuma longa L.)
World Journal of Agricultural Sciences 1 (1)2005: 65-69[7] Kreier H.-P. and Schneider H., Phylogeny andbiogeography of the staghorn fern genus
platycerium (polypodiaceae) American Journalof Botany 93(2) 2006: 217–225[8] Ni B., Liu M., Lu S., Xie L, and Wang Y.
Environmentally
Friendly
Slow-Release

Fig. 11 Fertile leaf length of P. coronarium with
4 levels of SRF
DISCUSSION
This research showed a watering frequency of
every three days produced the best fern growth (Fig4, 6, 8 and 10). Roy Vail [15] said that moststaghorn ferns only need enough water to be moist.
If the ferns are watered until wet, they may die.
Some species need far less water.
The P.
coronarium fern can store water easily in the shieldfrond. However this may create a problem with rot
so in the rainy season, watering should be avoided.
In the rainy and dry seasons, to minimize problems
with the young sporophyte phase of the fern, it must
be maintained carefully in a plastic roof house andbe moist in the daytime in the dry and hot seasons.
The slow release fertilizers release nutrients
more slowly than general release fertilizers, but therate and duration of the release of nutrients cannot
be controlled. The release rate depends on external
factors such as soil moisture, the soil reaction, thesize of a grain of fertilizer and watering frequency.
This research showed the slow release fertilizer levelof 2 g produced the best fern growth (Fig 5, 7, 9 and
11). The slow release fertilizer reduces the amountof fertilizer used because the release process reduces
nitrogen losses due to volatilization and leaching [6].
Slow release fertilizers are not easily found innormal markets and are expensive. In nature, these38

SEE-Osaka, Japan, Nov. 21-23, 2016

Nitrogen Fertilizer. J. Agric. Food Chem., 59(18) 2011, pp 10169–10175[9] Pauly D.J., Nyborg M., and Malhi S.S.
Controlled-releaseP
fertilizer
concept
evaluation using growth and P uptake of barleyfrom three soils in greenhouse. Canadian
Journal of Soil Science 82, 2002: 201-210[10] Pérez-García B, Mendoza-Ruiz A., SánchezCoronado M.E. and Orozco-Segovia A., Effectof light and temperature on germination of
spores of four tropical fern species. Acta
Oecologica Volume 32, Issue 2, 2007: 172–179[11] Pimsuwan S, Hongthong P, Phattraporn,
Krangpanich P. and Suwanpinta C. The Effectof Fertilizer on Growth of Staghorn Fern at
Seedling Stage. International Journal of
GEOMATE, Dec., 2016, Vol. 11, Issue 28, pp.
2879-2882 Special Issue on Science,
Engineering and Environment, ISSN: 21862990, Japan[12] Taha R.M., Haron N.W., and Wafa S.N.
Morphological and Tissue Culture Studies of
Platycerium coronarium, a Rare Ornamental
Fern Species from Malaysia. American Fern
Journal, 101(4) 2011:241-251[13] Tongco J.V.V., Villaber R.A.P., Aguda R.M.
and Razal R.A. Nutritional and phytochemical
screening, and total phenolic and flavonoid
content of Diplazium esculentum (Retz.) Sw.
from Philippines. Journal of Chemical andPharmaceutical Research, 6(8) 2014:238-242[14] Uchida T., Furuno M., Minami T., Yamashita
S., Uchiyama T., Arase T. and Hayasaka D.,
EcologicalSignificanceof
Masonry
Revetments in Plant Biodiversity. Int. J. of
GEOMATE, Japan, 2015, Vol. 9, No. 1 (17),pp. 1353-1359[15] Vail, R. Platycerium Hobbyist’s Handbook.
Desert Biological Publications. 1984.
[16] Yusuf U.K. Ferns of Malaysian Rain Forest a
Journey
throughthe
FernWorld.
Serdang ;Universiti Putra Malaysia Press, 2010.
[17] Zhigila D.A., Sawa F.B.J, Oladele FA. And
Muhammad S. Aesthetic Values andSignificance of Ferns to Landscaping Industries-A Taxonomic Review. Int. J. Curr. Res. Biosci.
Plant Biol. 2(3) 2015: 7-13

39

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

EFFICACY OF STINGLESS BEE LEPIDOTRIGONA TERMINATA
AS INSECT POLLINATOR OF F1 HYBRID CUCUMBER
Anchalee Sawatthum1 Piyaporn Jitake1 Orapin Rangyai1
Rattana Prangprayong1 Piyaporn Pimboon1 and Kanokporn Suparit1
1
Faculty of Agricultural Technology, Rajamangala University of Technology Thanyaburi, Thailand
E-mail anchalee_s@exchange.rmutt.ac.th, anchsawat@hotmail.com

ABSTRACTThis research was aimed to study the efficacy of stingless bee Lepidotrigona terminata as insect pollinator of
F 1 Hybrid cucumber. The experiments were conducted at experimental farm of the Faculty of Agricultural
Technology, Rajamangala University of Technology, Thanyaburi. The experiment was divided into two parts.
The first part, efficacy study of stingless bee as insect pollinator of F 1 hybrid cucumber was studied.
Experimental design used was Randomized Block Design with four treatments and three replications which wereopened – pollination, handed – pollination, stingless bee – pollination and closed – pollination. The results
revealed that cucumber fruit sets were found only in treatments opened – pollination and handed – pollination,with 9.33 and 12.66 fruits, respectively. While no fruit set was found in another two treatments which wereclosed and stingless bee – pollinations. Second, species diversity and numbers of insect pollinators which had
visited cucumber flowers during 6.00 a.m. – 18.00 p.m. were determined. As a result, four insect species had
visited cucumber flower and the most abundant were European bees (Apis mellifera) that had visited the
cucumber flowers, both male and female, at 09.00 a.m.
Keywords: Stingless bee, Lepidotrigona terminata, Insect pollinator, F 1 hybrid cucumber

durian flowers, Somnook [2] had found thatstingless bees Lepidotrigona terminata had a rate ofdurian flower visits of 80 percent in comparison to
all the insects that visited durian flowers. However,
the experiment of Wanna [3] had found thatstingless bees had only collected nectar and pollen
but were not involved in pollination. For theexperiment of Janwit et.al. [4], the efficacy of thestingless bee Trigona pegdeni to pollinate
cucumbers had been studied and was found that byusing stingless bee to pollinate cucumber, the fruit
set rate was lower than opened pollination. It might
be due to the fact that Trigona pegdeni stingless bees
are smaller than Lepidotrigina terminata stinglessbees. This study investigated the potential of
Lepidotrigina terminata stingless bees as pollinatorsof F1 hybrid cucumbers.

INTRODUCTION
Cucumber (Cucumis sativus L.) is a plant in theorder of Cucurbitales belonging to the Cucurbitaceae
family. It is in the group of dicotyledon with stem inthe form of creeping vine consisting of yellow
flowers. The fruits contain short thorns which will
eventually fall off when the fruit reach maturity.
Cucumbers have crisp texture, high water content,
and can be cultivated all year round. Production ishighest during February and March. Propagation isdone by planting seeds in which to the duration fromplanting until harvest is approximately 40 - 60 days.
Cucumbers can be consumed raw, fried, pickled,
boiled, and steamed as a vegetable or juice.
Cucumbers also have an aesthetic value where they
are commonly used for plate decoration. Cucumber
contains erepsin enzyme that aids digestion ofprotein. The medicinal properties of cucumbers are
aid urination, relief fever, thirst, and diarrhea, andreduce high blood pressure. [1]Pollination of cucumbers, a Monoecious plantcharacteristic of containing male flowers and female
flowers on the same plant, requires carrier insects
such as bees to carry pollen as bee are efficientcucumber pollinators. Bees consist of many species
and one of them is a stingless bee. Many researches
had been conducted using stingless bees’ efficacy topollinate plants. From several studies on thediversity of insect species that can help pollinate

MATERIALS AND METHODSThis research was divided into two parts:
1. The efficacy of stingless bee as insect pollinatorof F 1 hybrid cucumber
The experiment was conducted at the Faculty ofAgricultural Technology, Rajamangala University ofTechnology. The F1 hybrid cucumbers were planted
at the spacing of 50 x 50 cm per plant. The
experiment was designed using Randomized
Complete Block Design (RCBD) with three40

SEE-Osaka, Japan, Nov. 21-23, 2016

replicates and four treatments as follows: 1) opened- pollination (the cucumber flower ready forpollination were marked and released for naturalpollination). 2) Handed - pollination ( male andfemale flowers that were about to bloom weremarked and covered with bags, when the female
flowers bloom in the bag, the male flowers werebrought to pollinate with the female flowers thatbloom then covered with original bags). Closed pollination (female flowers were covered until they
wither to prevent pollination by insects. 4) Stinglessbee - pollination (a cage was built around the
cucumber plants and stingless bees were introduced
into the cage, one hive per cage, for one week andthe cucumber flowers that were ready for pollination
were marked).

average. In handed - pollination, the average lengthand diameter were 6 . 0 9 cm and 2 . 7 2 cm
respectively.
The results showed that the average weight of the
cucumber fruits in opened – pollination treatment
was 50.73 g. and the average weight for handed –pollination was 34.09 g. The results from the opened
and handed – pollinations had shown statisticallysignificant difference that includes the quality offully-developed fruits from both treatments. Underdeveloped fruits from opened - and handed –pollinations were also significant different; however,there was no significant difference in non-uniform
fruits.
Table 1 Fruit set, size, diameter, and weight of theF1 hybrid cucumbers of the different pollination
treatments.

DATA COLLECTION AND ANALYSIS
Fruit set rate was randomized and thecharacteristics of the fruits were observed throughcollection of 15 fruits per replicate and thematuration of the fruit was determined. The fruit
weight, diameter, and uniformity were measured andwere divided into three categories: 1) fullydeveloped fruit, 2) under-developed fruit, and 3)
non-uniform fruit. The data was analyzed using
analysis of variance, Randomized Complete Block
Design (RCBD) and the difference was comparedwith Least Significant Difference (LSD).

Treatment

Fruit set
(fruit)9.33 a1/

Length(cm)
7.21 aDiameter(cm)
3.38 aWeight(g)
50.73 aHanded pollination

12.66 b6.09 b

2.72 b

12.66 bStingless bee-pollination

0c

0c

0c

0c

Closed pollination

0c

0c

0c

0c

Opened pollination

LSD 0.01******
C.V. (%)
4.43
2.74
2.54
1/
Means with different superscript within the samerow differ significantly (P < 0.01)

2. Diversity of insect species that visited F 1 hybrid
cucumber flowers in five days
The number of insects that visited male andfemale cucumber flowers was counted, five flowers
per sex for all three replicates, between 06:00 a.m. –17:00 p.m. for 10 minutes within five days.

**
8.25

Table 2 Quality of F1 hybrid cucumbers from thedifferent pollination treatments

RESULTS AND DISCUSSION

Treatment

Fullydeveloped
fruit (fruit)

Underdeveloped
fruit (fruit)

Nonuniform
fruit (fruit)

Opened pollination

9 a1/

2.33 a3.67 aHanded pollination

6.33 b

5.33 b

3.33 aStingless bee-pollination

0c

0c

0b

Closed pollination

0c

0c

0b

The efficacy of stingless bee as insect pollinator of
F 1 Hybrid cucumber
Table 1 and 2 present the results of the four
treatments (open, closed, manual, and stingless bee pollinations) that were conducted in the first part ofthe study. The results are evaluated using the RCBD
experimental design, comparing the efficacy of thestingless bee - pollination to other treatments. It was
found that the fruit set of the F1 hybrid cucumbers inopened and handed - pollination were significantly
different with the mean fruit set values of 9.33 and12.66 fruits, respectively. The two treatments are
significantly different to the stingless bee and closed- pollination treatments in which both treatments did
not exhibit fruit set.
The size of the fruits in opened - pollination were
7 . 2 1 cm in length and 3 . 3 8 cm in diameter on

LSD 0.01*****
C.V. (%)
7.15
6.57
8.12
1/
Means with different superscript within the samerow differ significantly (P < 0.01)

41SEE-Osaka, Japan, Nov. 21-23, 2016

In the study of stingless bees as pollinator, theresults showed that fruiting only occurred in opened
and handed – pollination treatments which exhibitedhigh significant difference with the stingless bee and closed –pollination treatments. This shows thatstingless bees have lower potential as pollinators forF1 hybrid cucumber than European bees. This result
is consistent with the observation by Wanta [3] thatin durian, stingless bees were limited to nectar andmale pollen collection from durian flowers but did
not assist in pollination. European bees are better
pollinators than stingless bees [5] because European
bees are larger than stingless bees and can collectlarge quantities of nectar at a time resulting in higher
visitation and transfer of male pollen to female
pollen rates. On the contrary, stingless bees which
are smaller in size exhibited lower transfer rate ofmale flower to the female flower resulting in no fruit
set. The study of species diversity of insect
pollinators had shown that insects that visited bothmale and female flowers were mostly European bees
which visited around 06.00 a.m. onwards, and wasfound most abundant at 09:00 – 10.00 a.m. Stinglessbees were found most abundant from 11:00 a.m. 12:00 p.m. which is outside the optimum timeframe
for cucumber pollination.

Species diversity and numbers of insect
pollinators that visited F1 hybrid cucumber
flowers
Diversity of insects that visited F1 hybrid
cucumber flowers, both male and female flowers, ofthe five flowers per sex in three replicates over a
period of five days were observed. The study period
was from 06:00 a.m. - 18:00 p.m. for the duration of
10 min hourly. It was found that insect pollinators
had visited both sexes and there were five species
present as follows: European bees, dwarf honeybees,
stingless bees, beetles, and butterflies at 06.00 a.m.
European bees were most common from 07:00 a.m.
to 10:00 a.m. and was found most abundant at 09.00
a.m. in both male and female flowers. Stingless bees
were found mostly from 10:00 a.m. to 13:00 p.m.,
and were most abundant in female flowers between
11.00 a.m. and 12.00 p.m. and in male flowers at
11.00 a.m. Other insect pollinators were minimalthroughout the day (Figure 1 and 2) and no insect
pollinators visited flowers during high-cloud
periods.

CONCLUSION
Efficacy of stingless bees Lepidotrigona
terminata as pollinators of F1 hybrid cucumber isdivided into two parts.
1. Efficacy of the stingless bees as pollinators incomparison between opened – pollination andhanded – pollination showed that fruit set occurred
only in opened and handed – pollination treatments
resulting in 9.33 and 12.66 fruits, respectively.
2. The study of diversity of insect species andnumber that visited cucumber flowers showed that
European bees visited most frequently between
06:00 a.m. - 10:00 a.m. and was found mostabundant at 09.00 a.m. in both male and female
flowers. Stingless bees visited female flowers mostduring 11.00 a.m. - 12.00 p.m. and visited male
flowers most at 11.00 a.m. All other insects were
found in minimal quantity throughout the day.

Figure 1. The average number of insect pollinatorsthat visited female cucumber flowers conducted in
five-day period between 06:00 a.m. - 18:00 p.m.

Acknowledgements
Thanks to the Faculty ofTechnology for funding this research.
Figure 2. The average number of insect pollinatorsthat visited male cucumber flowers during a five-day
period between 06:00 a.m. to 18:00 p.m.

Agricultural

References[1] Rapeepan Jaipakdee. 2001. Cucumber Fruit
Vegetables Journal, 44(7) : 34
[2] Somnook Boongird. 1989. Durian is the
Entomophilous plant. Kehagankaset. 13(17) : 5457

Discussion
Efficacy test of stingless bee as F1 hybrid
cucumber pollinator were evaluated using two
experiments.
42

SEE-Osaka, Japan, Nov. 21-23, 2016[3] Wanta Taweepol. 2003. The Studies on Biologyof Stingless Bee Trigona (Lepidotrigona)
terminata Smith and It's Pollinated Efficiency on
Durian (Durio zibethinus L.) Cultivar Chanee.
Ms. Thesis. Kasetsart University. Bangkok.
[4] Janwit Samoskorn, Noppadol Posri and Piyawat
Pantong. 2010. Efficacy of Trigona pegdeni for
Pollination of F 1 hybrid cucumber. Special
Problem of Plant Science, Faculty ofAgricultural Technology, Rajamangala
University of Technology Thanyaburi.
[5] Sawatthum. A., Sumtha, L., Loylom, N.,
Chuthapetch, C. and Suparit,K.
2016. Efficacy of European honey bee (Apismellifera) as Insect Pollinator of F1 Hybrid
Cucumber. The 4th Academic Science andTechnology Conference. 31st May,2016.
Bangkok, Thailand.

43

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

A LONG WAVES PROPAGATION IN TWO-LAYER FLUID OVER A
SUBMERGED HUMP
Fatimah Noor Harun1 and Muhammad Afiq Ahmad Khairuddin2
1
School of Informatics and Applied Mathematics
Universiti Malaysia Terengganu, 21030 Kuala Terengganu,
Terengganu, Malaysia

ABSTRACTThe study of internal waves has become important because they are associated with the energy transfer
mechanism across continental shelf edges. In addition, they also can cause strong localized departures from thesurrounding ocean conditions, resulting in increased shear stresses on underwater structures and large variationsin acoustic transmission properties of the ocean. Therefore, the internal waves cause problems in many areas
such as offshore oil recovery, acoustic propagation in the ocean, and deep water outfall. Hence, this paper isconducted to study the two-layer long-waves propagation through submerged humps using analytical solution.
Equation involved in this study are mild slope equation and the methods involve are separation of variables and aseries solution. In this study the effect of the geometry of the hump when water waves propagating through the
humps are also studied. Besides, the density ratio also give significance effect to the surface wave elevation. An
analytical solutions obtained in this study is useful in reviewing applications and condition of the wave
amplitude on submerged hump.
Keywords: Internal waves, Two-layer fluid, Mild-slope equation, Long wave, Analytic solution
INTRODUCTIONANALYTIC SOLUTION

For almost two centuries, the progression of wave
modeling research has intriguing many researchers.
With concerns about energy are likely to become
extinct, the future energy such as renewable wave
energy are become one of the interest. According to[1] there are several types of flows in the ocean, andthere is a type of flow which conserves forces andrestores it with respect to density in different
underwater depth called internal waves. Internal
waves is formed by tidal currents propagates
seamounts, continental slopes and mid-ocean pits
and the waves projects tidal energy. The internal
waves contain a large amount of energy, produces
noises at the surface of the sea, which eventuallycauses cusps in the sea-surface spectrum, as
discovered by [2]. The study of internal waves ispioneered by Stokes [3], Lamb[4], and Keulegan [5].
The process of wave phenomena such as refraction
and diffraction of ocean surface waves can generate
the energy. The famous mild-slope equation to study
the refraction and diffraction on the ocean wave wasintroduced by Berkoff [6]. Then, this equation is
widely used by [7-10] for single layer fluid and[11-13] for two-layer fluid. Recently, Harun[13]constructed the two-layer fluid for waves
propagating over a bowl-pit. By extending[14] to
two-layer fluid the analytical solution towards twolayer propagating waves over a submerged hump ofvariable depths is discussed.

This section present the derivation of the longwaves propagating in two-layer fluid over a
submerged hump of variables depths by utilizing thesolution given by Zhu and Harun[12] and Niu andYu[14]. Consider, a train of plane long waves
propagates in two-layer fluids with constant depth,ℎ1 and ℎ2 and the densities for upper and lower layer
are denoted by ρ1 and ρ 2 is refracted by an axisymmetric hump-shaped located on the ocean floor
as depicted in Figure 1. The geometry of the hump
which located at the lower layer is as described in[14] and defined by,h2
h2 (r ) = α h0 + βr ,Fig. 144

r >b
r ≤ b.

(1)

A definition sketch of a hump located on

SEE-Osaka, Japan, Nov. 21-23, 2016

the floor in two-layer fluid systems.

w1 = ( ρ1 − ρ 2 ) β 2 ρ1 h1 ;Here, b is the radius of the hump in the horizontal
plane, α and β are two independent parameters

w2 = ( ρ1 − ρ 2 )(2h0 ρ1 + h1 ρ 2 ) βh1 ;w3 = h0 h1 ( ρ1 − ρ 2 )(h0 ρ1 + h1 ρ 2 );which control the shape of the hump. Here, β must
always satisfied the relation β = ( h2 − h0 ) / b

w4 a = h1 ( ρ1 − ρ 2 )(h1 ρ 2 a + 2h0 ρ1 + h1 ρ 2 ) β ;α

and α is considered as a rational number defined by

w5 a = β 2 ρ1

p
q

α=

2

w6 a = 2 βρ 1 (h0 ρ1 + h1 ρ 2 )w7 a = (h0 ρ1 + h1 ρ 2 ) 2(2)
where p and q are integers and q ≠ 0 and p ≥ 1,µ=and q ≥ 2 .

σ2g

Separation of variables

The Frobenius Method

By extending the solution given by [14] to two-layer
fluid, the mild-slope equation in two-layer fluid isused to find the solution. Thus, when the wavelengthis much longer than the wave height, the two-layer
mild slope equation can be written as [12]In this paper, we only consider α as a rational
number. In order to use the Frobenius method, weqhave to let r = s , substitute this to Eq. (5) we have∇⋅(d 2 Rn+ds 2dRs ( w1 s 2 p + w4 a s p + a3 ) n
ds
2( p + p )( p+2q)+ (( w5 s− w6 s+ w7 s 2 q ) −s 2 ( w1 s 2 p + w2 s p + w3 )( ρ 2 − ρ1 )h1 h2
σ2∇η ) +
η =0
ρ1 h2 + ρ 2 h1
g

(3)
where

σ2 ≅

gk 2 ( ρ 2 − ρ1 )h1 h2
ρ1 h2 + ρ 2 h1

q 2 n 2 (a1 s 2 p + a 2 s p + a3 )) Rn = 0(6)

and g is the gravitational acceleration, σ is thewhereangular velocity and k is the wave number.

w4 = h1 ( ρ1 − ρ 2 )(h1 ρ 2 p + 2h0 ρ1 + h1 ρ 2 ) β ;Because our system is axi-symmetric with respect tothe z -axis, it is convenient to adopt a cylindricalcoordinates system ( r , θ , z ) . Equation (3) can beconstructed via separation of variables as

w5 = − β 2 ρ1 µq 22

w6 = −2 βρ 1 (h0 ρ1 − h1 ρ 2 ) µq 2∞

w7 = −(h0 ρ1 − h1 ρ 2 ) 2 µq 2

η = ∑ Rn (r ) cos(nθ )n =0

Eq. (6) is only second-order ordinary differential
equation, thus, the general solution can be obtainedusing the Fobenius series method:

(4)
with

Rn (r ) satisfying∞

d 2 Rn+dr 2dRr (− w1 r 2 a − w4 a r a − a3 ) ndra2a+ (( w5 a r + w6 a r + w7 a ) µr 2 −Rn ( s ) = ∑ a m s m + c

r 2 (− w1 r 2 a − w2 r a − w3 )2

n (a1 r

2a

m =0

(7)
where c is the root to be determined from theindicial equation and a m are the recurrence relation+ a 2 r + a3 )) Rn = 0

to be determined and a 0 ≠ 0. . Substituting Eq. (7)a(5)

into Eq. (6) results in:

where
45

SEE-Osaka, Japan, Nov. 21-23, 2016

∞

∑a s

m =0

m+c

m

[((m + nq − p)(m + c − 1 ) − q 2 n 2 )w
2
+ (m + nq − p)w ]a
4 m− pam = −[(m + nq)2 − q 2 n 2 ]w
3{[(m + c) 2 − q 2 n 2 ]w1 s 2 p+ [((m + c)(m + c − 1) − q 2 n 2 )]s p+ [(m + c) 2 − q 2 n 2 ]w3 + w5 ρ 2 ( q + p )+ w6 ρ p + 2 q + w7 ρ 2 q } = 0

for

(8)

p ≤ m < 2p ,([((m + nq − p)(m + c − 1 ) − q 2 n 2 )w
2
+ (m + nq − p)w ]a
4 m− p+ [(m + nq − 2 p) 2 − q 2 n 2 ]w a)
1 m − 2p
am = −[(m + nq) 2 − q 2 n 2 ]w
3

Re-indexing Eq. (8), leads to[(m + c − 2 p ) 2 − q 2 n 2 ]w1 a m − 2 p +[((m + c − p )(m + c − 1) − q 2 n 2 ) w2
+ (m + c − p ) w4 ]a m − p +[(m + c) 2 − q 2 n 2 ]w3 a m + w5 a m − 2 ( q + p )+ w6 a m −( p + 2 q ) + w 7 a m − 2 q = 0
(9)

for

a m − p , a m − 2 p , a m − 2 ( q + p ) , a m −( p + 2 q )

where

and

([((m + nq − p)(m + nq − 1 ) − q 2 n 2 )w

a m − 2 q equal to zero with the negative value ofc = ± nq(10)
By the original variable r ,these two distinct roots of
the indicial equation lead to two sets of linearly
independent solutions:

R1n (r ) = ∑ am rform / q+nm=0∞Since R2 n becomes singular at r = 0 , it has to bediscarded, with the imposition of the condition thatwater surface elevation must be finite at the origin.
byconsidering Eq. (11)p < 2q , α < 2 , Eq. (9) gives

am = 0 ,and

2+ (m + nq − p)w ]a
4 m− p+ [(m + nq − 2 p) 2 − q 2 n 2 ]w a
1 m−2p+w a+w a)
7 m − 2q
6 m − 2q
am = −[(m + nq) 2 − q 2 n 2 ]w
3

(12)

m=0

Now,

2q ≤ m < p + 2q ,([((m + nq − p)(m + nq − 1 ) − q 2 n 2 )w

(11)

R2 n (r ) = R1n ln(r ) + ∑ bm r m / q − n2+ (m + nq − p)w ]a
4 m− p+ [(m + nq − 2 p) 2 − q 2 n 2 ]w a
1 m−2p)+w a
7 m − 2q
am = −[(m + nq) 2 − q 2 n 2 ]w
3

subscript. The indicial equation can be obtained byletting m = 0 in Eq. (9) and leads to∞

2 p ≤ m < 2q ,

when

for

for

0<m< p46

p + 2q ≤ m < 2(q + p ) ,SEE-Osaka, Japan, Nov. 21-23, 2016([((m + nq − p)(m + c − 1 ) − q 2 n 2 )w

( w7 am − 2 q +2[((m + nq − p)(m + nq − 1 ) − q 2n 2 )w
2
+ (m + nq − p)w ]am-p4+ w6 am −(p + 2 q) ++ (m + nq − p)w ]a
4 m− p+ [(m + nq − 2 p) 2 − q 2 n 2 ]w a
1 m−2p)+w a+w a
7 m − 2q
6 m − 2q+w a
5 m − 2(p + q)
am = −[(m + nq) 2 − q 2 n 2 ]w
3for

am = −form ≥ 2(q + p ) .
(13)

Then, when p > 2q ,2 p ≤ m < 2(q + p ) ,( w7 am − 2 q +[((m + nq − p)(m + nq − 1 ) − q 2n 2 )w
2
+ (m + nq − p)w ]am-p4+ w6 am −(p + 2 q)

α > 2 , Eq. (9) leads to

am = 0 ,for

0 < m < 2q ,am = −[(m + nq − 2 p)2 − q 2 n 2 ]am − 2 p )[(m + nq ) 2 − q 2n 2 ]w
3

+ [(m + nq − 2 p)2 − q 2 n 2 ]am − 2 p

w7 am − 2 q[(m + nq)2 − q 2n 2 ]w
3
for 2q ≤ m < p ,am = −+ w5 am − 2(p + q) )[(m + nq)2 − q 2n 2 ]w
3forw7 am−2 qm ≥ 2(q + p ) .
(14)+ [((m + nq − p)(m + nq − 1 ) − q 2n 2 )w
2
+ (m + nq − p)w ]am-p4
am = −[(m + nq) 2 − q 2n 2 ]w
3where m denotes the number of recurrence
solutions for Frobenius series that we have to finduntil our solution is converged to a desire point,
while n corresponds to the wave propagation modes.
Matched solutionforp ≤ m < p + 2q ,For the general solution in the finite region withvariable depth r < b , the water surface elevation is
given by( w7 am−2 q +∞η 2 = ∑ C n R1n (k 0 r ) cos(nθ )[((m + nq − p)(m + nq − 1 ) − q 2n 2 )w
2
+ (m + nq − p)w ]am-p4+ w6 am−(p+2 q) )am = −[(m + nq) 2 − q 2n 2 ]w
3
for

(16)

n =0

where C n is a set of complex constant to be
determined. In the constant region
solution is given byr ≥ b theη1 = η l + η s(17)

p + 2q ≤ m < 2 p ,where η I corresponds to the incident wave and η S
to the scattered wave which defined by:47

SEE-Osaka, Japan, Nov. 21-23, 2016∞

η1 = A1e ik x = A1 ∑ i nε n J n (k 0 r ) cos(nθ )0Since the 2-layer fluid model should reduce tosingle-layer model when ρ 1 = 0 , it would beinteresting to compare both model, as part ofverification
process.
Letρ 1 = 0, ρ 2 = 5,

n =0

(18)
∞

η s = ∑ Bn H 1n (k 0 r ) cos(nθ )h1 = h2 = 3, h0 = 2.8, b / L = 0.5 and L =120.4.

n =0

(19)
in which AI is the incident wave amplitude,

Fig. 2 shows the comparison of the relative
amplitudes along x-axis for two- and single-layer
fluid models. As expected, both solutions are hardly
distinguishable.

i = − 1 , k 0 is the wave number in the constantregion, J n is the Bessel function of the first kind,

1.045

Bn is a set of complex constant to be determined,

1.04

H 1n is the Hankel function of the first kind and ε n

1.035
1.03

Relative amplitudeis the Jacobi symbol define by1, n = 0
2 , n ≥ 1

εn = 

(20)
The solution in these two sub-regions must be
matched on the common boundary r = b , requireη1 = η 2

1-layer2-layer

1.025
1.02
1.015
1.01
1.005
1

( r = b)

0.995
-3

-2

-1

0
x/L

(21)

∂η 1 ∂η 2=∂r∂r

Fig. 2( r = b)2

Relative wave amplitude when

3

ρ1

ρ2

are

varied.

(22)
Therefore, from Eqs. ((16)-(19), the coefficients C n

Effect of the density ratio
The effect of the wave refraction when the ratio

and B n can be determined asof densities ρ1 ρ 2 are varied while other parameters

 R1n (b)k 0 J n' (k 0 b)
n− AI i ε n '
− R1n (b) J n (k 0 b) Bn =R1n (b)k 0 H 1' n (k 0 b) − R1' n (b) H 1n (k 0 b)

remain constant is discussed in this section.
Fig. 3 shows the comparisons for each value of
ρ1

(23)

Cn =

1

2 A1i ε nπb[ R1n (b)k 0 H '1n (k 0 b) − R'1n (b) H 1n (k 0 b)]
n +1

(24)
in which the prime denote derivatives. By
substituting these coefficents back to Eqs.(16)-(19),the water surface elevation for entire domain can becomputed.

ρ2along x -axis corresponding to ρ1 ρ 2 =0, 1/5,

2/5, 3/5 and 4/5 while other parameters being fixed
to b / L =0.5, h1 = h2 = 3. From this figure, it canclearly seen that, the relative wave amplitude
increase with the decreasing value of ρ1 ρ 2 . Thisphenomenon occurs because, when the fluid isdenser, the restoring force is weaker, resulting insmaller wave amplitude.
1.05

ρ1/ρ2=0

RESULTS AND DISCUSSIONρ1/ρ2=1

1.04

Relative amplitude

This section presents a comparison of newly derived
solution for a special case by taking ρ1 ρ 2 = 0 withthe single-layer equation discussed in Niu andYu[14]. Then the effect of the density, wave height,
and hump shaped to the wave refraction are
examined.

ρ1/ρ2=2
ρ1/ρ2=3

1.03

ρ1/ρ2=4

1.02

1.01

1

0.99
-2

Comparison with the single layer fluid
48

-1.5

-1

-0.5

0
x/L

0.5

1

1.5

2

SEE-Osaka, Japan, Nov. 21-23, 2016

Fig. 3

Relative wave amplitude when

ρ1

ρ2

are

CONCLUSION

varied.

A new analytic solution is derived for two-layer
fluid model for long waves propagating over acircular hump. The solution is verified with thesingle layer fluid model when the density of theEffect of the layer thickness
Fig. 4 illustrates the relative wave amplitude forthree difference values of h1 / h2 with ρ1 ρ 2 =3/5.

upper layer, ρ1 ρ 2 = 0 . There is also a significanceWe can see that, the depth of the fluid layer also hassignificance effect to the relative wave amplitude.
When, the upper layer is thicker, the wave canamplified more, whereas, when there is less fluid inlower layer, the relative amplitude getting smaller tobalance the weight of the upper layer fluid.

effects to the relative wave amplitude with theaddition of the density and the layers. The restoring
force between both layers getting weaker with thesmaller density difference and when there is more
fluid in upper layer, the relative wave amplitude
getting smaller to balance the weight of the fluid in
the upper layer. For the effect of the hump profiles,
the increasing of the α value lead to the increasingof relative wave amplitude. This finding is useful inreviewing applications and condition of the wave
amplitude on submerged hump.

1.7
h1/h2=2/3
h1/h2=1

1.6

h1/h2=3/2
1.5

Relative amplitude

1.4

1.3

ACKNOWLEDGEMENTS

1.2

1.1

The authors would like to acknowledge thefinancial support (Vot No: 57105) from Ministry ofHigher Education, Malaysia.

1

0.9

0.8
-2

Fig. 4

-1.5

-1

-0.5

0
x/L

0.5

1

1.5

2

REFERENCES

Relative wave amplitude when ρ1 ρ 2 =3/5,[1] Stewart RH, Introduction To Physical
Oceanography. Texas: A&M University, 2008,
ch. 7.
[2] Munk WH and Cartwright DE, “Tidal
Spectroscopy and Prediction”, Phil. Trans. R.
Soc. A Mathematical, Physical and Engineering
Sciences, Vol. 259,May 1966, pp. 533-581.
[3] Stokes GG, Trans. Camb. Phil. Soc. 8 1847,
pp.441-455.
[4] Lamb H., Hydrodynamic, sixth ed., Cambridge
University Press, 1932.
[5] Keulegan GH, J. Res. Natl. Bur. Stand 51.
133.1953.
[6] Berkhoff JCW, “Computation of Combined
Refraction and Diffraction”, Proc. 13th Int Conf
On Coastal Eng, July 1972, pp. 471-490.
[7] Mei CC, The Applied Dynamics of Ocean
Surface Waves 2nd Edition. World Scientific,
Singapore, New Jersey, London, Hong Kong,
1994, ch. 1.
[8] Homma S, “On the Behavior of Seismic Sea
Waves around Circular Island”, Geophys.
Mag.,Vol. 21,1950, pp. 231- 233.
[9] MacCamy RC and Fuchs RA, Wave forces on
piles: A diffraction theory, US Army Corps ofEngineering Beach Erosion Board Washington
DC Technical Memorandum, Vol. 69, Dec.
1954, pp. 1-17.

and h1 / h2 are varied.
Effects of the hump profiles
Next, the topographic effect when the humpprofiles are changed is studied. In here we set

α = 1 2 , 5 2 and 2. From Fig. 5 we can observed
that, the relative wave amplitude is increase with theincreasing of the α that control the hump profiles.
This is because, when the value of α increase, thearea of the hump is expanded.
1.2

α =2
α =5/2α =1/2

Relative amplitude

1.15

1.1

1.05

1

0.95
-2

Fig. 5

-1.5

-1

-0.5

0
x/L

0.5

1

1.5

2

Relative wave amplitude when ρ1 ρ 2 = 2
and α are varied.

49

SEE-Osaka, Japan, Nov. 21-23, 2016[10] Massel SR, Extended Refraction-diffraction
Equation for Surface Waves, Coastal Eng.,Vol.
19,Jan. 1993, pp. 97-126.
[11] Harun FN, Analytical Solution For Wave
Diffraction Around Cylinder, Res. J. Recent Sci.,
Vol. 2(9), Sept. 2013, pp. 5-10.
[12] Zhu SP and Harun FN, Refraction of interfacial
waves by a circular hump, Proc of theInstitution of Civil Eng and Comp Mech, 162(4), 2009, pp.199-213[13] Harun FN, A Long Waves Propagation in TwoLayer Fluid over a Circular Bowl Pit AIP Conf.
Proc. 1750, 2016, pp. 030009-1-030009-10.
[14] Niu x and Yu X, Analytic solution og longwaves propogation over a submerged hump,
Coastal Eng. 58, 2011, pp 143.150.

50

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

PARASITES OF THREE SPOT GOURAMI (TRICHOGASTER
TRICHOPTERUS PALLAS, 1770) IN THE THUNG LAM RESERVOIRAT AMPHOE NANGRONG, BURIRAM PROVINCE, THAILAND

1Supamas Sriwongpuk1
Faculty of Agricultural Technology, Rajamangala University of Technology Thanyaburi, Thailand.

ABSTRACT
Study on parasites of the Three Spot Gourami Trichogaster trichopterus (Pallas, 1770) was conducted using
the samples collected from Thung Lam Natural Reservoir in Tumbon Tha-Non Hug, Amphoe Nangrong,
Buriram Province, Thailand. For the period of three months collections were made during November 2014 toJanuary 2015. The total number of one hundred and twenty of the Three Spot Gourami were investigated and allof them one hundred percent were found to be prevalenced with the parasites. Three species of parasites in three
generas of two phylums were observed. Two species were external parasites found at the gill filaments consistedof monogenetic trematodes or monogenean parasites in phylum Platyhelminthes namely, Trianchoratus
aecleithrium and Gyrodactylus sp. One species was internal parasite found in the intestine consisted of Spiny
headed-worm in phylum Acanthocephala namely Pallisentis nagpurensis. The highest parasite number ofintencity in the Three Spot Gourami was Trianchoratus aecleithrium which found to be 64.79 and the least
parasite number of intencity in Three Spot Gourami was Gyrodactylus sp. which found to be 5.9.
Keywords: Parasites, Three Spot Gourami, Trichogaster trichopterus, Thailand

Buriram, a representative province of thenortheastern region of Thailand is situated at
14°15'N - 15°45'N and 102°30'E - 103°45'E about
410 km from Bangkok. Thung Lam Reservoir is asmall natural reservoir which has been renovatedinto a recreational area with shelters for rest andrelaxation. During the dry season, many species ofwaterfowl can be found at this reservoir. It located at
the Ban Hak intersection on highway no.24 about 4km from Nang Rong District in Buriram Province.
Due to Thung Lam Reservoir is important to theeconomy of Nang Rong District in Buriramprovince. It is the natural source of water for
irrigation, agriculture, fisheries, tourism and thehabitat of a variety species of fresh water fish.
Most villagers will catch these fish which
are smaller to be processed as food protein such as
dried fish, fermented fish and fish meal.
Nevertheless during the culture peroid, it could
experience many serious problems, particularly
those caused by parasites which were regarded as amajor cause of low production in aquaculture
system.
This
study,aim
tosurvey andstudy morphological characterization of the parasites
in the Three Spot Gourami from Thung Lam
Reservoir in Nang Rong District, Buriram province.
This result will be a fundimental data for parasitic
study and for prophylaxis this disease causing agentsin aquaculture and people who consumed those fish
for food.

INTRODUCTION
Three Spot Gourami, Trichogaster trichopterus(Fig. 1) also known as the blue gourami or Pla KraDee, is a species of gourami native to southeastern
Asia. It has two spots on each side; the third spot isthe eye. Its scales are blue colour and it can also
called the blue gourami.[1] They are native tostanding or slow-moving freshwater habitats insoutheastern Asia, ranging from Yunnan (China),
through mainland southeastern Asia (Cambodia,
Loas, Malaysia, Myanmar, Singapore, Thailand andVietnam) to Java, Borneo and Sumatra.[2] In Thai is
a true native fish of Thailand. It is a traditional dietand the people prefer it salted and sun-dried before
serving with rice as deep fry fish.

Fig. 1 Morphology of Three Spot Gourami

51

SEE-Osaka, Japan, Nov. 21-23, 2016

The parasites identification was based onmorphological features according to Gelnar (1989)[4], Price and Berry (1996) [5], Sirikanchana (2003)[6] and Paperna (1996) [7]. Prevalence and mean
intensity of each parasitic species were determined
as in Margolis et al. (1982) [8].

METHODOLOGY
One hundred and twenty of the Three Spot
Gourami were obtained from the Thung Lam
Reservoir in Nang Rong District, Buriram province
during November 2014 to January 2015. Fish were
measured and killed. Skin and fin mucous were
scraped and examined using compound and phasecontrast microscopy. Gills were removed andscraped into a Petri dish filled with clean water todislodge the parasites and examined under a stereo
microscope. The external parasites found weretransferred onto a glass slide and covered withcoverslip. The intestines were removed from body
cavity and the contents were then examined underthe microscope. Parasites were fixed and preserved
using the appropriate methods for each group as
outlined by Tonguthai et al. (1999) [3].

RESULTS AND DISCUSSION
Two parasitic groups with a total of three species
were collected from one hundred and twenty
samples of the Three Spot Gourami. All samples
were infected with external and internal parasites(100% prevalence with parasites). There were twomonogenetic trematodes or monogenean species
found in the gill filaments and one spiny headedworm species found in the intestine were shown in
Table 1.

Table 1. Prevalence and mean intensity of parasites in the Three Spot Gourami collected from Thung Lam
Reservoir in Tumbon Tha-Non Hug, Nang Rong District, Buriram province.
Parasite species

Parasite group

Trianchoratus aecleithrium
Gyrodactylus sp.
Pallisentis nagpurensis

monogenean
monogenean
Acanthocephala

Numberof fish120
2
33

Total number ofparasites
219
20
99

Prevalence
(%)
100
1.66
27.5

Mean
intensity
64.79
5.91
29.28

Morphological details of the parasites examined
are given below.
1. Trianchoratus aecleithrium (Fig. 2-3)
It is a flatworm or monogenetic trematodemainly found on gills of fish, generally elongatedand compressed dorso-ventrally. Body: 0.28-0.37mm long and 0.07-0.09 mm width, covered withsmooth and thin cuticle, with two pairs of eye spots
in anterior part. Pharynx looked like oval shape,
0.02-0.03 mm in diameter. Opishaptor bilobed, 0.030.04 mm long and 0.08 mm width, distinctly
separated from body. There are three anchors: dorsal
anchor with outer length 0.04 mm, inner length 0.03
mm based width 0.01 mm, point length 0.016 mm,
length of inner root 0.017 mm, of outer root 0.008
mm. Ventral anchors with 0.028 mm, inner length
0.026 mm base width 0.015 mm point length 0.018
mm, length of inner root 0.014 mm, of outer root
0.004 mm. Supporting bars of opishaptor lacking.
There are 14 marginal hooks, measuring 0.013 intotal length. Copulatory organ, measuring 0.04 mm
in total length, consists of non-articulated cirrus andaccessory piece. Vagina opening laterally andreinforced by weakly sclerotized vaginal tube.

Fig. 2 Copulatory organ of T. aecleithrium (arrow)(scale = 0.02 mm)

d.a.

v.a.

v.a.

m.h.

m.h.

Fig. 3 Opishaptor of T. aecleithrium(scale = 0.02 mm) (d.a.= dorsal anchor;
v.a.= vental anchor; m.h.= marginal hooks)
52

SEE-Osaka, Japan, Nov. 21-23, 2016

The genus Trianchoratus has the three welldeveloped anchors was first described by Price andBerry (1966) [5] from the gills of kissing gourami(Helostoma rudolfi Machan) belonging to the family
Helostomatidae from south-eastern Asia. T.
aecleithrium was described by Gelnar (1989) [4]from the gills of Trichogaster trichopterus
trichopterus from aquarium in Czechoslovakia,
which originate from the same geographic region,
but belongs to another, though relative family,
Belontiidae, extends of the host specificity of theparasite.

The genus Gyrodactylus has many species isfound worldwide parasitizing mostly that cause
infestation in both marine and freshwater fish. [9]Heavy infestations by these parasites can result in
destruction of the fin or skin epitheliam due tomachanicaldamage caused by the attachment organ.
3. Pallisentis nagpurensis (Fig. 6-8)
Body looked like cylindrical 4.1 mm long, 0.3
mm wide. Proboscis large, globular, 0.17 mm long,
0.2 mm wide, armed with 4 circles of 10 finerecurved hooks, similar in shape but different insize. Hooks of first circle stouter and largest, and ofbasal row smallest. Each hook consists of a recurved
blade, a horizontally directed root, handle sunk inproboscis wall. Neck is longer. Proboscis receptacle
sac like single layered. Lemnisci tubulars are longer
than proboscis receptacle. Body consists of collar
and trunk spines. Collar spines arrange in 14-16
transverse circles, each with 16 spines. Trunk spines
start after a short non-spiny area having 20 circles,
each with 14-16 spines. Anterior and posterior testes
are 0.3 mm long and 0.1 wide. Seminal vesicle is 0.3
mm long and 0.06 wide. Cement gland is single,
syncytial, cylindrical just behind testes, 0.3 mm longand 0.1 wide. Cement reservoir is 0.2 mm long and
0.1 wide. From each testis a vas deferens runs down
in close association with cement gland, cement
reservoir and joins bursa.

2. Gyrodactylus sp. (Fig. 4-5)
It is a small (0.2 mm) monogenetic trematodemainly found on fin or external skin of fish,generally elongated and compressed dorso-ventrally.
There are two lobes at the anterior end of the head
without eye spots. It is viviparous and embryos withwell developed hooks may be seen in side the bodyof adult. The opishaptor armed with a pair of large
hooks and sixteen marginal hooks.

pb

op.

t.s.
h
pb.r.

Fig. 4 Gyrodactylus sp. (scale = 0.02 mm)(op.= opishaptor)

t.b.
a.

ln.

a.
Fig. 6 The head part of P. nagpurensis(scale = 0.1 mm) (pb = proboscis;h = hook; pb.r. = proboscis receptacle;
ln. = lemnisci; t.s. = trunk spine )m.h.

Fig. 5 Opishaptor of Gyrodactylus sp. (scale = 0.02mm) (a.= anchor; t.b.= transverse bar;m.h.= marginal hooks)
53

SEE-Osaka, Japan, Nov. 21-23, 2016

found in Ophicephalus striatus from Sing Buri
Province [16] and Bangkok [17]; Channa striatus
and C. licius from Bung Boraphet, Nakhon Sawan
Province [18].

t.s.

CONCLUSSION
This study was found three species of parasites
in the Three Spot Gourami T. trichopterus collectedfrom Thung Lam Natural Reservoir in Tumbon ThaNon Hug, Amphoe Nangrong, Buriram Province,
Thailand. There were Trianchoratus aecleithrium,
Gyrodactylus sp. and Pallisentis nagpurensis withthe mean intencity of 64.79, 5.91 and 29.28
respectively.

p.r.

ln.

ACKNOWLEDGEMENTS
The author would like to express the sincere
thanks for the participation of the Faculty ofAgricultural Technology, Rajamangala University ofTechnology Thanyaburi and others. We would also
say thanks to those who could not be mentioned here
for their kindness and encouragement.

Fig. 7 The trunk part of P. nagpurensis(scale = 0.1 mm) (pb.r. = proboscis
receptacle; ln. = lemnisci;
t.s. = trunk spine )REFERENCES[1] Frankel, J.S. 1992. Inheritance of trunk
coloration in the three-spotgourami, Trichogastertrichopterus Pallas. Journal of Fish Biology
41: 663-665.
[2] Vidthayanon, C. 2001. Freshwater Fishes ofThailand. Nanmee Books Co. Ltd., Bangkok.
116 p. (in Thai).
[3] Tonguthai, K., Chinabut, S., Limsuwan, C.,
Somsiri, T., Chanratchakool, P. andKanchanakarn, S. 1999. Diagnostic Proceeduresfor Finfish Diseases, “Blue Book”. Aquatic
Animal Health Research Institute. Department of
Fisheries, Bangkok.
[4] Gelnar, M. 1989. The morphology of
Trianchoratus aecleithrium Price et Berry, 1966
(Dactylogyridae, Monogenea) from a new host
Trichogaster trichopterus trichopterus (Pallas,1777). Folia Parasitologica 35:7-11.
[5] Price, C.E. and Berry, W.S. 1996. Trianchoratus,
a new genus of Monogenea. P. Helm. Soc.
Wash. 33:201-203.
[6] Sirikanchana, P. 2003. Parasites of Aquatic
Animal. 6th edition. Sky Word Advertising
Partnership, Bangkok. 270 p. (in Thai).
[7] Paperna, I. 1966. Parasites, infections anddiseases of fishes in Africa. An Update. CiFa
Technical Paper No. 31. Food and Agriculture
Organization, Rome. 220 p.
[8] Margolis, L., Esch, G.E., Holmes, J.C., Kuris,
A.M. and Schad, G.A. 1982. The use of
ecological terms in parasitology (repoet of an Ad
Hoc committee of the American Society of

l.s.

u
sp.

v.

Fig. 8 The tail (end) part of P. nagpurensis(female) (scale = 0.1 mm) )l.s. = ligamentsag; sp. = sphincter; u = uterus; v = vulva(
The genus Pallisentis was described by Van
Cleave (1928) [10] from an unknown number of
specimens collected from Three species of fish at
Beijing, China. It was grouped under class
Eoacanthocephala [11], order Gyracanthocephala[12], family Quadrigyridae [13] and subfamily
Pallisentinae [14]. It is an acanthocephalans. They
are intestinal parasites of fishes, amphibians,
birds,reptilesmand mammals worldwide distribution,
penetrate their thorny proboscis into the intestinal
wall of host and absorb nutrition. When a large
number of parasites are found, cause occulation of
the lumen of stomach and intestine, and even deatgof the fish host.[15] In Thailand P. nagpurensis was54

SEE-Osaka, Japan, Nov. 21-23, 2016

Parasitologists). J. Parasitol. 68(1): 131-133.
[9] Appleby, C. and Mo, T.A. 1997. Population
dynamics of Gyrodactylus salaris (Monogenea)
infecting Atlantic salmon, Salmo salar, parr in
the river Batnfjordselva, Norway. Parasitology
83(1):23-30[10] Van Cleave, H.J. 1928. Acanthocephala from
China. I. New species and new genera from
Chinese fishes. Parasitology 20:1-9.
[11] Van Cleave, H.J. 1948. Expanding horizons in
the recognition of a phylum. J parasitol. 34(1):1-20.
[12] Van Cleave, H.J. 1936. The recognition of anew order in the Acanthocephala. J parasitol.
22(2): 202-206.
[13] Van Cleave, H.J. 1920. Notes on life cycle oftwo species of Acanthocephala from freshwater
fishes. J parasitol. 6(4): 167-172.
[14] Amin, O.M. 1985. Biology of Acanthocephala:Classification, Cambridge University Press,
Cambridge, U.K.

[15] Fatima, H. 1988. Seasonal variation andhistophatology of nematodes andAcanthocephalan of some edible fishes of
Karacho coast. PhD. Thesis, Department of
Zoology, University of Karachi, Pakistan.
516 pp.
[16] Sirikanchana, P. (1983). Seasonal variations ofparasites in alimentary canal of snake-head fish
(Ophiocephalus striatus Bloch) from natural
waters. Bangkok: Department of Fisheries,
Kasetsart University. 22 pp.
[17] Sirikanchana, P. (1988). Some parasites
infected fishes from Bung Makkasan, Bangkok.
Bangkok: Department of Fisheries, Kasetsart
University. 12 pp.
[18] Monrudee, C., Chalobol, W. and Pheravut, W.
(2007). Diversity of Helminths Found in
Channid Fish from Bung Boraphet. Southeast
Asian J Trop Med Public Health 38(suppl 1):
191-193.

55

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

EFFECTS OF BIO-EXTRACTS ON GROWTH AND QUALITY OF
LETTUCES
1

Yaowarat Wongsrisakulkaew1, Chanpen Chaimongkol1, Niyom Buaban1 and Sawat Pimsuwan1
Faculty of Agricultural Technology, Rajamangala University of Technology Thanyaburi, Thailand
ABSTRACT

Study on effect of bio-extracts on growth and quality of green oak, red oak, butter head and red coral lettuces.
The experimental design was RCBD (Randomized Complete Block Design) with 3 treatments and 4 replications
include chemical fertilizer (16-16-16), bio-extract of fish meal and bio-extract of soybean meal. This experiment
was conducted at The Division of Crop Production, Faculty of Agricultural Technology, Rajamangala Universityof Technology Thanyaburi. The result of this study showed that the vegetative yield of butter head and red oak
lettuces treated with bio-extract of fish meal and soybean meal was similar to chemical fertilizer. There was no
statistically difference on the vegetative yield of red coral and green oak lettuces. Both of Bio-extract of fishmeal and soybean meal could increase the color of leaves in red oak and green oak lettuces than chemicalfertilizer. Bio-extract of fish meal could increase the color of leaves in red coral and butter head lettuces thanbio-extract of soybean meal and chemical fertilizer respectively.
Keywords: Bio-extract, Red Oak, Green Oak, Red Coral, Butter Headconvenient and easy to find in markets as well as
increases products of plants quickly.
On the other hand, using chemicals in agriculture
will be slowly decomposed. Therefore, they will be
accumulated and spread around which will turn into
pollution of environment. They will ruin the balanceof soil, water, air and will transmit into food chain.
Plus, there will be remained chemicals inagricultural products. The lasted long remained
chemicals will enable pest to adjust itself and resist
drug action [7],[8]. There will be the disseminationof pest which destroys agricultural products.
Agricultural area will be deteriorated. According tothese reasons, it’s a start-up of making bio-extract toreplace chemicals in order to create safety for
manufacturers and consumers. Consequently, thestudy of bio-extract using for lettuce’s production
may help leverage the capability of vegetable’s
production safely as well as reduce the cost ofvegetable’s production because lettuce are popular
consuming extensively among groups of people wholove their health. The aim of this research was to
examine the vegetative yield of lettuces when treatedwith bio-extracts.

INTRODUCTION
Vegetables are plants which everybody
consumes everyday more or less differently. Due tothe fact that vegetables are composed of several
kinds of essential nutrient. Therefore, vegetables arefavored for every household. As we can see inalmost every kind of food, there are vegetables as
ingredients to flavor better taste of food. They arealso used as decoration and make dishes look
beautiful and appetizing. As to the value ofvegetable consumption of general people is selecting
vegetables without traces of worms’ destruction or
pest, so farmers have to beautify their vegetables tomeet the demands of consumers. Once buyers eat
those vegetables, they may obtain the danger of
toxic residue remained in them. Currently, bioextract has been used in agricultures in many aspects,
especially vegetable and plant production.
Reference [4] shows that bio-extract isfermented water derived from decomposition ofremained materials from various parts of plants oranimals by the fermenting procedure of anaerobic
condition. Microorganisms decomposes plants andanimals waste and transforms them to solution as
well as uses enzyme generated naturally or adding
enzyme to accelerate decomposing [5]. Bio-extract
will adjust the condition of acids and bases in soil
and water. It helps create plants’ hormones anddecompose organic matters [6]. To produce
numerous quantities of plants, it’s necessary to usehigh chemicals causing hazard to consumers andproducers. Using chemicals benightedly ofagriculture will affect ecological system both
physical and biological ways, especially human’s
health and life quality [7]. To use chemicals is

MATERIALS AND METHODS
Experimental details
The experiment was conducted at The Divisionof Crop Production, Faculty of Agricultural
Technology, Rajamangala University of Technology
Thanyaburi. To study on effect of bio-extracts onvegetative growth and quality of 4 cultivars lettuces(red oak, green oak, red coral and butter head). The
experimental design was RCB with 4 replications
and 3 treatments include chemical fertilizer (16-1656

SEE-Osaka, Japan, Nov. 21-23, 201616), bio-extract of fish meal and bio-extract ofsoybean meal which were applied at 3 weeks after
planting. Chemical fertilizer was applied 2 g./pot
and both of bio-extracts which were applied 200
ml./plant/week. Sample plants were observed forvegetative growth: plant height, shrub width,
number of leaves, fresh weight and color of leaves.

Table 2 The color of leaves in red oak lettuce(Greyed-Red Group)
Treatment

Color of leaves

Chemical fertilizer (16-16-16)

Red(Greyed-Orange 166A)

Bio-extract of fish meal

Red (Greyed -purple 187A)

Bio-extract of soybean meal

Red (Greyed -purple 187A)

RESULTSRed oak lettuce
Red oak lettuce grown in media with chemicalfertilizer had the widest average of shrub width(26.03 cm.) while the treatments with bio-extract ofsoybean meal and bio-extract of fish meal showed
25.1 and 24.63 cm. respectively. The maximum
number of leaves (14.92) was from treatment withchemical fertilizer, whereas bio-extract of soybean
meal and bio-extract of fish meal presented 13.93
and 13.87, respectively. There is no significant
difference between three treatments (Table 1).
However, comparison of height among threetreatments found that the maximum average ofheight red oak is growing with bio-extract ofsoybean meal (15.92 cm.), bio-extract of fish meal
(14.58) and chemical fertilizer (13.50), respectively.

Chemical fertilizer Bio-extract of(16-16-16)
fish meallFig. 1 The color of leaves in red oak lettuce treatedwith chemical fertilizer, bio-extract of fishmeal and soybean meal.
Green oak lettuce
Green oak lettuce grown in media with chemicalfertilizer had the maximum number of leaves(15.00) , whereas bio-extract of soybean meal andbio-extract of fish meal presented 12.58 and 10.58,
respectively. The widest average of shrub width(22.50 cm.) was from treatment with chemicalfertilizer while the treatments with bio-extract ofsoybean meal and bio-extract of fish meal showed
20.46 and 19.79 cm. respectively. There is no
significant difference between three treatments(Table 3). However, comparison of fresh weight
among three treatments found that the maximum
average of fresh weight is growing with chemicalfertilizer (55.90 g.), bio-extract of soybean meal
(35.96 g.) and bio-extract of fish meal (25.86 g.),respectively.

Table 1 The vegetative yield of red oak lettuce
treated with chemical fertilizer, bio-extractof fish meal and soybean meal.

Vegetative yield
Treatment
HeightNo.of leaves(cm)

Shrub width

Fresh weight

(cm)

(g)

Chemical fertilizer(16-16-16)

13.50 b14.92 b26.03 b122.20 a

Bio-extract of fish meal

15.92 a13.87 b25.21 b118.37 b

Bio-extract of soybean meal

14.58 ab13.93 b24.63 b117.42 ab

F test

*

ns

ns

*

(CV)%

5.40

16.73

4.67

21.32

Bio-extract ofsoybeanTable 3 The vegetative yield of green oak lettuce
treated with chemical fertilizer, bio-extractof fish meal and soybean meal.

Means followed by the same letter at the same
column were not significantly different by LSD* significant at P<0.05 and ns not significant
Treatments with chemical fertilizer and bioextract did not show color differences of lettuce
leaves using necked eyes. However, lettuce leaves
had color differences using color chart (RHS) byleaves of red oak with chemical fertilizer showedgreyed-orange (166A) and with bio-extracts are
greyed-purple(187A) (Fig. 1, Table 2).

Vegetative yield
Treatment
HeightNo. of leaves(cm)

Shrub width

Fresh weight

(cm)

(g)

Chemical fertilizer(16-16-16)

16.42

15.00 a22.50

55.90 aBio-extract of fish meal

15.33

10.58 b19.79

25.86 bBio-extract of soybean meal

16.92

12.58 ab

20.46

35.96 abF test

ns

*

ns

*

(CV)%

12.30

16.73

10.03

36.31

Means followed by the same letter at the same
column were not significantly different by LSD* significant at P<0.05 and ns not significant
57

SEE-Osaka, Japan, Nov. 21-23, 2016

Treatments with chemical fertilizer and bioextract did not show color differences of lettuce
leaves using necked eyes. However, lettuce leaves
had color differences using color chart (RHS) byleaves of green oak with chemical fertilizer showed
Yellow-Green group (144 B) and with bio-extracts
are Yellow-Green group (145 A) (Table 4, Fig. 2).

Table 5 The vegetative yield of red coral lettuce
treated with chemical fertilizer, bio-extractof fish meal and soybean meal.
Vegetative yield
Treatment
HeightTable 4 The color of leaves in green oak lettuce(Green Group)
Treatment

Color of leaves

Chemical fertilizer(16-16-16)

Green (Yellow-Green group 144 B)

Bio-extract of fish meal

Green (Yellow-Green group 145 A)

Bio-extract of soybean meal

Green (Yellow-Green group 145 A)

No.of leaves(cm)

Shrub width

Fresh weight

(cm)

(g)

10.16a21.16a15.39aChemical fertilizer(16-16-16)

11.91aBio-extract of fish meal

12.41a9.57a20.33a12.01aBio-extract of soybean meal

13.66a10.41a27.35a16.93aF test

ns

ns

ns

ns

(CV)%

10.59

17.99

18.88

22.94

Means followed by the same letter at the same
column were not significantly different by LSD
ns= not significant
However, lettuce leaves had color differencesusing color chart (RHS) by leaves of red coral withchemical fertilizer showed greyed-red (178A) andwith bio-extracts are greyed-red (181B and182A)(Table 6, Fig.3).
Table 6 The color of leaves in red coral lettuce(Greyed-Red Group)

Chemical fertilizer Bio-extract of(16-16-16)
fish meal
meal

Bio-extract ofsoybeanFig. 2 The color of leaves in green oak lettuce
treated with chemical fertilizer, bio-extract offish meal and soybean meal.

Treatment

Color of leaves

Chemical fertilizer (16-16-16)

Red(Greyed-Red 178A)

Bio-extract of fish meal

Red (Greyed -Red 182A)

Bio-extract of soybean meal

Red (Greyed -Red 181B)

Red coral lettuce
Red coral lettuce treated with bio-extract ofsoybean meal had the widest average of shrub width(27.35 cm.) while the treatments with chemicalfertilizer and bio-extract of fish meal showed 21.16
and 20.33 cm. respectively. The maximum numberof leaves (10.41) was from treatment with bioextract of soybean meal, whereas chemical fertilizer
and bio-extract of fish meal presented 10.16 and
9.57, respectively. There is no significant difference
between three treatments (Table 5). However,comparison of height among three treatments foundthat the maximum average of height red coral is
growing with bio-extract of soybean meal (13.66
cm.), bio-extract of fish meal (12.41) and chemicalfertilizer (11.91), respectively. There is no
significant difference between three treatments.
However, comparison of fresh weight among threetreatments found that the maximum average of fresh
weight is growing with bio-extract of soybean meal
(16.93 g.), chemical fertilizer (15.39 g.) and bioextract of fish meal (12.01 g.), respectively.

Chemical fertilizer Bio-extract of(16-16-16)
fish meal
meal

Bio-extract ofsoybeanFig. 3 The color of leaves in red coral lettuce treatedwith chemical fertilizer, bio-extract of fishmeal and soybean meal.
Butter head lettuce
Butter head lettuce grown in media with bioextract of soybean meal had the widest average ofshrub width (27.03 cm.) while the treatments withchemical fertilizer and bio-extract of fish meal
showed 21.11 and 20.33 cm. respectively. The
maximum number of leaves (19.66) was fromtreatment with chemical fertilizer, whereas bio58

SEE-Osaka, Japan, Nov. 21-23, 2016

HPO 4 2-) and available forms of potassium (K+)
could promote plant growth [9]. However,
Pathanapibul [10] reported that using only bioextracts did not enhance plant growth, because theamount of macronutrients and micronutrients in the
bio-extract was low and insufficient for plant growth.
In a comparison between the three treatments,
produced better growth enhancement. This outcome
might be associated with the composition of theavailable nutrients in the bio-extract of soybean meal
suitable for the growth of lettuces. The quantity ofnutrients in the bio-extract of soybean meal wasquite low and insufficient to support plant growth. In
addition, soybean may contain some specific groupsof microorganisms that can promote plant growth asplant growth promoting bacteria (PGPB). Several
investigations reported that PGPB can produce plant
growth regulators, such as indoleacetic acid (IAA),
gibberellicacid,
cytokinins
andgaseousphytohormone (ethylene) [1]. Moreover, somegroups of PGPB can fix nitrogen gas, dissolve
unavailable phosphate and produce siderophore as
an iron chelator, as well as deter plant pathogens [3].

extract of fish meal and bio-extract of soybean meal
presented 15.58 and 15.08, respectively. There is no
significant difference between three treatments(Table 7). However, comparison of height among
three treatments found that the maximum average ofheight butter head is growing with bio-extract ofsoybean meal (22.12 cm.), chemical fertilizer (21.80cm) and bio-extract of fish meal (18.99 cm),
respectively. There was a significant difference
between three treatments. However, comparison of
fresh weight among three treatments found that the
maximum average of fresh weight is growing with
bio-extract of fish meal (53.49 g.), bio-extract ofsoybean meal (50.27 g.) and chemical fertilizer(47.60 g.) , respectively. There is no significant
difference between three treatments.
Table 7 The vegetative yield of butter head lettuce
treated with chemical fertilizer, bio-extractof fish meal and soybean meal.
Vegetative yield
Treatment
HeightNo. of leaves(cm)

Shrub width

Fresh weight

(cm)

(g)

Chemical fertilizer(16-16-16)

21.80a19.66a21.16a47.60aBio-extract of fish meal

18.99b

15.58a20.33a53.49aBio-extract of soybean meal

22.12a15.08a27.03a50.27aF test

*

ns

ns

ns

(CV)%

5.41

14.14

6.10

12.40

Chemical fertilizer Bio-extract of(16-16-16)
fish meal
meal

Means followed by the same letter at the same
column were not significantly different by LSD
ns= not significant

Fig. 4 The color of leaves in butter head lettuce
treated with chemical fertilizer, bio-extract offish meal and soybean meal.

Treatments with chemical fertilizer and bioextract did not show color differences of lettuce
leaves using necked eyes. However, lettuce leaves
had color differences using color chart (RHS) byleaves of butter head with chemical fertilizer showed
Green group (141 B) and with bio-extracts wereGreen group (138 A) (Table 8, Fig. 4).

CONCLUSION
The vegetative growth of red oak lettuce similar
to chemical fertilizer with difference statisticallysignificant when treated with bio-extract of fish mealand soybean meal. There were no statisticallydifference on the vegetative growth of green oak
lettuce. Both of Bio-extract of fish meal and soybean
meal could increase the color of leaves in red oak,red coral and butter head lettuces than chemicalfertilizer. However, the use of bio-extract for
cultivation compared to chemical fertilizer isenvironmentally friendly, low cost and an
appropriate way to dispose of agricultural wastes.

Table 8 The color of leaves in butter head lettuce(Green Group)
Treatment

Color of leaves

Chemical fertilizer(16-16-16)

Green (Green group 141 B)

Bio-extract of fish meal

Green (Green group 138 A)

Bio-extract of soybean meal

Green (Green group 138 A)

Bio-extract ofsoybeanACKNOWLEDGEMENTSDISCUSSION

The authors are thankful to Faculty ofAgricultural Technology, Rajamangala University ofTechnology Thanyaburi, for providing the researchfund.

The availability of nutrients in the bio-extract,for example, available forms of nitrogen (NO3- andNH4+), available forms of phosphorous (H 2 PO- and

59

SEE-Osaka, Japan, Nov. 21-23, 2016

REFERENCES[1] Ahmad, F., I. Ahmad and M.S. Khan. Screeningof free-living rhizospheric bacteria for theirmultiple plant growth promoting activities.
Microbiol. Res. Vol.63, 2008, pp. 173-181.
[2] Chaisit, T. and S. Sudprasong. Bio-extract.
Thai. Resch. Fund J. Vol.17, No.3, 2000, pp.
48-57.
[3] Compant, S., B. Duffy, J. Nowak, C. Clementand E.A. Barka. Use of plant growthpromoting
bacteria for biocontrol of plant diseases:
principles, mechanisms of action and future
prospects: Minireview. Appl. Environ.
Microbiol. Vol.71, 2005, pp. 4951-4959.
[4] Department of land and development.
Fish meal. Available online:[http://www.organicthailand.com]. May, 2015.
[5] Division of agricultural chemical. Plant
hormone and plant nutrients in bio-extract.
Department of agriculture. Ministry ofagriculture and cooperative, Bangkok, Thailand,
1999.

[6] Division of soil and water conservation.
Production and using of organic fertilizer toimprove soil. Department of land anddevelopment. Ministry of agriculture andcooperative, Bangkok, Thailand, 1999.
[7] Sassanarakkit, S. Bio-extract. Department ofbiotechnology. Thailand Institute of Scientificand Technological Research, 1999.
[8] Osotsapa Y. Plant nutrients. Kasetsart
University Press. Bangkok, Thailand, 1996,
424 p.
[9] Omsub, N. Bioextract. Entomol. Zool.
Gazett. Vol.24, No.2, 2002, pp. 154-158.
[10] Pathanapibul, S. The Efficiency of Bioextract
on Some Kinds of Vegetable in Hydroponic
System. M.S. Thesis, Kasetsart University,
Bangkok, 2003.

60

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

BREAKING SEED DORMANCY OF N.VICTORIA AMAZONICA
SOWERBY
Purin Akkarakultron1, Dowroong Watcharinrat1, Tongmee Mosom1 and Yaowamal Noimai1
1
Faculty of Agricultural Technology, Rajamangala University of Technology Thanyaburi, Thailand

ABSTRACT
Giant waterlily (Victoria amazonica (Rocpp.) Sowerby; Nymphaeaceae) is the largest leaves with lifting set
at the leaf margins and thorny characteristics in whole plant part. Seed production occurs during 50-60 days
starting from pollination to broken pod until it was germinated. This research aims to investigate the viable
procedure stimulating seed germination rate. Plant materials were grown in the same period. Three stages of seed
age were collected after three months of culture, especially 20, 25 and 30 days. Each treatment was performed by
the completely randomized design (CRD), including six methods such as without treatment, nicking, soaked
within 0.05 % (w/v) gibberellic acid (GA 3 ) solution for hour, soaked within 0.05% (w/v) GA 3 solution for hour,nicking combined to soak in 0.05% (w/v) GA 3 solution for hour and nicking combined to soak in 0.1% (w/v)
GA 3 solution for hour. The results showed that the seed germination was depended on the seed age after pod
ripening and combination of nicking and soaking within GA 3 solution. The highest percentage of germination
rate (56.5%) was found in seed age of 30 days of pod ripening and then accomplished to break seed coat andsoaking in 0.1% (w/v) GA 3 solution for hour after 35 days of culture.
Keywords: Dormancy, N. Victoria, Gibberellic acid
The procedure used for breaking the dormancyof seeds was composed of seed coat scarification,either rubbed on a sand paper manually, seed coat
removal, soaking in warm water and some acidic
solutions such as sulfuric acid and nitric acid. The
chemical compounds that used to break seed
dormancy are available, depending on plant
species. Likewise the plant growth regulators are
numerous chemical substances, which areprofoundly influence on growth and differentiationof plant cells, tissues and organs. Based on thefunctional mechanism, plant growth regulators act
as chemical messengers for intercellularcommunication throughout the cell signaling andtransduction pathway. There are classified into five
major groups: for example auxins, gibberellins,
cytokinins, abscisic acid (ABA) and ethylene. [1]Previous study, the effective method used forbreaking seed dormancy of Victoria amazonica
was nicking technique. Some experiments havebeen stimulated seed germination with gibberellicacid (GA 3 ). The objectives were to investigate
about suitable plant materials used for seedgermination, and ensure a number of seedlings.
Gibberellic acid could make the sprouting fasterwith GA3: the filiform leaf does not grow, but also
improve the germination rate, especially in theunnicked seeds. On the other hands, application of
GA 3 on breaking seed dormancy has been
demonstrated in several plants. Previously, someexperiments were conducted to evaluate GA 3
application on breaking dormancy of ‘Marfona’potato mini-tubers. The results showed that GA 3
application had significant affected in all traits,

INTRODUCTION
Waterlily (Nymphaea spp. L.) is an importantaquatic plant that called “Queen of the Aquarium
Plants” and then represented to be the purity, good in
the Buddhism and faithful of human being worldwide.
Some waterlilies are represented about beautiful
floating leaves, fairy flowers and its color change,
regarding to an attractive scent. Moreover, somespecies of the family Nymphaeaceae are occurred as
the large size, widespread leaf area and lifting set ofleaf margins. Eventually, its venation has been used in
the fine and applied arts. At present, many waterlilies
are applied to obtain in several fields such as interior
decoration, parking, relaxing garden and resort, which
are trending on the ecotorism.
Giant waterlily (Victoria amazonica (Rocpp.)
Sowerby) is now required to cultivate as an
ornamental waterlily in the botanic gardens andlandscape. This plant is a large emergent aquatic
macrophyte and then propagated by seed production
after 50 – 60 days of pollination until seed pod
ripening in the later. In generals, ex vitro propagationis considerable taken time to grow up the seedlings
because its seeds are not started to uniformly
germinate. Consequently, common seed culture of thiswaterlily is belated and then affected to loss of masspropagation. In this study, research colleague of Lotus
museum in the Plant Genetic Conservation Project
under the Royal Initiation of Her Royal Highness
Princess Maha Chakri Sirindhorn (RSPG) aimed todemonstrate on breaking seed dormancy of V.
amazonica seeds for application of waterlily and lotus
planting and plant marketing production in the future.
61

SEE-Osaka, Japan, Nov. 21-23, 2016

excepting sprout and main stem number. At 160
ppm GA 3 application was reduced the days
sprouting to emergence from 100 to 70 days andincrease of tuber number per plant from 4 to 7.5,
compared to control. [2], reported that theeffectiveness of gibberellic acid (GA 3 ) in breaking
seed dormancy in rice. The activity of a-amylase
enzyme acts as an indicator of the dormancy level.
[3], denoted on the germination response of thisspecies were recognized into various treatments.
Standard germination assay showed that thegermination percentage of untreated seeds is
25.8% while chilling treatment at 4 C for 7 days
germination percentage reached to 39%.
Germination rate of seeds soaked in 100 ppm GA 3
for 36 h was 48%. [4], reported that the highest
germination rate of T. polium seeds were obtained
at concentrations of 500–2500 ppm GA 3 . Washingand chilling (at 5 °C) for 14 days were mosteffective to break seed dormancy in F. gummosa.
[5] and [6] studied on the seed dormancy andgermination characteristics of A. preissii byapplication of GA 3 and smoke-water. GA 3 hasbeen shown to decrease seed dormancy in many
plant species, relating to physiological dormancy.
However, 50 mg/L GA 3 was only slightly
effective to promote seed germination of
Lomandra sonderi but not stimulate in all dormant
seeds.

A

B

Fig. 1 (A) V. amazonica seeds (B) Nicking
A

B

C

Fig. 2 (A) Pre-treatment of V. amazonica seeds
from the pods 30 days. (B, C) Seeds planted into
nursery trays.

This research aims to provide the suitable
method used for exiting seed germination andgermination rate. Plant materials were grown in thesame period. Their seeds were collected after 3
months of culture, including 20, 25 and 30 days ofseed age. Each experiment was performed bycompletely randomized design (CRD) that showedin table 1.

Take the seeds planted into nursery trays,
marked the times, treatment and replicate, soak
into the cement pond and addition water about 30
centimeters.
Record data times and germination percentages
were 7, 14, 21, 28 and 35 days after seeds planted.
Statistical analyses by Analysis of Varian, means
were compared by the least significance difference
Duncan’s New Multiple Range Test (DMRT)interval method at p<0.05.

Table 1 Seed pre-treatment of Victoria amazonica

RESULTS AND DISCUSSION

MATERIALS AND METHODS

Seed age after
the podripening (days)
20
25
30

In this study, three seed stages (20, 25, and 30
days of ripening) were performed within six
treatments. Germination rate of V. amazonica
seeds at 20 days of ripening showed significantly
results after 28 days of culture. Therefore, amechanical technique to breaks seed coat was
combined with different gibberellin concentrations(at 0.05 and 0.1 % (w/v)). Number of germinating
seeds cultured with or without soaking ingibberellin solution were 10 and 3.3 seeds,
respectively. In case of combination of without
breaking seed coat and soaking in different
concentrations of gibberellin solution was noteffective data, comparing to control. Eventually,
the cracking seeds were well grown whencompared to other treatments. In this study, a main
factor affecting on seed dormancy in V. amazonica

Seed Pre-treatment
T1

T2

T3

T4

T5

T6

30
30
30

30
30
30

30
30
30

30
30
30

30
30
30

30
30
30

T1: control, T2: Nicking, T3: Soaked substance
Gibberellic acid 0.05 % (w/v) GA 3 for hour, T4:
Soaked substance 0.05% (w/v) GA 3 for hour, T5:
Nicking and soaked substance 0.05% (w/v) GA 3
for hour and T6: Nicking and soaked substance
0.1% (w/v) GA 3 for hour.

62SEE-Osaka, Japan, Nov. 21-23, 2016

was from seed coat imposed dormancy prevents
germination. However, these methods might
damage onto embryos within seeds, thus should be
carefully done. Cracking seed coat in the positionof primary growth was more effective to stimulate
on growth of V. amazonica embryos whencompared to without cracking seed coat, soaking in
50 % sulfuric acid or warming water [7]. As table2

Table 3 Germination rate of cultured seeds fromthe pods 25 days
Day

7

14

21

28 1/

35

total

Treatment
T1
0.0

0.0

0.0

0.0

3.3

3.3

0.0

0.0

3.3

6.6

10.0

19.9

T2
Table 2 Germination percentages after the seeds
from the pods 20 days.

T3

0.0

0.0

0.0

3.3

6.6

9.9

Days

T4

0.0

0.0

0.0

6.6

10.0

16.6

0.0

0.0

16.6

13.3

16.6

33.2

0.0

0.0

6.6

10.0

20.0

36.6

-

-

ns

ns

ns

-

-

-

259.
81

70.
71

63.
64

-

Treatment
T1

7

14

21

28 1/

35

total
T5

0.0

0.0

0.0

0.0b

3.3

3.3

T6

T2

0.0

0.0

3.3

3.3b

6.6

13.2

F-test

T3

0.0

0.0

0.0

0.0b

3.3

3.3

CV%

T4

0.0

0.0

0.0

0.0b

3.3

3.3

T5

0.0

0.0

16.6

10.0a

16.6

33.2

T6

0.0

0.0

6.6

10.0a

16.6

33.2

F-test

-

-

ns

**

ns

-

CV%

-

-

207.
85

60.
61

109.
54

-

All of V. amazonica seed stage investigatedduring the 35 days of experiment was the same
result in total germination rate. In addition,
combination of cracking seed coat and soaking in
0.05 – 0.1 % (w/v) gave the highest percentage ofseed germination. V. amazonica seeds soaked ingibberellin treatment without cracking seed coat
was less effective to germinate than treatment withcracking seed coat, whereas the control was thelowest percentage of seed germination. Summary,the combination of cracking seed coat and soaking
in gibberellin treatment was suitable to break seed
dormancy in V. amazonica.

**significant p<0.01
Among the three seed stages after ripening,combination of cracking seed coat and soaking in
0.1 % (w/v) gibberellin solution gave the highest
germination rate after 35 days of culture. Based on the
results, seed age at 30 days of ripening gave thehighest germination rate, compared to seed age at 20
and 25 days of ripening. The germination percentage
in each seed stage showed as 23.3, 20 and 16.6,
respectively. In this study, the results showed thatfactors stimulating on seed germination in V.
amazonica have been related to seed age after ripening,
cracking seed coat and soaking in gibberellin solution.
Mazzini, 2003 reported that type of reagentsstimulating seed germination and multiplication of
seedlings. Gibberellin (GA 3 ) was suitable treatment
used in germination of V. amazonica seeds, comparedto the others (soil, water and agar media). Although,cultured seeds in gibberellin solution were rapidly
produced seedlings from the meristems.

Table 4 Germination percentages after the seeds
from the pods 30 days
Day

7

14

21

28 1/

35

total

Treatment
T1
0.0

0.0

0.0

3.3

3.3

6.6

0.0

3.3

6.6

10.0

30.0

39.9

0.0

0.0

3.3

6.6

10.0

19.9

T4

0.0

0.0

0.0

10.0

13.3

23.3

T5

0.0

6.6

10.0

13.3

20.0

49.9

T6

0.0

6.6

10.0

16.6

23.3

56.5

F-test

-

ns

ns

ns

ns

-

CV%

-

146.
97

105.
41

49.
93

60.
86

-

T2
T3

63

SEE-Osaka, Japan, Nov. 21-23, 2016

CONCLUSIONSREFERENCES

1. Suitable procedure for stimulating on
germination of V. amazonica seeds based on seed
pod ripening stage and combination of cracking
the pericarp and soaking in gibberellin solution.
2. The highest percentage (56.5%) of germinationof V. amazonica seeds was observed in
combination of seed age from 30 days of ripening
and soaking in 0.1 % (w/v) gibberellin solution,
depending on the total germination rate as
approximately 35 days.

[1] Mazzini Renata . 2003. Germination in vitro for
the Victoria amazonica sds. Plant Propagation
project Course 40 Royal Botanic Gardens.
[2] Shekari Fariborz, Benam Mohammad Bagher
Khorshidi, Sardar Germchi and Hassanpanah
Davoud. 2010. Effect of GA3 on dormancy
breaking of ‘Marfona’ minitubers undergreenhouse conditions.
[3] VieiraI Antonio Rodrigues, VieraII Maria das
Gracas Guimaraes Carvalho, Fraga Antonio C.,
OliveiraII Joao Almir and SantosII Custodio D.
dos. 2002. Action of gibberelllic acid (GA3) on
dormancy and activity of a-amylase in rice seeds.
Rev. bras. Sements vol 2.
[4] HDehghanpour Farashah, RTavakkol Afshari, F
Sharifzadeh and S Chavoshinasab. 2011.
Germination Improvement and alpha-Amylase
and beta-1,3-Glucanase Activity in Dormant andNondormant Seed of Oregano (‘Origanum
vulgare’). Australian Journal of Crop
Science.Volume 5, Issue 4.
[5] Nadjafia F., Bannayana M., Tabrizia L. and
Rastgooa M. 2006. Seed germination anddormancy breaking techniques for Ferula
gummosa and Teucrium polium. 542-547p.
[6] Turner S. R., Merritt D. J., ridley E. C.,
Commander L. E., Baskin J. M., Baskin C. C.
and Dixon K.W. 2004. The seed dormancy andgermination characteristics of A.preissii. Articles
from Annals of Botany are provided here
courtesy of Oxford University Press.
[7] Purin Akkarakultron , Dowroong Watcharinrat,
Tongmee Mosom and Ausada polpipoon.
2012. Germination of Victoria amazonica
Sowerby seed . Faculty of Agricultural
Technology, Rajamangala University ofTechnology
Thanyaburi.
Pathumtani
Province, Thailand.

Suggestions from this research article
1. Should be study on the germination procedure
in V. amazonica seeds by increase of soaking
period in gibberellin solution for stimulating on
germination rate and mass propagation of
seedlings.
2. Should be study about the germination of seed
age at more than 30 days of seed pod ripening forincreasing on germination rate.
3. Recommend on validation of different
methods and other effective reagents used forbreaking seed dormancy of V. amazonica seeds.

ACKNOWLEDGEMENTS
The authors would like to express theirsincere thanks for the participated of Faculty ofAgricultural Technology and Lotus - Waterlily
Musium Rajamangala University of Technology
Thanyaburi. We would also say thanks for who
could not be mentioned here for their kindness andencouragement.

64

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

GROWTH OF THE EDIBLE MICROALGA ARTHROSPIRAPLATENSIS IN RELATION TO BORON SUPPLY
Shotaro Tadama1 and Hideaki Shiraishi1
1

Graduate School of Biostudies, Kyoto University, Japan

ABSTRACT: Arthrospira (Spirulina) platensis is an edible cyanobacterium that has been consumed
worldwide as a nutrient source under the name spirulina. When culturing this microalga, boron is usually
added to its growth medium. However, whereas boron is necessary for the N 2 -fixation-dependent growth ofheterocystous cyanobacteria, boron requirement by A. platensis, which is non-heterocystous, has not yet been
carefully examined. To examine the effect of boron on A. platensis, we prepared a boron-depleted medium inwhich borate concentration was below a detection limit (0.2 µM), as determined by the spectrophotometricquantitation with H-resorcinol. Using this boron-depleted medium, A. platensis NIES-39 was analyzed forchanges in growth, dry biomass weight and the protein, chlorophyll a and C-phycocyanin contents.
Experimental results showed that removal of boron from the growth medium had no detectable effect onthem. A control experiment with a heterocystous cyanobacterium Anabaena sp. UTEX 2576 showed that thegrowth of this cyanobacterium was suppressed in a boron-depleted medium. These experiments demonstrated
that boron was not required for the growth of A. platensis. Our results indicate that boron supply is notnecessary for the propagation of A. platensis even in the regions where boron deficiency in the soil
deteriorates the growth of common crops. Use of boron-free media would also be helpful to improve thereproducibility of sensitive physiological experiments such as metabolome analysis, because precipitation of
the insoluble salt manganese borate, which may reduce the concentration of Mn2+ in the medium, does notoccur in boron-free media.
Keywords: Cyanobacteria, Spirulina, Arthrospira platensis, Boron, H-resorcinol

Since A. platensis is also non-heterocystous, it
is possible that boron is not necessary for thegrowth of this cyanobacterium. However, boron
requirement by A. platensis has not yet been
carefully examined. Knowledge about the boron
requirement would be helpful for the agriculture ofA. platensis, especially in the region where boron
deficiency in the soil deteriorate healthy growth ofmany common crops [5].
Knowledge on the boron requirement by A.
platensis is also helpful for basic studies of thiscyanobacterium. In laboratory-scale experiments,
inclusion of boric acid in the growth medium
results in the gradual precipitation of the insoluble
salt manganese borate [10], possibly causing thechange in the Mn2+ concentration and gradualdepletion of Mn2+ in the growth medium. This may
reducethereproducibilityofsensitive
physiological experiments, e.g., metabolome
analysis, because manganese is an essential
component of the oxygen-evolving complex inphotosystem II [11], as well as many cellularenzymes (e.g., xylose isomerase, glutaminesynthetase and phosphoglycerate mutase [12]), andtherefore
alterations
inthemanganeseconcentration may affect cellular physiology. Ifboron is determined to be dispensable for thegrowth of A. platensis, boric acid can be omitted
from the growth medium to improve the

1. INTRODUCTION
Arthrospira platensis is an edible alkalophilic
cyanobacterium that has been consumed
worldwide as a nutrient source and food additives[1][2]. Phycobiliproteins from this cyanobacterium
are also widely used as natural colorants for foods
and cosmetics [2]. Products of A. platensis and aclosely related species A. maxima are usuallymarketed under the name spirulina, because they
had formerly been classified in the genus Spirulina.
In the artificial propagation of A. platensis,
boric acid is usually added to its growth medium[3], as it is well known that boron is required forthe growth of many photosynthetic organisms. For
example, higher plants require boron for theformation and maintenance of cell wall structures[4]. Therefore, deficiency of boron in the soil
causes the development of many symptoms inhigher plants [4][5]. Boron is also required for the
maintenance of the integrity of heterocyst cells that
perform N 2 fixation in heterocystous filamentous
cyanobacteria [6][7]. Boron is involved instabilizing the heterocyst envelope in thesecyanobacteria [8]. However, in contrast to higher
plants and heterocystous cyanobacteria, many nonheterocystous cyanobacteria are tolerant to boron
deficiency [7][9].

65SEE-Osaka, Japan, Nov. 21-23, 2016

reproducibilityofsensitive
physiologicalexperiments.
In this study, we prepared a boron-depleted
medium, and effects of boron on the growth andsome biochemical properties of A. platensis were
examined to determine whether boron depletion
had any effect on this cyanobacterium.

To draw standard curves, 900 µL of 0.11 mM
H-resorcinol in 0.65 M ammonium acetate-acetic
acid buffer (pH 5.5) was mixed with 100 µL of
SOT medium containing various concentrations ofboric acid. The mixtures were incubated at 25°C
with constant shaking at 140 rpm. After 60 h,
optical density at the wavelength of 510 nm(OD 510 ) was determined with a spectrophotometer(Novaspec II, Pharmacia-LKB Biotechnology,
Uppsala). Samples for quantitation were reactedwith H-resorcinol in the same way, and OD 510 was
determined. Means and the standard errors ofmeans were determined from 4 samples.

2. MATERIALS AND METHODS
2.1 Reagents
H-resorcinol, or 1-(2,4-Dihydroxy-1-phenylazo)-8-hydroxynaphthalene-3,6-disulphonic aciddisodium salt, was purchased from Tokyo
Chemical Industry Co. (Tokyo). Other chemicals
were purchased from Nakalai Tesque (Kyoto) andWako Pure Chemical Industries (Osaka). All
chemicals were reagent grade or better. Water was
purified with the Milli-Q Advantage A10
Ultrapure Water Purification System (Merck
Millipore, Darmstadt) before use. Polypropylene
plasticware was used to prepare reagent solutions,to avoid boron contamination from glassware [13]2.5 Determination of growth curves
Cyanobacterial cells were cultured in fourpolycarbonate flasks for each set of culture
conditions. The means and the standard deviationsof the OD 730 values and the trichomeconcentrations were determined over time. The
numbers of trichomes in cultures were determined
as described [18].
2.6 Determination of the amounts of biomass,protein, chlorophyll a, and C-phycocyanin

2.2 Cyanobacterial strains
A. platensis NIES-39 was obtained from theMicrobial Culture Collection at the National
Institute for Environmental Studies, Tsukuba(MCC-NIES). Anabaena sp. UTEX 2576 was
obtained from the Culture Collection of Algae at
the University of Texas at Austin (UTEX).

Samples were taken from cultures during thelate logarithmic phase when the OD 730 values of
the cultures were approximately 1.0–1.2. Data
were obtained from four independent cultures foreach set of culture conditions, and the means andthe standard deviations were determined.
To determine the amount of biomass, 10 mL ofcultures were centrifuged at 4°C for 20 min at
3,000 g, and the collected biomass was washedwith 1 mL each of distilled water for 5 times. The
washed biomass was dried at 85°C for 72 h, cooled
down, and weighed.
To determine the amount of proteins, cells in 1
mL of samples were collected by centrifugation as
above and washed five times with 1 mL each of 25
mM Tris-HCl (pH 7.4), 138 mM NaCl, 2.68 mM
KCl (Tris-buffered saline). Then, they were
disrupted by the Mini-Beadbeater-1 (Biospec
Products, Bartlesville) using the 0.1 mm diameterglass beads. In the disruption, shaking the samples
on the equipment for 30 sec and cooling them on
ice for 1 min were repeated 7 times. Protein
concentrations in these samples were determinedby Bradford's method [19] using Bio-Rad Protein
Assay kit (Bio-Rad Laboratories, Hercules). As astandard for protein determination, bovine γglobulin (Bio-Rad Laboratories) was used.
Concentrations of chlorophyll a and Cphycocyanin were determined from the OD 620 and
OD 678 values of the cultures as described [20].

2.3 Growth media and growth conditions
SOT medium and boron-depleted SOT
medium for A. platensis were prepared as
described [14][15], except that the macroelement
solution used to prepare the latter medium did notcontain boric acid. Anabaena sp. UTEX 2576 wascultured either in BG11 0 medium [16] or in theboron-depleted BG11 0 medium that contained no
added boric acid. Cyanobacterial cells were
cultured in 250-mL polycarbonate Erlenmeyer
flasks (Thermo Scientific Nalgene, Waltham)containing 200 mL each of growth medium.
Conditions for light and temperature were as
described [15][17]. A. platensis NIES-39 was precultured in the boron-containing medium,
harvested by filtration on nylon mesh as described[17], and washed on it with boron-depleted
medium before inoculation into each growth
medium. Anabaena sp. UTEX 2576 was cultured
in the same way except that pre-cultured cells werecollected and washed by centrifugation rather thanby filtration.
2.4 Quantitation of boron in the medium
66SEE-Osaka, Japan, Nov. 21-23, 2016

exhibited hardly detectable absorption at 510 nm(Fig. 1, upper right panel). Therefore it was clearthat boric acid concentration in this medium was
far lower than 0.2 µM. In this respect, it has beenreported that, when water was stored in glass
bottles, concentration of boron released from glass
into water reached 5.2 µM in 73 days [13].
Therefore, the boron level in the boron-depleted
medium (<0.2 µM) was far lower than the residuallevel of boron in water stored in glass bottles.
Concentration of boric acid in the SOT medium
used in this study was also examined anddetermined to be approximately 45 µM (Fig. 1,
lower panels).

3. RESULTS
3.1 Quantitation of boron concentration in thegrowth medium
In the experiments to follow, A. platensis was
propagated in the medium with no added boricacid. However, it is known that considerable
amount of boron is released from borosilicate glass
into water when solutions are stored in glassware[13]. Therefore, the medium and all solutions wereprepared in plasticware to avoid boron
contamination from glassware. Even with this care,it was still possible that reagents used to prepare
the medium were contaminated with boron.
Therefore, boron concentration in the preparedgrowth medium was examined before performing
the main experiments. To determine boron
concentration, a spectrophotometric quantitation
method with H-resorcinol was employed. This
reagent forms a 1:1 complex with boron under
weakly acidic conditions with an optimum at pH
5.5, and the complex can be determined
spectrophotometrically at 510 nm [21]–[23].
Results of the boron quantitation in the borondepleted medium and in the usual medium (SOT
medium) are shown in Fig. 1. As shown in theupper left panel, experiments to draw a calibration
curve showed that the standard solutions
containing as low as 0.2 µM boric acid (12.4 ng
mL - 1 ) exhibited significant OD 5 1 0 values,
indicating that detection limit for boric acid withthis method was lower than 0.2 µM. In contrast,
samples prepared with the boron-depleted medium

3.2 Effect of boron depletion on the growth of A.
platensis NIES-39 and Anabaena sp. UTEX
2576
To examine the effect of boron on the growthof A. platensis, A. platensis NIES-39 was cultured
in the usual SOT medium and in the borondepleted medium prepared as above. Trichomeconcentrations and the OD 7 3 0 values were
determined over time, and growth curves weredrawn. As shown in Fig. 2, there were no
significant differences between the growth curves
determined in the presence and absence of boron,

Fig.1 Quantitation of boron concentrations

Fig. 2 Growth of A. platensis in relation to boron
67

SEE-Osaka, Japan, Nov. 21-23, 2016

protein content of A. platensis NIES-39 propagatedFig.4 Biomass and the protein content
in the presence and absence of boron. There wereno significant differences between them as
analyzed by the Student's t-test with significancelevel set at 0.05. The protein content of A.
platensis NIES-39 was approximately 50% (w/w)
both in the presence and absence of boron (Fig. 4,
right panel). These values were comparable to thevalues (50–55%) that had been determined withanother A. platensis strain [24].
The Chlorophyll a and C-phycocyanin contents
were also determined and compared (Fig. 5).
Analysis by the Student's t-test with significancelevel set at 0.05 indicated that there were again no
significant differences in their contents between
the cells cultured in the presence and absence ofboron.

Fig. 3 Growth of Anabaena sp. in relation to boron
indicating that boron depletion had no detectableeffect on the growth of A. platensis NIES-39.
As a control experiment, a heterocystous
cyanobacterium Anabaena sp. UTEX 2576 wascultured in the boron-containing medium (BG11 0
medium) and in the boron-depleted BG11 0
medium. As shown in Fig. 3, growth of thiscyanobacterium was suppressed in the borondepleted medium. Statistical analysis by theStudent's t-test indicated significant differences(P<0.05) between the cultures in the BG11 0
medium and in the boron-depleted BG11 0 medium
at and after 24 h. This control experimentconfirmed that boron had been effectively depleted
in the boron-depleted media prepared in this study.
It is worth noting that the culture of Anabaena sp.
UTEX 2576 grown in the boron-depleted medium
exhibited a yellowish color, similar to otherheterocystous cyanobacteira grown under borondepleted conditions [6][7]. In contrast, the cultureof A. platensis NIES-39 had the usual blue-green
color even when it was propagated in the borondepleted medium.
The experiments in Fig. 2 and Fig. 3 clearly
indicated that boron depletion had no detectableeffect on the growth of A. platensis whereas it
deteriorated the growth of Anabaena sp. that
requires boron for the N 2 -fixation-dependent
growth.

4. Discussion
The boron requirement by A. platensis has notbeen carefully examined. Whereas there has been areport that boron can be omitted from the growth
medium to culture A. platensis PCC 8005,
experiments in that study were performed using a
glass fermenter [25]. Since water becomes
contaminated with boron when stored in glass
containers and that the boron release from glass is
accelerated under alkaline conditions [13], it waspossible that the boron released from the glass
vessel into the alkaline-leaned medium for A.

3.3 Effect of boron depletion on the biomass
and the protein, chlorophyll a, and Cphycocyanin contents
A. platensis trichomes propagated in the borondepleted medium were visually indistinguishable
from those propagated in the usual SOT medium,
when their morphologies were observed under adissecting microscope. To examine whether there
were any differences in their cellular physiology,
some biochemical properties were determined next.
Fig. 4 shows the amount of biomass and the68SEE-Osaka, Japan, Nov. 21-23, 2016

Fig. 5 Chlorophyl a and C-phycocyanin contents
platensis was sufficient to support the normal
growth of A. platensis in that study. In contrast,
our study was carefully performed using
plasticware to avoid boron contamination. Our
experimental results clearly demonstrated thateven a residual amount of boron is not necessary
for the growth of A. platensis (Fig. 2). In addition,
there were no detectable differences in thebiochemical properties of the cells grown in thepresence and absence of boron (Fig. 4 and Fig. 5).
It has been reported that the C-phycocyanin
content of many Arthrospira strains significantly
increased when they were cultured in a mediumthat was not supplemented with microelements (Fe,B, Mn, Zn, Cu, Mo) [26]. This effect was most
likely caused by the limitation of the element(s)other than boron, since our study demonstrated
that boron depletion had no significant effect on
the C-phycocyanin content.
A. platensis has been used for commercial
propagation. In addition to commercial usage, it
has also been used as a small-scale crop providing
nutritional supplements for the communities where
the staple diet is poor or inadequate [27][28]. The
results of our study suggest that A. platensis can be
an excellent crop that can be grown without boron
supplementation even in the region where boron
deficiency in the soil deteriorates the healthy
growth of many common crops.
In the studies of Arthrospira, growth media
used in biological experiments have been usually
supplemented with boric acid [3][14]. However,boric acid gradually forms an insoluble saltmanganese borate [10], since the growth media
contain manganese ion. Formation of the
precipitate of manganese borate may graduallydeplete manganese ions in the media during
prolonged storage. This may affect the results ofsensitive
physiologicalexperiments,
e.g.,
metabolome analysis, because manganese is an
essential cofactor of many metabolic enzymes[11][12]. Since our study showed that boron is notnecessary for the growth of A. platensis, the use ofboron-free media is recommended in sensitive
physiological studies of A. platensis.

recommended
when
performing
sensitive
physiological experiments, to avoid theprecipitation of manganese borate that may reduce
effective concentration of manganese ions in the
media.
5. ACKNOWLEDGEMENTS
This work was supported by the Grant-in-Aid
for Challenging Exploratory Research from theJapan Society for the Promotion of Science [JSPS
KAKENHI Grant Number 26660063] and theManagement Expenses Grants for National
University Corporations from the Ministry of
Education, Culture, Sports, Science andTechnology of Japan.
6. REFERENCES[1] Belay A, “Biology and industrial production of
Arthrospira (Spirulina)”, Handbook of
Microalgal Culture: Applied Phycology andBiotechnology, 2nd ed. Richmond A and Hu Q,
Eds. West Sussex: Wiley-Blackwell, 2013, pp.
339–358.
[2] Grewe CB and Pulz O, “The Biotechnology of
Cyanobacteria”, Ecology of Cyanobacteria II:
Their Diversity in Space and Time. Whitton
BA, Ed. Dordrecht: Springer, 2012, pp. 707–
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[3] Zarrouk C, Contribution à l’étude d’une
cyanophycée. Influence de divers facteurs etchimiques sur la croissance et la photosynthèsede Spirulina maxima Geilter. PhD thesis,
Université de Paris. Paris, 1966.
[4] O’Neill MA, Ishii T, Albersheim P and Darvill
AG, Rhamnogalacturonan II: Structure andfunction of a borate cross-linked cell wall
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[5] Shorrocks VM, The occurrence and correctionof boron deficiency. Plant and Soil, Vol. 193,
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[6] Mateo P, Bonilla I, Fernández-Valiente E andSanchez-Maeso, Essentiality of boron for
dinitrogen fixation in Anabaena sp. PCC 7119.
Plant Physiol. Vol. 81, 1986, pp. 430–433.
[7] Bonilla I, Garcia-González M and Mateo P,
Boron requirement in cyanobacteria: Itspossible role in the early evolution ofphotosynthetic organisms. Plant Physiol. Vol.
94, 1990, pp. 1554–1560.
[8] Garcia-Gonzalez M, Mateo P and Bonilla I,
Boron requirement for envelope structure andfunction of Anabaena PCC 7119 heterocysts. J.
Exp. Bot. Vol. 42, 1991, pp. 925–929.
[9] Martinez F, Mateo P, Bonilla I, FernandezValiente E and Garate A, Growth of Anacystis

4. CONCLUSION
Boron depletion had no detectable effect on thegrowth and biochemical properties of A. platensis.
This result indicates that boron supply is notnecessary for the propagation of A. platensis evenin the regions where boron deficiency in the soil
deteriorates the growth of common crops. Sinceboron is not necessary for the growth of A.
platensis, the use of boron-free media is69

SEE-Osaka, Japan, Nov. 21-23, 2016

nidulans in relation to boron supply. Israel J.
Botany, Vol. 35, 1986, pp. 17–21.
[10] The Merck Index: An Encyclopedia of
Chemicals, Drugs and Biologicals, 13th ed.
O’Neil MJ, Smith A, Heckelman PE andBudavari S., Eds. Whitehouse Station: Merck
and Co. Ltd., 2001.
[11] Yachandra VK, Sauer K and Klein MP,
Manganese cluster in photosynthesis: Where
plants oxidize water to dioxygen. Chem. Rev.
Vol. 96, 1996, pp. 2927–2950.
[12] Penner-Hahn JE, “Manganese proteins withmono- & dinuclear sites”, Encyclopedia of
Inorganic Chemistry, 2nd ed, Vol. V, King RB
Ed. West Sussex: Wiley, 2005, pp. 2922–2932.
[13] Green GH, Blincoe C and Weeth HJ, Boroncontamination from borosilicate glass. J. Agric.
Food Chem. Vol. 24, 1976, pp. 1245–1246.
[14] Ogawa T and Terui G, Studies on the growthof Spirulina platensis. (I) On the pure cultureof Spirulina platensis. J. Ferment. Technol. Vol.
48, 1970, pp. 361–367.
[15] Shiraishi H and Tabuse Y, The AplI
restriction-modification system in an edible
cyanobacterium,
Arthrospira(Spirulina)
platensis NIES-39, recognizes the nucleotide
sequence 5’-CTGCAG-3’. Biosci. Biotechnol.
Biochem. Vol. 77, 2013, pp. 782–788.
[16] Rippka R, Deruelles J, Waterbury JB,
Herdman M and Stanier RY, Genericassignments, strain histories and properties ofpure cultures of cyanobacteria. J. Gen.
Microbiol., Vol. 111, 1979, pp. 1–61.
[17] Shiraishi H, Association of heterotrophic
bacteria with aggregated Arthrospira platensis
exopolysaccharides: Implications in the
induction of axenic cultures. Biosci. Biotechnol.
Biochem. Vol. 79, 2015, pp. 331–341.
[18] Shiraishi, H, Cryopreservation of the ediblealkalophilic
cyanobacterium
Arthrospiraplatenisis. Biosci. Biotechnol. Biochem. 2016.
doi:10.1080/09168451.2016.1189320[19] Bradford MM, Rapid and sensitive method forthe quantitation of microgram quantities ofprotein utilizing the principle of protein-dye
binding. Anal. Biochem. Vol. 72, 1976, pp.
248–254.
[20] Arnon DI, McSwain BD, Tsujimoto HY and
Wada K, Photochemical activity andcomponents of membrane preparations fromblue-green algae. I. Coexistance of two

photosystems in relation to chlorophyll a andremoval of phycocyanin. Biochim. Biophys.
Acta, Vol. 357, 1974, pp. 231–245.
[21] Capelle K, Microdosage colorimétrique dubore en milieu aqueux, au moyen de réactifs agroupement azoïque ou imine dérivés desacides H et K. Anal. Chim. Acta, Vol. 24, 1961,
pp. 555–572.
[22] Tôei K, Motomizu S, Oshima M and Onoda
M, Spectrophotometric determination of boron
by flow injection analysis. Bunseki Kagaku,Vol. 35, 1986, pp. 344–348.
[23] Motomizu S, Oshima M and Jun Z, Anionexchange chromatographic behaviour of thecomplex of boron with H-resorcinol: sensitive
determination of boric acid. Analyst, Vol. 115,
1990, pp. 389–392.
[24] Anusuya Devi M, Subbulakshmi G, Madhavi
Devi K and Venkataraman LV, Studies on theproteins of mass-cultivated, blue-green alga
(Spirulina platensis). J. Agric. Food Chem.
Vol. 29, 1981, pp. 522–525.
[25] Cogne G, Lehmann B, Dussap C-G and Gros
J-B, Uptake of macrominerals and traceelements by the cyanobacterium Spirulina
platensis (Arhtrospira platensis PCC 8005)
under photoautotrophic conditions: Culture
medium optimization. Biotech. Bioengineer.
Vol. 81, 2003, pp. 588–593.
[26] Tarko T, Duda-Chodak A and Kobus M,
Influence of growth medium composition on
synthesis of bioactive compounds andantioxidant properties of selected strains ofArthrospira Cyanobacteria. Czech J. Food Sci.
Vol. 30, 2012, pp. 258–267.
[27] Jeeji Bai N, Seshadri CV, Small scale cultureof Spirulina (Arthrospira) as food supplement
for rural households–Technology development
and transfer. Algol. Stud. Vol 50–53, 1988, pp.
565–572.
[28] Habib MAB, Parvin M, Huntington TC and
Hasan MR, A review on culture, production
and use of spirulina as food for humans andfeeds for domestic animals and fish (FAO
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Rome: Food and Agriculture Organization of
the United Nations, 2008.

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Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

EFFECTS OF COURT-TYPE THAI TRADITION MASSAGE VERSUS
STRETCHING EXERCISE ON UPPER BACK PAIN ASSOCIATED
WITH MYOFASCIAL TRIGGER POINTS: A PILOT STUDY
Phanida Wamontree
School of Health Science, Mae Fah Luang University ChiangRai, Thailand
ABSTRACTThe study aim to immediately verify the effects of court-type Thai traditional massage (CTTM) versus
stretching exercise on upper back pain associated with myofascial trigger points (MTrPs). Twenty-fourparticipants who had been diagnosed with MTrP in the upper back were randomly allocated in a massage groupand exercise group. CTTM was applied to experimental group for 20 minutes and exercise group for 10 minutes.
The visual analog scale of pain intensity (VAS), pressure pain threshold (PPT) and tissue hardness were assessed
before and immediately after of treatment. Results of massage group had significant improvement in VAS, PPT
except tissue hardness p<0.05). Similar changes were observed in exercise group (p<0.05) except PPT. In
conclusion, CTTM , it could be an alternative treatment for patients with MTrPs.
Keywords: Court-type Thai traditional massage, Stretching exercise, Myofascial trigger point, Upper backreduce pain as well as exercise in patients with
MTrPs neck and upper back pain [6]. Moreover,
CTTM have an effectiveness to relieve pain andincrease the range of motion in patients with upper
trapezius muscle pain [7].
Although massage and stretching exercise are aneffective treatment, it has not been study to theeffect of court-type Thai traditional massage. So
that, the aim of this research was preliminarily verify
the effects of CTTM compare with stretching
exercise in patients with upper back pain associatedmyofascial trigger points.

1. INTRODUCTION
Myofascial trigger points (MTrPs) are a common
illness among people in their working age, whousually experience referred pain affecting a wide
area without being able to identify its original
location. 66-71% of the patients visit the doctor as aresult of such a complaint at least once during their
lifetime [1]. The level of pain from varies fromperson to person. Some may feel occasional mild
pain that heals over time without treatment, whereas
others may suffer from severe pain that aggravates
their movement ability. MTrPs is often found torecur with accompanying upper back pain [2].
Treatment is purposed at relieving or eliminating
trigger points including pharmacological approachand non-pharmacological approach.
Stretching is an important treatment to relieve
TrP. The advantages of this exercise are increase inmuscle blood flow to relax the muscles and reducemuscles pain, also increase range of motion,
flexibility and strength of muscles [3]. While
stretching, the mechanism called Autogenic
inhibition was happened to inhibit muscle tightness.
When the muscle have adequate tension, the brain
will inhibit nerve impulse to that muscles andrestrain muscle stretch, result in muscle relaxationand prevent muscle strain [4].
Court type Thai Traditional Massage (CTTM) isan ancient Thai remedy, it uses only hands andfingers to press the TrP. Also the therapist have agood manners from Thai custom. In the past, CTTM
is used only in the palace for royal highness. The
pressure is gradually increased until mild pain is felt,
maintained for 5-10 seconds, and then released [5].
According to study found that Thai massage can

2. SUBJECTS AND METHODS
2.1 Design
The study was a randomized controlled trial, pilot
study. It was conducted at Mae Fah Luang
University
Hospital.
Participantsreceived
information on the research through announcement
during September 2015 and December 2015.Writtenconsent to participate in the study was obtained
before enrollment. The School of Health Science’s
review board approved this study.
2.2 Subjects
2.2.1 Inclusion Criteria
The patients included in the study were male orfemale aged 18- 35 years old diagnosed with upperback pain with at least 1 TrP lasting at least 3
months. Following the diagnosis involved thepresence of taut bands, nodules and spot tenderness.
71

SEE-Osaka, Japan, Nov. 21-23, 2016

The measurement of tissue hardness meter/algometer equipped with a 10-cm diameter plastic
disc. Pressure was exerted vertically on the painfulpressure point to be examined, and tissue hardness
was automatically recorded.
All outcome measures were evaluated by physio
therapist who was not informed of subject’s groupassignment. Assessments were done before andimmediate after of treatment sessions.

2.2.2 Exclusion Criteria
The patient exclude from the study were thosewith shoulder or lower neck pain with otheraccompanying complaints, such as adhesive
capsulitis, cervical spondylosis, herniated muscles
pulposus, and movement difficulties caused bydeformed joints or scoliosis, having receiving
operative treatment within before the participation of
the present study.

2.5 Statistical Analysis
2.3 Intervention
Characteristic data were as mean± (SD) andpercentage. An unpaired t-test was used to compare
differences of massage group and exercise group.
The significance was set at an alpha level of 0.05.

Twenty-four patients aged 18-35 years who werediagnosed with MTrPs according to the criteria.
They were randomly allocated into a CTTM groupand exercise group. After diagnosis, therandomization, and signing of the consent form, thepatients were given each treatment according to thegroup to which group belonged. The details are as
follows.
The 12 patients who were randomly allocated in
the treatment group received the CTTM. The CTTM
was done by two licensed applied Thai traditional
medical practitioners who have had experience with
CTTM more than five years.
In details, the method for alleviating MTrPs
using CTTM comprised of two steps lasting 20
minutes, starting from the shoulders (10 minutes),
both sides of the upper back (5 minutes), the areaconnecting the neck and the shoulders (5 minutes).
The other 12 patients who were randomly
allocated into the exercise group were given
stretching exercise lasting 10 minutes. Stretching
was carried out for 10 minutes for treatment.
In details, the waist: Stand with the feet andaround shoulder-length apart. Then put one hand on
the waist and lift the other hand as high as possible.
After that, incline to the side opposite the hand andmaintain the posture for five seconds. Repeat theexercise for the other side of the waist and repeated
ten times. The waist, shoulders and hips. Stand withthe feet around should-length apart. Next, lift thearm to the shoulder level and angle the elbows at
approximately 90º. Finally, twist the body to the left
and then to the right with each posture maintain forfive seconds and then repeated ten times.

3. RESULTS
Details of demographic data and healthcharacteristics were shown in (Table 1). The averageage of CTTM group and control group were
21.58±0.51 years. The demographic data wereequally balanced between two groups. Clinicalcharacterization of the patient's upper back pain after
the treatments showed that there were no significant
differences between the groups in regard to any ofthese measures.
Table 1 Demographic and characteristic
CTTM
Exercise(N=12)(N=12)
Mean
SD
Mean
SD
Age (years)
21.58
0.51
21.58
0.51
Weight (kg) 56.58
9.3
62.50
15.85
Height (cm) 162.75
7.56
165.50
9.56
VAS
5.58
0.79
5.00
1.04
PPT
1.65
0.63
1.97
0.59
Tissue
42.01
9.24
45.01
10.92
hardness
Table 2 Outcome measure pre-test and post-test
assessments in the CTTM and control group (paired
t-test)

2.4 Outcome Measures

OutcomeGroup

Pre-test

Post-test

Pain
intensity
(VAS)

CTTM

5.5±0.7

3.5 ±1.4

Pvalue<0.5

Control
CTTM

5.0±1.0
1.6 ±0.6

3.5 ±0.9
1.9 ±0.7

<0.5
<0.5

Control
CTTM
Control

1.9±0.542.0±9.2
45.0±10.9

1.5±0.643.5±9.844.2±7.9

<0.5
>0.5
>0.5

Pressurepain
threshold(kg/cm2)

Pain intensity by visual analogue scale (VAS):
Patients were asked to indicate the average intensityof pain by pointing to a point along a 10-cm line; 0cm indicating no pain and 10-cm severe pain. The
pressure pain threshold (PPT) was the point where
the patient started to experience pain by using atissue hardness meter/algometer (OE-220, Japan).

TissueHardness

Note: Differences were considered as significant
when P < 0.05.
72

SEE-Osaka, Japan, Nov. 21-23, 2016

Table 3 Comparison of outcome measures between
the CTTM and Exercise at pretest-posttest

5. CONCLUSION

Outcome

The findings demonstrate the effectiveness of
CTTM in treatment of patients with upper back pain.
A comparison of the CTTM and stretching exercise
was statistically significantly decreased in VAS. The
pressure pain threshold was significantly increased.
Based on the present finding, CTTM and passive
stretching could be an alternative therapy for thepatients with myofascial pain syndrome on upperback pain. Further research should determine longterm effects and larger the sample size, because thepresent study only determine the immediate effectand long-term effects of these treatments are
unknown.

CTTM
Pain
intensity(VAS)
Pressurepain
threshold(kg/cm2)
Tissuehardness(%)

0.8±0.8

Post-test (Mean ±SD)
Control
Difference P(95%CI)
value
1.8±1.3-1.1(-1.6<0.05
to 0.6)3.9±0.6

2.5±0.4

1.3 (1.1 to
1.5)

<0.05

38.13±7.67

44.5±6.5-7.9(-9.7
to -6.1)<0.05

Note: Differences were considered as significant
when P < 0.05.

ACKNOWLEDGEMENTS
4. DISCUSSION
The main author would like to acknowledge the
School of Health Science Mae Fah Luang University,
Thailand for supporting the research. Finally wewould like to express our sincere gratitude andappreciation to all patients for their generosity andwillingness to participate in this study.

The results of this study provide evidence that
CTTM is effectiveness treatment reducing pain andimproving upper back pain in patients with MTrPs.
The finding of this study suggest that CTTM on
upper back area was effective in decreasing pain
intensity with MTrPs can reduced immediately after
treatment with either CTTM or stretching exercise.
This finding consistent with previous studies theeffects of royal traditional Thai massage in patientswith myofascial pain syndrome in upper trapezius
muscle found comparable results. The author
reported reducing pain intensity immediately after oftreatment [7]. In addition to the study of Hantan use
ischemic pressure and stretching exercise to treat
upper back pain and reported a reduction in present
pain of treatment [6]. This reported similarity fromthe study of Wamontree who applied CTTM
localized at the MTrPs and found an improvement in
the PPT immediately after treatment for patientswith upper back pain [8]. Moreover, the present
study finding support the study of Buttagate use
Thai traditional massage (TTM) and stretch exercise
in patients with MTrPs on upper back pain at which
revealed PPT immediately increasing at the end oftreatment [9]. When the patients received treatment
with CTTM on the upper back area, PPT
significantly increased immediately after thetreatment. The present study demonstrated thattissue hardness was reduced after treatment when
two groups were compared. This indicated that thetreatment by CTTM was effective in decreasing
tissue hardness, consistent with the results ofprevious study which found that use of deepmassage on upper back pain. The researchersreported reduction in tissue hardness after treatment[8].

REFERENCES[1] Travell J.G. and Simons D.G. “Myofacial painand dysfunction: the trigger point manual,”
Baltimore: Williams & Wilkins, 1983.
[2] Gerwin R.D., “Muscle Pain: Diagnosis andTreatment”. Springer: London, 2010.
[3] Berg K. “Stretching Fundamentals”. UnitedStates of America: United Graphics, 2011.
[4] Wilmor J.H., Costill D.L., Kenney W.L.
“Physiology of Sport and Exercise”,
Champaingn, IL; Human Kinetics, 2008.
[5] Ayurved Thamrong School. Thai Traditional
Medicine in the Faculty of Medicine Siriraj
Hospital. Bangkok: Supavanich Press, 2009.
[6] Mongkol S., Sawangjaithum K., Netwera V.
“The effect of royal traditional Thai massage inpatients with myofascial pain syndrome at upper
trapezius muscle: a pilot study”. Journal of
medical technology and physical therapy, vol.25,
no.1, pp. 87-95, 2013.
[7] Hantan W.P., Olson S.L., Butls N.L., Nowicki
A.L. “Effectiveness of a home program ofischemic pressure followed by sustained stretch
for treatment of myofascial trigger points”
Journal of Physical Therapy, vol.80, no. 10 pp.
997-1003, 2000.
[8] Wamontree P, “Conference proceedings”, in
Proc. 1st Int. Conf. on GEOMAT, 2015, pp. 813.

73

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

PHYSIOLOGICAL SPECIALIZATION OF PSEUDOPERONOSPORACUBENSIS AND SCREENING TECHNIQUE FOR DOWNY MILDEWRESISTANCE IN GHERKIN CUCUMBER
Piyavadee Charoenwattana1, Januluk Khanobdee 2 and Arit Udomyotin 312,3Faculty of Agricultural Technology, Rajamangala University of Technology Thanyaburi, Thailand;
Agricultural Technology Research Institute, Rajamangala University of Technology Lanna, Thailand
ABSTRACT

Downy mildew (Pseudoperonospora cubensis) causes significant losses in cucurbitaceous crops worldwide.
P. cubensis isolates were obtained from infected cucumber leaves in Lampang province during 2010-2012 in orderto determine the downy mildew virulence. Isolates were tested for the presence of highly compatible reactions on
specific hosts and identified as pathotype 3. This study focused on developing the screening method to identify
resistance whose technique is discussed for screening gherkin cucumber lines (Cucumis sativus L.) resistant todowny mildew under greenhouse and field conditions. It has been used to improve resistance in inbred lines,
varieties and hybrid parents. Eight selected gherkin cucumber lines obtained from pedigree method gave an
average disease resistance score of less than or equal to 2.4 at 40 days after transplanting using the screening
technique. Plant disease management requires a successful disease resistance breeding program to develop hostresistance that can adequate control downy mildew. Host plant resistance is the most efficient downy mildew
management. The technique is expected to improve the cucumber resistance to downy mildew pathogen.
Keywords: Downy mildew, Pathotype, Gherkin, Screening, Resistance

155 cucumber cultivars for downy mildew using
intensity of sporulation as the method for determining
resistance. Plant breeders commonly use a rapid
method with visual evaluation using a subjective
rating scale [8] to determine sporulation for selectionof families resistant to downy mildew. A set of 65
diverse cultivars was evaluated in the field using
sporulation and other leaf and vine traits forresistance to downy mildew [9]. Downy mildew
requires 4 to 12- day sporulation under controlled
conditions [10].
An efficient screening was used to identify downy
mildew resistance through the selection of gherkincucumber lines using three methods (inbred line
selection, pedigree and backcross methods). The
result is expected to be useful to increase theresistance of cucumber to downy mildew. All
experiments were conducted at the Agricultural
Technology Research Institute (ATRI), Rajamangala
University of Technology Lanna, Lampang province
during May 2010 – August 2012 to identify andimprove resistance in inbred lines, varieties andhybrid parents for durable resistance andmanagement.

INTRODUCTION
Downy mildew [Pseudoperonospora cubensis(Berk.& Curt.) Rostov.] is an economically importantdisease in cucumber production, especially in theworld’ humid regions [1]. The disease developed intemperate and tropical areas with either high or low
rainfalls and sufficient leaf wetness periods, usually
by dew. Inadequate control measures can cause major
losses to outputs of cucumber, melon, squash,
pumpkin, watermelon, and other cucurbits [2]. The
host range of P. cubensis is reported to include 50
species in approximately 20 genera of the
Cucurbitaceae family [3]. Pathotypes can bedifferentiated by observing physiological reactions
on a diverse set of cucurbit genera. Six pathotypes ofP. cubensis were analyzed based on theircompatibility with specific hosts [4], [5]. The
identification of host specificities of downy mildew
provided useful information for the characterizationof the pathogen [4].
Breeding programs were conducted to increase
the level of resistance to downy mildew in cucumber.
Gherkin cucumber (Cucumis sativus L.) is the
cucurbitaceous vegetables for slicing and pickling[6]. It is difficult to improve resistance to downy
mildew in cucumber due to environmental variability
and a narrow genetic base in cucumber [1]. Efficientand accurate pathogenicity tests for measuringresistance are important for a successful disease
resistance breeding program. Reference [7] screened

OBJECTIVE
This study determined the pathotype of downy
mildew isolates collected at ATRI, Lampang
province. It screened selected gherkin cucumber lines
in a field highly infested with P. cubensis to increase74

SEE-Osaka, Japan, Nov. 21-23, 2016

resistance to the pathogen.

Design. Then 20 plants from each variety weretransplanted in fields without using artificial
inoculum. During the growing season, the fields were
exposed to natural epidemics encouraged by a borderrow of susceptible varieties in each field to help
monitor and spread the inoculum by overhead
irrigation. The disease reactions were recorded on the
20th, 30th and 40th day after transplanting.
All cucumber lines and varieties were rated forresistance to downy mildew after inoculation for
foliar lesions with a 0-5 visual rating scale (0 – nofoliar symptoms, 1 – 1-20 % symptoms, 2 – 21-40 %symptoms, 3 – 41-60 % symptoms, 4 – 61-80 %symptoms, 5 – 81-100 % symptoms) with somemodifications of [11] for greenhouse and field
assessment.

METHODOLOGY
Fungal Isolate, Plant Growth and Host Specificity
Testing
The isolates of P. cubensis collected from downy
mildew lesions on heavily infected cucumber leaves
at ATRI, Lampang province (Lampang isolate) to
determine host specificities of the pathogens [4].
Inoculations were made to 15 cultivars representing 8
species within 5 genera of the family Cucurbitaceae,with 12 plants per cultivar per assay and repeated
twice (Table 1). Plants were grown in a greenhouse in
9 cm2 plastic pots using sterilized planting materials(Krassmann KTS2, Germany) composed of peat mossand vermiculite; watered twice daily and fertilized asneeded. Once they reached a two-expandedcotyledon stage, adaxial and abaxial leaves’ surfaces
were inoculated with a suspension of P. cubensis (104sporangia ml-1) by spraying until incipient run-off.
Inoculated plants were placed in the dark at 20 Cwith high humidity for 21 hours. Subsequently, they
were transferred to the greenhouse with a temperatureof 24-28 C and relative humidity of 80-90%. The
plants were observed daily for symptom development.
Inoculated plants were evaluated for the presence of
lesions and sporulation intensity. Sporulation was
rated qualitatively as compatible or incompatible(Table 1). The disease reactions of the host plants
were recorded on Day Seventh after inoculation. The
host plants without fungal inoculation were used as acontrol.

Statistical Analysis
An analysis of variance (ANOVA) was carried out
to compare quantitative data and morphologicalvariations and these were analyzed using Duncan’s
New Multiple Range Test (DMRT).

RESULTS AND DISCUSSION
Disease symptoms first appeared as small, slightly
chlorotic to bright yellow areas on the upper leaf
surface. Later, the lesions expanded; they remained
chlorotic or yellow or became necrotic and brown.
The morphology of Lampang isolate visualized undera light microscope and scanning electron microscope(Fig. 1) provided morphology of the pathogen.

Screening Gherkin Cucumber Lines for
Resistance to P. cubensis under Greenhouseand Field Conditions
To improve resistance to P. cubensis in gherkincucumber lines, F2-F5 generation of gherkincucumber lines were tested and screened, along withgherkin varieties, commercial varieties of cucumber
and downy mildew resistant varieties using Pedigree
selection. The pathogenicity test in this study
originated from 196 gherkin cucumber lines of F2
generation. The disease resistance in F3 and F4
generation were tested and screened in thegreenhouse. The Completely Randomized Design
was replicated twice with 12 plants per cultivar per
assay. The plants were inoculated with a suspensionof P. cubensis (Lampang isolate) as described above.
The disease reactions of the plants were recorded on
the 3rd, 5th and 7th day after inoculation. The hostplants without fungal inoculation were used as acontrol.
F2-F5 generation of gherkin cucumber lines were
tested and screened under field condition. The
experiment deployed a Randomized Complete BlockA

B
Fig. 1 Disease symptoms and morphology of P.
cubensis (Lampang isolate) (A) Disease symptoms onleaves,(B) Sporangiophores and sporangia under alight microscope, and (C) visualized by scanningelectron microscope.

75

C

SEE-Osaka, Japan, Nov. 21-23, 2016

and 36 lines. The test results showed that 54 lines (outof 92) have mildew resistance score of less than orequal to 2.3 after inoculation for 7 days and that 28
lines (out of 36) have mildew resistance score of lessthan or equal to 1.5 after 7 days. Then, the downy
mildew resistance of these F4 generation was tested
and screened in field condition. The test results
showed that the 5 highly resistance lines (out of 24)
exhibited resistance score of 0.9-1.2 after 40 days oftransplanting.

Physiological Specialization of Downy Mildew
Inoculations to 15 cultivars representing 8 species
within 5 genera of the Cucurbitaceae family reveal
physiological specialization of Lampang isolate andit was classified as pathotype 3. This isolate was
highly compatible with Cucumis sativus, C. melo var.
reticulatus, C. melo var. conomon and C. melo var.
acidulous (Table 1 and Fig. 2). A pathogenicity test
showed that the host specificity of P. cubensis isolate
could be used to identify downy mildew in cucumber.
In 1987, Thomas found five pathotypes of P. cubensis
including pathotype 1 and 2 in Japan, pathotype 3 inIsrael, and pathotype 4 and 5 in the USA. The
pathotype 6 was reported in Israel as a new pathotype
by Thomas et al. [5]. The resistance of these hosts
varied according to locations, suggesting thatdifferent pathotypes were present in the various
locations.

The pedigree selection in F5 generation in thefield yields 8 lines of gherkin cucumber with mildew
resistance score of 1.2-2.4 after 40 days oftransplanting that can be used as parental lines togenerate hybrid variety and perform combining
ability test. The F5 generation yields average output
26.9 tons per hectare and 32.6 fruits per plant,
compared to the yields of gherkin cucumber varieties(23.1 tons per hectare and 27.5 fruits per plant). The
result indicated that the higher downy mildew
resistance can increase the yield of gherkin cucumberlines, thus consistent with Celetti et. al.’s findings[12] that disease reduced the quantity and quality ofoutputs by 30%-100%. In sum, the pedigree selectionof four generation found the gherkin cucumber lines
with mildew resistance score of less than or equal to
2.4.

Table 1 Reactions of selected cultivars of cucurbit
host species to P. cubensis

Species
Cucumis sativus

Cucumis melovar.reticulatus
Cucumis melovar.conomon

Cucumis melovar.acidulus
Citrullus lanatus

Cultivar

Reaction 1/

C1
Malai 759
Toto
Ranthong
SingtoChiataiKamini
PI420149*
PI420150*
PI532830*
PI200819*

+
+
+
+
+
+
+
+
+
+
+

A

Blackwater
melon
Cucurbita maxima
SingtoLagenaria vulgaris
Advance
Luffa acutangula
Angle
luffah* The seeds were obtained from National Plant
Germplasm System, GRIN USDA
1/
Based on the presence of a highly compatible
reaction between P. cubensis and the mostsusceptible host genotype. + is highly compatible; - isincompatible, very low compatible, or lowly
compatible.

E

B

F

C

D

G

H

Fig. 2 The disease reaction of P. cubensis (Lampang
isolate) on cucurbit host species (A) Cucumis sativus;(B) Cucumis melo var. reticulatus; (C) Cucumis melovar.conomon;(D) Cucumis melo var. acidulous; (E)Citrullus lanatus; (F) Cucurbita maxima;(G)Lagenaria vulgaris; and (H) Luffa acutangula undergreenhouse conditions at 7th day after inoculation

Screening for Downy Mildew Resistanceunder Greenhouse and Field Conditions
The pathogenicity test of downy mildew
resistance in greenhouse of gherkin cucumbers
distinguished the F4 generation into two groups: 92
76

SEE-Osaka, Japan, Nov. 21-23, 2016

[5] Cohen Y., Meron I., Mor N. and Zuriel S., 2003.
A New Pathotype of Pseudoperonospora
cubensis Causing Downy Mildew in Cucurbits in
Israel. Phytoparasitica 31 (5): 458-466.
[6] The Colonial Williamsburg Foundation, 2002.
Melons and cucumbers. [On-line]. Available:
http://web.archive.org/web/20051211215927/htt
p://georgetown.u47.k12.me.us/history/CWLand/
resrch6.cfm, September 20, 2012.
[7] Lebeda, A. and Prasil, J. 1994. Susceptibility of
Cucumis sativus cultivars to Pseudoperonospora
cubensis. Acta Phytopathol Entomol Hung 29:
89-94.
[8] Jenkins, S. F. and Wehner, T. C. 1983. A system
for measurement of foliar diseases in cucumbers.
Cucurbit Genet Coop Rpt 6: 10-12.
[9] Criswell, A. D., Wehner, T. C., Klosinska, U.
and Kozik, E. 2008. Use of sporulation andother leaf and vine traits for evaluation of
downy mildew in cucumber. p. 433-439. In
Proceedings of the IXth EUCARPIA meeting on
genetics and breeding of Cucurbitaceae. May
21-24th, 2008. INRA, Avignon, France.
[10] Zitter, T. A. Hopkin, D. L. and Thomas, C. E.
(eds.) 1996. Compendium Cucurbit Diseases.
APS Press, St. Paul (MN, USA) pp 25-27.
[11] Thompson, D. C. and Jenkins, S. F. 1985.
Pictorial assessment key to determine
concentrations that control anthracnose
development on cucumber cultivars withvarying resistance levels. Plant Disease 69: 833836.
[12] Celetti, M., Roddy, E. and Pitblado, R. 2007.
Downy Mildew in Cucurbits. Ministry ofAgriculture, Food and Rural Affairs, Ontario.
[On-line]. Available: http://www.
Omafra.govReferences.on.ca/English/crops/
facts/downy-mildew-a.htm, June 28, 2011.

CONCLUSION
The cucumber downy mildew (P. cubensis Lampang isolate) was identified as pathotype 3 forthe presence of highly compatible reactions on four
specific cucurbit host species. Eight selected gherkincucumber lines obtained from pedigree method gave
an average disease resistance score of less than orequal to 2.4 after 40 day of transplanting. The
screening under greenhouse and field conditions
provides an efficient technique for developing
gherkin cucumber lines with high resistance to downy
mildew.
ACKNOWLEDGEMENTS
This study was financed by a research grantfrom the National Center for Genetic Engineering andBiotechnology (BIOTEC), Ministry of Science andTechnology, Thailand and their assistance isgratefully acknowledged.
REFERENCES[1] Palti J. and Cohen Y., 1980. Downy mildew of
cucurbits (Pseudoperonospora cubensis): thefungus and its hosts, distribution, epidemiology
and control. Phytoparasitica 8: 109-147.
[2] Thomas C. E., 1998. Downy mildew. In:
Compendium of Cucurbit Diseases (T. A. Zitter,ed.): 25-27. APS PRESS, Minnesota.
[3] Palti J., 1974. The significance of pronounced
divergencesinthedistributionofPseudoperonospora cubensis on its crop hosts.
Phytoparasitica 2: 109-115.
[4] Thomas C.E., Inaba T. and Cohen Y., 1987.
Physiological specialization in
Pseudoperonospora cubensis. Phytopathology
77: 1621-1624.

77

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

EFFECTIVENESS OF USING RIVER INSECT LARVAE AS AN INDEXOF CU, ZN AND AS CONTAMINATIONS IN RIVERS, JAPAN
Hiroyuki Ii1 and Akio Nishida2
Faculty of Systems Engineering, Wakayama University, Japan; 2 Kyoei High School, Japan

1

ABSTRACT
Analysis of Dobsonfly larvae for concentrations of Cu and Zn was found to be an effective method ofdetermining levels of Cu and Zn contamination of rivers in metal mine areas and non-metal mine catchments.
Metal concentration in Dobsonfly larvae was used as an index of metal contamination because the amount ofmetal concentration in Dobsonfly larvae decreased with the dry weight of the larvae and also on the degree ofmetal present in the river water. Dobsonfly makes an excellent tool for contamination evaluation because of theireasy classification, wide distribution and commonness. Furthermore, due to their relatively lengthy 2-3 year
lifespan, river contamination assessment over a long term could be performed. In this study, Cu, Zn and As
concentrations in river insect larvae in metal mine areas were found to be higher than those in non-minecatchments.
Keywords: Mine waste, Dobsonfly, ecotoxicology, heavy metal, insect larvae

Caddisfly were measured and this metal
concentration was used as an indicator ofenvironmental pollution [8], [9]. However,Caddisfly has many kinds of species and classifying
each species is difficult. Dobsonfly however, has
just two main species, Protohermes grandis andParachauliodes continentalis in Japan. Dobsonfly isthus thought to be more useful than Caddisfly forclassification. Although metal concentrations of
dobsonfly were measured [10], these values were
not compared with other insects at the same river.
The purpose of this study was therefore to evaluate
the possibility of using Dobsonfly as an indicator ofthe degree of metal environmental pollution
comparing other river insects.

INTRODUCTION
Many papers concerning metal concentration inriver insect larvae and the high concentration factorof heavy metal found in many kinds of insects havebeen published [1], [2], [3]. In particular, theinfluence of metal from waste water or mine tailingson river insects and the relation between metal
concentrations in soil and water and metal
concentration on insects have been studied [4], [5].
As a result, metal concentrations in river insect
larvae were found to be very high relative to noncontaminated areas. The actual mechanism of metal
accumulation was studied using nitrogen and carbon
stable isotope [6]. Although monitoring water andsoil is important for evaluating contamination, it
requires taking numerous samples over a long termin order to determine average values of metal
concentrations as water and soil metal
concentrations vary with time and place. Some
insect larvae live in rivers for several years andderive their food from points upstream to their living
point therefore they can provide considerable
information
regardingmetalcontamination.
Measuring metal concentrations in insect larvae ismore useful than measuring contamination in waterand soil in terms of time, area and concentration.
Dobsonfly is distributed widely in Japan,
southern and eastern Asia, South and North America,
South Africa, Madagascar, Australia, and New
Zealand [7]. Dobsonfly is carnivorous with large
jaws and lives in rivers for 2 to 3 years. Metal
concentrations in Dobsonfly and Caddisfly are thus
thought to provide information for wide areas over along term. In Japan, metal concentrations in

Fig.1 Study area. Mine area: Waidani, non-mine
area: Taisyakukyo, Yada, Kino and Kirime Rivers
78

SEE-Osaka, Japan, Nov. 21-23, 2016

waste water was not treated by neutralization andprecipitation. Zn, Cu and As concentrations in
upstream river water were high relative to thedownstream subsequently mine tailings were
thought to be metal source along the rivers. Cu, Zn
and As loads reached approximately 20, 150 and 10
kg per year. Metal load was not small for these small
catchments of only 3 km in length. In particular, Asconcentration at the SR U and Zn concentrations at
the NR UP and NR UM were high.

MATERIALS AND METHODSRiver insect larvae were sampled at both mineand non-mine catchments and metal concentrations
were measured. The Waidani area was selected formine waste water catchments in Okayama Prefecture
as shown in Fig.1. The Waidani area is a typicalclosed small scale copper mine area operated until
70 years ago and its tailing containing ores and slag
were disposed of along the top of a local valley withno protection. Pyrite FeS 2 , spharelite ZnS,
chalcopyrite CuFeS 2 and arsenopyrite FeAsS were
found in the tailings and Zn, Cu and As
contamination was suspected. River water originatedfrom the tailings seepage. River insect larvae were
sampled along the downstream of the valley in May,
June, November, December 2013 and January 2015.
River water was sampled and flow rate wasmeasured from December 2011 to January 2015.
River water and insect larvae in non-minecatchments were sampled along the Taishaku Valley
in a limestone valley in Hiroshima Prefecture, theYada River with volcanic sediments in Hyogo
Prefecture, the upstream of the Kino River withsedimentary rocks, basic and felsic metamorphic
rock and limestone in Nara Prefecture and the
Kirime River with sedimentary rocks as shown in
Fig.1. Sampling dates for river water and river insect
larvae was in August 2013 at the Taishaku Valley, in
July and December 2012 at the Yada River
composed of three branch rivers, in December 2013and December 2014 at the upstream of Kino River
with three sampling points and in October 2014 at
the Kirime River. Sampled insect larvae were driedthen dissolved with concentrated nitric acid solution.
The solution after filtration with 0.45 micrometer
was analyzed for metal concentration by ICP-AES(Inductively Coupled Plasma Atomic Emission
Spectroscopy). River water was also analyzed by
ICP-AES.

Table 1 pH, EC, Cu, Zn, and As concentrations ofriver water
pH
EC
Cu
Zn
As

RESULTS
Table 1 shows pH, EC, Cu, Zn, and As
concentrations of river water along the valley for the
Waidani area. At the top of the valley, there arelarge tailing places from which the south and northrivers originated. The upstream, middle anddownstream of the south river are SR U, SR M andSR D and the length was 3 km. The sampling points
from the upstream to downstream of the north river
are NR UP, NR UM, NR MD and NR D and thelength was 3 km. The sampling points, SR U, NR
UP and NR UM were next to the tailing place.
Although most mine waste water contains highconcentrations of H+ and SO 4 2-, EC values were low
and pH values were high indicating that in this area

S
R
U

6.7
~

S
R
M

6.9
~

S
R
D

7.0
~

N
R
U
P

6.5
~

N
R
U
M

6.2
~

N
R
M
D

6.6
~

N
R
D

6.6
~

(ms/m)(mg/l)(mg/l)(mg/l)

15.7~

0.010~

0.247~

0.127~

18.8

0.143

0.543

0.178

8.6~

0.007~

0.031~

0.022~

9.8

0.086

0.273

0.046

8.0~

0.008~

0.026~

0.017~

12.2

0.028

0.051

0.053

9.8~

0.063~

1.047~

0.011~

13.0

0.198

1.914

0.039

9.2~

0.052~

0.831~

0.002~

15.3

0.182

1.429

0.073

8.2~

0.011~

0.308~

N.D.~

12.1

0.037

0.637

0.045

9.0~

N.D.~

0.125~

N.D.~

11.8

0.014

0.205

0.026

7.6

8.0

7.5

7.5

7.7

7.5

7.7

Fig. 2, 3, and 4 shows Cu, Zn, and As
concentrations under dry weight samples for all
sampled river insect larvae. Although Cu
concentrations in river insect larvae in the Waidani
north and south areas were variable values, several
10 to several 1000 ppm, they decreased fromupstream to downstream. Cu concentration in river
insect larvae was thought to depend on river Cu
concentration. Cu concentrations in river insect
larvae in the Taisyakukyo, Yada, Kino and KirimeRivers, were uniform, 10 to 100 ppm but Cu
concentrations in river insect larvae in the Waidani
79

SEE-Osaka, Japan, Nov. 21-23, 2016

104
dobsonfly
Stenopsyche mamorata
caddisfly
dragonfly
mayflystoneflyother insects

1000

KINO 3KINO BKIRIME

Waidani

YADA B3KINO 1KINO 2TAISHAKUYADA B1
YADA B2

NR MD
NR D

10

NR UP
NR UM

100

SR U
SR M
SR D

Cu (ppm dry weight)

area were 10 times higher than those in non-minecatchments. Cu concentrations for river insect larvaein the Waidani area even 3 km downstream werehigher than those in non-mine catchments. Cu
concentration of river water in the Waidani area waswithin the Japanese Effluent Standard. Thus, thehigh Cu concentration in river water in the Waidani
area was thought to increase Cu concentration inriver insect larvae. Therefore, the Cu concentration
value of the Japanese Effluent Standard was thought
to be too high judging from the high Cu
concentration in river insect larvae. Cu concentrationin river insect larvae depended on the environment’s
Cu concentration. Then, river insects were thought
to be effective as Cu contamination indicators.
Dobsonfly was expected to be useful as a metal
index because Dobsonfly was found widely,
however Cu concentrations in Dobsonfly larvae in
the Waidani area were very variable, several 10 toseveral 1000 ppm. Stenopsyche mamorata is a kindof Caddisfly and very common in Japan. However,Stenopsyche mamorata was not found in the
Waidani area although it was very abundant in nonmine catchments. Dragonfly, Caddisfly and Stonefly
were found in the Waidani area and were higher thanthose in non-mine catchments although eachconcentration had a wide range. In this study, there
were 18 species of Stonefly, 13 species of Mayfly
and 13 species of Caddisfly and excluding
Dobsonfly, many species were thought to bring out
variable concentration values because each species
was thought to have each concentration character.
Although Zn concentrations in river insect larvaein the Waidani south and north areas were variablevalues, 100 to 10,000 ppm, they decreased fromupstream to downstream. Zn concentration in river
insect larvae was thought to depend on river Zn
concentration. Although Zn concentrations in the
Taishakukyo were variable values, 100 to several
1000 pm as well as mine areas, Zn concentrations in
the Kino and Kirime River were several 10 toseveral 100 ppm and Zn concentrations in the YadaRiver were several 100 ppm and then Zn
concentrations in river insect larvae in mine areas
were higher than those in non-mine catchments.
Effluent Regulations although it was under theJapanese Effluent Standard. Thus, the high Zn
concentration in river water in the Waidani area wasthought to increase Zn concentration in river insect
larvae. Therefore, Zn concentration in the Japanese
Effluent Standard was thought to be too highjudging from high Zn concentration in river insect
larvae. Zn concentration in river insect larvae
depended on the environment Zn concentration
because Zn concentration in river insect larvae in the
Waidani area decreased down the stream and Znconcentration in river insect larvae in the Waidani
area was higher than those in non-mine catchments.
Therefore river insect larvae were thought to be

Fig. 2 Cu concentrations under dry weight samples
for all sampled river insect larvae.

1000

100

KINO 3KINO BKIRIMEYADA B3KINO 1KINO 2YADA B1
YADA B2

Waidani

TAISHAKU

NR D

NR MD

NR UP
NR UM

10

dobsonfly
Stenopsyche mamorata
caddisfly
dragonfly
mayflystoneflyother insects

SR U
SR M
SR D

Zn (ppm dry weight)

104

Fig. 3 Zn concentrations under dry weight samples
for all sampled river insect larvae.

As (ppm dry weight)

105
dobsonfly
Stenopsyche mamorata
caddisfly
dragonfly
mayflystoneflyother insects

104
1000
100
10

KINO 3KINO BKIRIMEYADA B3KINO 1KINO 2

Waidani

TAISHAKUYADA B1
YADA B2

NR MD
NR D

NR UP
NR UM

0.1

SR U
SR M
SR D

1

Fig. 4 As concentrations under dry weight samples
for all sampled river insect larvae.
effective as a Zn contamination indicator. Zn
concentration in Dobsonfly larvae in the Waidani
area was 10 times higher than those in non-minecatchments as well as Stonefly although Zn
80

SEE-Osaka, Japan, Nov. 21-23, 2016

concentrations in Dobsonfly larvae were variable.
Although As concentrations in river insect larvaein the Waidani south and north areas were variablevalues, several to several 1000 ppm, they decreased
from upstream to downstream. As concentration inriver insect larvae was thought to depend on river As
concentration. As concentrations in insect larvae in
non-mine catchments were several 0.1 to several 10
ppm and As concentrations in river insect larvae in
the Waidani area were 10 to 100 times higher thanthose in non-mine catchments. The high As
concentration in river in the Waidani area wasthought to increase As concentration in river insect
larvae. As concentration in river insect larvae
depended on the environmental As concentration
because As concentration in river insect larvae in the
Waidani area decreased going downstream and washigher than those in non-mine catchments. Therefore
river insect larvae was thought to be effective as an
As contamination indicator. As concentration in
Dobsonfly larvae in the Waidani area was 10 times
higher than those in non-mine catchments as well as
Stonefly although As concentrations in Dobsonfly
larvae had a wide range.
Fig.5, 6, and 7 show the relation between Cu, Zn,
and As concentrations in river insect larvae and dryweight in river insect larvae because metal
concentrations in insect larvae were thought tochange with insect growth. Cu concentration in river
insect larvae in both the Waidani area and non-minecatchments decreased with dry weight in insect
larvae. Although Cu concentration in river insect
larvae had a wide range, Cu concentration for eachweight had a narrow range. In particular, Dobsonfly
was found to show a good relation between dry
weight and concentration while other insects such as
Stonefly were not as clear. Other insects had many
species and each species was thought to have its own
character. Decrease (log(Cu)/log(weight)) in Cu
concentration with dry weight for Dobsonfly was
about -0.5 log(ppm) /log(g) in the Waidani area andabout -1/3 log(ppm) /log(g) in non-mine catchments.
At the condition in 0.01 g for dry weight (a common
dry weight in river insect larvae), Cu concentrationin Dobsonfly larvae in the Waidani area and nonmine catchments were several 100 and several 10
ppm and then Cu concentration in Dobsonfly larvaein the Waidani area was 10 times higher than thosein
non-minecatchments.
Therefore,
Cu
concentrations in Dobsonfly under the uniform dryweight condition could be useful as an index of Cu
contamination.
Zn, as well as Cu concentrations in river insect
larvae in both the Waidani area and non-minecatchments decreased with dry weight in river insect
larvae. Although Zn concentrations in river insect
larvae had a wide range, Zn concentrations for eachweight had a narrow range. In particular, Dobsonfly
was found to have a good correlation between the

Waidani Cu (ppm dry)

104

1000

100

10

1
0.0001

104

Non-mine catchment Cu (ppm dry)

dobsonfly
Stenopsyche mamorata
caddisfly
dragonfly
mayflystoneflyother insects

1000

0.001
0.01
0.1
Dry weight (g/1 larva)

1

dobsonfly
Stenopsyche mamorata
caddisfly
dragonfly
mayflystoneflyother insects

100

10

1
0.0001

0.001
0.01
0.1
Dry weight (g/1 larva)

1

Fig. 5 the relation between Cu concentrations inriver insect larvae and dry weight in river insect
larvae, upper: Waidani, lower: non-mine catchments
dry weight and Zn and Cu concentrations althoughother insects such as Stonefly were not clear.
Decrease (log(Zn)/log(weight)) in Zn concentration
with weight for Dobsonfly was about -1/3 log(ppm)/log(g) both in the Waidani area and non-minecatchments however Zn concentration in river insect
larvae in the Waidani and non-mine catchments
were different. At the condition in 0.01 g for dry
weight, Zn concentration in Dobsonfly larvae in
Waidani area and non-mine catchments were 1000
ppm and several 100 ppm and then Zn concentrationin Dobsonfly larvae in Waidani area was about 10
times higher than those in non-mine catchments.
Therefore, Zn concentration in Dobsonfly under theuniform dry weight condition could be useful as anindex in Zn contamination.
As concentration in river insect larvae in both the
Waidani area and non-mine catchments decreased
with dry weight in insect larvae as well as Cu and Zn.
Although As concentration in river insect larvae had
a wide range, As concentration for each weight had
a narrow range. Dobsonfly was only found to have agood relation between the dry weight andconcentration in the Waidani area. Most in As
81

SEE-Osaka, Japan, Nov. 21-23, 2016

105

104

dobsonfly
Stenopsyche mamorata
caddisfly
dragonfly
mayflystoneflyother insects

4

100

10

1
0.0001

104
Non-mine catchment Zn (ppm dry)

Waidani As (ppm dry)

1000

1000

dobsonfly
Stenopsyche mamorata
caddisfly
dragonfly
mayflystoneflyother insects

0.001
0.01
0.1
Dry weight (g/1 larva)

1

10
1

0.01
0.1
0.001
Dry weight (g/1 larva)

1104

dobsonfly
Stenopsyche mamorata
caddisfly
dragonfly
mayflystoneflyother insects

10

0.001
0.01
0.1
Dry weight (g/1 larva)

100

0.1
0.0001100

10.00011000

Non-mine catchment As (ppm dry)

Waidani Zn (ppm dry)

10

1

1000
100

dobsonfly
Stenopsyche mamorata
caddisfly
dragonfly
mayflystoneflyother insects

10
1
0.1
0.0001

0.001
0.01
0.1
Dry weight (g/1 larva)

1

Fig. 7 the relation between As concentrations inriver insect larvae and dry weight in river insect
larvae, upper: Waidani, lower: non-mine catchments

Fig. 6 the relation between Zn concentrations inriver insect larvae and dry weight in river insect
larvae, upper: Waidani, lower: non-mine catchments

Dobsonfly larvae are being considered as anindex in metal contamination because they are easy
to classify, have a wide distribution, are very
common, live 2 or 3 years in rivers, and arecarnivorous (top of the insect food chain). Metal
concentrations in river insect larvae in mine areasand non-mine catchments were measured. Metal
concentrations in insect larvae in mine areas werehigher than those in non-mine catchments although
they were very variable, by as much as two or threeorders. However Cu, Zn, and As concentrations inriver insects were still variable values, one or twoorders at the same area, mine area or non-minecatchments, because the concentrations decreased
with weight and depended on species. Then, at thesame weight condition, the concentrations for one
species, Dobsonfly larvae indicated uniform values,
one order, however other insect larvae maintainedwide ranges, over one order because these insects
had many species and each species had its own
concentration character. Concentration in Dobsonfly
decreased with dry weight in Dobsonfly under the

analysis for river insect larvae in the non-minecatchment was under the detection limit in ICP and
there were only 4 samples for Dobsonfly. The
relation between concentration and dry weight inboth the Waidani area and non-mine catchments wason the same line, decrease (log(As)/log(weight))in
As concentration with weight for Dobsonfly was 0.5 log(ppm) /log(g). At the condition in 0.01 g fordry weight, As concentration in Dobsonfly larvae in
the Waidani area and non-mine catchments wereseveral 10 ppm and then As concentration in
Dobsonfly larvae in the Waidani area and non-minecatchments was the same. On the other hand, Asconcentration in other river insect larvae in the
Waidani area were higher than those in non-minecatchments. Therefore, As concentration in
Dobsonfly under the uniform dry weight condition
was not thought to be satisfactory as an index in As
contamination probably because of a lack of data for
Dobsonfly.
DISCUSSION
82

SEE-Osaka, Japan, Nov. 21-23, 2016

same river metal condition and the relations,decreases in metal concentration with weight for Cu,
Zn, and As were different values and Cu and Znconcentration in Dobsonfly was thought to dependon river metal condition. However, As concentrationin Dobsonfly was not thought to depend on river
metal condition because As concentration in
Dobsonfly under the same dry weight was the samein the Waidani area and non-mine catchments
although As concentration in river insect larvae in
the Waidani area was lower than those in non-minecatchments in spite of scarce data on As
concentration in Dobsonfly in non-mine catchments.
Therefore, metal contamination was estimated fromthe relations for Dobsonfly excluding As. For
example, metal concentration in Dobsonfly at thesame dry weight was thought to become an index inmetal contamination. Dobsonfly is distributed on aworld scale and is very common but limited in its
number of species in Japan.
Generally, metal is accumulated in body overtime with growth. However, the relation between
metal concentration and weight showed reverse
results. Elimination ability for metal was thought toincrease with growth or during ecdysis, the insect
was thought to release metal. Decrease in metal
concentration with weight was low for Zn and Cu. It
was also thought to depend on toxicity in metal.
Main river water resource at the upstream in the
Waidani area, mine area was seepage from thetailings. Therefore, river water was partly mineeffluent water. River insect larvae in the upstream
were assumed to have grown up in effluent water.
From Cu, Zn and As concentration and weight for
Dobsonfly, Cu, Zn and As concentration in
Dobsonfly in the Waidani, mine area had highconcentrations relative to the non-mine catchments.

weight for Cu, and Zn was different and also
depended on river water metal concentration.
REFERENCES[1] Hickey C.W. and Golding L.A. “Response in
macroinvertebrates to copper and zinc in a
stream mesocosm”, Environ. Toxicol. Chem.,
Vol. 21, 2002, pp. 1854-1863.
[2] Tochimoto H., Oshida Y., Kikuchi Y., Sasano
H., Nakamura H. and Matsumoto M. “Aquatic
Insects in Streams as Biological Monitors in
Heavy Metal Pollution”, Ann. Rep. Tokyo Metr.
Res. Lab. P.H., Vol. 32(1), 1981, pp. 296-303.
[3] Hatakeyama S., Sugaya Y., Satake K.,
Miyashita
M.
And
Fukushima
S.
“Macroinvertebrate communities in heavy
metal-polluted rivers in the Shikoku district inJapan”, Verh. Internat. Verein. Limnol, Vol.24,
1990, pp. 220-227.
[4] Hatayama N. “Determination in acceptablecopper concentration for macroinvertebrate
communities based on field investigations on
metal-polluted rivers around abandoned mines
in Japan” Japan J. Environ. Toxicol., Vol. 14(1),2011, pp. 57-68.
[5] Leland H.V., Fend S.V., Dudley T.L. and Carter
J.L. “Effects in copper on species composition
in benthic insects in a Sierra Nevada, California,
stream”, Fresh-water. Biology, Vol. 21, 1989,
pp. 163-179.
[6] Watanabe K., Yamamoto N., Kusano H. And
Omura T. “ Elucidation in Mechanisms in
Heavy Metal Accumulation in Stream Aquatic
Insects by Nitrogen and Carbon Stable isotope
analysis”, Journal in Japan Society on Water
Environment., Vol. 28(12), 2005, pp. 737-744..
[7] Yoshinori T, Takuzou Y, “The life history inParachauliodes continentails in Sugihara river,
Hyogo”, Hyogo Inland Water Living Thing, Vol.
50, 1999, pp. 7-13.
[8] Aizawa S., Kakuta K., Akatsuka M., Inoue S.
and Akaiwa H. “Evaluation in Caddisfly as anindicator organism for environmental pollution
by heavy metals”, Japan Analyst, Vol.43(11),1994, pp. 865-871.
[9] Aizawa S., Kakuta A., Yasuda S., Kakuta K.
and Itabashi H. “Concentrations in Heavy
Metals in Caddisfly Larvae in the Tone River
System and Their Seasonal Variations”, Japan
Analyst, Vol. 58(4), 2009, pp. 273-285.
[10] Fujino A. and Ii H., “Importance of corydalidae
as an index of metal contamination of river”,
International Journal of GEOMATE, Dec., 2015,
Vol. 9(2), pp. 1483-1490.

CONCLUSION
Comparing metal concentrations in river waterand river insect larvae in mine areas and non-minecatchments, Cu, Zn and As concentrations in river
insect larvae were higher than those in non-minecatchments. However, the metal concentrations had
wide ranges and river water metal concentration,
insect species and larvae weight made wide ranges.
Then, using one species, the Dobsonfly larvae whichhave a wide distribution, are very common, havelong lives and are carnivorous, river metal
concentration was evaluated from the relation
between metal concentration and weight for
Dobsonfly because the relation between metal
concentration and dry weight for Dobsonfly wasvery clear. The metal concentration decrease with83Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

EFFECT OF NIR-ABSORBING OPTICAL FILTERS ON THE
PHOTOSYNTHETIC RESPONSE IN Synechocystis sp. PCC6803 UNDERSOLAR SIMULATING ARTIFICIAL LIGHT
Kota Oshita, Ayaka Hara, Takuya Suzuki and Tomonori Kawano1,
Graduate School of Environmental Engineering, The University of Kitakyushu, Japan

1

ABSTRACT
Solar simulating light (SSL) has been widely used for evaluating the action of photovoltaic cells. For
studying the natural photosynthesis, several groups employed SSL in place of natural sun light. Photosynthesis
in green plants/algae utilizes the visible light, after harvesting photons through antenna pigments such as
chlorophylls. Therefore, the bands of light corresponding to the absorption by chlorophylls mostly contribute tophotosynthesis. In contrast, the light components not targeting such pigments hardly energize photosynthesis.
However, when the plants were exposed to chlorophyll-targeting red light together with the light withwavelength greater than 680 nm (peaking at around 700 nm), higher rate of photosynthesis can be induced (asknown as Emerson effect). In fact, SSL contains a wide range of light components from UV to near infrared(NIR). In the present study, we examined the roles of NIR components in SSL during photosynthetic O 2
evolution in Synechocystis sp. PCC6803, by selectively cutting the long wavelength light using several NIRabsorbing optical filters. Here, the effects of intact SSL spectrum and the optical fiter-modified SSL spectra
lacking NIR light longer than 690, 710, 750, or 810 nm were compared. We observed that removal of light withwavelength longer than 750 nm resulted in lowered maximal photosynthetic velocity (P max value) whereas
cutting of light with wavelength longer than 810 nm showed no significant change. We concluded that the 750810 nm band may contain the photosynthesis-stimulating NIR component acting differently from the Emerson
effect. Contrary, Synechocystis regained the photosynthetic performance by eliminating the most NIR(wavelengths, ≧ 710 nm), suggesting that 710-750 nm band may include NIR components inhibitory to
photosynthesis possibly corresponding to the absorption band for bacterial phytochrome. There preliminary data
must be exposed to further examination.
Keywords: Near infrared, Photosynthesis, Solar simulating light,

In contrast, light components not targeting such
pigments hardly energize the photosynthesis.
Although both the spectra of solar ray and SSL
ranging between 400 and 700 nm shows broadintensive peaks, the action spectra for photosynthesis
suggests that only limited bands reflecting theabsorption spectra for chlorophylls are utilized byphotosynthesis [4]. Interestingly, when the plants
were exposed to chlorophyll-targeting red light
together with the light with wavelength greater than
680 nm (peaking at around 700 nm), higher rate ofphotosynthesis can be induced (as known as
Emerson effect) [5]. In the present study, we
examined the roles of NIR components in SSL
during photosynthetic O 2 evolution in Synechocystis
sp. PCC6803, by selectively cutting the longwavelength light using several NIR-absorbing
optical filters.

INTRODUCTION
Solar simulators were designed to emit the lightwith spectral features mimicking the sunlight by
combining various optical filters and xenon lampbased light sources. Solar simulating light (SSL) has
been frequently employed for evaluating theperformance of photovoltaic cells [1] orphotocatalysts [2], [3]. Since the photovoltaic cells
and photocatalysts are mostly sensitive to ultraviolet(UV) and visible (VIS) lights regions, most SSL aredesigned to reproduce the spectra of solar ray inthese regions. However, spectral features of most
SSL developed to date, failed to reproduce the NIR
spectrum found in solar ray as shown in Figure1.
For studying the natural photosynthesis, several
groups employed SSL in place of natural sun light[4]. Photosynthesis in green plants/algae utilizes the
VIS light, after harvesting photons through antenna
pigments such as chlorophylls. Therefore, the bandsof light corresponding to the absorption bychlorophylls (i.e. 665 nm and 430 nm forchlorophyll a and 465 nm and 645 nm forchlorophyll b) mostly contribute to photosynthesis.

MATERIALS AND METHODS
Photosynthetic bacteria

84

SEE-Osaka, Japan, Nov. 21-23, 2016

under a continuous fluorescent natural-white light at
ca. 3000 lux. Culture was renewed at 2-weekintervals.
Prior to experiments, cells were harvested bycentrifugation at 3000 rpm for 10 minutes, then resuspended in fresh medium and the optical density(OD) of the cell suspension was monitored at 680
nm by a spectrophotometer UV-1800 (Shimadzu Co.,
Kyoto, Japan). OD was adjusted to be 1.0, at which
cellular density can be prepared to be approximately
at 108 cells/ml. The cell suspension was then kept indarkness for 30 min.

(A)

UV

VIS

Irradiation by solar simulating light

NIR

(B)

The light source used was a solar simulator (CellTester YSS-50, Yamashita Denso, Tokyo). The
spectrum of the light source was measured using a
portable NIR field spectro-radiometer (FieldSpec
HandHeld 2, ASD Inc., Atlanta, GA, USA). Spectral
pattern found in SSL emitted by the above
equipment was almost identical to the shape of thespectrum of sunlight especially in the UV-VIS
regions (Fig. 1). Four optic short-pass filters shownto cut long wavelength light (>690, 710, 750, or 810nm) (Asahi Spectra Co., Ltd.) were used and theirperformance was confirmed with a spectral
irradiance meter (KONICA MINOLTA, Tokyo,
Japan).
The intensity of the light was scored as
photosynthetic photon flux density (PPFD,
μmol/m2). The light intensity was adjusted by thelayers of black-colored plastic meshes (pore size,
1mm).

Sunlight
solar simulator

300

500

700

900

1100

Wavelength ［nm］

Fig. 1. Comparison of solar spectrum and SSL
spectrum. (A) Cell tester YSS-50 (Yamasita Denso,
Tokyo, Japan) used here. (B) Spectra of solar ray
recorded in Kitakyushu city and that of SSL.

Monitoring of disolved O 2 concentration in the
cyanobacterium culture
Fig. 2. Cell of PCC6803 used in this stady.

For monitoring the evolution of O 2 from thecyanobacterium culture, a Clerk-type oxygen
electrode (Oxygraph Plus System, Hansatech
Instruments Ltd., Norfolk, United Kingdom) wasused with some modification of oxygen electrodechamber as previously described (Nagasawa et al,2015.). The electrode chamber was covered withblack cardboard with an opening (optical window;
diameter, 10 mm). Instead of a plastic lid of theelectrode chamber, a transparent acrylic plug wasused, so that radiation from LEDs positioned above
the oxygen electrode directly reaches the level ofalgal cell suspension through the optical window.
For each measurement of O 2 evolution by living
cells, except for dark control, the cell suspension
was subjected to a dark cycle of 300 sec followed bya light period of 600 sec.

As a simplest model photosynthetic organism, acyanobacterium would be one of the best materials
since the photosynthetic apparatus in this organism
is simple but equivalent to the one found in plants[6].
Among cyanobacteria, Synechocystis sp.
PCC6803 (Fig. 2) was chosen since it is one of themost widely studied strains capable of growth underboth autotrophic and heterotrophic conditions [7]. In
addition, this strain was used as a model for studying
the evolutionary emergence of photosynthetic
eukaryotes through symbiosis development between
cyanobacteria and protozoa [8]. Cells of PCC6803
were pre-cultured in BG-11 medium (at 23 ±1 °C)

85

SEE-Osaka, Japan, Nov. 21-23, 2016

where α is Hill coefficient and other variables are
identical with PJE.

Kinetic evaluation
Simulation of light response curves (PI-curves)
In 1976, two British marine ecologists [9] havedocumented their evaluations of several candidate
photosynthetic equations and selected one equation
adapting a well-known Michaelis-Menten equation(MME) which was originally proposed for studying
the velocity of enzyme reaction (V) as a function ofsubstrate concentration ([S]), involving two
additional factors, namely V max and K m representing
the maximal V and Michaelis constant, respectively[10]. As below, Platt-Jasby equation (to be
designated as PJE) derived from the well-established
MME is shown (eq. 1). In fact, most PI-kinetic
models are derivatives of MME. Today, MMEderived PJE remains the standards for generation of
PI-curves [4], [11].
P=

Pmax ・JRESULTS AND DISCUSSION
Effect of light intensity on O 2 evolution
Typical results for measurements of lightintensity-dependent O 2 evolution under SSL are
shown (Fig. 3).
Here, the effects of intact SSL spectrum and theoptical fiter-modified SSL spectra lacking NIR light
longer than 810, 750, 710, or 690 nm werecompared, as the SSL-dependent PI-curves
simulated after the obtained data with and without
optical filters are shown (Fig. 4). In Figure 5,
parameters for photosynthetic curves expressed by
Hill-type photosynthetic equation are compared.
Notably, we observed that removal of light withwavelength longer than 750 nm resulted in lowered
maximal photosynthetic velocity (P max value) andlowered Michaelis constant for light (K j value)
whereas cutting of light with wavelength longer than
810 nm showed no such significant change.
We concluded that the 750-810 nm band may
containthephotosynthesis-stimulating
NIR
component acting differently from the Emerson
effect. Contrary, Synechocystis regained thephotosynthetic performance by eliminating the most
NIR (wavelengths, ≧710 nm), suggesting that 710750 nm band may include NIR components
inhibitory to photosynthesis possibly corresponding
to the absorption band for bacterial phytochrome[14].
At present, preliminary data were obtained asshown above. We need to repeat and further
examine the phenomena in the future research.

(1)

KJ +J

where P is the rate of gross photosynthesis, P max is
maximal photosynthetic rate, J is the intensity oflight, and K j is the Michaelis constant for light.
Determination of coefficients
We have recently performed eco-toxicologicalsimulations of lethal impacts of contaminatingchemicals based on limited data size or data points
from model experiments using the cells of green
paramecia (Paramecium bursaria) exposed tovarious toxic metal ions [12]. In our approach,problem with apparently incomplete curves for
toxicity response due to limited experimental data
points was overcome by using practically arranged
Hill-type equation. For curve fitting, determinationof LC 50 and Hill coefficient was performed with
newly proposed method designated as graphicalelucidation of Gauss-Newton algorithm (GEGNA).
By definition, Gauss-Newton algorithm iteratively
finds the value of the variables which minimizes theresidual sum of squares (RSS) as often applied todetermination of variables (V max and K m ) for MME[13]. RSS is the sum of the squares of the difference
between the recorded and the simulated values asshown below.
RSS＝ ∑𝑚𝑚𝑖𝑖=1�𝑦𝑦𝑖𝑖 − 𝑓𝑓𝑛𝑛 (𝑥𝑥𝑖𝑖 )�

2(2)

By analogy, PJE was converted to Hill-type
equation as below (eq. 3)
P=Pmax ・Jαα

Kj +JαFig. 3. Effect of SSL light intensity for induction ofO 2 evolution by PCC6803 cells.

(3)

86

18
16
14
12
10
8
6
4
2
0

(a)

≦690 nm30
Pmax［nmol/108cells・min］

Measured O2 evouation rate
[nmol/108cells・min]

SEE-Osaka, Japan, Nov. 21-23, 2016

(a)

25
20

Control

15
10

Control
SSL(≦690 nm)

0

500

1000
1500
Intensity[μmol/m2]

2000

5
0

≦690 nm2500≦710 nm≦750 nmcontrolcut≦710 nm≦750 nmcontrolcut≦810 nmMeasured O2 evouation rate
[nmol/108cells・min]

Measured O2 evouation rate
[nmol/108cells・min]

20
18
16
14
12
10
8
6
4
2
0

18
16
14
12
10
8
6
4
2
0

18
16
14
12
10
8
6
4
2
0

(b)

Control

1000

Kj［μmol/m2］

Measured O2 evouation rate
[nmol/108cells・min]

1200≦710 nm

1000
1500
Intensity[μmol/m2]

2000

Control

(c)

1000
1500
Intensity[μmol/m2]

2000

This work was supported by a grant of Regional
Innovation Strategy Support Program implemented
by Ministry of Education, Culture, Science andTechnology (MEXT), Japan.

2500

REFERENCE

Control[1] Senadeera, G. K. R., Nakamura, K., Kitamura,T., Wada, Y., and Yanagida, S. (2003)
Fabrication of highly efficient polythiophenesensitized metal oxide photovoltaic cells. Appl.
Phys. Lett. 83: 5470-5472.
[2] Yu, J., Zhang, Y., and Kudo, A. (2009)
Synthesis and photocatalytic performances of
BiVO4 by ammonia co-precipitation process. J.
Solid State Chem. 182: 223-228.
[3] Sakai, S., Kuroki, S., Oba, T., and Suzuki, T.
(2016)
Synthesis
optimization
andcharacterization of visible-light responsive Cedoped titanate nanotubes for enhanced
degradation of polluting dyes in aqueous
environment. Environ. Control Biol. 54:71-74.
[4] Nagasawa, K., Iwase, J., Comparini, D., andKawano, T. (2015) Empirical and simulativeevaluations of white fluorescence-type lightemitting diodes as algal growing light sources(d)≦810 nm

Control
SSL(≦810 nm)

500

1000
1500
Intensity[μmol/m2]≦810 nmACKNOWLEDGEMENTS

SSL(≦750 nm)

0≦690 nmFig. 5. Effect of optical filters on two photosynthetic
parameters, P max and Michaelis constant for lightrequirement.

Control

500

400

2500

≦750 nm0600

0SSL(≦710 nm)

500

800

200

Control

0

(b)

2000

2500

Fig. 4. Effect of optical filters or photosynthetic
performance of PCC6803 cells under solar
simulating light. Effect of 4 short-pass optical filters(≦690 nm, ≦710 nm, ≦750 nm, and ≦810 nm)
were compared with in fact control.

87

SEE-Osaka, Japan, Nov. 21-23, 2016

[5]

[6]

[7]

[8]

[9]

based on the photosynthetic oxygen evolution
by Synechocystis spp. PCC6803. Environ. Cont.
Biol. 53: 169-173.
Govindjee, R., Thomas, JB., and Rabinowitch,
E. (1960) “Second Emerson Effect" in the Hill
reaction of Chlorella cells with quinone asoxidant. Science 3424: 421
Jarvis, P. (2004) Organellar proteomics:
chloroplasts in the spotlight. Curr. Biol. 14:
317-319.
Ohkawa, H., Pakrasi, H.B., and Ogawa, T.
(2000) Two types of functionally distinct
NAD(P)H dehydrogenases in Synechocystis sp.
strain PCC6803. J. Biol. Chem. 2000; 182:
31630–31634.
Ohkawa, H., Hashimoto, N., Furukawa, S.,
Kadono, T., and Kawano, T. (2011) Forced
symbiosis between Synechocystis spp. PCC
6803 and apo-symbiotic Paramecium bursaria
as an experimental model for evolutionary
emergence of primitive photosynthetic
eukaryotes. Plant Signal. Behav. 6: 773-776.
Platt, T. and Jasby, A. D. (1976) The
relationship between photosynthesis and lightfor natural assemblages of coastal marine
phytoplankton. J. Phycol. 12: 421-430.
[10] Michaelis, L. and Menten, M. L. (1913) Die
kinetic der Invertinwirkung Biochem. Z. 49:
333-369.
[11] Marra, J., Heinemann, K., and Landriau, G. Jr.
(1985) Observed and predicted measurementsof photosynthesis in a phytoplankton culture
exposed to natural irradiance. Mar. Ecol. 24:
43-50.
[12] Takaichi, H. and Kawano, T. (2016) Expanded
and practical use of logistic equations in ecotoxicity evaluation: cases of lethal metal
toxicity curves in green paramecia withminimal-sized experiments. J. Adv. Comput.
Intellig. Intellig. Inform. (in press).
[13] Björck, A. (1996) Numerical methods for leastsquares problems. SIAM, Philadelphia.
[14] Igamberdiev, A. U., Eprintsev, A. T., Fedorin,
D. N., Popov, V. N., (2014) Phytochromemediated regulation of plant respiration andphotorespiration. Plant Cell Environ. 37: 290299.

88Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

HOME BASED PHYSICAL ACTIVITY INTERVENTIONPROGRAMME IN WAR-TORN COUNTRY LIKE IRAQ
Jian Abdullah Noori1, 2, Soh Kim Geok1, 3, Norhaizan Mohd Esa4, and Nabeel Abdulwahab Ahmed2
1
Faculty of Education Studies, University Putra Malaysia, Malaysia.2Faculty of Basic Education, AlMustansiriya University, Iraq. 3Sports Academy, University Putra Malaysia, Malaysia.4Faculty of Medicine
and Health Sciences, University Putra Malaysia,

ABSTRACTThe unsuitable conditions as the result of a decade of war had made it difficult to raise the level of physicalactivity among the youth in Iraq. Lack of awareness, as well as misconceptions about diets and the concept ofphysical activity among young people and the society in general especially pertaining women involvement insports had made this matter worsen. Hence, designing home-based intervention program to enhance the physicalactivity level among the sedentary undergraduate female students in Iraq is crucial. The home based intervention
program consists of simple exercises to be carried out at home and some nutrition information on balance diet.
Forty-four sedentary undergraduate female students aged 18-22 years old were selected as subjects in this study.
They were randomly selected from Northern Region of Iraq. The subjects completed a 12-weeks home based
intervention program that combining simple exercises and diet information. Their daily physical activity level
was measured using a pedometer. The results showed that there were a significant difference between the steps
counts from pre-test to post-test1 (6-weeks) and pre-test to post-test2 (12-weeks) (p<0.001) in the experimentalgroup. The mean steps increased by 6825.73 steps from pre-test to post-test1, and 9007.71 steps from pre-test to
post-test2. Additionally, the results of these two groups were different in test (time) pre, post1 and post2 (F(2,84)= 713.00, P<0.05, ɳ2= .944). Based on these results, it was concluded the 12-weeks home based intervention
program was effective in enhancing physical activity level among sedentary undergraduate female students in
Iraq.
Keywords: Home based intervention program, Physical activity, Undergraduate, Female,[10] conducted obesity screening of undergraduate
female students and found that almost one of four
female students (24 out of 100 participants) was
overweight/ obese which was associated with poor
to moderate physical activity and higher energy
expenditure. This phenomenon has raised a serious
concern among the educators because it is associatedwith the incidence of diseases [11]-[12].
Mirkin [13] indicated that Iraq has about 50% of
the population under the age of 19. However, poor
security conditions and the instability have mademaintenance of health and active life a difficult task
to achieve”. Despite a significant number of
evidence regarding the benefits of being physically
active, unfortunately, insecure society forces
students to stay at home most of the time which
contributes to students’ poor participation in sports
activities in the university. As a result, parents do
not usually encourage their daughters to engage insports teams and social clubs due to the security
situation which could endanger the lives of theirchildren. The other key factors are lack of adequate
academic- attributed encouragement and heavy loadof academic work. In addition, United Nations

INTRODUCTION
Physical inactivity has been identified as one of
the important public health concerns for the youth[1]. Al-Tamimi [2], mentioned that decreased levelof physical activity in life is among the mostimportant causes of increase in the percentage ofglobal deaths from non-infectious diseases which are
estimated at 60%. Low physical activity cause
310,000 to 580,000 deaths per year and is the main
contributor to disabilities resulting from diabetes,
osteoporosis, obesity, and stroke [3]. The rate ofphysical activity begins to decline noticeably inadolescence [4], [5] and continues throughout
adulthood [5]-[6]. This trend of declining in physicalactivity has continued among college students
especially in recent years, wherein up to 50% ofcollege students are found to be not physically activeat the recommended levels [7]-[8]. In tracking
physical activity participation in early college years,
Racette, Deusinger, Strube, Highstein, andDeusinger [9] found that 30% of students did notreport any exercise during their freshman year.
Furthermore, Sengupta, Chaudhuri, and Bhattcharya
89

SEE-Osaka, Japan, Nov. 21-23, 2016

Assistance Mission for Iraq (UNAMI) has
repeatedly reported that in society's perception,
women's involvement in sport is an indecent
phenomenon [14]. This negative society image ofwomen involved in sport has further hinderedwomen participation in sport in Iraq. Furthermore,
the World Health Organization (WHO) indicated in
its report that the percentages of physically inactive
and overweight females in Iraq are 51.3% and65.1%, respectively [15].
Walking programs are considered safe andeffective ways to increase physical activity, decrease
body weight, body mass index, and percentage ofbody fat and resting diastolic blood pressure inpreviously sedentary adults [16]-[17]-[18]. Physicalactivity is important in everyday life and low levelsof physical activity are independent risk factors forchronic diseases and premature mortality among
adults [19]. According to Adams [14], regularphysical activity is associated with prevention ofmorbidity because low level of physical activity
increases the risk of cardiovascular, stroke, andcoronary events. Sugiyama, Healy, Dunstan, Salmon,
and Owen [20] demonstrated that engaging in 150
minutes (2 ½ hours) of moderate intensity physicalactivity in a weekly basis consistently reduces therisk of many chronic diseases and other adverse
health outcomes such as heart disease, coronary
heart disease, stroke, some cancers, type 2 diabetes,
osteoporosis, and depression and even death”.
Therefore, introducing walking as an important andeasily accessible fitness activity to individuals’ daily
activities seems to be appropriate and helpful inimproving the overall physical activity level andhealth of an individual especially if it has done at
home. The walking activity is easy, fun and will be
more acceptable than jogging or other hard activities.
Therefore, it will be a suitable way for sedentary
people who want to increase their physical activity
level. Indeed, the protective effects of physicalactivity on cardiovascular disease start at moderatelevels of this regular activity [21]-[22].
There are many types of intervention that canhelp to improve individuals’ health but a
combination of physical activity and dietaryintervention programs were found to be more
effective to maintain regular physical activity anddiet [23]. Good intervention program consisting of a
combination of physical activity and dietary
awareness can enhance the level of physical activity
during daily life behavior [23]-[24]-[25]-[26]-[27][28]-[29]. These studies differed according towhether the implementation of the intervention
program were at home or outside. However, they
were similar to each other in that they wereconducted in countries that were safe and secure
focusing on patients as the participants of the study.
Thus, the current study was conducted to address the
gap in the literature on the effect of home based

intervention with the combination of physicalactivity and dietary awareness on sedentary
undergraduate female students in Iraq.
METHODS
Ethics Statement
This study was approved by the ethical approvalcommittees in University Putra Malaysia-Malaysia,
and the Scientific Committee in the College of
Education in Soran University - Kurdistan Regional- Iraq, and all participants provided their written
informed consent prior to the intervention.
Participants
One hundred and six freshman female students inthe academic year 2014-2015 agreed to participate inthis study. They were demographically screened andtheir physical activity level and health were assessed
based on inclusion and exclusion criteria (i.e., being
healthy, not associated with any medication ortreatment, not pregnant, willing and able to adhere to
the intervention program). At the end of thescreening, 44 individuals were randomly chosen andwere equally divided into 2 groups: an experimentalgroup and a control group.
Assessments Pre, Post1, Post2-Intervention
Physical activity level was measured by the
Yamax Digi-Walker® SW-200 pedometer (Yamax
Corp. Tokyo, Japan). The SW-200 is a small (2.0 in.
x 1.5 in. x 0.75 in.), lightweight (0.75 oz.)pedometer worn on a waistband or belt to measure
the daily level of physical activity based on step
count. The number of steps was recorded for 3 daysa week and the average was calculated for pre-test(week 1), post-test1 (week 6), and post-test2 (week12) respectively.
THE INTERVENTION PROGRAM
Duration of the treatment for this study was 12
weeks. Five weekly sessions of exercise and 2
weekly sessions of food awareness were conducted.
The students allocated to the control group
maintained their regular and daily activities during
the 12 normal week intervention. At the end ofweek- 6 and week- 12 intervention, the same test
was offered to the experimental and control groups
again.
Exercise Intervention
The students were required to practice some ofthe simple and easy exercises at home. This
exercises involved activities like using home90

SEE-Osaka, Japan, Nov. 21-23, 2016

equipment (chair, table, stairs (to move. Besides
movement such as walking and walking at a place
adapted from well-known physical activity
guidelines [16] was also included. The students
practised the schedule as follows: each session was
150 minute from week 1 to 4 (Brisk walk exercises,muscle strengthening, 5 times per week), which
increased to 225 minutes from week 5 to 8 (brisk
walk exercises, muscle strengthening, 5 times perweek) which increasing in time practising for each
day from 30 minutes to 45 minutes. Finally the
progression from week 9 to 12 was 250 minutes(brisk walk exercises, muscle strengthening, 5 times
per week) in which practice time for each day
gradually increased from 45 minutes to 50 minutes
and the distance for physical activity program was
extended from 3 miles to 4 miles.

group as shown in Table III.
Table II: Physical activity difference between
experimental and control groups in pre-test, posttest1 and post-test2
Time

Pre-test
Posttest1
Posttest2

(I)
Group

(J)
Group

EXP
EXP

CON
CON

EXP

CON

Mean
Difference(I-J)-231.12SE

P value

169.60

0.180

0.04

6832.33*

206.25

0.001

0.96

9162.91*

180.15

0.001

0.98

ɳ2

Based on estimated marginal means* The mean difference is significant at 0 .05 level.
Adjustment for multiple comparisons: Bonferroni

Table III: The difference of physical activity scores
between tests in experimental and control groupsGroup(I) time(J) time

EXP

Pre
Pre
Post1
Pre
Pre
Post1

Post1
Post2
Post2
Post1
Post2
Post2

Nutritional Intervention
CON

Two- time- per - week sessions were included in
the intervention, emphasis was given to increase theknowledge of the importance and the effect of good
diet on life. Students had nutritional lessons during
their free time through the 12-week duration of theexperiment. Lesson included a variety of topics suchas food pyramid, healthy food and a balanced diet, 5most important points that they must know in dietary,weight control, and food should increase and foodshould reduce. This information was adapted fromthe dietary guidelines for Americans, 2010 [30].

Mean
Difference(I-J)-6825.73*-9007.71*-2181.96*
237.73386.32148.59SE

P valve

156.53183.04206.58156.53183.04206.58

0.001
0.001
0.001
0.409
0.122
1.000

0.99

0.12

Based on estimated marginal means* The mean difference is significant at 0.05 level.
Adjustment for multiple comparisons: Bonferroni

RESULTSNo significant differences were found in pre-test
between the experimental group, M= 3905.25, SD=483.73 and the control group, M =4136.37, SD=631.54. The results of repeated measures ANOVA
on PA showed that the interaction between groupand test was statistically significant (F(2, 84)=731.01, P<0.05, η2=0.944) therefore to test therelated hypothesis, post hoc test (Bonferroni) wasapplied to compare the mean scores. After the12weekhome-based
intervention,
significant
differences were found between the groups at posttest1 and post-test2 (Table II).
In order to show the efficacy of home based
intervention, pre, post1 and post-test2 in both theexperimental and control groups were compared.
The result of post hoc test (Bonferroni) revealed thatthe difference between pre-test and post-test1,
post1and post-test2 in physical activity score amongexperimental group was significant. The mean scoreof physical activity in experimental group increased
to 9007.71 steps. While the result for the control
group did not show a significant result. The meanscore in control group increased to 386.31 steps andthere was not a significant difference in physicalactivity between post-test1 and post-test2 in control

Figure I: Plot of physical activity score in both experimental (1)and control (2) groups

As it can be seen in (Figure I) for experimentalgroup the score of physical activity increased fromweek 1to week 12, in post-test1 (week 6) and thepost-test2 (week 12), however, for control group it
did not increase in post-test1 and post-test2. Thisshows that home-based intervention positively
affected physical activity level. In another word, forthe control group deterioration in physical activity
level was reported during post-test1 (week 6) andfurther deterioration was reported in the end of posttest2 (week 12). The results indicate that in reality,
Iraqi women will remain inactive if they are notencouraged to exercise.
DISCUSSION
Several studies demonstrated that intervention
program with moderate intensity of physical activity
such as walking, cycling, or participating in sports
and diet has significant benefits for health. For91

ɳ2

SEE-Osaka, Japan, Nov. 21-23, 2016

instance, it can reduce the risk of cardiovasculardiseases, diabetes, colon and breast cancer, anddepression [31]-[32]-[33]-[34]. Low physicalactivity and dietary awareness contributes to healthrisks among female undergraduates in Iraq
highlighting the importance of physical activity anddietary awareness indicators to find out the humans
physical improvement. This study demonstrated
significant differences between the experimental andcontrol groups after 6 weeks and 12 weeks of the
combined home- based physical activity and dietintervention program, post-test1 (p<0.05, ɳ2=0.963)
and post-test2 (p<0.001, ɳ2=0.984). Many studies
confirm that intervention program with the
combination of physical activity and diet can makesignificant differences in physical activity level [25][35]-[36]. Likewise, the physical activity level
increased for the experimental group from week1 toweek 6 (6825.72 steps), from week 7 to week 12(2181.98 steps) which is supported by previous
studies [7]-[28]-[37]. Thus, increasing the level ofphysical activity could be regarded as anintervention effect. The results showed thatmoderate to vigorous physical activity increased thephysical activity level for the experimental groupcompared with the control group.
According to Ferreira et al. [28], physically
active women significantly increased their physicalactivity level after engaging in (physical activity anddiet) intervention program for 12 weeks.
Accordingly Burke et al. [25], confirmed thatphysical activity level increased following changes
in daily life behavior adopting a low-cost, accessible,home- based physical activity and nutritionintervention program. The results showed that bothgroups differed significantly in physical activity
level. The same results somehow repeated in thisstudy which show the effectiveness of the 12 -weekdietary awareness home- based intervention program
to increase the physical activity level for sedentary
undergraduate female students. The increase inphysical activity level suggests that home- based
physical activity and diet interventions program andtheir strategy is an affective way and appropriate
means to improve individual’s physical activity andeliminate inactive lifestyle.
On another hand, Mostert and Kesselring [38]reported that the physical activity level did not
improve during a short-term exercise training
intervention program”. The intervention in theirstudy consisted of 30-minute bicycle exercise
sessions with individualized intensity 5 days per
week over 3–4 weeks. They attributed thesecontradictory findings to two reasons: First, theintervention strategies such as the compliance to thetraining program were quite low, which affected theresult of the research. While, in the current study the
subjects were very energetic, however, they could
not exercise due to security issues in Iraq. Second,
the level of physical activity was recorded lower
than it was expected, which was due to the shortperiod of training that lasted four weeks comparedwith 12 weeks in the current study. Panel ofresearchers emphasized that when intervention
programs were conducted for longer duration it
would show positive result regarding physicalactivity despite the difference in the type of theintervention program [39]-[40]-[41]-[42]. This study
also indicated that there were significant differencesin physical activity between pre-test, post-test1, andpost-test 2 after 12 weeks home- based intervention
for the experimental group (p<0.001) as well as
significant differences in physical activity between
experimental and control groups (p<0.001).
CONCLUSION
In summary, this study suggested that 12-weekhome-based physical activity and dietary awarenessintervention program was effective in enhancing andimproving physical activity level among sedentary
undergraduate female students in Iraq. The
improvement of the level of physical activity in theexperimental group at post-test2 reveals theimportance of home- based intervention programand it is a positive step toward a change in thesedentary undergraduate female students’ life.
ACKNOWLEDGEMENTS
This study was funded by UPM Putra Grant(Project ID - GP-IPS/2015/9442800). The authors
are grateful to UPM Lab assistants and staff from
Soran University. Thanks are also due to the subjects
who had participated in this study.
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94

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

NUCLEOPHILIC SUBSTITUTION REACTIONS OF BUTYL METHYLCHLOROPHOSPHATE WITH SUBSTITUTED ANILINES AND
DEUTERATED SUBSTITUTED ANILINES IN ACETONITRILE
1

Hasi Rani Barai1*, Sang Woo Joo1 and Seog K. Kim2,*
School of Mechanical Engineering and 2Department of Chemistry, Yeungnam University, Gyeongsan 38541,
Korea
ABSTRACTThe general optimized method for the synthesis of butyl methyl chlorophosphate (2) under mild conditions is
described. The target compounds were characterized by 1H-nuclear magnetic resonance (NMR), 13C-NMR, and
31
P-NMR spectroscopy, as well as mass spectroscopy (MS). The nucleophilic substitution reactions of (2) with
X-anilines (XC6H4NH2) and deuterated X-anilines (XC6H4ND2) were investigated kinetically in MeCN at 55.0o
C. The free energy relationship with X in the anilines appeared biphasic concave upwards with a break point at
X = H, giving large negative ρX and small positive βX values. The deuterium kinetic isotope effects (DKIEs)
were secondary inverse (kH/kD < 1: 0.702-0.918) and the magnitudes, (kH/kD), increased when the nucleophiles
were changed from weakly basic to strongly basic anilines. A concerted mechanism with a rate-limiting leavinggroup departure from the intermediate is proposed based on the selectivity parameters and the variation trend of
the DKIEs with X.
Keywords: Phosphoryl transfer reaction, concerted mechanism, butyl methyl chlorophosphate, Hammett and
Brönsted constants, deuterium kinetic isotope effects
O

INTRODUCTION

2NL2C6H4X

P

Phosphoryl and thiophosphoryl transfer reactions
have been studied extensively because of theirimportance in biochemistry and organometallic
chemistry as well as their usefulness in synthesis.
Two main types of mechanisms, the stepwise
mechanism involving a trigonal bipyramidal
pentacoordinate (TBP-5C) intermediate and theconcertedmechanism
throughasinglepentacoordinate transition state (TS), occur inneutral phosphoryl and thiophosphoryl transfer
reactions. The experimental (anilinolysis,[1-21]
pyridinolysis,[22] and benzylaminolysis[23]) andtheoretical [24] studies of the phosphoryl andthiophosphoryl transfer reactions of various
substrates have been studied extensively. In thiswork, the phosphoryl transfer reactions of butyl
methyl chlorophosphate (2) with substituted anilines(XC6H4NH2) and deuterated anilines (XC6H4ND2)
were investigated kinetically in acetonitrile (MeCN)
at 55.0 ± 0.1 oC (Scheme 1). The kinetics are
discussed based on the selectivity parameters anddeuterium kinetic isotope effects (DKIEs). This
study examined the substituent effects, the attacking
direction of the nucleophiles to the reaction center,
DKIEs and the mechanism of the phosphoryltransfer reactions. The novelty of this work is tosynthesize the butyl methyl chlorophosphate (2) in amild condition and to determine the mechanism
kinetically with respect to nucleophilic substitution
reactions with substituted anilines (XC6H4NH2) anddeuterated substituted anilines (XC6H4ND2) in
MeCN.

Cl

MeO
BuO

MeCN
55.0 oCOP

XC6H4NL3Cl

NLC6H4X

MeO
BuO

L = H, D & X = 4-MeO, 4-Me, 3-Me, H, 3-MeO, 4-Cl, 3-Cl
Scheme 1. Studied reactions of butyl methyl
chlorophosphate (2) with XC6H4NH2(D)2 in MeCN
at 55.0 oC.
EXPERIMENTAL
Materials and synthetic procedure of deuterated
anilines
Butylphosphonic dichloride (98%), HPLC grade
acetonitrile (water content ˂ 0.005%), methanol(99.8%), and anilines were purchased from Sigma
Aldrich and used without further purification. Ethyl
acetate (extra pure grade, 99.0%), diethyl ether(extra pure grade, 99%), and n-hexane (HPLC grade
99.5%) were obtained from DUKSAN and used asreceived. MgSO4 (extra pure reagents, ≥97%) was
supplied by YAKURI Pure Chemicals Co.
Ltd./Osaka, Japan. Deuterium oxide (99.999 atom%D) was acquired from Sigma Aldrich and used asreceived. Deuterated anilines were synthesized using
the procedure reported elsewhere[1-21]. Deuterated
anilines were synthesized by refluxing anilines indeuterium oxide (99.999 atom% D) with a few dropsof HCl as a catalyst at 90 °C for 72 h, and collected95

SEE-Osaka, Japan, Nov. 21-23, 2016

[C5H12O2P(=O)NHC6H5]: Colorless liquid. 1HNMR / ppm (600 MHz, CDCl3 & TMS): δ 0.91-0.93(m, 3H), 1.44-1.45 (m, 2H), 1.71-1.73 (m, 2H), 4.124.16 (m, 3H), 4.31-4.39 (m, 2H), 5.47 (d, J = 6 Hz,
1H, -NH), 6.78-7.14 (m, 5H) (m, multiple; d,doublet). 13C-NMR / ppm (75 MHz, CDCl3 & TMS):δ 13.6, 30.9, 32.2, 32.3, 66.5, 126.2, 128.4, 130.9,
132.1. 31P-NMR / ppm (243 MHz, CDCl3 & TMS):δ 33.1(1P, s, P=O) (s, singlet). GC-MS (EI): m/z 243[M+].

after numerous attempts. The anilines were morethan 98% deuterated, as confirmed by 1H- NMR.
Kinetic measurements
The rates and selectivity parameters were calculated
as described previously. [1-21] The rates were
measured conductometrically using the conductivity
bridge, which was a self-made computer-automated
A/D converter conductivity bridge. The pseudo-firstorder rate constants (kobsd) were calculated by curve
fitting analysis of the decay profiles in the origin
program 8.5. The concentrations used in this study
were [substrate] = 5 × 10-3 M and [X-anilines] =(0.10-0.30) M. The kobsd values were an average of atleast three runs, which were reproducible within ±3%. The second-order rate constants, kH(D), were
calculated from the slope of a plot of kobsd vs. [Xanilines]. The selectivity parameters, ρX(H/D), wereobtained from the slope of the plot of log kH(D) vs. σXand βX(H/D) from the slope of the log kH(D) vs. pKa(X)
plot.
Synthesisofsubstrate,butyl
methylchlorophosphate (2)The substrate, butyl methyl chlorophosphate (2),was synthesized by reacting butylphosphonicdichloride (98%) with excess methanol at –20oC for
8 hr.[25] The reaction mixture was separated byfiltration from the insoluble part. The remaining
mixture was treated with water and diethyl ether forwork up. The organic layer of diethyl ether wasdried over anhydrous MgSO4 for 1-2 hr. The productmixture was separated by column chromatography(silica gel, ethyl acetate/n-hexane, 60%) and dried
under reduced pressure. The substrate wascharacterized by spectral analysis, TLC, 1H-NMR,
13
C-NMR, 31P-NMR, and GC-MS, as follows (seeelectronic supplementary materials):
Butylmethylchlorophosphate[(C4H9O,
CH3O)P(=O)Cl]: Colorless liquid; 1H-NMR / ppm(600 MHz, CDCl3 & TMS): δ 0.91-0.93 (m, 3H),
1.39-1.42 (m, 2H), 1.57-1.59 (m, 2H), 1.72-1.78 (m,2H), 3.73-3.75 (m, 3H) (m, multiple). 13C-NMR /ppm (150 MHz, CDCl3 & TMS): δ 13.5, 23.7, 24.3,
24.8, 52.3. 31P-NMR / ppm (243 MHz, CDCl3 &TMS): δ 35.96 (1P, s, P=O) (s, singlet). GC-MS(EI): m/z 186 [M+].

Theoreticalstudiesofbutyl
methylchlorophosphate (2)The B3LYP/6-311+G(d,p) geometry, bond angles,
and natural bond order (NBO) charges of 2 in thegas phase [26] were calculated using the B3LYP/6311+G(d,p) level in the Gaussian 09 program andare shown on the optimized structure of 2 (figure 1).
The ground state (GS) structure of 2 does not have asymmetry plane because it has two different ligands,
giving the difference in the negative charges of themethoxy and butoxy oxygen atoms. The MOtheoretical structure shows that the three oxygen
atoms and one chlorine atom have a distorted
tetrahedral geometry with the phosphorus atom at
the reaction center. The details of the optimized
structure of 2 is given in Table S1 and figure S9.

Figure 1. B3LYP/6-311+G(d,p) geometry of butyl
methyl chlorophosphate (2) in the gas phase.
RESULTS AND DISCUSSION
The observed pseudo-first-order rate constants,
kobsd, were calculated using eq. (1) for all reactions
under the pseudo- first-order conditions with a large
excess of aniline as a nucleophile. The k0 values in
acetonitrile were negligible (k0 ≈ 0). The secondorder rate constants (kH(D)) were determined from atleast five concentrations of anilines. The linear plotsof eq. (1) suggest that there are no base-catalysis or
noticeable side reactions and that the whole reaction
can be described by Scheme 1.

Synthesis Procedure of Product Analysis
Butyl methyl chlorophosphate (2) was reacted withexcess aniline for more than 15 half-lives at 55.0
°C in MeCN. The solvent was evaporated under
reduced pressure. The product mixture was treatedwith diethyl ether by a work-up process with dilute
HCl and dried over anhydrous MgSO4. The productwas then isolated by column chromatography (30%ethyl acetate/n-hexane) and then dried under
reduced pressure. The analytical and spectroscopic
data of the product gave the following results (seeelectronic supplementary materials):

kobsd = k0 + kH(D)[XC6H4NH2(D2)](1)

Table 1 summarizes the second order rate constants,
kH with X-anilines, kD with deuterated X-anilines, the
DKIEs (kH/kD), selectivity parameters for Hammett
ρX(H and D) and Brønsted βX(H and D). The pKa(X) valuesof the X-anilines in water were used to obtain the
Brønsted βX values in MeCN; this procedure could
be justified both experimentally [1-22] and96

SEE-Osaka, Japan, Nov. 21-23, 2016

theoretically.[24] The pKa(X) and σX values of thedeuterated X-anilines were assumed to be identicalto those of the X-anilines. Perrin et al. reported thatthe basicity of the β-deuterated analogs ofbenzylamine, N,N-dimethylaniline, and methylamine
increase by approximately 0.02 pKa units per
deuterium atom, and that these effects are
additive.[27-29] Therefore, the pKa(X) values of
deuterated X-anilines may be slightly higher thanthose of X-anilines, but the difference was too small
to be taken into consideration.

upward free energy correlations for substituent X
variations in the nucleophiles with a break point at X
= H. The magnitudes of the ρX(H and D) (ρX(H) = –7.57
and ρX(D) = –7.38) and βX(H and D) (βX(H) = 2.60 andβX(D) = 2.54) values with more basic anilines (X = 4MeO, 4-Me, 3-Me, H) are much greater than those(ρX(H) = –2.58, ρX(D) = –2.41, βX(H) = 0.895 and βX(D)= 0.834) with less basic anilines (X = H, 3-MeO, 4Cl, 3-Cl). The magnitudes of the ρX and βX values
with the anilines are greater than those with thedeuterated anilines, suggesting greater sensitivity to
the substituent effects of the anilines compared tothe deuterated anilines and a change in the reaction
mechanism from the strongly basic to weakly basic
anilines. The DKIEs investigated are secondary
inverse (kH/kD <1) and the magnitudes of the DKIEs
decrease constantly as the nucleophile is changed
from a more electron-donating to a more electronwithdrawing substituent X: e.g., X = 4-MeO (kH/kD =0.918) to X = 3-Cl (kH/kD = 0.702).

Figures 2 (log kH(D) vs. σX) and 3 (log kH(D) vs.
pKa(X)) show the Hammett plots and the Brönsted
plots for the substituent variations in the
nucleophiles, respectively. The stronger nucleophileleads to a faster rate, as observed in a typical
nucleophilic substitution reaction with positive
charge development at the nucleophilic N atom (ρX˂ 0) in the transition state (TS). On the other hand,both the Hammett and Brönsted plots exhibit
biphasic concave

0.0

Table 1. Second-order rate constants (kH(D) × 103/M–
1 –1s ), selectivity parameters (ρX and βX),a and DKIEs(kH/kD) of the reactions of butyl methyl
chlorophosphate (2) with XC6H4NH2(D2) in MeCN
at 55.0 ºC

log (k/M-1 s-1)H(D)

-0.5
-1.0

ρX(D) = -7.38

-1.5
-2.0

ρX(H) = -7.57

ρX(D) = -2.41

-2.5

X

kH × 103

kD × 103

kH/kD

ρX(H) = -2.58

-3.0
-3.5

4-MeO

345 ± 1b

376 ± 1b0.918 ± 0.001g

4-Me

58.8 ± 0.1

68.9 ± 0.1

0.853 ± 0.002

3-Me

9.68 ± 0.01

11.7 ± 0.1

0.827 ± 0.002

H

3.22 ± 0.01

3.95 ± 0.01

0.815 ± 0.001

3-MeO

1.65 ± 0.01

-0.3

-0.2

-0.1

0.0

0.1

σX

0.2

0.3

0.4

Figure 2. Hammett plots (log kH(D) vs. σX) with X of
the reactions of butyl methyl chlorophosphate (2)with XC6H4NH2(D2) in MeCN at 55.0 ºC.
0.0
-0.5

0.782 ± 0.001

log (k/M-1 s-1)H(D)2.11 ± 0.01

β

X(D)

-1.0

4-Cl

0.818 ± 0.002

1.09 ± 0.01

0.747 ± 0.001

3-Cl

0.362 ± 0.001

0.516 ± .001

0.702 ± 0.001–ρX

7.57 ± 0.13c,d7.38 ± 0.11c,i

βX

2.60 ± 0.19c,e2.54 ± 0.18c,j–ρX

2.58 ± 0.04f,g

2.41 ± 0.03f,kβX0.895 ± 0.052f,h0.834 ± 0.051f,l= 2.54

-1.5
-2.0
-2.5

β

X(D)

-3.0

β

X(H)

-3.5
3.5

β

= 0.834

4.0

X(H)= 2.60= 0.895
4.5

5.0

5.5

pKa(X)

Figure 3. Brönsted plots [log kH(D) vs. pKa(X)] with
X of the reactions of butyl methyl chlorophosphate(2) with XC6H4NH2(D2) in MeCN at 55.0 ºC.
Table 2 lists the second-order rate constants (kH)with unsubstituted aniline, natural bond order (NBO)
charges at the reaction center P atom [B3LYP/6311+G(d,p) level of theory] in the gas phase,[26]Brönsted coefficients (βX(H)), and DKIEs (kH/kD) of
the reactions of 1-6 with XC6H4NH2(D2) in MeCN.
Counting the magnitudes of the positive charges ataThe σ values were taken from ref. [30]. The pK

a values ofX-anilines in water were taken from ref. [31]. bStandard

deviation. cFor X = 4-MeO, 4-Me, 3-Me, H. dCorrelation
coefficient, r = 0.999. er = 0.983. fFor X = H, 3-MeO, 4-Cl,
3-Cl. gr = 0.999. hr = 0.990. ir = 0.999. jr = 0.984. kr =0.999. lr = 0.989. gStandard error {= 1/kD[(ΔkH)2 + (kH/kD)2× (ΔkD)2]1/2} from ref. [32].

97SEE-Osaka, Japan, Nov. 21-23, 2016

the reaction center P atom, the anilinolysis rateshould be 4 > 2 > 5 > 3 > 6 > 1 but the observed
sequence of the rate, 1 > 2 > 3 > 5 > 6 > 4 does notfollow the expected sequence regarding theelectronic influence of the two ligands. Therefore,
the positive charge at the reaction center P atom
does not play a major role in determining thereactivity and mechanism of the phosphinic chloride
systems.

congestion occurs in the bond-making process (e.g.,back side attack transition state (TSb) in Scheme 2).
This is because the N–H(D) vibrational frequencies
increase upon going to the TS. [1-22] Therefore,
DKIEs provided a useful means of determining the
TS structures in nucleophilic substitution reactions;in particular, changes in the substituents altered the
TS structures. The incorporation of deuterium in the
nucleophile has an advantage in that the α-DKIEs
resemble only the degree of bond formation,
especially for secondary inverse DKIEs. Therefore,
the greater the extent of bond formation, the greater
the steric congestion, and the kH/kD values become
smaller.

The second order rate constants for the anilinolysesof the mentioned phosphinic chlorides are kH = 4.28
× 10−3 M–1 s–1 for 1, kH = 3.22 × 10−3 M–1 s–1 for 2, kH= 2.82 × 10−3 M–1 s–1 for 3, kH = 0.710 × 10−3 M–1 s–1
for 4, kH = 2.06 × 10−3 M–1 s–1 for 5, and kH = 2.00 ×
10−3 M–1 s–1 for 6, giving relative rate ratios of6.03(1): 4.54(2): 3.97(3): 1.00 (4): 2.90 (5): 2.82 (6)in MeCN at 55.0 oC. From the observed rate ratio,
the anilinolysis rate, 1 > 2 > 3 > 5 > 6 > 4, does notfollow the sequence according to the sizes of the twoligands of the phosphinic chloride system [33,35]:(EtO, PhO) 6> (BuO, BuO) 5 > (MeO, BuO) 2 > (iPrO, i-PrO) 4 > (EtO, EtO) 3 > (MeO, MeO) 1.

XH4C6

kH ×
103a

chargeat P

βX(H)bkH/kD

1: (MeO)2P(=O)Cl

4.28c

2.226

0.96

0.800.98d[7]2:(MeO)(BuO)P(=O)Cl

3.22c

2.255

2.60

0.700.92d

This
work

3: (EtO)2P(=O)Cl

2.82c

2.236

1.06

0.710.92d[7]

4: (i-PrO)2P(=O)Cl

0.710c

2.269

1.10

0.710.95d[18]

5. (BuO)2P(=O)Cl

2.06c

2.239

1.11

0.861.10d[33]

6:(EtO)(PhO)P(=O)Cl

2.00c

2.233

1.13

1.071.28d

[6]

P

N
H H
OBu
TSb

O
N

Cl
MeO

C6H4X

P
MeO
BuO

H
Cl
TSf

Scheme 2. Backside attack involving in-line-type
TSb and front side attack involving a hydrogenbonded, four-center-type TSf.

Table 2. Summary of the second-order rate
constants (kH × 103/M–1 s–1) with C6H5NH2, NBO
charges at the reaction center P atom, Brönsted
coefficients (βX(H)), and DKIEs (kH/kD) for thereactions of 1-6 with XC6H4NH2(D2) in MeCN
substrate

HO

The authors proposed a concerted mechanism
involving a dominant backside attack TSb based on
the secondary inverse DKIEs for the anilinolyses of1(kH/kD = 0.80-0.98)[7] and 3(kH/kD = 0.71-0.92)[7].
The authors proposed a concerted mechanism
involving predominant backside attack TSb based on
the secondary inverse DKIEs for the anilinolyses of4(kH/kD = 0.71-0.95)[18] . The authors proposed aconcerted mechanism with a backside nucleophilic
attack transition state for strongly basic anilines andwith a front side attack involving a hydrogen-bonded
four-center-type transition state for weakly basic
anilines based on the secondary inverse and primarynormal, and variation trends of the kH/kD values with
X.[33] The authors proposed a concerted mechanism
involving a partial front side attack through ahydrogen-bonded, four-center-type transition state
for the anilinolysis of 6.[6] Nevertheless, there wasno correlation between the kH/kD and βX values. In
the present work, the DKIEs are secondary inverse
with all the anilines listed in table 1. The secondary
inverse DKIEs are strengthened by backside
nucleophilic attack involving in-line-type TSb(Scheme 2). The intermediates (TS) are very rapidlychanged from the attacking direction of thenucleophiles. The magnitudes of the kH/kD values
decrease constantly as a more electron-withdrawing
substituent X (4-MeO →3-Cl) is present in the
nucleophiles. This means that steric congestion in
the TS invariably increases as the aniline becomes
weakly basic. In other words, the lower reactivity of
the nucleophile results in a greater degree of bondformation. Accordingly, the value of kH/kD (0.70-

ref

aThe

values with unsubstituted aniline at 55.0oC.
basic anilines. cExperimental kinetic
value. See ref. [6], ref. [7], ref. [18] and ref. [33]. dValues
at 55.0 °C.
bStrongly/weakly

The DKIEs (kH/kD) is a strong tool for clarifying
the reaction mechanism. When the kH/kD values are
greater than unity, primary normal (kH/kD > 1.0), thepartial deprotonation of aniline occurs as the a ratelimiting step by hydrogen bonding (e.g., front side
attack transition state (TSf) in Scheme 2).[4,34,35]
On the other hand, the DKIEs are only secondary
inverse (kH/kD < 1.0) when an increase in the steric98

SEE-Osaka, Japan, Nov. 21-23, 20160.92) indicates very severe steric congestion in theTS, suggesting a great extent of bond formation.
Table 3. aActivation parameters for the reactions ofbutyl methyl chlorophosphate (2) with anilines in
acetonitrile
t/oC

kH × 103/ M–1 s–1∆H‡/kcal.mol-

phenyl chlorophosphates with anilines in acetonitrile”
I. J. Chem. Soc., Perkin Trans. 1999, 2, 765-769.
[2] Lee, H. W.; Guha, A. K.; Lee, I., “Kinetics andmechanism of the reaction of para‐chlorophenyl aryl
chlorophosphates with anilines in acetonitrile”, Int.
J. Chem. Kinet.2002, 34, 632-637.

─∆S‡/cal.mol-1. K-1

1

35
45
55
65

1.57 ± 0.01
2.32 ± 0.01
3.22 ± 0.01
4.74 ± 0.01aEyring equation.

6.9[3] HOQUE, M. E. U.; DEY, S.; GUHA, A. K.;
KIM, C.K.; LEE, B. S.; LEE, H. W., “KINETICS
AND MECHANISM OF THE AMINOLYSIS OFARYL PHENYL CHLOROTHIOPHOSPHATESWITH ANILINES”, J. ORG. CHEM. 2007, 72,
5493-5499.

49

Activation parameters, enthalpies and entropies ofactivation, are summarized in table 3. The enthalpies
of activation are relatively low (6.9 kcal/mol) andentropies of activation are relatively large negativevalue (-49 cal/mol/K). The relatively low value ofactivation enthalpy and large negative value ofactivation entropy are typical for the aminolyses of
P=O systems. Therefore, the clarification of thereaction mechanism by means of the activation
parameters is wretched for the aminolyses of P=O(and P=S) systems.

[4] Hoque, M. E. U.; Lee, H. W., “Kinetics and Mec
hanism of the Aminolysis of Diphenyl Phosphinic C
hloride with Anilines” Bull. Korean Chem. Soc. 200
7, 28, 936-940.
[5] HOQUE, M. E. U.; GUHA, A. K.; KIM, C. K.;
LEE, B. S.; LEE, H. W., “CONCURRENTPRIMARY AND SECONDARY DEUTERIUMKINETICISOTOPE
EFFECTSIN
ANILINOLYSIS
OF O-ARYL
METHYL
PHOSPHONOCHLORIDOTHIOATES”,
ORG.
BIOMOL. CHEM. 2009, 7, 2919-2925.
[6] HOQUE, M. E. U.; DEY, N. K.; KIM, C. K.;
LEE, B. S.; LEE, H. W., “KINETICS AND
MECHANISM OF THE AMINOLYSIS OF ARYLETHYL
CHLOROANDCHLOROTHIOPHOSPHATESWITHANILINES”,
ORG.
BIOMOL. CHEM. 2007, 5, 3944-3950.
[7] Dey, N. K.; Hoque, M. E. U.; Kim, C. K.; Lee, B.
S.; Lee, H. W., “Kinetics and mechanism of theanilinolysis
ofdimethylanddiethylchloro(thiono)phosphates”, J.Phys. Org. Chem. 2008,
21, 544-548.
[8] Lumbiny, B. J.; Lee, H. W., “Anilinolysis of SAryl
PhenylPhosphonochloridothioatesin
Acetonitrile”, Bull. Korean Chem. Soc. 2008, 29,
2065-2068.
[9] Dey, N. K.; Hoque, M. E. U.; Kim, C. K.; Lee, B.
S.; Lee, H. W., “Kinetics and mechanism of theaminolysis of dimethyl and methyl phenyl
phosphinic chlorides with anilines”, J. Phys. Org.
Chem. 2009, 22, 425-430.
[10] Dey, N. K.; Kim, C. K.; Lee, H. W., “Kinetics
and Mechanism of the Aminolysis of Dimethyl
Thiophosphinic Chloride with Anilines “, Bull.
Korean Chem. Soc. 2009, 30, 975-978.
[11] Dey, N. K.; Han, I. S.; Lee, H. W.,“Anilinolysis of Diphenyl Thiophosphinic Chloride
and Theoretical Studies on Various R1R2P(O or
S)Cl†”, Bull. Korean Chem. Soc. 2007, 28, 20032008.
[12] Dey, N. K.; Lee, H. W., “ Anilinolysis ofDiethyl Phosphinic Chloride in Acetonitrile”,
Bull. Korean Chem. Soc. 2010, 31, 1403-1406.

CONCLUSION
The nucleophilic substitution reactions of butyl
methyl chlorophosphate (2) with substituted anilines(XC6H4NH2) and deuterated anilines (XC6H4ND2)
were investigated kinetically in MeCN at 55.0 oC.
The magnitudes of the secondary inverse deuterium
kinetic isotope effects (kH/kD) increased when the
nucleophiles changed from weakly basic to strongly
basic anilines. A concerted mechanism involving therate-limiting departure of a leaving group from theintermediate was proposed based on the selectivity
parameters and variation trend of the DKIEs with X.
The linear free energy relationship in the present
work suggests that the attacking direction of theaniline changes gradually from a backside with thestrongly basic anilines to a front side involving ahydrogen-bonded four-center-type TSf with weakly
basic anilines.
Supplementary Materials
The analytical and spectroscopic data obtained fromcharacterization of the substrate and product areavailable on the Journal’s website, including 1H
NMR (Figs. S1 and S5), 13C NMR (Figs. S2 and S6),
31
P NMR (Figs. S3 and S7), mass spectrometry
spectra (Figs. S4 and S8), the B3LYP/6–311þG(d,p)
geometry of butyl methyl chlorophosphate (2) in thegas phase (Fig. S9 and Table S1).
ACKNOWLEDGMENT
This study was supported by Yeungnam University
Research Fund.
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Computations and Errors; John Wiley (New
York) 1940, p 178.
[33] Hoque, M. E. U.; Lee, H. W., “Kinetics andMechanism of the Anilinolysis of Dibutyl
Chlorophosphate in Acetonitrile”, Bull. Korean
Chem. Soc. 2012, 33, 663-669.

[23] (a) Adhikary, K. K.; Lee, H. W., “Kinetics andMechanism of the Benzylaminolysis of O,ODiphenyl S-Aryl Phosphorothioates in Dimethyl
Sulfoxide”, Bull. Korean Chem. Soc. 2011, 32,
1625-1629. (b) Adhikary, K. K.; Lee, H. W.,“Kinetics
andMechanismofthe[34] Dey N K, Hoque M E U, Kim C K, Lee H. W.,“Kinetics and mechanism of the pyridinolyses

100SEE-Osaka, Japan, Nov. 21-23, 2016of dimethyl and diethyl chloro(thiono)phosphates in
acetonitriley”, J. Phys. Org. Chem. 2010, 23, 10221028.
[35] Barai H R, Lee H. W., “Kinetics andMechanism of the Pyridinolysis of 1,2-Phenylene
Phosphorochloridate in Acetonitrile”, Bull. Korean
Chem. Soc. 2012, 33, 270-274.

H3C

CH2
H2C

CH2
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Supplementary Materials

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CH2
O

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O

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O

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MW 186

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H
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SEE-Osaka, Japan, Nov. 21-23, 2016

O
O

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O

O
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Cl

H2N
O

MW 93

MW 186
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P

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MW 243102

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

EFFECTS OF A STAGE-BASED INTERVENTION ON EXERCISE SELF-EFFICACY
1, 2, 3

Zeinab Ghiami1, Kim Geok Soh2, Samsilah Roslan3, Kim Lam Soh4
Faculty of Educational Studies, Universit Putra Malaysia, Malaysia; 4 Faculty of Medicine, Universiti
Putra Malaysia, Malaysia

ABSTRACT
Studies on the changes of physical activity patterns demonstrated that physical activity rates decline sharply inadolescence and goes on well into adulthood. Psychological readiness, not physical readiness and facilities, islikely to be the main barrier to activity for most of the people. This seems to signify the importance of designinginterventions to improve psychological factors related to exercise behavior willingness. This study evaluated theeffect of an intervention contained strategies related to psychological factors of exercise behavior. Fifty-six
sedentary adolescents completed an assessment at baseline, 2 months, and 4 months. Experimental group
participants received the intervention lasting for 16 weeks and consisting of a 30-minute session every week withthe aim of raising learners’ awareness about the factors affecting intention to physical activity. Control groupattended physical education classes based on the guidelines of the Ministry of Education. Changes in
psychological variables were compared between groups using analysis of two-way repeated measure ANOVA.
The interaction between group and test was statistically significant, F (2, 108) =127, P =.01, η2=702). There wasa significant difference between the scores of self-efficacy in the 3 times measurements in the experimentalgroup. It can be concluded that the stage-based intervention had a significant positive effect on self-efficacy
hence enhancing sedentary students’ intention towards physical activity.
Keywords: Physical activity, Sedentary, Self-efficacy, Transtheoretical Model.
Gouya, Ardalan, Gheiratmand, Delavari, Motaghian,
Ziaee, Siadat and Majdzadeh [11] on elementary,
middle, and high school students showed asignificant decrease in physical activities among the
girls during high school. Moreover, studies havebeen confirmed sedentary behavior among Iranianadolescent girls [10, 12] and they showed that only
35.9% of girls but 64.1% of boys were in the action
or maintenance stages of physical activity.
Psychological readiness, not physicalreadiness and facilities, is likely to be the mainbarrier to activity for most people [13]. Many people
consider the idea of starting a performance or an
action, but they usually fail to realize it. Somepeople might engage in some physical activity but
have not quite figured out how to make it a habit ofsufficient frequency and duration. The significanceof assessing psychological constructs of change
becomes more salient when a researcher attempts todetermine what can encourage the unmotivatedindividuals to consider leading a more active
lifestyle [13].
Behavioural change related to physicalactivity have been studied by numerous cognitive
behaviour models [14]. The most important factors
to consider in changing physical activity behaviour
probably include beliefs related to physical activity,
attitudes and self-efficacy, motivations and barriers,and formulation of self-perceptions and identity
related to physical activity. However, the issue of
behavior change has not been tackled sufficiently as
most of the intervention studies on adolescents have

INTRODUCTION
Health behavior refers to any activity undertaken by
an individual for the purpose of promoting,protecting, or maintaining health as well as
preventing or detecting diseases [1]. Accordingly,
regular physical activity can be also regarded as ahealth behavior , because this behavior helps
individuals maintain and promote their physiologicalhealth through improving cardiovascular endurance,
as well as improve immune system function [2-4].
Strong evidence showed that physical activity
influences individuals’ psychological health as well
[5] such as enhancing self-esteem, cognitive
functioning and reducing anxiety, stress anddepression [6].
Despite the benefits of regular physicalactivity for health, more than 60% of the world’s
population were considered sedentary, failing to be
active for at least 30 minutes daily doing moderateintensity physical activity [7]. Studies on thechanges in physical activity patterns showed thatphysical activity rates decline sharply in adolescenceto 75% inactivity and they continue to be low
throughout adulthood [8, 9]. This seems to signify
the importance of designing interventions foradolescents in order to improve their intention to
engage in exercise behavior.
In the context of Iran, patterns of sedentary
behavior bear some similarity to the rest of the world,
and adolescents constitute a major portion of thesociety (81.5%) that is not sufficiently physically
active [8, 10]. The study by Kelishadi, Razaghi,
103

SEE-Osaka, Japan, Nov. 21-23, 2016

not been successful since they have not identified
the root causes of inactivity among adolescents.
According to the transtheoretical model(TTM), which is a combination of several theories ofpsychotherapy related to behavior change [15], selfefficacy is one of the several psychologicalconstructs contribute to behavior change amongindividuals. Within the framework of the TTM,
since people have different motivation levels, orchangereadiness,theyrequiredifferentinterventions. For this study, the stages of change
are considered in conjunction with the constructs ofprocesses of change, decisional balance and selfefficacy in terms of both intervention content andoutcomes. The stages of change represent specificcollections of intentions, attitudes and behaviors
which are related to one's change cycle status [15].
Self-efficacy describes the degree ofconfidence one has in the ability to perform a certain
physical activity [16]. Sedentary students did notpossess or make use of these essential psychologicalfactors to improve their intention to change theirsedentary behavior, engage in physical activities,
and maintain a more active lifestyle [8, 12].
The public health community is becoming
increasingly interested in the potential contributionsof school physical education to child health. School
physical education is seen as an ideal site for thepromotion of regular physical activity because up to
97% of students participate in some sort of physicaleducation program. For maximal public healthbenefit, school physical education programs should
prepare children for a lifetime of physical activity.
A number of interventional studies usedstages of change to assess changes in individuals’
physical activity behavior because of implementing
various psychological strategies. Although thenumber of intervention studies on adolescents’
willingness to engage in physical activity in thecontext of school and physical education courses isvery limited. This seems to signify the need to
conduct more stage-based intervention studies on
psychological constructs in school settings tomotivate students to engage in physical activity.
Therefore, this study aimed to design anintervention based on TTM in the school context toevaluate the effect of the psychological strategies on
the exercise self-efficacy (SE) among Iraniansedentary students.

semester of 2014 on Automn. Based on the result of
given questionnaire, 247 of students were inprecontemplation, contemplation and preparation
stages (sedentary stages) who were considered as the
population of the current study (female, M age = 16
years (SD = 1)). Fifty-six students (15% more thatthe estimation of G-Power) were randomly selected
as the participants and were assigned intoexperimental and control groups with 28 students ineach group, respectively. This study assessed
students’ current exercise behavior, their intention to
engage in regular physical activity, and Self-efficacy
related to physical activity. A consent forms(parental consent forms for those younger than 18
years) were obtained for all subjects.
ProcedureAt the onset of the study, the stages of change
questionnaire [13] was given as pre-test to allparticipants in order to determine their stages ofphysical activity as well as possible differences
between the participants in the groups in terms of
their stages of change before starting the treatment
phase of the study. Self-efficacy questionnaires
were also given to participants at pre-test in order todetermine any psychological differences prior to thetreatment phase of the study.
Subsequently, the participants in theexperimental group received a TTM stage-based
intervention lasting 16 weeks and consisting of a
30-minute session every week for the duration of
the treatment. The intervention was designed basedon guidelines by Marcus and Forsyth [13]. It
involved consciousness-raising assessed byawareness-raising questions, discussions, andspeeches about the benefits of being physically
active; watching film segments and discussing theimportance of physical activity; and modelingactivities with the aim of raising learners’ awarenessabout the factors affecting intention to physicalactivity as well as the strategies and processes used
to improve students’ willingness to become
physically active.
The participants in the control groupattended physical education classes based on theguidelines provided by the Ministry of Educationthat did not contain any awareness-raising activities
about physical activity. After two months from the
beginning and also at the end of the treatment phaseat four month, two post-tests were administered to
the learners in both groups to determine their stagesof physical activity and related psychologicalfactors. The results obtained from the pre-tests,
post-test 1, and post-test 2 were analyzed todetermine the effect of the treatment on sedentary
students’ self-efficacy related to physical activity.

METHODS
Participants
Prior to the beginning of this research project, a prescreening survey was conducted using the stages ofchange questionnaire to identify the population ofsedentary students from a high school in Mashhad,
Iran. This research was conducted in the first104

SEE-Osaka, Japan, Nov. 21-23, 2016

Instruments

RESULTSA set of questionnaires was used divided into twoparts. The first part contained questions assessing
the demographic profile of sedentary high school
students while part two contained TTM
questionnaires on stages of change and self-efficacy.
Stages of change questionnaire were used
to assess participants’ current stage of change
measured on a dichotomous scale with No = 0 and
Yes = 1, based on previous work in the areas of
exercise studies [13]. According to the stages ofchange algorithm, If (question 1=0 andquestion 2=0), then they are at stage 1. If(question 1=0 and question 2=1), then they are atstage 2.If (question 1=1 and question 3=0), thenthey are at stage 3.If (question 1=1 and question
3=1, and question 4=0), then they are at stage 4.If(question 1=1 and question 3=1, and question 4=1),
then they are at stage 5.

The main objective of this study was to evaluate theeffect of a stage-based intervention on students’ selfefficacy, as measured by self-efficacy of exercise
inventory at baseline, two months, and four months.
The results of two-way repeated measure ANOVA
on self-efficacy score showed that the interaction
between group and test was statistically significant F
2(2, 108) =84.9, P = .01, η =611) therefore to test therelated hypothesis post hoc test (Bonferroni) wasapplied to compare the mean scores (Table 1).
Table1. Result of ANOVA within – between subject
effects

Selfefficacy

A five-item measure of self-efficacy [17]was also administered to assess participants’
involvement in exercise. It was designed tomeasure one’s confidence in his/her ability to
exercise in various situations. Higher mean scoreof physical activity self-efficacy can determine
whether an individual attempts an activity;
the degree of persistence
extendedwhen
difficulties
areencountered, and ultimate
success. Reliability analysis was done on all theitems in the instrument which used Likert scalemeasurement. The Alpha coefficient for the
instruments of the pilot test (answered by 20
local females, age 15 to 17) ranged from 0.858 to
0.927. The applicability of the questionnaire
was confirmed. For the present study, feedback
wasrequestedfromtheadvisory
regardingreadability,
Persiancommittee
language, clarity, and redundancy of items.
The feedback provided by the pilot participants
was also used to revise the instrument andprovided content validity for the instrument.

SourceMSF

P value

Partial Eta
Squared

Test

6.83

24.18

0.00

0.309

Group
Test*
group

18.8

36.09

0.00

0.401

24.1

84.97

0.00

0.611

In order to show the efficacy of intervention, pre,post 1 and post-test 2 in both the experimental andcontrol were compared. The result of post hoc test
(Bonferroni) revealed that the difference between
pre and post-test 1 in self-efficacy score amongexperimental group was significant (p = .01) .The
mean for the self-efficacy in experimental groupincreased 1.15 unit in post-test 1 and also there wassignificant difference between self-efficacy mean
between post 1 and post-test 2 (p = .01). While theresult for control group was not significant between
pre-test and post-test 2 (p = .08). There was no
significant difference between self-efficacy mean
between post-test 1and post-test 2 (p = .08) incontrol group (Table 2). According to the results, thestudents who received stage-based intervention
improved more remarkably in their self-efficacy
compared to those who received no specificintervention in the control group.
Table 2 Result of Bonferroni Post Hoc test

Statistical Analysis

Group

The Statistics Package for Social Science (SPSS) for
Windows version 21 was used to analyze the data.
Firstly, data was tested for normal distribution with
the Kurtosis and Skewness test and for homogeneityof variances with Levene's test [18, 19]. Two-way
repeated measures ANOVA design was conducted
to analyze the data in order to compare the meandifference to measure whether there was any
improve in the psychological variables and stages ofchange during intervention in the experimentalgroup.

Selfefficacy
Control

(I)
TE
ST

(J)
TE
ST

Mean
Difference

1

2

.300

3

.614

2

3

.314

1

2

-1.15

3

-2.00

3

-.850

Experim
ental
2

105

SE
0.1
27
0.1
59
0.1
39
0.1
27
0.1
59
0.1
39

P
value

PartialEta
Squared

.06
.08

0.218

.08

.00
.00
.00

0.754

SEE-Osaka, Japan, Nov. 21-23, 2016

The significant difference between themean scores of the experimental group and thecontrol group showed that the intervention improved
students’ confidence in their ability to successfully
perform a particular activity, and improve in theirperceptions that they can perform physical activity
successfully increased their engagement in physicalactivity.

change is a time-dependent variable and the durationof four months may not have been a long enough toresult in significant changes in behavior, especiallyin self-efficacy.
CONCLUSION
The findings of this study would be useful forphysical education teachers Ministry of Education,and researchers. They can undertake stage-based
intervention in the physical education course inorder to motivate sedentary students to put moretime and effort into doing that activity. Moreover, it
can encourage sedentary students to be more
persistent when they encountered difficulties, which
can help them achieve the ultimate success towards
changing their sedentary behavior and engaging inphysical activity.

DISCUSSION
In the current study, students in the intervention
group reported significantly higher self-efficacy at
two months and four months compared toparticipants in the control group. These findings are
similar to the previous work that reported anincrease in self-efficacy from pre-test (M = 3.4) topost-test (M = 3.8) in sedentary individuals after abrief intervention [20]. In the current study, themean of self-efficacy improved from 2.3 in the pretest to 4.3 in the post-test 2. Considering that
acquiring and changing attitudes and behaviors canbe a long and complicated process (Marcus andForsyth, 2009), the more improvement in thecurrent study could be because of the duration ofintervention, which was longer that the study by
Pinto, Lynn, Marcus, Judith and Goldstein [20] whodeveloped six-week intervention. The results suggestthat longer duration of intervention (more than 3months) might be required to encourage change inmotivational readiness for physical activity.
The findings of this study are in contrast
with those of Boonchuaykuakul [21] who reported
that self-efficacy did not improve during the stagebased intervention. This lack of change in selfefficacy may have emerged because the intervention
strategies for precontemplators, contemplators, andpreparers did not strongly focus on improving
engagement on physical activity rather than the
cognitive aspect of self-efficacy. It has been
demonstrated that using the four information sourcesof self-efficacy, including verbal encouragement,
performance accomplishment, vicarious learning,and physiological and affective responses, have apositive effect on confidence to initiate and maintainphysical activity (Lee et al., 2007). The results of thepresent study is also in contrast with the results of astudy by Nelson [22], which indicated that theintervention
group
made
no
significant
improvements in self-efficacy from pre-test to posttest.
According to [22], the intervention andcontrol groups did not differ in self-efficacy because
they became conditioned to particular responses on
the questionnaires from previous testing. The
measures used were short; hence, it would not havebeen difficult to remember the answers from one
session to the next. The length of time of the study
may have also affected the study results. Behavior

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106

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A. Gaeini, A. Fallahi, and F. Kazemi,“Effects of aerobic continuous and interval
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M. Kargarfard, A. Shariat, B. S. Shaw et al.,“Effects of Polluted Air on Cardiovascularand Hematological Parameters After
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R. Rueggeberg, C. Wrosch, and G. E.
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B. M. Pinto, H. Lynn, B. H. Marcus et al.,“Physician-based
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A. Pirasteh, A. Hidarnia, A. Asghari et al.,“Stages of changes for physical activity
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J. Boonchuaykuakul, “Effectiveness ofapplying the transtheoretical model toimprove physical activity behavior ofuniversity
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R. Kelishadi, E. M. Razaghi, M. M. Gouya
et al., “Association of physical activity andthe metabolic syndrome in children andadolescents,” Hormone Research in
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M. S. Nelson, “A stage matched physicalactivity intervention in military primarycare,” University of Maryland, USA, 2000.

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P. Taymoori, S. Niknami, T. Berry et al.,“Application stage of change exercise
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B. H. Marcus, and L. H. Forsyth,
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S. J. Biddle, and N. Mutrie, Psychology ofphysical activity: Determinants, well-being
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P. Callaghan, F. F. Eves, P. Norman et al.,“Applying the transtheoretical model ofchange to exercise in young Chinese
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B. H. Marcus, V. C. Selby, R. S. Niaura etal., “Self-efficacy and the stages of exercise
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107Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

CLARIFICATION OF SHEAR ZONE DEVELOPMENT
IN A GOUGE LAYER RELATED TO SLIP INSTABILITY
Momoko Hirata1, Jun Muto1, and Hiroyuki Nagahama1
Department of Earth Science, Tohoku University, Japan

1

ABSTRACT
Earthquakes are typical phenomena of frictional slip in nature. To evaluate slip instability, shear zone
development in a gouge layer produced by fault slip has been investigated. However, previous works have notrevealed the quantitative relationship between slip instability and shear zone development because of difficultyin quantitative observation of microstructures. Hence, we aim to describe shear zone development in a gougelayer energetically and discuss the relation between shear zone development and slip instability. To this end, we
estimated shear angles by utilizing experimental data. As a result, our study revealed that shear bands become
low angles or almost parallel to rock-gauge boundaries toward the occurrence of unstable slip. Under a low
confining pressure, heterogeneous localized shears trigger unstable slip. On the other hand, under a highconfining pressure, rapid sliding of the whole samples with internal homogeneity of gouge structure can beconsidered. Clarification of shear development of fault materials is useful for assessment of the occurrence ofother natural phenomena such as slope failures.
Keywords: Earthquake, Slip instability, Shear zone development, Frictional slip

developed parallel to the rock-gouge boundary
seems to trigger unstable slip [9], [12]. Reference[11] also shows that degrees of R1-shears withrespect to the rock-gouge boundary progressively
decrease with shear. Based on these observations,[14] empirically proposed the change in frictionalparameter of rock with shear.
In fact, quantitative observation of shear
structures developed in a granular material at highpressure is significantly difficult. However, [16]proposed an index to describe deformation processof granular materials based on their energy ratio(e.g., glass and quartz). The index (i.e., the energy
ratio) depends on an internal friction angle. Theinternal friction angle is related to a coefficient offriction. Based on the Rowe’s energy relation [16],we had revealed that slip instability of simulated
fault gouge could be assessed by the energy ratio[17].
Because the internal friction angle can be related
to angles of shear planes developed in granularmaterials, quantitative assessment of shear zone
development is possible. Therefore, the purpose ofthis study is to clarify quantitatively the process ofshear zone development toward the occurrence of
unstable slip and to discuss the relationship between
slip instability and shear zone development
energetically. Through our experimental analysis offriction experiments with simulated fault gouge, weclarify shear zone development in a gouge layer
under high confining pressures quantitatively.
Results have possibility for evaluating other unstableslip such as slope failures.

INTRODUCTION
Earthquakes or slope failures are typicalphenomena of frictional instability of geomaterials
in nature. These natural phenomena often lead toserious physical damage to our society (e.g., humans,
structures, and infrastructures). In general, frictional
slip can be categorized into two types; stable slip
and unstable slip. The former is a stationary motion
without stress drop. On the other hand, the latter isaccompanied with dynamic stress drop. To preventor mitigate damages of unstable slip (i.e.,
earthquakes or slope failures), assessment for theoccurrence of unstable slip is significantly important.
With respect to earthquakes, various researchers
have tackled on the evaluation of fault instability forearthquake generation, and proposed (1) a friction
parameter a – b [1]–[3] and (2) importance of fault
gouge generated by a repetition of fault slip [4]–[15].
Frictional parameter a – b is generally derived
from a spring-slider model (e.g., [1], [2]) for theassessment of slip instability [2], [3]. The friction
parameter derived from the empirical law called rateand state dependent friction law indicates velocity
dependence of friction [2], [3]. The positive valuesof the friction parameters lead to stable slip (velocity
strengthening). On the other hand, the negativevalues of the friction parameters lead to unstable slip
(velocity weakening).
In regard to fault gouge, shear zone development
in a gouge layer has been focused to assess slip
instability. Particularly, transition from the oblique
R1-shears formed after peak stress to Y-shears
108SEE-Osaka, Japan, Nov. 21-23, 2016

different strain gauges; blue, green, or red
results correspond to data of strain gauges
settled at top, middle, or bottom of a sample,
respectively. The black arrow means theoccurrence of unstable slip. The grayshaded areas (H1–H4) indicate the holding
periods of differential stress shown in blacklines. Only results of energy ratios at theholding periods were displayed.

EXPERIMENTAL ANALYSIS
Materials and Methods
In this paper, we utilize data of friction
experiments with simulated fault gouge publishedelsewhere [17]. According to [17], friction
experiments were conducted by a gas-medium
apparatus under confining pressures of 140, 160, and180 MPa. A sample was composed of gabbroic
forcing blocks and simulated fault gouge (quartz).
The forcing brocks were cut at oblique angle of 50ºto the longitudinal axes. Quartz gouge was
sandwiched between two gabbroic blocks. Strain
gauges were settled onto a gauge layer to record
values of stress and strain rate in the major andandminor compressive axes; σ 1 , σ 3 ,respectively. Based on these values, energy ratio K
proposed by [16] could be calculated to describe
deformation of granular materials as shown in Eq.
(1),

The sequence data of energy ratios underconfining pressures of 140, 160, and 180 MPa isshown in Fig. 2. After the final holding period (H4),
all strain gauges showed the significant decreases inenergy ratio just before unstable slip. The drops of K
in final stages just before the occurrence of unstableslip (L5 stage) were confirmed under all confiningpressures.

(1)

Experimental Results
Figure 1 shows a representative change in theenergy ratio K during multiple loading cycles toward
unstable slip (the 4th run under a confining pressureof 140 MPa, see [17] in detail). The increase inenergy ratios could be confirmed at all strain gauges
until between H1 and H2, between H2 and H3, or
between H3 and H4 for top, middle, or bottom strain
gauges. After that, all strain gauges showed decrease
toward the occurrence of unstable slip. Especially,
the bottom strain gauge showed the significant
reduction in the energy ratio before the occurrenceof unstable slip.

Fig. 2The sequence data of energy ratios toward
the occurrence of unstable slip at all
confining pressures. Black marks indicate
the drops in energy ratio K at confiningpressures of 140 and 160 MPa. Verticalbroken lines correspond to the occurrenceof unstable slip. Color legends are same as
Fig. 1. Right vertical axes indicate Riedel
shear angles in a gouge layer.

On the other hand, there were time lags for thesudden drop in K depending on the position of strain
gauges. Time lags decrease with increasing
confining pressures: 1.6 or 1.3 seconds at 140 or 160
MPa, respectively. Degrees of internal heterogeneityof gouge structures also depend on confiningpressures; gouge shows internal heterogeneity of
gouge structures at a low confining pressure orinternal homogeneity of gouge structures at a highconfining pressure.
DISCUSSION
Fig. 1

Change in energy ratios K of fault gouge at
a confining pressure of 140 MPa. Noticethat the data was obtained from 4th run.
Different colors show data obtained from

Estimates of Riedel Shear Angles
The energy ratio K expressed as Eq. (1) as

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SEE-Osaka, Japan, Nov. 21-23, 2016

mentioned above can be rewritten as follows,
Fig. 3(2)where is the internal friction angle [16], [18]–[20].
Thus, the change in energy ratios observed during
friction experiments indicates the change in internal
can also be connected tofriction angles. The
Riedel shear (e.g., R1-sehars) angles [5], [21] by(3)Development of Riedel shears in a gougelayer under all confining pressures. Blue or
red lines indicate the estimated Riedel
shears at the beginning of last loading (L5)or at the occurrence of unstable slip shownwith black arrows in Fig. 2. The right sidecorresponds to top of samples. The upper orlower receives shear to left side or rightside, respectively. The angles mean the
differences between Riedel shear angles
and the rock-gouge boundaries which is
given by 50º - θ.

Variation in Riedel shear angles is smaller at thehigh confining pressure than those at lower
confining pressures (140 and 160 MPa). Thistendency reflects the degree of internal homogeneityof gouge structures derived from energy ratios
depending on confining pressures as mentioned
above. The internal heterogeneity of gouges is large
at lower confining pressures. Therefore, it isconsidered that development of localized shear (e.g.,
the top of sample under a confining pressure of 140MPa) triggers unstable slip at lower confiningpressure, while the whole of sample with internal
homogeneity of gouge structures slides rapidly
under a high confining pressure.

where θ is the angle of Riedel shears with respect tothe major compressive axis. Therefore, Riedel shear
angles developed in a gouge layer can be estimatedbased on Eqs. (2) and (3) by utilizing the energy
ratios. Right vertical axes in Fig. 2 showed theestimated Riedel shear angles. According to [5], [21],change for clockwise direction is taken to bepositive. In Fig. 2, shear angles of 50º (horizontal
broken lines) correspond to the angle of rock-gougeboundaries. Fig. 2 indicates that Riedel shear angles
gradually change toward the occurrence of unstable
slip.
Figure 3 illustrates development of Riedel shears
in a gouge layer based on the calculations of Riedel
shear angles. Under all confining pressures, Riedel
shears develop at lower angles to the rock-gougeboundaries with shear toward the occurrence of
unstable slip (blue to red lines). Particularly, under aconfining pressure of 140 MPa, the top of samples
shows almost parallel (~ 3º) to the rock-gougeboundary at the occurrence of unstable slip. As ageneral trend, Riedel shears at the middle part tend
to develop at higher angles than those at other twoparts except for the result under a confining pressureof 140 MPa. The observed development of Riedel
shears in low angles near the rock-gouge boundaries
is consistent with [11].

Dependence of Riedel Shear Angles on Energy
RatiosFrom Eqs. (2) and (3), relationship between
Riedel shear angles θ and energy ratios K can be
described as follows,(4)
According to [17], energy ratios K tend to be larger
with confining pressures (K > 0). Riedel shear angles
range from 0 to 90º. Thus, Riedel shear angles
become small with confining pressures. Small valuesof Riedel shear angles indicate that Riedel shears
develop at high angles to rock-gouge boundaries inour experimental set up. Therefore, as shown in Fig.
3, shear bands develop at high angle to the rockgouge boundaries under high confining pressures.
On the other hand, shear bands develop at low angle,
or almost parallel to the rock-gouge boundary undera low confining pressure.
However, Riedel shear angles depend not only σ 3, and ) because
but also other factors (i.e., σ 1 ,the energy ratio is a function of these four factors(Eq. (2)). With respect to σ 1 , the effect of σ 1 on
Riedel shear angles can be considered as slight. If
Riedel shear angles depend on σ 1 strongly, Riedel
shear angles should become similar values inexperiments with similar differential stresses, e.g.
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SEE-Osaka, Japan, Nov. 21-23, 2016

500 MPa and 450 MPa for the results of confiningpressures of 140 MPa and 180 MPa, respectively.
However, their energy ratios and Riedel shear angles
under a confining pressure of 140 MPa are different
from those under a confining pressure of 180 MPa as
shown in Fig. 2. Additionally, if Riedel shear angles
depend on σ 1 , Riedel shear angles become large withσ 1 based on Coulomb-Navier's failure criterion.
However, in fact, Riedel shear angles are not always
increase with differential stress under confiningpressures of 140 and 160 MPa (Fig. 2).
In regard to strain rates, variation in the values ofstrain rates observed through local strain gauges
influences the energy ratios as well as Riedel shear
angles strongly. Even though samples were applied
to under same confining pressures, strain rates near amain slip plane become large locally, and the valuesof Riedel shear angles become large (i.e., shears
develop at lower angles to the rock-gougeboundaries). The top of samples under a confiningpressure of 140 MPa showed the representative
result. Consequently, strain tends to localize under
low confining pressures. Localized strain leads toincrease in Riedel shear angles.
Finally, internal friction angle is related toplasticity index I P of soils with water [22]–[25],Safety of Tohoku University.
REFERENCES[1] Rice JR and Ruina AL, Stability of steady
frictional slipping, J. App. Mech., Vol. 50, Jun.
1983, pp. 343–349.
[2] Ruina A, Slip instability and state variablefriction laws, J. Geophys. Res., Vol. 88, Dec.
1983, pp. 10359–10370.
[3] Dieterich JH, Modeling of rock friction: 1.
Experimental results and constitutive equations,J. Geophys. Res. Vol. 84, May 1979, pp. 2161–
2168.
[4] Scholz CH, Wyss M, and Smith SW, Seismic
and aseismic slip on the San Andreas fault, J.
Geophys. Res., Vol. 74, Apr. 1969, pp. 2049–
2069.
[5] Byerlee J, Mjachkin V, Summers R, andVoevoda O, Structures developed in fault gouge
duringstablesliding
andstick-slip,
Tectonophysics, Vol. 44, Jan. 1978, pp. 161–
171.
[6] Logan JM, Friedman M, Higgs N, Dengo C, andShimamoto T, Experimental studies ofsimulated gouge and their application to studies
of natural fault zones, Proc. Conf. VIII,
Analysis of Actual Fault Zones in Bedrock, U. S.
Geol. Surv., Open File Rep., 79-1239, 1979, pp.
305–343.
[7] Marone C and Scholz CH, The depth of seismic
faulting and the upper transition from stable tounstable slip regimes, Geophys. Res. Lett., Vol.
15, Jun. 1988, pp. 621–624.
[8] Marone C, Raleigh CB, and Scholz CH,
Frictional behavior and constitutive modeling ofsimulated fault gouge, J. Geophys. Res., Vol. 95,
May 1990, pp. 7007–7025.
[9] Logan JM, Dengo CA, Higgs NG, and Wang
ZZ, Chapter 2 Fabrics of experimental fault
zones: Their development and relationship tomechanical behavior, Fault Mechanics andTransport Properties of Rocks, Int. Geophys.
Ser., Vol. 51, A Festschrift in Honor of Brace
WF, Evans B, and Wong T-f, Ed. Academic
Press, 1992, pp. 33–67.
[10] Marone C and Kilgore B, Scaling of the criticalslip distance for seismic faulting with shear
strain in fault zones, Nature, Vol. 362, Apr.
1993, pp. 618–621.
[11] Gu Y and Wong T-f, Development of shear
localization in simulated quartz gouge: Effect of
cumulative slip and gouge particle size, Pure
Appl. Geophys., Vol. 143, Mar. 1994, pp. 387–
423.
[12] Marone C, Laboratory-derived friction laws andtheir application to seismic faulting, Annu. Rev.
Earth Planet. Sci., Vol. 26, May. 1998, pp. 643–
696.

(5)
where α and β are constants. From Eqs. (2) and (5),assessment of unstable slip based on energy ratios
can take effect of water into consideration. Thus,
this study focusing on earthquakes can be useful inassessment of other unstable slip such as slope
failures.
CONCLUSION
We investigated energy ratios of simulated fault
gouge obtained from previous works and calculated
Riedel shear angles based on energy ratios. From ouranalysis, it is clear that shears develop at low angles
to rock-gouge boundaries toward the occurrence of
unstable slip. Under a low confining pressure, gougeshows heterogeneous structures and localized shear
triggers unstable slip. On the other hand, under ahigh confining pressure, the whole of samples withhomogeneous structures slips. The evaluation offrictional instability by shear angles through energy
ratio leads to quantitative assessment of fault
instability. Finally, clear understanding of Riedel
shear development is also useful for estimation ofslip planes of slope failures.
ACKNOWLEDGEMENTS
This study was supported by JSPS KAKENHI
grant number 15J02421 and Inter-Graduate School
Doctoral Degree Program on Science for Global
111

SEE-Osaka, Japan, Nov. 21-23, 2016[13] Wong T-f, Baud P, and Klein E, Localized
failure modes in a compactant porous rock,Geophys. Res. Lett., Vol. 28, Jul. 2001, pp.
2521–2524.
[14] Ikari MJ, Marone C, and Saffer DM, On therelation between fault strength and frictional
stability, Geology, Vol. 39, Jan. 2011, pp. 83–
86.
[15] Onuma K, Muto J, Nagahama H, and Otsuki K,
Electric potential changes associated with
nucleation of stick-slip of simulated gouges,
Tectonophysics, Vol. 502, Mar. 2011, pp. 308–
314.
[16] Rowe PW, The stress-dilatancy relation for
static equilibrium of an assembly of particles incontact, Proc. R. Soc. Lond. A, Vol. 269, Oct.
1962, pp. 500–527.
[17] Hirata M, Muto J, and Nagahama H,
Experimental analysis on Rowe’s stressdilatancy relation and frictional instability offault gouges, Episodes, Vol. 37, Dec. 2014, pp.
303–307.
[18] Niiseki S and Satake M, The instruction andconsideration of Rowe’s principle on theminimum energy ratio, in Proc. 36th Annu.
Conf. JSCE, Vol. 3, 1981, pp. 5–6 (in Japanese).
[19] Morinaga K and Niiseki S, Consideration about
Rowe’s stress-dilatancy relation according tovariational method, in Proc. 38th Annu. Conf.
JSCE, Vol. 3, 1983, pp. 33–34 (in Japanese).
[20] Niiseki S, Formulation of Rowe’s stressdilatancy equation based on plane of maximum
mobilization, in Proc. 4th Int. Conf. Micromech.
Granular Media (Powders and Grains), 2001, pp.
213–216.
[21] Morgenstern
NR
andTchalenko
JS,
Microscopic structures in kaolin subjected todirect shear, Géotechnique, Vol. 17, Dec. 1967,
pp. 309–328.
[22] Kenny TC, Geotechnical properties of glaciallake clays, J. Soil Mech. Found. Eng. Div., Vol.
85(SM3), Jun. 1959, pp. 67–79.
[23] Voight B, Correlation between Atterberg
plasticity limits and residual shear strength ofnatural soils, Géotechnique, Vol. 23, Jan. 1973,
pp. 265–267.
[24] Kanji MA, The relationship between drained
friction angles and Atternberg limits of naturalsoils, Géotechnique, Vol. 24, Dec. 1974, pp.
671–674.
[25] Dewoolkar MM and Huzjak RJ, Drained
residual shear strength of some claystones fromfront range, Colorado, J. Geotech. Geoenviron.
Eng, Vol. 131, Dec. 2005, pp. 1543–1551.

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Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

EXTRACTION OF ESSENTIAL OILS FROM FROZEN LEMON PEELSUSING LIQUEFIED DIMETHYL ETHER

1

Ayano Nakamura, Yuki Hara and Tomonori Kawano*1
Graduate School of Environmental Engineering, The University of Kitakyushu, Japan

ABSTRACT
Essential oils (EOs) can be obtained from specific plant organs/tissues such as flower petals and fruit peels in
specific species such as rose and citruses. Bulky plant tissues are often required for extraction of, even a single
drop of, an EO. Use of an organic solvent such as hexane is one of commonly employed protocols for extractionof EOs. In this case, heat- and vacuum-enhanced separation of EOs from the recovered solvent is required.
However, some EOs are sensitive to heat and thus it is favorable to complete the all extraction procedures undercontrolled low-temperature conditions. In the last decade, dimethyl ether (DME), use of a novel organic solvent
substitute, which can be liquefied from gaseous form under low temperature or high pressure has been proposed.
Since the liquefied DME behaves similarly to most organic solvents, one may expect that it could be used forextraction of EOs from plant tissues under freezing temperature. Here, we performed the extraction of EOs fromflavedo (yellow colored outer peels) of lemon using liquefied DME. The favedo slices (20 gfw) were sealed
inside the pressure-resistant extraction chamber kept at -30°C, with ca. 50 g of liquefied DME, for 2 to 24 hrs.
After fifth renewal of the solvent, 41 mg/gfw tissue of crude EOs were obtained. The major components in
DME-extracted crude EOs from lemon peel were determined and quantified with GC-MS/GC-FID, to belimonene (40.4%, w/w), β-pinene (10.4%, w/w), and γ-terpinene (6.9 %, w/w).
Keywords: extraction, dimethyl ether, DME, frozen plant tissues, lemon peels

tissues [11], and some organic molecules from algal
green mass[12], [13].
Citrus fruits form a group of major pomologicalproducts cultivated in Japan [14]. Next to the freshuse, citrus fruits are used primarily in juice
production [15]. As a results, a huge amount of
citrus residues chiefly peels are discarded although
citrus peels still have useful components such as
essential oils (EOs) and vitamin C [16]. Accordingly,
disposal of citrus peels requires the removal of alarge amount of water that contained in peels [17].
Therefore, dewatering and extraction of usefulcomponents from citrus peels must be performed atonce. In fact, liquefied DME can be also used as a
dewatering solvent actively removing watery phasefrom plant tissues [18].
Generally, EOs in citrus peels can be obtained bycold-press or steam distillation method. However,there are problems in both procedures. The yield of
EOs in cold-press is likely low because many EOs
reminds in citrus peels [19]. By steam distillation
method, the components of EOs are readily modified
by heat because the method is often carried out athigh temperature between 130 and 150℃. On theother hand, during the extraction of oils usingliquefied DME, the solvent can be evaporated
without heating [12], [13]. Therefore, the use ofliquefied DME is one of the most attractive
approaches for extraction of EOs.
In the present study, we attempted to develop a

INTRODUCTION
Dimethyl ether (DME), which is the simplest
ether with the formula CH 3 OCH 3 , is well-known asa useful precursor to other organic chemicals such asliquefied petroleum gas (LPG) [1], [2] and low
molecular hydrocarbons [3] by catalytic systems [4][6]. Today, DME is also known as an alternative fuelreplacing the roles for conventional diesel fuels [7].
In addition to the diesel engine, many types of gas
turbines and petrol engines can be fuelled with DME
through high-efficiency combustion with reduced
emission of NO x , SO x , and particulate matter [8].
Furthermore, efficient reformation of DME into H 2
gas at low temperatures can be achieved [8]. Whilevarious fuels have serious issues with toxicity,
production, infrastructure, or transportation, DME
does not seem to have any such problem [8].
Apart from its use as a fuel or a precursor toother organic chemicals, liquefied form or
subcritical form of DME attracts the attentions by
scientists and engineers since DME in these forms
behaves as an solvent. Accordingly, subcritical
DME acts as an effective media for extraction of
medicinal, flavoring and pungent agents from spices
such as ginger, black pepper, and chili powder [9].
In addition, DME can be used as a low-temperature
extraction solvent applicable to laboratory
procedures for extraction of bio-oils from foodwastes such as rice brans [10], pigments from plant
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SEE-Osaka, Japan, Nov. 21-23, 2016

DME should be repeated until the completion of
extraction process.
Supply of gaseous DME was made throughaluminum capillaries at 0.5 MPa. Then cryoliquefied DME was supplied to the pressure-proof
bottles made of PFA (Tetrafluoroethyleneperfluoroalkyl vinyl ether copolymer) resin used as
the extraction unit (Fig. 2, Fig. 3B). Within theextraction unit, a magnetic stirring bar was used forenhancing the extraction process when required.
Extraction and separation of oily phase andwatery phase were performed as illustrated in Fig. 2.
Here, lemon peels were used as model plantmaterials. Lemon fruits were purchased at a local
market in Kitakyusyu city.

simple protocol for extraction of EOs using lowtemperature liquefied DME. Frozen lemon peel
(flavedo) was chosen as a model plant material for
extractions of EOs.

MATERIALS AND METHODS
Handling of DME was basically achieved
according to [10]. With some modifications, batchtype extraction system was employed here. The
system consisted of a DME cryo-liquefaction unit
and an extraction unit. The DME cryo-liquefaction
unit consisted of DME gas cylinder obtained from a
local gas vender (Air-Gases Kitakyushu Inc.) andcooling units (liquid collection cylinder incubatedwith ice (Fig. 1).

Fig. 1 Equipments for Cryo-liquefaction of DME.

Fig. 3 Extraction of EOs from lemon peels (flavedo)
under -30°C. (A) Excised lemon peels used here. (B)Pressure-proof PFA bottle. (C) Layer of EOs above
aqueous layer obtained after extract of total liquefied
cold DME.

RESULTS AND DISCUSSION
We have chosen the frozen lemon peels as model
materials for performing the extraction of EOs usingliquefied DME.
Extraction of EOs from the lemon peels was
successfully performed at cryo-preservative
condition at -30˚C (Fig. 3). We performed theFig. 2 Procedures for cryo-liquefied DME-based
dewatering and extraction of biological components
from plant materials. When required, extraction by
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SEE-Osaka, Japan, Nov. 21-23, 2016

extraction of EOs from flavedo (yellow coloredouter peels) of lemon using liquefied DME. The
favedo slices (20 gfw) were sealed inside thepressure-resistant extraction chamber kept at -30°C,
with ca. 50 g of liquefied DME, for 2 to 24 hrs.

Encouragement & Scholarship Foundation.

Fig. 4 The amount (weight) of EOs extracted from
20g of frozen lemon peels using cold liquefied DME.
(A) Extraction in 2 hours. (B) Extraction in 24 hours.
Analysis of EO components using GC-MS and
GC-FID was outsourced to the Mie Prefecture
Environmental Conservation. The major components
in DME-extracted crude EOs from lemon peel were
determined and quantified with GC-MS/GC-FID to
be limonene (40.4%, w/w), β-pinene (10.4%, w/w),
and γ-terpinene (6.9 %, w/w) as shown in Fig. 5.

Fig. 5 Composition of lemon peel EOs extractedwith cold liquefied DME. Chromatograms for DMEextracted lemon EOs after GC-MS (A) and GC-FID(B) are shown. Yield of EOs in lemon peel extracts
are summarized (C).

CONCLUSIONREFERENCES

In the present study, extraction of EOs fromfrozen lemon peels accompanying the dewatering
process using cold liquefied DME was performed.

[1] Jin, Y., Asaoka, S., Li, X., Asami, K., andFujimoto, K. “Synthesis of liquefied petroleumgas via methanol/dimethyl ether from naturalgas.”, Fuel Processing Technol. 85, 2004 pp.
1151-1164.
[2] Zhu, W., Li, X., Kaneko, H. and Fujimoto, K.,“LPG synthesis from DME with semi-direct
method”, Studies of Surface Science andCatalysis, Vol. 167, 2007, pp.355-360

ACKNOWLEDGEMENTS
This work was supported by a grant of Regional
Innovation Strategy Support Program implemented
by Ministry of Education, Culture, Sports, Scienceand Technology (MEXT), Japan; and also by a grantfrom Tonen General Sekiyu Research/Development
115

SEE-Osaka, Japan, Nov. 21-23, 2016[3] Zhu, W., Li, X., Kaneko, H. and Fujimoto, K.,“Selective transformation of dimethyl ether into
small molecular hydrocarbons over large-porebeta zeolite.”, Catalysis Letter, 120(1-2), 2008,
pp. 95-99.
[4] Shikada, T., Fujimoto, K., Miyauchi, M. andTomonaga, H. “Vapor phase carbonylation ofdimethyl ether and methyl acetate with nickelactive carbon catalysts.”, Appl. Catalysis 7 ,1983, pp. 361-368.
[5] Fujimoto, K., Asami, K., Shikada, T. andTomonaga, H. “Selective synthesis of dimethyl
ether from synthesis gas.”, Chem. Lett. 13, 1984,
pp. 2051-2054.
[6] Yagita, H., Asami, K., Muramatsu, A. andFujimoto, K. “Oxidative dimerization ofdimethyl ether with solid catalysts.”, Appl.
Catalysis 53, 1989, pp. 5-9.
[7] Gupta, K., Rehman, A. and Sarviya R., “Biofuels for the gas turbine: A review.”, Renew.
Sustain. Ener. Rev., 14, 2010, pp. 2946.
[8] Semelsberger, T. A., Borup, R. L., and Greene,“Dimethyl ether (DME) as an alternative fuel.”,H. L. J. Power Sources 156, 2006, pp. 497-511.
[9] Catchpole, O. J., Grey, J. B., Perry, N. B.,
Burgess, E. J., Redmond, W. A. and Porter, N.,“Extraction of Chili, Black Pepper, and Ginger
with Near-Critical CO2, Propane, and Dimethyl
Ether: Analysis of the Extracts by Quantitative
Nuclear Magnetic Resonance.”, J. Agric. Food
Chem., 51, 2003, pp.4853.
[10] Hara, Y., Kikuchi, A., Noriyasu, A., Furukawa,
H., Takaichi, H., Inokuchi, R., Bouteau, F.,
Chin, S., Li X., Nishihama, S., Yoshizuka, K.,
and Kawano, T., “Batch extraction of oil fromrice bran with liquefied low temperature
dimethyl ether.”, Solv. Extr. Res. Dev. Japan
23(1), 2016, pp. 87-99.
[11] Noriyasu, A., Kikuchi, A., Furukawa, H.,
Takaichi, H., Bouteau, F., Li X., Nishihama, S.,
Yoshizuka, K., and Kawano, T. “Use ofliquefied cold temperature dimethyl ether for
extraction of pigments from fresh vegetabletissues.”, Adv. Hort. Sci. 29, 2015, pp. 48-52.
[12] Kanda, H. and Li, P., “Simple extraction
method of green crude from natural blue-green
microalgae by dimethyl ether.”, Fuel 90, 2011,
pp. 1264-1266.
[13] Kanda, H. and Makino, H., “Energy-efficient
coal dewatering using liquefied dimethyl ether.”,Fuel, 89, 2010, pp. 2104–2109.
[14] Yamamoto M., “Progress on studies forseedless breeding of critus in Japan.”, Adv. Hort.
Sci. 28, 2014, pp. 64-72.
[15] Sudo, M., “Current trends and issues with
citrus extraction in Ehime.”, Nippon Shokuhin
Kagaku Kogaku Kaishi 61, 2014, pp. 382-385.
[16] Mandalari G., Bennett R., Bisignano G., Saija
A., Dugo G., et al., “Characterization offlavonoids and pectins from bergamot (Citrus
bergamia Risso) peel, a major byproduct ofessential oil extraction.”, J Agric Food Chem 54,
2006, pp. 197-203[17] Braddock, R. and Crandall, P., “Properties andrecovery of waste liquids from citrus pectin
pomace manufacture.”, J Food Sci 43, 1978, pp.
1678-1679[18] Furukawa, H., Kikuchi, A., Noriyasu, A.,
Bouteau, F., Nishihama, S., Yoshizuka, K., Li
X., and Kawano, T., “Use of liquefied dimethyl
ether for the extraction of proteins fromvegetable tissues.”, Solv. Extr. Res. Dev. Japan
23, 2016, 127-135.
[19] Suetsugu T., Tanaka M., Iwai H., Matsubara T.,
Kawamoto Y., et al., “Supercritical CO2
extraction of essential oil from Kabosu (Citrus
sphaerocarpa Tanaka) Peel.”, Flavour 2, 2013,
pp. 18.

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Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

ELECTROCHEMICAL TECHNIQUE FOR
1,3-DICHLORO-2-PROPANOL ANALYSIS
Kanokwan Rudisirisak, Nittaya Ngowattana
Department of Chemistry, Faculty of Science and Technology Rajamangala University of Technology,
Thunyaburi, Pathumthani, Thailand.
kanokwan_r@rmutt.ac.th, nittaya_n@rmutt.ac.th

ABSTRACTSoy sauce is widespread as food seasoning for many type of food, especially Thai and Chinese food.
Vegetable acid hydrolysis is the rapid process for seasoning production, but the process cause toxic contaminants
such as 3-MCPD and 1,3-DCP that are the epichlorohydrin group. In soy sauce, 1,3-DCP is lower than 3-MCPD
in ratio 1:20, so we decided to examine 1,3-DCP. The normal method to analyse 1,3-DCP is GC-MS techniquethat is high expense, using high purified sample and taking a long time. Our purpose was to reduce expenses andtime. Therefore, this research focused on improvement of 1,3-DCP analysis methodology by using
electrochemical technique. We produced the carbon paste electrode and used as working electrode. We studied
the suitable condition for analysis by using voltammetry technique; electric potential and NaOH in oxidation
reaction of 1,3-DCP; and amperometry technique; interval time of reaction at electrode surface(5 and 10
minutes), stirring rate(100,300 and 500 rpm). It was found that the electric potential and the interval time ofoxidation reaction for 1,3-DCP analysis were 1.33 V. and 5 minutes interval, respectively. Moreover, we foundthat 4.0 M NaOH and 100 rpm stirring rate were suitable for this analysis. The result of our research were 0.02
mg/dm3 of detection limit, 81.27 % recovery, 13.339 ppm of sensitivity, 0.67-4.67 ppm of linear range, 6.95 %RSD of solution preparation, 3.95 % RSD of injection and 5.15 % RSD of produced working electrode.
Keywords: 1,3 Dichloro-2-propanol, Soy sauces, Electrochemical technique, halohydrin, ephichlorohydrin,

Electrode preparation
The working electrode was prepared bythoroughly hand-mixing 5 g graphite powder and
1mL of silicone oil in a mortar with pestle. Thispaste was placed in a cavity on electrode body (glass
tube φ 5 mm) in contact with a copper wire andsmoothed on clean paper until it had a shiny
appearance.

INTRODUCTION
Seasoning sauce is produced by acid hydrolyzed
vegetable protein [1] that is defat by hydrochloric
acid at high temperature. The production processcause the concentration of chloropropanol compounds
for example 3-monocholropropane1,2-diol (3-MCPD)
and 1,3-Dichloropropanol (1,3-DCP), that are toxic
and carcinogen.[6] 1,3-DCP and 3-MCPD have beenfound in soy sauce and other seasoning sauce. When
3-MCPD were co-occurred in sauce, the amount of
3-MCPD was always higher than that of 1,3-DCP by
ratio 3-MCPD:1,3-DCP was 20:1. Therefore, if wefound 1,3-DCP in sauce we could find 3-MCPD too.
1,3-DCP is usually analyse by GC-MS.[4] This
research was interested to use electrode technique toanalyse 1,3-DCP. So,we initiated this techniqueusing carbon paste electrode to examine the reaction
capacity.

Apparatus
All voltammetric measurements were performed
using VA Stand 663 Voltametric analyzer(Metrohm,Herisau,Switzerland),Potentiostat(Autolab model PGSTAT 20). Three electrodes
assembly cell consisted of carbon paste electrode asworking electrode, an Ag/AgCl in 3 mole/L KCl as areference electrode and platinum wire as an auxiliaryelectrode.
Procedure

EXPERIMENT
Cyclic voltammetry of 1,3-DCP
Reagent and Materials
1,3-Dichloropropanol (1,3-DCP) 98 % and otherreagent were purchased from Aldrich. All thesolutions were prepared with analytical grade
reagents and Milli-Q water

To consider the suitable potential in oxidationreduction reaction.
To examine the effect and concentration of
sodium hydroxide to oxidation current.
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Amperometric Determination of 1,3-DCP

The effect and concentration of sodium hydroxide tooxidation current

Effect of time and rotation rate in 1,3-DCP
analysis.

Cyclic voltammogram showed the peak anodic
current of 2,000 ppm 1,3-DCP in 0.1 M NaOH
solution on carbon paste electrode between -0.5 to
2.0 V with scan rate of 1V/sec. The anodic current
peak present about 1.45 V as shown in Fig.2 [3]Analytical parameters for 1,3-DCP determinations
Detection limit, % recovery, sensitivity, linear
range, % RSD of injection and % RSD of produced
working electrode.

----2,000 ppm 1,3-DCP in 0.1 M NaOHRESULTS AND DISCUSSION----2,000 ppm 1,3-DCP in aqueous solution

Cyclic voltammetry of 1,3-DCP
The suitable potential in oxidation-reduction.
It was found that cyclic voltammogram of 2,000
ppm of 1,3-DCP as it clear in the Fig1. the complete
disappearance of oxidation and reduction peak.

Current ( mA)

Fig.2 Cyclic voltammogram of 2,000 ppm 1,3DCP on carbon paste electrode with condition : scan
range from -0.5 to 2.0 V,Scan rate of 1 V/sec, with
NaOH (red line) and without NaOH (Blue line).
a. 2,000 ppm1,3-DCP in aqueous
b. 2,000 ppm 1,3-DCP in 0.1 M NaOH
c. 2,000 ppm 1,3-DCP in 0.5 M NaOH
d. 2,000 ppm1,3-DCP in 1.0 M NaOH
e. 2,000 ppm1,3-DCP in 2.0 M NaOH
f. 2,000 ppm1,3-DCP in 4.0 M NaOH
g. 2,000 ppm1,3-DCP in 8.0 M NaOH

g

e

f
c

d

b
a

Fig. 1 Cyclic voltammogram of 2,000 ppm 1,3-DCP
in water on carbon paste electrode with condition :scan range from -0.5 to 2.0 V, scan rate of 1 V/sec.
The halohydrin react with sodium hydroxide
solution to cause an epoxide [9] 1,3-DCP is one of
halohydrin compound, so it can reacts with sodiumhydroxide to produce epichlorohydrin sodium
chloride and water. The reaction can be observed
from the following equation [10].

NaOH+

Potential (V)

(a.)

x-

+ NaOH(b.)
Fig.3 (a) The cyclic voltammograms on carbon
paste electrode of 2,000 ppm 1,3-DCP in different
concentrations of NaOH on carbon paste electrodewith condition : scan range from -0.5 to 2.0 V scanrate of 1V/sec.
(b) Maximum current of 0.1-8.0 M NaOH

+ NaCl118

SEE-Osaka, Japan, Nov. 21-23, 2016

Cyclic voltammogram of 2,000 ppm.1,3-DCP in
0.1-8.0M NaOH showed oxidation peak thatchanged in range 1.3-1.5 V. The effect of sodiumhydroxide concentration observed through oxidation
current as shown in Fig.3(a).
Fig.3(b) showed the comparison between thehighest current and 0.1-8.0 M NaOH. We found thatthe optimum concentration of sodium hydroxide
induced anodic current was 4.0 M while potential
was fixed throughout at 1.3 V for amperometricexperiment.

Amperometric response of continuous addition
1,3-DCP 20,000 ppm at 5 minutes interval using 100
200 and 300 rpm rotation speed. We found that the
100 rotation speed was the highest sensitivity as
shown in Fig. 4

Amperometric Determination of 1,3-DCP
Fig.4(a,b)showed that the amperometric response
obtained by continuous addition 10 µL 20,000 ppm
of 1,3-DCP in 4 M NaOH into reservoir at 5 and 10
minute interval, respectively. We found that thesensitivity of the two intervals was nearby, but ther2 of 5 minute interval was higher than r2 of 10
minute interval as shown in Fig 4.(c) Therefore weselected the 5 interval for next experiment.

(a) 100 rpm(b) 200 rpm(a) 5 min interval(b) 10 min interval
y = 15.055x + 19.846
R² = 0.9263

120

Current ( µA)

100

Current (µA)(c) 300 rpm

80
60

5 min

40

10min

y = 13.339x + 11.738
R² = 0.9869

20

2
4
1,3-DCP Concentrations (ppm)(d)
Fig.5 Amperometric responseof continuous
addition 1,3-DCP 20,000 ppm at 5 minutes interval,
E=1.3 V using 100 200 and 300 rpm rotation speed.

00

1,3-DCP Concentrations (ppm)

6

Analytical parameters for 1,3-DCP
determinations(c)Fig.4 Amperometric response and analytical curve
obtained for 5 and 10 minute addition intervals of
1,3-DCP 20,000 ppm. Experimental conditions:
E = 1.3 V, rotation speed 100 rpm .

The suitable conditions of experiment were 5
minutes interval of addition 1,3-DCP and 4 M

119

SEE-Osaka, Japan, Nov. 21-23, 2016

NaOH, appling potential 1.3 V and 100 rpm rotation
speed. The results were 0.02 ppm of detection limit,
81.27% recovery, 13.339 ppm of sensitivity, 0.674.67 ppm of linear range, 6.95% RSD of solution
preparation, 3.95% RSD of injection and 5.15%
RSD of produced working electrode.
This experiment could detect 1,3-DCP at 0.02
ppm that was lower than detection in ppb level by
GC-MS Headspace.[7]. Contamination amount of
1,3-DCP that is allowed in Thailand is 1 ppm. LOD
of 1,3-DCP in this experiment was 0.02 ppm, so we
can examine 1,3-DCP and 3-MCPD in other samples
because 1,3-DCP was found 20-fold less than 3MCPD. However we expect to use other materials,
such as Glossy carbon, as working electrode to
improve result.

[3] Kwok Onn Wong,et al..3-monochloprpane-1,2diol (3-MCPD) in soy and oyster sauces:
Occurrence and dietary in take assessment.
doi:10.1016/i.foodcont.005.01.010.
[4] Jeong,JH,Sinetal.(2007).1,3-dichloro-2propanol induced cell damage.J Environ Sci(China),16:229-225.
[5] Abu-EI-Haj S, Bogusz Mj, Ibrahim Z etal.(2007).Rapid and simple determination ofchloropropanols (3-MCPD and 1,3-DCP) infood products using isotope dilution GCMS.Food Contr,18 :81-90.
[6] Scott A. “ 1,3-Dichloro -2-propanol Review of
Toxicology”. Interated Laboratory System, Inc.
Research Triangle Park. North Carolina,2005.
[7] Hasnip S. et al. “ Determination of 1,3Dichloropropanol in soy sauce and related
products by headspace gas chromatography
with mass spectrometric detection interlaboratory study J AOAC Int. 2005 SepOct;88(5):1404-12.
[8] Food and drug administration,Thailand ,http://www.smelawservice.com/service/128/ (25January 2013).
[9] William H.Brown,Brent L.lverson,Eric Anslyn,
Chistopher S. Foote.organic chemistry.
ForoMac.com ISBN:1285426509.
[10]Naoya Kansai, Toshio Suzuki, Yoshiro
Furukawa. “Chiral C3 epoxides and halohydrin :Their preparation and synthetic application
Journal of Molecular Catalysis B:Enzymatic.
1998, vol.4(5) :237-352.

CONCLUSION
In this research we could analyse 1,3-DCP byusing reaction of halohydrin to epoxide that caused
anodic current and then detected withelectrochemical technique.
REFERENCES[1] Wenzl et al.(2007) “ 1,3-dichloro-2propanol”,IARC monographs, 375-390.
[2] Eduardo Vicente, et al. “Level of 3-monochloro
propane-1,2-diol (3-MCPD) in selected
processed food from the Brazilian market”,
Food Research International. 77 (2015) 310-314.

120

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

SOME PROPERTIES OF THE PRODUCT OF (P,Q) – FIBONACCI
AND (P,Q) - LUCAS NUMBER
Alongkot Suvarnamani * and Mongkol Tatong
Faculty of Science and Technology, Rajamangala University of Technology Thanyaburi, Thailand*E-mail address: kotmaster2@rmutt.ac.th

ABSTRACT
Some mathematicians study the basic concept of the generalized Fibonacci sequence and Lucas sequencewhich are the (p,q) – Fibonacci sequence and the (p,q) – Lucas sequence. For example, Singh, Sisodiya and
Ahmad studied the product of the k-Fibonacci and k-Lucas numbers. Moreover, Suvarnamani and Tatongshowed some results of the (p; q) - Fibonacci number. They found some properties of the (p,q) – Fibonacci
number and the (p,q) – Lucas number. There are a lot of open problem about them. Moreover, the example forthe application of the Fibonacci number to the generalized function was showed by Djordjevicand Srivastava. In
this paper, we consider the (p,q) – Fibonacci sequence and the (p,q) – Lucas sequence. We used the Binet’s
formulas to show that some properties of the product of the (p,q) – Fibonacci number and the (p,q) – Lucas
number. We get some generalized properties on the product of the (p,q) – Fibonacci number and the (p,q) –Lucas number.
Keywords: Fibonacci sequence, Lucas sequence, (p,q) – Fibonacci number, (p,q) – Lucas number,
Binet’s formulak = 1,INTRODUCTION{2,1,3, 4, 7,11,18,...} . If k = 2 , we get the PellLucas sequence {2, 2, 6,14,34,82,198,...} .

Koshy [6] and Vajda [10] explained the
Fibonacci number and Lucas number in theircomprehensive works. The Fibonacci number Fn isthe term of the sequence {Fn } where each term is

The Binet’s formulas for k - Fibonacci and k Lucas numbers, see [1, 2, 5], are given byr n − r2n
L k,n= r1n + r2n
and
where
Fk,n = 1
r1 − r2

the sum of the two previous terms beginning with
the initial values F0 = 0 and F1 = 1 . The Fibonaccisequence {Fn } is {0,1,1, 2,3,5,8,...} .

The Lucas

k + k2 + 4
k − k2 + 4
and r2 =are roots of22
the characteristic equation r 2 − kr − 1 =0 . We notenumber L n is the term of the sequence {L n } wherer1 =each term is the sum of the two previous terms
beginning with the initial values L0 = 2 and L1 = 1 .

k , r1r2 = −1 and r1 − r2=that r1 + r2 =The Lucas sequence {L n } is {2,1,3, 4, 7,11,18,...} .

and Fk,n=
kFk,n + Fk,n −1 for k ≥ 1 and n ≥ 1 . If+1
k = 1 , we get the classical Fibonacci sequence{0,1,1, 2,3,5,8,...} . And we get the Pell sequence{0,1, 2,5,12, 29, 70,...} for k = 2 .

In 2015, Suvarnamani and Tatong [11] showedsome results of the (p,q)-Fibonacci number. Next
Suvarnamani [12] proved some properties of the(p,q)-Lucas number in 2016. Moreover Raina andSrivastava [13] showed a class of numbers

Falcon [5] studied the k-Lucas sequence {L k,n }L k,1 = 1andL=kL k,n + L k,n −1 for k ≥ 1 and n ≥ 1 .
k,n +1

If

L k,0 = 0 ,k2 + 4 .

In 2007, Falcon and Plaza [3] studied the kFibonacci sequence and the Pascal 2-triangle. Next,
they considered the 3-dimensional k-Fibonacci spiralin [4].
Then Thongmoon [8,9] found someproperties of the Fibonacci and Lucas numbers in
2009. In 2014, Singh, Sisodiya and Ahmad [7]studied the product of the k-Fibonacci and k-Lucas
numbers.

Falcon and Plaza [2] introduced the k-Fibonaccisequence {Fk,n } which is defined as Fk,0 = 0 , Fk,1 = 1

which is defined as

we get the classical Lucas sequence121

SEE-Osaka, Japan, Nov. 21-23, 2016

associated with the Lucas number in 1997.
Fp,q,m + n L p,q,mMoreover, the example for the application of the
Fibonacci number to the generalized function was r1m + n − r2m + n  m m=

 ( r1 + r2 )showed by Djordjevic and Srivastava [14] in 2006.
 r1 − r2 
In this paper, we find some properties of the productof (p,q) Fibonacci and (p,q) Lucas numbers.
r 2m + n − r22m + n + r1m + n r2m − r1m r2m + n= 1
r1 − r2
THEORITICAL BACKGROUND
1. The (p,q) - Fibonacci number=

The (p,q) - Fibonacci sequence
definedasFp,q,0 = 0,{Fp,q,n } is

Fp,q,1 = 1

and=

Fp,q,n pFp,q,n −1 + qFp,q,n − 2 for p ≥ 1 , q ≥ 1 and n ≥ 2 .
=r12m + n − r22m + n + ( r1r2 )m(r − r )n1n2

r1 − r2nn
r12m + n − r22m + n
m  r − r2 + ( r1r2 )  1

r1 − r2
 r1 − r2 

= Fp,q,2m + n + (−q) m Fp,q,n .

So, the (p,q) - Fibonacci number is the each term ofthe (p,q) - Fibonacci sequence.


Theorem 2. Suppose that p, q, m and n be positive
integers. We get

2. The (p,q) - Lucas number
The (p,q) - Lucas sequence {L p,q,n } is defined as

Fp,q,m L p,q,m=
Fp,q,2m + n − (−q) m Fp,q,n .
+nL p,q,0 = 2 , L p,q,1 = p and=L p,q,n pL p,q,n −1 + qL p,q,n − 2

for p ≥ 1, q ≥ 1 and n ≥ 2 . So, the (p,q) - Lucas
number is the each term of the (p,q) - Lucassequence.

Proof. Let p, q, m and n be positive integers. We
have

Fp,q,m L p,q,m + n

3. The Binet’s formula r m − r2m  m + n m + n=  1
 ( r1 + r2 )The Binet’s formula for (p,q) - Fibonacci number r1 − r2 
r n − r2n
is given by Fp,q,n = 1
where
Fp,q,nr 2m + n − r22m + n − r1m + n r2m + r1m r2m + n= 1
r1 − r2
r1 − r2
p + p 2 + 4q
p − p 2 + 4qm
and r2 =are roots
r1 =r12m + n − r22m + n − ( r1r2 ) ( r1n − r2n )2
2=
0 . Andof the characteristic equation r 2 − pr − q =r1 − r2
the Binet’s formula for (p,q) - Lucas number L p,q,nnnr 2m + n − r22m + n
m  r − r2 
= 1
− ( r1r2 )  1
p,is given by L p,q,n= r1n + r2n . We note that r1 + r2 =r1 − r2
 r1 − r2 

r1r2 = − q and r1 − r2=

p 2 + 4q. We prove the= Fp,q,2m + n − (−q) m Fp,q,n .

Binet’s formulas for (p,q) - Fibonacci number and(p,q) - Lucas number by mathematical induction.


Theorem 3. Suppose that p, q, m and n be positive
integers where m > n . We get

THE PRODUCT OF (P,Q) - FIBONACCINUMBER AND (P,Q) - LUCAS NUMBER

Fp,q,m − n L p,q,m=
Fp,q,2m − (−q) m − n Fp,q,2n .
+nTheorem 1. Suppose that p, q, m and n be positive
integers. We get

Proof. Let p, q, m and n be positive integers wherem > n . We have

Fp,q,m + n L=
Fp,q,2m + n + (−q) Fp,q,n .
p,q,mm

Fp,q,m − n L p,q,m + n
Proof. Let p, q, m and n be positive integers. We
 r m − n − r2m − n  m + n m + n
have
=  1
 ( r1 + r2 )
 r1 − r2 
122

SEE-Osaka, Japan, Nov. 21-23, 2016

r 2m − r22m − r1m + n r2m − n + r1m − n r2m + n= 1
r1 − r2=

r12m − r22m − ( r1r2 )m−n=(r − r )
2n
1

2n
2

=

r1 − r2= Fp,q,2m − (−q)

m+k

(r

n −k
1

− r2n − k )r1 − r2n −k− r2n − k 
r12m + n + k − r22m + n + k
m+k  r+ ( r1r2 )  1

r1 − r2
 r1 − r2 

= Fp,q,2m + n + k + (−q) m + k Fp,q,n − k .

2n− r22n 
r 2m − r22m
m−n  r
= 1
− ( r1r2 )  1

r1 − r2
 r1 − r2 m−nr12m + n + k − r22m + n + k + ( r1r2 )

Fp,q,2n .

Theorem 6. Suppose that p, q, m and n be positive
integers where n < k . We get

Fp,q,m + n L=
Fp,q,2m + n + k − (−q) m + n Fp,q,k − n .
p,q,m + k

Theorem 4. Suppose that p, q, m and n be positive
integers where m > n . We get

Proof. Let p, q, m and n be positive integers wheren < k . We have

Fp,q,m + n L p,q,m=
Fp,q,2m + (−q) m − n Fp,q,2n .
−nFp,q,m + n L p,q,m + k
Proof. Let p, q, m and n be positive integers wherem > n . We have r1m + n − r2m + n  m + k m + k= ( r1 + r2 )Fp,q,m + n L p,q,m − n r1 − r2 
 r m + n − r2m + n  m − n m − n=  1 ( r1 + r2 )
 r1 − r2 

r 2m + n + k − r22m + n + k + r1m + n r2m + k − r1m + k r2m + n= 1
r1 − r2

r 2m − r22m + r1m + n r2m − n − r1m − n r2m + n= 1
r1 − r2
=

2m
1

r

−r

2m
2

+ ( r1r2 )m−n=(r − r )
2n
1

2n
2

=

r1 − r2

r12m + n + k − r22m + n + k + ( r1r2 )

m+n

(r

k −n
1

− r2k − n )r1 − r2k −n
r12m + n + k − r22m + n + k− r2k − n 
m+n  r+ ( r1r2 )  1

r1 − r2
 r1 − r2 

= Fp,q,2m + n + k − (−q) m + n Fp,q,k − n .

2nr 2m − r22m
− r22n 
m−n  r
= 1
+ ( r1r2 )  1

r1 − r2
 r1 − r2 = Fp,q,2m + (−q) m − n Fp,q,2n .
CONCLUSIONIn this paper, we consider the (p,q) – Fibonaccisequence and the (p,q) – Lucas sequence. We used
the Binet’s formulas to show that some properties ofthe product of the (p,q) – Fibonacci number and the(p,q) – Lucas number. We get some generalized
properties on the product of the (p,q) – Fibonacci
number and the (p,q) – Lucas number.

Theorem 5. Suppose that p, q, m and n be positive
integers where n > k . We get

Fp,q,m + n L=
Fp,q,2m + n + k + (−q) m + k Fp,q,n − k .
p,q,m + k
Proof. Let p, q, m and n be positive integers wheren > k . We have

ACKNOWLEDGEMENTS

Fp,q,m + n L p,q,m + k

This research is the part of the project ‘Solutionsof Diophantine Equations’ which was supported thefoundation (In 2016) by the Faculty of Sciences andTechnology,
Rajammangala
UniversityofTechnology Thanyaburi, Thailand.

 r m + n − r2m + n  m + k m + k=  1
 ( r1 + r2 )
 r1 − r2 

r 2m + n + k − r22m + n + k + r1m + n r2m + k − r1m + k r2m + n= 1
r1 − r2123

SEE-Osaka, Japan, Nov. 21-23, 2016

REFERENCES
International Mathematical Forum, Vol. 4, No.
7, 2009, pp. 303-308.
[9] M. Thongmoon, New Identities for the Even
and Odd Fibonacci and Lucas Numbers,
International Journal of Contemporary
Mathematical Sciences, Vol. 4, No. 14, 2009,
pp. 671-676.
[10] S. Vajda, Fibonacci and Lucas Numbers andthe Golden Section, Ellis Horwood, Chichester,UK, 1989.
[11] A. Suvarnamani and M. Tatong, Some
Properties of (p; q) – Fibonacci Numbers,
Science and Technology RMUTT Journal, Vol.
5, No. 2, 2015, pp. 17-21.
[12] A. Suvarnamani, Some Properties of (p; q) –Lucas Number, Kyungpook Mathematical.
Journal, Vol. 56, 2016, pp. 367-370.
[13] R. K. Raina and H. M. Srivastava, A class ofnumbers associated with the Lucas numbers,
Math. Comput. Modelling,, Vol. 25, No. 7,
1997, pp. 15-22.
[14] G. B. Djordjevic'c and H. M. Srivastava, Somegeneralizations of certain sequences associatedwith the Fibonacci numbers, Journal
Indonesian Mathematical. Society, Vol 12,
2006, pp. 99-112.

[1] C. Bolat, A. Ipeck and H. Kose, On the
Sequence Related to Lucas Numbers and Its
Properties, Mathematica Aeterna, Vol. 2, No. 1,
2012, pp. 63-75.
[2] S. Falcon and A. Plaza, On the Fibonacci kNumbers, Chaos, Solitons and Fractals, Vol. 32,
No. 5, 2007, pp. 1615-1624.
[3] S. Falcon and A. Plaza, The k-Fibonacci
Sequence and the Pascal 2-Triangle, Chaos,
Solitons and Fractals, Vol. 33, No. 1, 2007, pp.
38-49.
[4] S. Falcon and A. Plaza, On the 3-Dimensional
k-Fibonacci Spiral, Chaos, Solitons andFractals, Vol. 38, No. 4, 2008, pp. 993-1003.
[5] S. Falcon, On the k-Lucas Numbers,
International Journal of Contemporary
Mathematical Sciences, Vol. 6, No. 21, 2011,
pp. 1039-1050.
[6] T. Koshy, Fibonacci and Lucas Numbers with
Applications, Wiley-Interscience, New York,NY, USA, 2001.
[7] B. Singh, K. Sisodiya and F. Ahmad, On the
Product of k-Fibonacci Numbers and k-Lucas
Numbers, Chaos, Solitons and Fractals, Vol. 33,
No. 1, 2007, pp. 38-49.
[8] M. Thongmoon, Identities for the Common
Factors of Fibonacci and Lucas Numbers,

124

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

ANTIOXIDANT PROPERTIES AND INHIBITORY EFFECTS OF
TRIGONA HONEY AGAINST STAPHYLOCOCCUS AUREUS
PLANKTONIC AND BIOFILM CULTURES
Wen Jie, Ng1,2,*, Yek Jia, Chan1, Zhi Khoon, Lau1, Ping Ying, Lye1, and Kah Yaw, Ee1,2
Faculty of Science, Universiti Tunku Abdul Rahman, Malaysia; 2Centre for Biodiversity Research,
University Tunku Abdul Rahman, Malaysia

1

ABSTRACT
Trigona honey was analyzed for bactericidal and antibiofilm potencies using plate count andspectrophotometry methods, respectively, against different Staphylococcus aureus isolates, including ATCC
25923 strain, ATCC 33591 methicillin resistant strain (MRSA), and two clinical isolates from wounds. Besides,
the relationship between anti-staphylococcal effects and antioxidant capacity of Trigona honey was discussed.
All S. aureus isolates were highly susceptible to the antibacterial action of Trigona honey. Lysis of theplanktonic bacterial cells was observed using scanning electron microscopy. Despite moderate levels of phenoliccontent (106.62 mg GAE/kg), DPPH free radical scavenging activity (40.94% RSA), and FRAP value (419.50µM Fe (П)/100g), Trigona honey exhibited potent inhibitory effect (75-90%) on biofilm formation, especially in
20% (v/v) honey. Additionally, the effects of functional phytochemicals and acidity (pH 2.31) in 20% (v/v)
honey were suggested to contribute up to 70% reduction on established biofilm. In short, Trigona honeyexhibited high antibacterial and antibiofilm activities, suggesting a potential therapeutic agent in staphylococcal
wound infection.
Keywords: Stingless bee honey, Antioxidant, Antibacterial, Antibiofilm

proliferation of bacteria [5]. In addition, thetherapeutic value of honey is also credited to its
antioxidant properties which are mainly due to thesubstantial amount of phenolic compounds [6], [7].
However, the potency of antioxidant properties ofhoney could be varied with different geographicalorigins and the floral sources.
Stingless bee farming has been gaining attention
in tropical countries recently. In Malaysia, Trigona
spp., a native stingless bee is commonly cultivated infarming areas as major pollinators and also forhoney production [7]. Trigona honey has beenrecognized to have economic potential due to its
growing availability and its higher effectiveness inantibacterial activity with a wider spectrum
compared to honeybee honey [7]. To date, however,no scientific study has been done on the potential
antibiofilm effects of Trigona honey. Hence, thisstudy was carried out to investigate the inhibitory
activities of Trigona honey against Staphylococcus
aureus planktonic and biofilm clinical cultures, aswell as to study its antioxidant capacity andphysicochemical properties.

INTRODUCTION
Antibiotics have been used extensively to ward
off bacteria in modern medical treatments. Although
the efficiency of antibiotics is highly significant,excessive usage or exploitation of antibiotics could
lead to the emergence of antibiotic-resistant bacteria.
Generally, the multidrug-resistant bacteria are noteasily eliminated due to evolvement in adaption
model and surviving pattern against antibiotics [1].
Their extended survival within a patient could leadto persistent infection by forming bacterial biofilm[2]. Biofilm is a type of self-produced extracellularmatrix which embedded by the bacteria to provide aprotective environment for them to grow. The
biofilm supplies nutrient to the bacteria and protects
them from eradicated by the drugs [2]. Wound is oneof the common sites for biofilm formation. The
infected wounds are always associated with Grampositive bacteria, especially Staphylococcus aureus[3].
Honey, a natural product derived from the nectarof flowers, has been used widely in different aspects,
such as culinary, nutritional supplement, as well as a
medicine. Also, it has been used as a traditional
therapeutic agent to treat a wide range of microbial
diseases and wounds [4]. The availability ofhydrogen peroxide in honey as well as its
hyperosmolarity and acidic properties, honeypossesses significant inhibitory activity on the

MATERIALS AND METHOD
Honey Samples and Chemicals
Trigona honey sample was obtained from
authorized bee farmers in Malaysia. The sample was125

SEE-Osaka, Japan, Nov. 21-23, 2016

kept in the dark at room temperature. All chemicals
used were of analytical grade, unless statedotherwise.

100% (v/v) was added into respective wells and was
incubated overnight. Bacterial suspension in the wellwithout honey was served as positive control. Afterincubation, honey samples were removed and thewells were washed with 200 µL of 0.01 M PBS. The
biofilm was then fixed with 200 µl of 2.5% (v/v)
glutaraldehyde for 10 min and then washed again
with 200 µL of PBS. The fixed biofilm was thenstained with 200 µL of 0.25% (v/v) crystal violet for
10 min followed by washing with 200 µL PBS for
five times. The microtiter plate was then kept atroom temperature overnight. The dried stained
biofilm was reconstituted with 200 µL acetoneethanol solvent (1:1 ratio) and kept for 10 min. A 20
µL of resulting solution was diluted into 200 µL
final volume with acetone-ethanol solvent (1:1 ratio)
prior recording the absorbance (A) reading at 570 nm
using microtiter plate reader. The assay was
triplicated and the average value was obtained. The
biofilm biomass reduction (%) was calculated with
Eq. (1).

Bacterial Sample Collection and Identification
Clinical wound samples were collected from a
local hospital and were cultured on agar plates.
Single colonies formed were further identified withmannitol fermenting test, Gram staining, catalase
and coagulase tests, API® Staph identification
system, and Kirby-Bauer antibiotic susceptibility test.
Standard strains of S. aureus (ATCC 25923 andATCC 33591) were also tested and adopted as thereference for the identification of clinical isolates.
Antibacterial Assessments
Plate count method
The anti-staphylococcal activity of Trigona
honey was evaluated via plate count method. A 20
µL of 0.5 McFarland bacterial suspensions was
mixed with 1980 µL of honey in a tube. After that,
20 µL of the mixture was added into 180 µL of
normal saline (NaCl, 0.85% w/v) in another tube.
Then, 10 µL of the mixture was evenly spread onto
mannitol salt agar (MSA) followed by incubation at
37°C for 24 h together with the tube. A second set of
spread plate was performed after 24 h of incubation
using the same dilution method. The number ofcolonies formed on the MSA at 0-hour and 24-hour
were recorded. The assay was triplicated and themean value was obtained.

𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩 𝐜𝐜𝐜𝐜𝐜𝐜𝐜𝐜𝐜𝐜𝐜𝐜𝐜𝐜 (𝑨𝑨) − 𝐬𝐬𝐬𝐬𝐬𝐬𝐬𝐬𝐬𝐬𝐬𝐬 (𝑨𝑨)𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩 𝐜𝐜𝐜𝐜𝐜𝐜𝐜𝐜𝐜𝐜𝐜𝐜𝐜𝐜 (𝑨𝑨)× 𝟏𝟏𝟏𝟏𝟏𝟏%(𝟏𝟏)

Inhibition of biofilm formation

According to the procedure of [3] withmodification, 1 mL of 0.5 McFarland bacterial cellsuspensions was mixed with 1 mL of honey sample
with a concentration range of 20-100% (v/v). Then,
200 µL of the mixture was pipetted into
corresponding wells of a 96-well, flat-bottomed
microtitre plate and was incubated at 37°C for 24 hwithout shaking. Bacterial suspension in the wells
without honey was served as positive control. Afterincubation, the mixture of honey sample andplanktonic bacteria was removed. The formed
biofilm was fixed with 200 µL of 2.5% (v/v)
glutaraldehyde for 10 min and then washed with 200µL of PBS. Next, the biofilm was stained with 200µL of 0.25% (v/v) crystal violet for 10 min followed
by washing with 200 µL PBS for five times. The
microtiter plate was then kept at room temperature
overnight. The dried stained biofilm wasreconstituted with 200 µL acetone-ethanol solvent(1:1 ratio) and kept for 10 min. A 20 µL of resulting
solution was diluted into 200 µL final volume withacetone-ethanol solvent (1:1 ratio) prior recording
the absorbance (A) reading at 570 nm using
microtiter plate reader, and the reduction extent (%)
of biofilm biomass was calculated with Eq. (1) .

Scanning electron microscopic examination
Bacterial cultures were centrifuged (3500 rpm,
10 min) after 24-h incubation with Trigona honey at
37°C and the pellets were fixed with glutaraldehdye,
2.5% (v/v) overnight. The cultures were then washedwith PBS and underwent serial dehydration withascending concentrations of ethanol and subjected to
critical point drying. The sample was thensubsequently coated with platinum, placed onto thecopper stage holder and examined by scanningelectron microscope (JEOL JSM-7610F FEG).
Antibiofilm Evaluation
Effect of Trigona honey on established biofilm
According to the modified procedure of [3], 200µL of 0.5 MacFarland bacterial cell suspensions was
pipetted into corresponding wells of a 96-well, flatbottomed microtitre plate and incubated at 37°C for
24 h without shaking. After incubation, planktonic
cells were carefully removed without touching theside and the bottom of the wells. After that, 200 µL
of honey sample with a concentration range of 20-

Physicochemical Analyses
Total phenolic content

126

SEE-Osaka, Japan, Nov. 21-23, 2016

Folin-Ciocalteu procedure was adopted as
described by [8], [9] with modification. Briefly, 0.5
mL of Folin-Ciocalteu’s phenol reagent was mixed
with 0.5 mL of honey sample and was allowed tostand for 3 min. After that, 0.5 mL of 10% (w/v)
Na 2 CO 3 solution was added, followed by distilledwater to the final volume of 5 mL. After incubationin the dark for 90 min, the absorbance of the mixture
at 725 nm was measured using a spectrophotometer.
This assay was standardized against a calibration
curve of gallic acid (20-100 µg/mL) in distilledwater. This assay was triplicated and the results wereexpressed as milligrams of gallic acid equivalents(GAE) per kilogram of honey accordance to Eq. (2).
𝐦𝐦𝐦𝐦
� × 𝐡𝐡𝐡𝐡𝐡𝐡𝐡𝐡𝐡𝐡 (𝐦𝐦𝐦𝐦)
𝐦𝐦𝐦𝐦
𝐡𝐡𝐡𝐡𝐡𝐡𝐡𝐡𝐡𝐡 (𝐤𝐤𝐤𝐤)

𝐆𝐆𝐆𝐆𝐆𝐆𝐆𝐆𝐆𝐆𝐆𝐆 𝐚𝐚𝐚𝐚𝐚𝐚𝐚𝐚 �

DPPH free radical scavenging activity (RSA)

pH measurement
The pH value of the Trigona honey wasmeasured using a calibrated pH meter (Sartorius,
Germany). Triplicate measurements were performed
and the mean value was obtained.
RESULTS AND DISCUSSION
Identification of Clinical Isolate(𝟐𝟐)

In this assay [8], 1.5 mL of DPPH methanol
solution (0.09 mg/mL) was mixed with 0.75 mL ofhoney sample (0.1 g/mL). The negative control was
prepared by mixing 1.5 mL of DPPH methanol
solution (0.09 mg/mL) with 0.75 mL of distilledwater. The mixture was shaken vigorously andincubated at room temperature in the dark for 30 min
prior to the measurement of absorbance (A) at 517
nm using a spectrophotometer. This assay was
triplicated and the average value was obtained andexpressed as % RSA by using Eq. (3).
𝟏𝟏 − 𝐧𝐧𝐧𝐧𝐧𝐧𝐧𝐧𝐧𝐧𝐧𝐧𝐯𝐯𝐯𝐯 𝐜𝐜𝐜𝐜𝐜𝐜𝐜𝐜𝐜𝐜𝐜𝐜𝐜𝐜 (𝑨𝑨)𝐬𝐬𝐬𝐬𝐬𝐬𝐬𝐬𝐬𝐬𝐬𝐬 (𝑨𝑨)× 𝟏𝟏𝟏𝟏𝟏𝟏%

Both reference strains (ATCC 25923 and ATCC
33591) and two clinical isolates (Isolate 1 andIsolate 2) were found to be Gram-positive, appeared
as cocci in cluster, tested positive for mannitol
fermentation, catalase and coagulase activities; with
S. aureus identification percentage of 97.8%, 97.8%,
97.7% and 97.8%, respectively. According to theinterpretation guideline [11], ATCC 25923 was
confirmed to be the only antibiotic sensitive S.
aureus strain, whereas ATCC 33591, Isolate 1 andIsolate 2 were resistant to more than one antibiotic
includingmethicillin,
ampicillin,
penicillin,
chloramphenicol, tetracycline and trimethoprim.
Antibacterial Effects
Table 1 shows bactericidal rate (%) of Trigona
honey using plate count method. No bacterial colony
was observed on agar plate after 24-h incubation,suggesting the antibacterial action of Trigona honey.
The bacteria also experienced significant
morphological changes as shown in Fig. 1B, inwhich the lysed cells started to clump together ascompared to typical spherical morphology of S.
aureus as shown in Fig. 1A.
Results demonstrated that Malaysian Trigona
honey possessed antibacterial activity against both
antibiotic-sensitive and antibiotic-resistant S. aureus.
One hundred percent bactericidal rate was observed
after the bacteria were incubated with Trigona honeyfor 24 hours.

(𝟑𝟑)

Ferric reducing antioxidant power (FRAP)

According to the procedure of [10] withmodification, FRAP reagent was prepared by mixing
50 mL of acetate buffer (0.3 M, pH 3.6) with 5 mLof 2,4,6-tri[2-pyridyl]-s-triazine (TPTZ) solution (10mM in 40 mM HCl solution) and 5 mL of
FeCl 3 ·6H 2 O solution (20 mM). Prior to the assay,
FRAP reagent was warmed at 37°C for 30 min.
After that, 1.5 mL of FRAP reagent was mixed with
200 µL of ferrous sulfate standard solution (1001000 µM) and 200 µL of honey sample (0.1 g/mL)
individually. The mixtures were then incubated at
37°C for 4 min prior to the measurement ofabsorbance at 593 nm. The assay was triplicated andthe average FRAP value was reported as µM Fe (П)
equivalent per 100 g of honey accordance to Eq. (4).

Table 1 Bactericidal rate (%) of Trigona honey after
24-hour incubation with S. aureus culture at 37°C
Number of colony Bactericidal
0-h
24-h
rate (%)
ATCC 25923
130100
ATCC 33591
160100
Isolate 150100Isolate 2
110100
S. aureusµ𝐌𝐌
� × 𝐡𝐡𝐡𝐡𝐡𝐡𝐡𝐡𝐡𝐡 (𝐦𝐦𝐦𝐦)
𝐦𝐦𝐦𝐦
𝐡𝐡𝐡𝐡𝐡𝐡𝐡𝐡𝐡𝐡 (𝐠𝐠)× 𝟏𝟏𝟏𝟏𝟏𝟏 (𝟒𝟒)

𝐅𝐅𝐅𝐅𝐅𝐅𝐅𝐅𝐅𝐅𝐅𝐅𝐅𝐅 𝐬𝐬𝐬𝐬𝐬𝐬𝐬𝐬𝐬𝐬𝐬𝐬𝐬𝐬 �127

SEE-Osaka, Japan, Nov. 21-23, 2016

Figure 2 shows the reducing effect of Trigona
honey on established biofilm of four S. aureus
isolates. In general, the higher the concentration ofhoney (% v/v), the lower the reducing effect ofTrigona honey on biofilm. For each isolate, thegreatest reduction of biofilm was found to be
51.84% for ATCC 33591 in 20% (v/v) honey;
27.14% for ATCC 25923 in 20% (v/v) honey;
74.69% for Isolate 1 in 40% (v/v) honey; and44.99% for Isolate 2 in 60% (v/v) honey. The lowest
biofilm reduction was found in 100% (v/v) honey for
all isolates, where the lowest reduction (9.34%) was
observed in ATCC 25923.

Established biofilm
biomass (%)

(A)

(B)

80
70
60
50
40
30
20
10
0
20
40
60
80
100
Concentration of honey (% v/v)

Fig. 2 Reducing effect of Trigona honey on
established biofilm of ATCC 33591 (♦), ATCC
25923 (■), Isolate 1 (▲), and Isolate 2 (●).
Fig. 1 The morphology (8000 × magnification) of
S. aureus before (A) and after (B) treated with
Trigona honey.

Figure 3 shows the inhibitory effect of Trigona
honey on biofilm formation of four S. aureus
isolates. Results exhibited a steady rise of theinhibition on biofilm formation from 20% (v/v) until
it reached the apex at about 40% (v/v) and steadyafterward.

A similar study reported that the viability of S.
aureus was significantly reduced after treated withThailand stingless bee honeys [12]. Furthermore, themorphological changes of honey-treated S.
epidermidis and P. aeruginosa exemplified by theswelling and lyses of the bacterial cells upon
exposure to honey were also demonstrated inanother similar study [13].
Honey has several well-known characteristics
that are generally accepted as the contributing
factors to its total antimicrobial activity. These
factors include hydrogen peroxide production,
phytochemical compounds, osmotic effect and low
pH [14]. Although the antimicrobial activity of somehoney is attributed predominantly to hydrogen
peroxide activity, but certain honey, such as Manuka
honey, remains bactericidal active after catalase
treatment. This suggested that the antibacterial
activity was not due to hydrogen peroxide activity
but mostly attributable to the presence of unique
phytochemicals in honey [14].

Inhibition of biofilm
formation (%)

100
80
60
40
20
0
20
40
60
80
100
Concentration of honey (% v/v)
Fig. 3 Inhibitory effect of Trigona honey on
biofilm formation of ATCC 33591 (♦), ATCC 25923(■), Isolate 1 (▲), and Isolate 2 (●).
The presence of water in honey is crucial for
glucose oxidase to covert glucose into gluconic acid

Antibiofilm Properties128

SEE-Osaka, Japan, Nov. 21-23, 2016and hydrogen peroxide [15]. Trigona honeyexhibited two to three times the reducing effect on
biofilm at 20% (v/v) concentration than theundiluted sample. Results suggested that dilution of
Trigona honey, especially 20% (v/v), led to thehydrolysis of glucose due to the activation of
glucose oxidase to produce hydrogen peroxide. Low
reduction effect on established biofilm was believed
due to low moisture content in the undiluted honey.
Dilution slightly reduced inhibitory activity of
Trigona honey on biofilm formation, but the
inhibition remained at high level (75%-95%),
suggested the synergism of other factors, such as
phenolic compounds, acidity, and hyperosmorality,
contributing the minimal inhibitory effect of biofilm
formation. In addition, quorum sensing, which thebacterial cells communicate to each other and growtogether, is one of the important steps for biofilm
formation. It has been reported that honey was able
to suppress a quorum sensing gene, AL-2, to preventthe formation of biofilm [1].

however, vary depending on its botanical source
since phenolic compounds are generally derived
from plants [16].
Furthermore, DPPH free radical scavenging
activity and ferric reducing antioxidant power wereshown to be positively correlated with theantibacterial effect of honey [6]. The presence of
proton donor from antioxidant compounds causes
the release of more protons which creates an acidic
environment. The hyperacidification of bacterial
plasma membrane occurs due to the acidification of
intracellular cytosolic and proton donation, resulting
in the disruption of bacterial cell. In addition, theacidic environment can also further inhibit the
production of ATP by blocking H+-ATPase enzyme[21]. However, Trigona honey (Table 2) exhibited
relatively low radical scavenging activity (40.94%)
and antioxidant power (419.50 µM Fe (П)
equivalent/100 g honey) than other Malaysian honey[6], [18]. This could be mainly attributed to low
quantity of phenolic content in Trigona honey.
The pH of Trigona honey (pH 2.31) was lower
than the reported average pH value of stingless bee
honey (2.9‒3.7) [16]. Due to the presence of
gluconic acid, the acidity of honey is able toeradicate bacteria and prevent the development of
biofilm [22]. Under experimental conditions, inparticular with strongly diluted honey, the culture
medium used tends to neutralize the acidity of thehoney, thereby reducing or eliminating the inhibitory
action; however, when honey is applied directly on awound or ulcer, the bacteria can come into contact
with the honey and thus acidity could be an
important factor to eradicate bacteria [5].

Antioxidant Capacity and Acidity
Trigona honey contains lower phenolic
compounds (Table 2) than other stingless bee honeys
that have been reported, such as stingless bee honeyfrom Brazil (17-66 mg GAE/g of extract) [16] andfrom Australia (557.4 mg GAE/kg) [17], as well asother Malaysian honeybee honey, including
Melaleuca honey (513.8 mg GAE/kg) [6], Acacia
honey (186.70 mg GAE/kg), Pineapple honey(226.29 mg GAE/kg), Borneo honey (206.33 mg
GAE/kg), and Tualang honey (352.73 mg GAE/kg)[18].

CONCLUSION
Table 2 Total phenolic content, antioxidant
properties and pH value of Trigona honey

Despite of moderate level of phenolic content
and antioxidant capacity, acidic Trigona honeyexhibited high level of inhibitory activity against
Staphylococcus aureus, regardless planktonic or
biofilm culture. Further studies could be directed
towards the identification of bioactive components,
in vivo bioactive properties and allergenecity tests, todiscover the remedy using Trigona honey in S.
aureus wound infection.

Assay
Value
Total phenolic content 106.62 mg GAE/kg honey
40.94% RSA
DPPH free radical
scavenging activity
Ferric reducing
419.50 µM Fe (П)
antioxidant power
equivalent/100g honeypH
2.31
Note: GAE, gallic acid equivalents; RSA, radical
scavenging activity.

ACKNOWLEDGMENTS
The authors thank Faculty of Science, UTAR, forfinancial support.

Phenolic compounds that are generally found inhoney include caffeic, chlorogenic, ellagic, ferulic,gallic, and p-coumaric acids, as well as kaempferol,chrysin, herperetin, luteolin, myricetin, andquercetin [19], [20]. In addition, a study [20] showedthat the presence of phenolic acids, such as benzoic,
caffeic, cinnamic, ferulic and gallic acids in honey,
contributed the antibacterial activities against S.
aureus, including MSSA and MRSA. The type andproportion of phenolic compounds in honey,

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130

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

THE POTENTIAL OF INDIGENOUS BACTERIATO INCREASE POROSITY AND PERMEABILITYOF RESERVOIR ROCK: PRELIMINARY STUDYFOR MICROBIAL ENHANCED OIL RECOVERY (MEOR)
Astri Rinanti
Environmental Engineering Department, Trisakti University, Jakarta, Indonesia

ABSTRACT: Oil content extraction from the rock pores can be very complicated due to the high viscosity of
petroleum oil and low degree of reservoir rock porosity as well as its permeability. A research had been carriedout with the use of mix populations of indigenous bacteria isolated from formation water, well-site sludge andwell mud. Limestones was used as samples. This cores were soaked for 2 (two) weeks in temperature of 550C ina media contained of 1% molasse dissolved in sterillized formation water and 20% crude oil as covering. During
the research, there was a change in the pH environment from neutral to acid. Acid production from the reaction
result with carbonate in the solution will lower pH of the water that was produced. Changing value of porosity(%) that was injected by bacteria from formation water, well site sludge, and wel mud, increases respectively
23.22, 68.29, 14.89, and changing value of permeability (%) respectively 56.28, 137.83, 35.77. Even though on
average there were an increase in value of porosity and permeability, there were also a decrease in the value ofporosity and permeability of a few of the limestones samples, caused by suspended of carbonate matrix andsuspended from material in the formation water. Inoculum bacteria from the pollution around the oil well aremuch more adaptive and give more carbonate dissolving reaction than the other actions. This group of bacteria
are a better plugging comparing to the other groups of microbes from the formation and well mud. This plugging
mechanism can be developed as a MEOR technique known as microbial selective plugging. MEOR is reallydependent on the growth of the microbes in site, and the development of the secondary metabolit products thatcan change the porosity and permeability of the reservoir limestones
Keywords: Indigenous bacteria, Limestones, Oil recovery, Porosity, Permeability.

MEOR (microbial enhanced oil recovery) is oneof the techniques used to exploit petroleum oil,developed since 1950s. It represents advanced oil
recovery attempt by utilizing the ability of bacteria
to produce secondary metabolites such as fatty acids,
gases, surfactants, and biopolymers. MEOR
technique begins by injecting bacteria into thereservoir, followed by pursuing formations ofbacterial growth. Principally, MEOR is highly
dependent on the growth of in situ bacteria and the
production of secondary metabolites. Metabolic
process basically results in the organism growth anddevelopment. However, not all of its products are
consumable for growth and development. Residualsof metabolism in the form of secondary metabolites
are excreted from the cell to the surrounding
environment. Direct utilization of these secondary
metabolites can alter the porosity and permeabilityof reservoir rock, potentially enhancing oil recovery
process from the rock pores.
Basically, every type of rock can act as areservoir rock as long as it has the ability to hold andto release petroleum oil. Thus, reservoir rock has tohave porosity as the retention capability and also
permeability as the discharging capability of
petroleum oil. Porosity determines the amount of

INTRODUCTION
Needs of petroleum fuel has greatly risen inrecent decades, while new oil reserves are
increasingly difficult to obtain. Given the importantrole and nature of petroleum oil that can not be
renewed, the efforts to optimize oil extraction
continues to be improved. Exploitation of petroleum
oil in early stage (primary recovery) generally relieson the driving force derived from reservoir pressure.
When this phase ends, in line with the reduced
driving force, further extraction techniques are thenapplied to the reservoir, including thermal injection,
chemical injection, solvent injection (solvent
flooding), as well as mixed injection (miscible
process). The main purpose of all these techniques is
to mobilize the remaining oil to the surface. Current
exploitation techniques are capable to lift only about
30% of remaining oil to the surface. The rest
remains in the pores of reservoir rock [1]. Oilcontent extraction from the rock pores can be very
complicated due to the high viscosity of petroleum
oil and low degree of reservoir rock porosity as wellas its permeability.

131constant temperature, the product of pressure andvolume of an object will be constant as well. This
device was connected to a computer software called
autoporosimeter. Helium gas was used to fill thepores of rock samples, considering that helium
molecules are tiny enough to penetrate the smallest
pore, helium atomic mass is low (high diffusion rate),and helium adsorption rate at the rock surface is also
low and insignificant.
After 48 hours in the oven, the length anddiameter of the samples were then measured. Turnon the autoporosimeter, then insert a disc of thesame size with the sample diameter into the Helsetube and seal the tube. The computer will record thedata of the correction disc. Remove the disc andreplace it with a sample. Keep the space left inside
the Helse tube to be minimum by adding thecorrection disc. Type the number and dry weightdata of the sample, together with the number of theinserted correction disc into the computer. The
computation result will then display GV (grainvolume) and CD (core density) data. These areneeded to calculate BV (bulk volume) = A x l; PV(pore volume) = BV – GV; Porosity is thendetermined by the equation below:
φ = (PV/BV) X 100%

liquid contained, whereas permeability determines
the amount of liquid yielded [2]. A permeable rock
will be considered porous with interconnected pores.
Contrarily, a porous rock is not necessarily
permeable because of the disconnected pores.
Porosity does not depend on the particle size, while
permeability is a direct function of the grain size.
This research aims to exploit the potential ofindigenous bacteria isolated from the reservoir
environment to increase the porosity andpermeability of carbonate formation in reservoir
rock.
MATERIALS AND METHODS
Preparation of Indigenous Bacteria and Bacterial
Penetration into the Reservoir
Indigenous bacteria were isolated from threematerials consisting of formation water, waste
around oil wells, and used drilling sludge. Bacterial
isolates were injected into the sample carbonate rockreservoir containing pure carbonate (100%limestone) according to Vance diagram (1950)[3],[4] . The rocks were formed into a cylinder with adiameter of 2.5 cm and a length of 3 cm, then werecleaned and its initial porosity and permeability were
measured. The crude oil used in this study wasclassified as paraffin or low-density oil category.
Sampling were performed at the beginning and theend of the treatment for 14 days to count the numberof bacteria, porosity value, and permeability value ofthe rock sample. Rock samples that have beencleaned were wrapped in alumunium foil and weresterilized in an oven at 100°C for an hour to measure
the initial porosity and permeability. After cooling
down, the rock samples were aseptically inserted
using large tweezers into erlenmeyers containing
treatment media before the inoculation. Eacherlenmeyer containing rock sample was stored in an
incubator at 55°C for 14 days. Agitation was carriedout using a shaker incubator at 120 rpm for 30
minutes, everyday during the experiment. Dilution
plate method was choosen for bacterial count.

Permeability measurement
Permeability is a property of reservoir rock to beable to convey liquid matter through theinterconnected pores without damaging the rock
structure or particles. Based on Darcy’s law,
permeability can be formulated as follows [5]q = - (k A dp) / (µf dl)
According to the API code 27, a porous medium
has a value of permeability (k) of 1 Darcy if asingle-phase liquid with a viscosity (µ f) equals to 1
centiPoise flows at a velocity (q) of 1 cm per second
through a cross-section (A) covering an area of 1
cm2 with a hydraulic gradient (dp/dl) of 1 atm (76.0cm Hg) per cm2 and if the liquid entirely occupies
the medium. Negative sign in the equation aboveshows an opposite flow to the hydraulic gradient.
Unit of permeability is often expressed in miliDarcy(mD) due to its common value of only between 5–1000 mD (1 mD = 0.001 D).
Permeability of rock samples were measured
using an instrument called gas permeameter. Its
principle is also based on Darcy’s law, stating thatthe fluid rate in porous media is directly proportional
to the pressure force driving the fluid and rockpermeability, but inversely proportional to fluid
viscosity. Data obtained from this device are orificeflowrate value (Or = orifice), height of water column(W = ortifice water), and C value whose magnitudedepends on the type of applied pressure. The
pressure value can be read at the center water
manometer which needs to be corrected later due toPorosity Measurement
Porosity is the ratio of pore volume (total
medium/rock volume minus matrix volume/grainvolume) to the total volume of rock. Porosity is
usually expressed in percent (%), calculated asfollows [4]φ=(𝐭𝐭𝐭𝐭𝐭𝐭𝐭𝐭𝐭𝐭 𝐯𝐯𝐯𝐯𝐯𝐯𝐯𝐯𝐯𝐯𝐯𝐯−𝐯𝐯𝐯𝐯𝐯𝐯𝐯𝐯𝐯𝐯𝐯𝐯 𝐨𝐨𝐨𝐨 𝐠𝐠𝐠𝐠𝐠𝐠𝐠𝐠𝐠𝐠𝐠𝐠)
𝐓𝐓𝐓𝐓𝐓𝐓𝐓𝐓𝐓𝐓 𝐯𝐯𝐯𝐯𝐯𝐯𝐯𝐯𝐯𝐯𝐯𝐯

x 100%

An instrument called Helse Gauge Porosimeter
was used to measure porosity of the rock samples.
The working principle is based on Boyle’s law: at132

the friction loss. This number is then converted to C
value using Water to Water permeability C chart.
Samples of limestone were estimated to have low
permeability that require measurement at highpressure. In this case, C value was constant at 4.
Permeability (Ka) can be calculated by using orificeflowrate data (Or), height of water column (W), C
value, the average length (L), and total area of thecross-section (A), based on following equation:Ka =𝐎𝐎𝐎𝐎 𝐱𝐱 𝐖𝐖 𝐱𝐱 𝐂𝐂 𝐱𝐱 𝐋𝐋
𝟐𝟐𝟎𝟎𝟎𝟎 𝐱𝐱 𝐀𝐀

carbonate-based reservoir. The reaction expected tooccur between the products of carbohydrate
fermentation by bacteria and the rock matrix can be
written as follows: H+ + CaCO 3  HCO 3 - + Ca2+
Acidic compounds yielded from this reaction
will lower the pH of the produced water. Acid
production is expected to disperse in the reservoir on
a broad scale, then dissolute and shed the rockmatrix so that it can increase the porosity andpermeability of the rock.
For the control samples, porosity value changed
irregularly between -5.31% (down) to 4.95% (up)with an average of 2.78%, whereas permeability
entirely decreased between 2.15%–8.55% with anaverage of 5.82%. These controls were not injectedwith bacteria. Irregular porosity change were mostly
caused by the agitation process on shaker incubator(it cracked the samples and sank most of the matrix).
Several injected samples also experienced thisirregular change, but it was mostly caused bybacterial activity. The difference can be seen in the
declining permeability value of controls which werecaused by the presence of carbonate matrix sedimentand also sediment of other substances contained information water that blocked the cleft off.
Bacterial count from the first day (day 0) to day
14 decreased immensely. It may be caused by theshifting of environmental pH from neutral to acidic
condition. Acid production induced by carbonate
reaction in the solution will lower the pH of
produced water. In this study, environmental pH in
all treatments dropped from neutral point (7.0) toacidic range (5.2 + 0.5). This sharp decline in pH
can interfere with bacterial metabolism. According
to [6], at 5.0–5.5 pH range, metabolic process ofcertain type of bacteria may be interrupted.
The increase in porosity and permeability
obtained in this study were not significant due to thevery small permeability value of the rock samples,
whereas an effective bacterial EOR typically comesin an average permeability of 150 mD. Nevertheless,considering that the permeability have risen indeed,bacterial penetration into the rock samples may havebeen taken place, enabling carbonate dissolution byacidic compounds generated from bacterial
fermentation. The results show that the treatmentusing bacterial inoculum from waste around the oilwells has better ability to increase porosity andpermeability compared to the other two.
Bacterial population monitoring portrays adecrease of bacterial count in each treatment. For thetreatment using waste inoculum, the population
tended to approach a constant growth. Taking into
account of the bacteria properties to clog and to
reduce porosity and permeability, it can be seen thatthe decrease of porosity value by this treatment wasx correction factor to temperatur

RESULTS AND DISCUSSION
The use of bacteria in carbonate formations ishighly dependent on the presence of carbonate andacid production of fermented carbohydrates that willreact with the carbonate. The influence of gas
production is considered very small and insignificant
to the acquisition of oil residue. The reaction occurs
between acid of fermented carbohydrates and therock matrix in the form of carbonate can be written
as follows: H+ + CaCO 3  HCO 3 - + Ca2+
Results from porosity and permeability
measurement of limestone samples can be seen in
Figure 1. Outcomes of the three treatments generallyindicate an increase in the porosity and permeability
value.

Fig 1. The test results of the porosity andpermeability of the limestone samples
During the first treatment using formation waterinoculum, porosity raised between 1.35%–52.15%
with an average of 23.22% and permeability
increased between 21.8%–94.50% with an averageof 56.28%. The second treatment using bacterial
inoculum taken from waste around the oil wells
shows an increased porosity of 13.71%–94.10%
with an average of 68.29% and increased
permeability of 89.35%–188.68% with an average of
137.83%. The third treatment by drilling mud
inoculum increased the porosity value between
0.60%–26.67% with an average of 14.39% andpermeability between 5.91%–98.21% with anaverage of 35.77%. Acid production is the basic
mechanism for MEOR technique and is also a
specific target for the implementation of themuch larger than the other two. It can be concluded that inthis study, indigenous bacteria played a decent role in
reducing the porosity and permeability.

133

Presence of red bacterial colonies (due to thecolour of safranin) is depicted in the photograph ofthe rock structure after the treatment. There were nosign of it in the control samples, bringing clear
pictures of the rock-forming material in the form ofcavities/pores between grains, filled by oil. On theother hand, it can be seen in the treated samples thatvisible colonies of bacteria were able to penetrate
into the rock pores, either forming a thin layer
attached to the grains or even lumps that clogged thepores.
In the water injection technique, these blockages
can be exploited to clog high permeability
formations so that the water flow can be redirected
and focused to sweep out the remaining oil trappedin the low permeability formations. This way,
sweeping efficiency can be optimized. In thistechnique (known as selected/targeted cloggings),
the condition of bacteria greatly affects its ability topenetrate. The bacteria that are in a state of hunger
has a smaller size than normal bacteria in thevegetative state, so it can penetrate deeper into thereservoir rock formations [7]. The bacteria growth
and reproduction itself will subsequently serve as theagent of the formations clogging. The effectivenessof this technique is highly dependent on theaccuracy of the bacteria placement/seeding in thespecified high permeability formations and theimpact inflicted by the cloggings established later.
Reference [8] estimated that the verticalmovement of water in the aquifer affects the abilityof bacterial penetration. Although the penetration ofbacteria from the surface takes many years, but aslong as the flow of water in the aquifer contains
organic carbons (particularly of rocks passed by),the penetration of the slow-developed colonies cankeep going. Based upon the properties of its
permeability, Jaranyl in [1] recommends that the useof microorganism in EOR should only be introduced
to rock formations having permeability value oflarger than 60 MD. MEOR technique, according to[1], will be effective on moderate (150–300 MD) tohigh permeability rocks (400–700 MD). However,strains studied by Myers and McCready apparently
were able to penetrate 'Mississippian limestone' and'late Mesozoic sandstone' formations withpermeability value of less than 0.1 MD.

well-site sludge was more adaptive and gave agreater carbonate dissolution effect compared to theformation water and mud well bacteria. Bacterial
isolates collected from the well-site sludge was also
found to be a better clogging agent.
REFERENCES[1] Shibulal, B., Al-Bahry SN, Al-Wahaibi YM,
Abdulkader E. Elshafie, Ali S. Al-Bemani, andSanket J. Joshi, “Microbial Enhanced Heavy
Oil Recovery by the Aid of Inhabitant SporeForming Bacteria: An Insight Review”,
HindawiPublishing
Corporation,
The
Scientific World Journal, Vol. 2014, 2014, pp.
1-13[2] K. Fujiwara, Y. Sugai, N. Yazawa, K. Ohno, C.
X. Hong, and H. Enomoto, “Biotechnologicalapproach for development of microbial
enhanced oil recovery technique”, Studies in
Surface Science and Catalysis, Vol. 151, 2004,
pp. 405–445,[3] Vandecasteele JP, “Petroleum Microbiology:
Concepts,
Environmental
Implications,
Industrial Applications”, Translated by Jones,
T. France : Editions Technic, 2008.
[4] Amiyx, J.W., D.M. Base, Jr., & R.L.Whitting,“Petroleum Reservoir Engineering: Physical
Properties”, New York : McGraw-Hill, 1982.
[5] Monicard, R.P, “Properties of Reservoir
Rocks : Core Analysis”, Houston: Gulf Publ.
Co., 1980.
[6] Latha, R. and R. Kalaivani, Bacterial,“Degradation of Crude Oil by GravimetricAnalysis”,
Advances in Applied Science
Research, Vol. 3, 2012, pp.2789-2795.
[7] R. Al-Hattali, H. Al-Sulaimani, Y. Al-Wahaibi,“Microbial biomass for improving sweep
eficiency in fractured carbonate reservoir using
date molasses as renewable feed substrate”,
Proceedings of the SPE Annual TechnicalConference and Exhibition, San Antonio, Tex,
USA, 2012.
[8] H. Suthar, K. Hingurao, A. Desai, and A.
Nerurkar, “Evaluation of bioemulsier mediatedmicrobial enhanced oil recovery using sandpack column”, Journal of Microbiological
Methods. Vol. 75( 2), 2008, pp. 225–230.
[9] Ollivier, B, “Petroleum Microbiology”, New
York: American Society of Microbiology Press,
2005.

CONCLUSION
Bacterial isolates that have been collected fromformation water, well-site sludge, and well mud,then have been injected into the reservoir carbonate
rock, were able to improve rock porosity (%) to
23.22, 68.29, and 14.89 respectively, also rockpermeability (%) to 56.28, 137.83, and 35.77
respectively, due to the dissolution of carbonate rockmatrix by acidic substances generated from bacterial
metabolism. Bacterial inoculum derived from the134Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

ASSESSMENTS OF GROWTH, VOLUME AND ABOVE GROUNDBIOMASS OF FOUR FOREST PLANTATION SPECIES IN SARAWAK,
MALAYSIA
Irawani Abdul Rahman1 and Mohd Nazip Suratman1,2
Faculty of Applied Sciences and 2Centre for Biodiversity and Sustainable Development
Universiti Teknologi MARA (UiTM), Malaysia

1

ABSTRACT
Timber industry is one of major economy contributors to the Malaysian economy. In view of declining trendsof supply of logs from natural forests, the role of forest plantations in supplementing the industry’s need for logs
is becoming increasingly crucial. In addition, forest plantation has received much attention because it is one ofcarbon reservoirs and offers potential for carbon sequestration. This study was aimed at assessing the growth,
stand volume and above ground biomass (AGB) of forest plantations in Sarawak, Malaysia. A field datacollection was conducted to measure the diameter at breast height (DBH) and total tree height of four plantation
species i.e, Acacia mangium × A. auriculiformis (Acacia hydbrid), A. mangium (Acacia superbulk), Eucalyptus
pellita (Red mahogany) and Neolamarckia cadamba (Kelempayan) in the study sites. All species were planted at
3 × 3 m spacing and approximately four years of age at the time of measurements in 2015. Published allometricfunctions were used to compute the stand volume and AGB of all species. From the study, it was found that there
were significant differences in the mean DBH, total tree height, basal area (BA) and volume between theplantation species (p≤0.05). All variables measured were significantly higher for A. mangium (p≤0.05) than otherspecies, whereas N. cadamba was being the least. The highest stand AGB was recorded for A. mangium (247.5t/ha) followed by E. pellita (195.3 t/ha), A. mangium × A. auriculiformis (80.0 t/ha) and N. cadamba (69.0 t/ha).
This study provides the baseline data needed not only to improve the country’s forestry planning and plantation
sectors, but also for meaningful participation in the national REDD+ process.
Keywords: Acacia mangium × A. auriculiformis (Acacia hydbrid), A. mangium (Acacia superbulk), Eucalyptus
pellita (Red mahogany) and Neolamarckia cadamba (Kelempayan)
INTRODUCTION
In the coming decades and beyond, wood-basedindustries in Malaysia will face many challenges
especially in the availability of raw materials fromnatural forests. It is envisaged that by 2020, theproduction of logs from these areas will decline
greatly due to reduced state land forests andalienated lands for development. As a result, theprocessing capacity for wood-based industries is
expected to be reduced. Therefore, in order tocompensate for the reduction of supply of raw
materials, the forest plantation programme
implemented by the government is expected to fill
the vacuum.
The Malaysian government has long recognized
the roles of forest plantations as an essential part ofthe strategic development plan for forest resources in
the country. The implementation of theCompensatory Forest Plantation Programme (CFPP)
in 1983 has marked the important milestone for thisstrategy in which three exotic plantations species
were introduced Acacia mangium, Paraserianthes
falcataria, Gmelina arborea for the plantation
programme in a total area of 188.200 ha throughout
the country [1].
In the state of Sarawak, despite the large tracts ofnatural productive forests, there has been someconcerns regarding the large areas of forest land thathave become degraded due to shifting cultivation.
To address these issues, some experimental trials
were initiated by planting species that had
agroforestry potential [2]. In the mid-1960s, pines
were introduced for restoration purposes and in
1970s, the growing performance of some fastgrowing exotic trees were studied [3].
Besides their potential as sources for wood
production for national and international woodbased industries, forest plantations also provide
ecosystem functions in accumulating biomass andsequestrating carbon for climate change mitigation,
given the high growth rate of the species. The
information may be required by government
agencies in developing policies on issues relating to
reducing emissions from deforestation anddegradation (REDD++) mechanism.
In general, estimation of carbon stocks in trees isconducted on the above ground biomass (AGB). The
carbon stocks in the above are derived from AGB byassuming the 50% of the biomass is made up ofcarbon [4]. Therefore, this study aimed at assessing
the growth performance, stand basal area (BA),135

SEE-Osaka, Japan, Nov. 21-23, 2016

stand volume and stand AGB of four plantation
species, i.e., Acacia mangium × A. auriculiformis(Acacia hybrid), A. mangium (Acacia superbulk),
Eucalyptus
pellita(Red
mahogany)
and
Neolamarckia cadamba (Kelempayan) in Sarawak,
Malaysia.

Basal Area
The BA which represents the cross-sectional areaof a tree trunk measured at breast height over bark
was calculated using Eq. (1) [5]:(1)MATERIALS AND METHODS
Where: BA= Basal area (m2)
DBH=Diameter at breast height (cm)The study was conducted in the forest plantations
at Sabal, Sarawak, Malaysia. The study sites werelocated around Simunjan district about 104 km west
from the capital state of Kuching (1° 03' 44.4" N;
110° 53' 14.3" E) (Fig.1). The study area is about 54
m above sea level with the mean temperature of
26oC and humidity of 93%. Four plantation species
selected were A. mangium × A. auriculiformis, A.
mangium, E. pellita and N. cadamba. All plantations
were established in 2011 (Table 1) and are jointly
managed by the Forestry Department of Sarawak
and the Malaysian Timber Industry Board (MTIB).
All trees were planted at spacings of 3 m × 3 m. A
total of 30 trees were randomly selected for eachspecies within the stands in each plantation. The
diameter of breast height (DBH – 1.3 meters fromthe ground level) of all sampled trees was measured
using a DBH tape. The total tree height wasmeasured using a Suunto clinometer.

Tree Volume
The tree volume for each species was calculatedusing published allometric functions as listed inTable 2.
Table 2 List
functionsofSpeciesA.auriculiformis
× A. mangium
A. mangium

publishedvolumeallometric

Allometric functions
V= 0.748×D2H0.764 ×
10-4
V= 0.00006 ×(D2H)0.934

Ref.

V= 0.02997+0.0039 ×
D2H/100+ 0.00000018×(D2H/100)2

E. pellita

[6]
[7]
[8]

V= 0.00002663 × D2H[9]- 0.0252
Notes: V=volume (m3), D=DBH (cm), H=Total treeheight (m), Ref.=References
N. cadamba

Above Ground Biomass
The AGB was calculated in accordance togeneralized allometric functions as given in Eq. (2)
[10]:
(2)
Where:
AGB= Above ground biomass (kg)
D=DBH (cm)■One-way analysis of variance (ANOVA) wasused to determine significant differences in themeans of all measured variables. If significant
difference was detected, a post-hoc test (i.e., Fisher’sLSD) was used to determine the means that are
significant from each other. All analyses were
performed using Statistical Analysis System (SAS)version 9.3 [11].

Fig. 1 Map of a study location ( ) at Sabal,
Sarawak, Malaysia.

Table 1 Field information of the plantation species
SpeciesA. auriculiformis
× A. mangium
A. mangium
E. pellita
N. cadamba

Area (ha)Date planted

9.81

18.04.2011

16.17
17.77
8.57

18.04.2011
19.05.2011
10.06.2011

RESULTS AND DISCUSSIONS
Tree Diameter at Breast Height
Results
136

from ANOVA indicatedthat theSEE-Osaka, Japan, Nov. 21-23, 2016

characteristics which are less suitable for thisspecies. According to Krisnawati et al. [13], N.
cadamba grows best the moist and alluvial sites
along riverbanks or between the swampy
permanently and periodically flooded areas.
Other factors of differences in the DBH growth
between or within species could be due to thevariations in site quality between different regions.
Components such as soil drainage, soil physical andchemical compositions, soil moisture availability
and general climate of the area can influence thegrowth and productivity of plantation forests.

differences in the mean DBH between the four
species were statistically significant (p≤0.05). Of all
species, A. mangium recorded significantly greater
DBH at 18.0 cm. A post hoc test indicated the mean
DBH for A. mangium was significantly greater thanA. mangium × A. auriculiformis and N. cadamba(Fig. 2). However, no significant differences were
found in the mean DBH between A. mangium vs. E.
pellita and A. mangium × A. auriculiformis vs. N.
cadamba.

Total Tree Height
Results from ANOVA indicate that thedifference in the mean of total tree height between
species was statistically significant (p≤0.05). The
mean height of A. mangium was significantly
greater than other species (p≤0.05) (Fig. 3).
However, no significant different was detected in themeans height between A. mangium × A.
auriculiformis and E. pellita. N. cadamba recorded
significantly lower height as compared to the otherthree species (p≤0.05).

Fig. 2
Trends of the mean DBH (cm) for four
plantation species.
In a study of growth characteristics of forest
plantations in Bintulu, Sarawak, Nur Syazni et al.
[12] found the mean DBH of a four-year old A.
mangium stand was 22.8 cm which was greater thanwhat was obtained for this species in this study (i.e.,
18.0 cm). From their study, the DBH size has
increased after two years to 26.6 cm during thesubsequent measurement which translated into 4 cm
DBH increment.
In North Queensland, Australia, Bristow [9]studied the effects of mixed planting of E. pellita
and A. peregrine in various proportions and foundthat volume growth of the former trees werepositively affected by the presence of the latter up to
10 years of age. She mentioned that it was possible
the increased in total Nitrogen under the Acacias
may have facilitated the growth of E. pellita.
In a study conducted by Krisnawati et al. [13] ina small farm in South Kalimantan, Indonesia, theyfound that a five-year old stand of N. cadamba
recorded the mean DBH of 25.3 cm. This was morethan two-fold from what has been recorded by thesame species in this study (i.e., the mean of 11.3 cm;
minimum of 7.1 cm and maximum of 15.7 cm). In
constrast, a slightly lower DBH was reported by
Lachica-Lustica [14], where the mean of a four-year
old E. pellita plantation in Capiz, Philippines, was10.4 cm. Meanwhile, Ahmad Zuhaidi and Hashim[15] found that the means DBH of a four-year old N.
cadamba at four different locations in Malaysia i.e,
Sandakan, Kanowit, Setul and Bukit Lagong.were
22.4, 19.0, 11.1 and 11.9 cm, respectively which iswithin the range with the findings from the present
study.
In this study, N. cadamba recorded the lowest
DBH could be attributed to the edaphic

Fig. 3 Trends of the mean total tree height (m) offour plantation species.
A much lower tree height was attained for E.
grandis plantation in four sites of forest plantationsin Sabah, Malaysia (i.e., Sipitang, Mendulong andBasio, Ketanon) as measured by the co-author of thispaper and his team recently. The mean heights for
four, five, six and seven years old E. grandis stands
were 11.7, 14.9, 15.3 and 16.5 m, respectively.
Meanwhile, a study conducted by Wack et al. [16]at Monte do Prado, Portugal found that the 12-year
old Eucalyptus stands reached a total height of 20 m
which were ready to be harvested. This value islower as compared to the total height of a ten-year
old E. pellita stands (i.e., 23.9 m) established in
North Queensland, Australia as reported by Bistow
et al. [9]. The Eucalyptus stands in Ketanon, Sabah,
established for pulp-wood production, reachharvestable size within eight years of age with themean total height of 12.7 m.

137

SEE-Osaka, Japan, Nov. 21-23, 2016

field performance of trial plantings of N. cadamba
and Octomeles sumatrana (Binuang) in four
locations in Malaysia. All stands were four years old
with the proposed rotation period is 15 years. The
results indicated that the variation existed in thestand BA of E. cadamba between locations. The
highest BA was recorded for planted stands in Bukit
Lagong, Selangor at 16.6 m2/ha which was slightly
lower than value recorded in the present study of
17.5 m2/ha for the species. This was followed by
Kanowit, Sarawak (13.2 m2/ha), Sandakan, Sabah(13.1 m2/ha) and Setul, Negeri Sembilan (6.8 m2/ha).
According to the authors, there were reduction in the
productivity in the planted stands of N. cadamba.
They also concluded that the mean annual volume
increment decreases as the elevation and distancefrom water source increases.

Basal Area
Results from ANOVA indicated that there was asignificant difference in the mean BA per tree
between the four plantation species (p≤0.05). As
shown in Table 3, the BA per tree calculated for A.
mangium (i.e., 2.7 m2) was significantly higher thanE. pellita (i.e, 2.3 m2) and A. mangium × A.
auriculiformis and N. cadamba (i.e, 1.1 m2,
respectively). BA per tree for E. pellita wassignificantly higher than A.
mangium × A.
auriculiformis and N. cadamba. However, nosignificant difference was observed in the mean BA
per tree between A. mangium × A. auriculiformis
and N. cadamba.
Table 3 Descriptive statistics of mean BA per tree(m2) (n=30)

Tree Volume
SpeciesMean
SD
Min. Max.
A. auriculiformis ×
1.1c
0.4
0.4 2.2
A. mangium
A. mangium
2.7a
1.2
1.0 5.7
E. pellita
2.3b
0.6
1.2 3.6
N. cadamba
1.1c
0.4
0.4 1.9
Note: Means with the same letters are notsignificantly different (p≤0.05)

Estimates of volume for different plantation
species of stands are essential for effective forest
production management as they assist in thedetermination of potential species to be selected forforest plantation projects. In addition, the estimatesalso are useful for estimating the amount of biomass
and carbon stocks.
From ANOVA, there was a significant differencein the mean volume per tree between the four
plantation species (p≤0.05). The mean volume pertree for A. mangium was significantly higher thanthe other species (Table 4). E. pellita, A. mangium ×
A. auriculiformis and N. cadamba recorded a similar
mean volume per tree at 0.08 m3.

The stand BA was obtained by totaling theindividual values of for each species and converting
the results into per ha using the area factor (1:area ofplot). Figure 4 shows the stand BA for each species
that indicates A. mangium produced higher stand BA(45.7 m2/ha) followed by E. pellita (37.7 m2/ha), A.
mangium × A. auriculiformis (18.0 m2/ha) and N.
cadamba (17.5 m2/ha).

Table 4 Descriptive statistics of mean volume pertree (m3) (n=30)
Species
Mean SD Min
Max
A. auriculiformis
0.08a 0.03 0.02
0.17
× A. mangium
A.mangium
0.19b 0.09 0.06
0.41
E. pellita
0.08a 0.04 0.02
0.19
N. cadamba
0.08a 0.02 0.04
0.13
Note: Means with the same letters are notsignificantly different (p≤0.05)
Figure 5 shows the stand volume (m3/ha) for four
plantation species. As expected, results from standvolume show a similar trend to stand BA. A. mangiu
m recorded highest stand volume at 320.7 m3/ha ascompared to other species. There was not muchvariation observed in the stand volume between E.
pellita (147.0 m3/ha), A.
mangium × A.
auriculiformis (138.8 m3/ha) and N. cadamba (134.6m3/ha).

Fig. 4 Trends of stand BA (m2/ha) of four
plantation species.
In this study, BA was measured to determine theaverage amount of an area occupied by each tree
trees in the plantations. The BA of each tree wascalculated and summed for all trees in the study
plots in hectare to measure size-density relationshipin a stand. Previous studies have used BA many
purposes for instances, to predict biomass of trees
and identify the ratio of biomass and basal area.
Ahmad Zuhaidi and Hashim [15] studied the138

SEE-Osaka, Japan, Nov. 21-23, 2016higher than the earlier reported ranges of 12 t/ha to
194 t/ha estimated for Sabah Softwood plantations,
Malaysia by Morel et al. [19].

Fig. 5 Trends of stand volume (m3/ha) of four
plantation species.
Surprisingly, a case study on tropical forest
plantation in Malaysia reported that the mean timbervolume for 15 years old A. mangium plantation was
229.0 m3/ha [17]. This is only about 72% ascompared to value for the same species obtained in
the present study (i.e., 320.7 m3/ha).
The stand volume of N. cadamba recorded fromthis study is higher than what had been reported by
Ahmad Zuhaidi and Hashim [15] for the similar
species and age in four locations in Malaysia. They
found that the means of stand volume for N.
cadamba in Sandakan, Bukit Lagong, Kanowit and
Setul were 119.3, 108.8, 87.0 and 33.8 m3/ha,
respectively.
A much lower stand volume was reported by
Jusoff [18] in his study on the estimations of thetimber standing volume of A. mangium using
airborne hyperspectral imaging system in 0.8 ha
Universiti Putra Malaysia’s (UPM) campus field. In
this study, the species recorded stand volume only
20.7 m3/ha. This low stand volume was due the factthat the A. mangium plantation in UPM campus field
was not well managed which was evidenced fromthe occurrences of many pioneer species such as
Macaranga spp. and Mallotus macrostachyus foundwithin the plantation area.
The variation in the stand volume in present
study and other studies elsewhere could be due thedifferences in silvicultural systems practiced indifferent sites. Furthermore, environmental factors
including such as soil types, topographical positionand precipitation may have also been contributed tothe differences. In addition, during plantation
establishment, site preparation and stand density
may also result in the variation in the growth ofyield of the plantation.

Fig. 6 Trends of AGB (t/ha) for four plantation
species.
In a study to determine the AGB in smallholder
A. mangium plantation in Misamis Oriental,
Philippines, Palma [20] found that the AGB of A.
mangium at ages 3, 10 and 17 years were 3.3, 33.1
and 73.1 t/ha, respectively. When site quality wasincorporated in the ABG mean annual increment
study, the AGB increases at the early age andincreases at a declining rate as the trees approach
maturity. The increase in AGB and consequently
carbon stocks as the stand age increases wasreported by several authors [21, 22].
In a study on AGB accumulation of selected
provenances of A. mangium and A. aulacocarpa in
Kuala Lipis, Pahang, Malaysia, Mat et al. [23] found
the range of AGB was 25.3 t/ha to 380.8 t/ha. They
mentioned that there were significant differences inthe biomass production between species and sites.
The amount of AGB accumulated by A.
mangium from this study is higher to that of thespecies in Pantabangan-Caranglan Watershed,
Philippines. In that study, Lasco et al. [24] foundthat the AGB was 54.3 t/ha. In another study in West
Java, Indonesia, Hediyanti and Sulistyawati [21]reported that the AGB of a three-year old A.
mangium plantation was 75.5 t/ha.
Many studies on carbon sequestration have been
focusing on the sequestration in terms of biomass
and carbon stocks. Therefore, estimation of AGB isconsidered to the most important aspect in carbon
sequestration studies. The potential of forest
plantations to enhance carbon sequestration can beassessed either through the amount of carbon stocks
or estimating the annual carbon sequestration rate.

Stand Above Ground Biomass

CONCLUSIONAs shown in Figure 6, the highest accumulationof stand AGB was recorded for A. mangium (247.5t/ha) followed by E. pellita (195.3 t/ha), A.
mangium × A. auriculiformis (80.0 t/ha) and N.
cadamba (69.0 t/ha). The range of AGB between
69.0 to 247.5 t/ha obtained in the present study was

Establishment of forest plantation has
traditionally been geared towards maximizing wood
production. However, in recent years, a wider
appreciation and awareness of the need to balance
economic goals with ecosystem functions such ascarbon sequestration. Stand volume and AGB are
139

SEE-Osaka, Japan, Nov. 21-23, 2016[9] Bristow M, “Growth of Eucalyptus pellita in
mixed species and monoculture plantations',
Southern Cross University, NSW, 2008.
[10] Brown S, “Estimating biomass and biomasschange of tropical forests: a primer”, FAO
Forestry Papers 134, 55 pp., 1995.
[11] SAS Inst., “Language reference: Concepts”
third edition, Cary, North Carolina, 2014.
[12] Nur Syazni A, Ismail J, and Nur Diyana I,“Growth characteristics of Acacia mangium
plantation in Sarawak”, UNIMAS, 2009.
[13] Lachica-Lustica A, “Trial planting of introduced
reforestation species in Dumarao, Capiz”, In
Dev. in Agroforestry Research, No. 160, 1997.
[14] Ahmad Zuhaidi Y, and Hashim MN,“Neolamarckia
cadambavsOctomeles
sumatrana: is it promising forest plantation
species?” in Proc. of IPPM Conf., 2012, 10 pp.
[15] Krisnawati H, Kalio M, and Kanninen M,“Anthocephalus cadamba Miq: ecology,
silviculture and productivity, CIFOR, 2011.
[16] Wack R, et al., “Forest inventory for Eucalyptus
plantations based on airborne laserscanner data”
Proc. of the Int. Soc. for Photo. and Remote
Sensing Comm. III, WG3, 2003, pp. 293-296.
[17] Krishnapillay DB, “Case study of the tropicalforest plantations of Malaysia”, Forest
Plantations Working Papers (FP/23), FAO, 48
pp., 2002.
[18] Jusoff K, “Eestimating Acacia mangium
plantation's standing timber volume using anairborne hyperspectral imaging system”, Open
Forest Sc. Jour., 1(1), Sept. 2008, pp. 61-67 ·[19] Morel AC, Fisher JB, and Malhi Y, “Evaluating
the potential to monitor aboveground biomass inforest and oil palm in Sabah, Malaysia, for
2000–2008 with Landsat ETM+ and ALOSPALSAR”, Int. Jour. of Remote Sensing, 33:11,
2009, pp. 3614-3639.
[20] Palma RA, Catacutan DC, Pailagao CT, “Yield
prediction model for mangium (Acacia
mangium) in Cleveria, Misamis Oriental.
Claveria, Misamis Oriental, MOSCAT, 2006.
[21] Hediyanti I, and Sulistyawati E, “Carbon stocks
in Acacia mangium Willd. stands at different
ages”, Jour. of Tropical Forest Sc., 23(3), 2010,
pp. 318–327.
[22] Peichl M, and Arain MA, “Above-and
belowground ecosystem biomass and carbon
pools in an age-sequence of temperate pine
plantation forests”, Jour. of Agric. and For.
Meteo., 140, (1-4), 2006, pp. 51-63.
[23] Mat S. et al., “Aboveground biomass of selected
provenances of Acacia aangium and Acacia
aulacocarpa multiple-leadered trees”, Jour. ofAgric. Sc. Dec. 2009, (2):1, pp. 74-82.
[24] Lasco RD, et al., “Carbon budgets of terrestrial
ecosystems in the Pantabangan-Carranglan
watershed”, Working Paper No. 10, 2005.

among important indicators that provide measures of
the capacity of forest plantation to sequester carbon
dioxide.
Observations made on A. mangium × A.
auriculiformis, A. mangium, E. pellita and N.
cadamba indicated that A. mangium has shown to be
the most promising fast-growing tree species forplantation and the best in production of biomass.
The species has consistently recorded significantly
greater DBH, total height, stand volume, stand BA
and AGB as compared to other species.
This study could shed important information thatshows the variability and capability of forest
plantation species in terms of wood production andcarbon sequestration potential. Furthermore,
findings from the study can be an essential aid to therelated agencies in developing policies andguidelines pertaining to the species selection in
relation to timber production and environmental
services.
ACKNOWLEDGEMENTS
The author wish to thank the Ministry of
Education Malaysia for providing the Fundamental
Research Grant Scheme (FRGS) 600-RMI/FRGS
5/3 (38/2014). We thank the Institute of Research
Management and Innovation (IRMI), Universiti
Teknologi MARA, Malaysia for administering the
grants, and the Forestry Department of Sarawak forproviding logistic assistance to the study locations.
REFERENCES[1] Chin T, “A preliminary review of compensatory
forest plantation in peninsular Malaysia”
Electronic these and dissertation, 1992, paper 17.
[2] Fahlman R, “Project S.4 – Species trials”,
Research Report No. S.R.7, 1975.
[3] Kendawang JJ, “Forest plantation in Sarawak”,
Forestry Department, Sarawak, 1996.
[4] Basuki TM, et al., “Allometric equations for
estimating the above-ground biomass in tropicallowland Dipterocarp forests”, For. Ecol. andManage., 257, 2009, pp. 1684–1694.
[5] Hovind HJ, and Rieck CE, “Basal area andpoint-sampling, interpretation and application”
Technical Bulletin Number 23, Wisconsin, 1970.
[6] FIPI, “Manual in forest inventory and planning”,
Agricultural Publishing House, Hanoi, 1996.
[7] Chongrak W et al., “Effect of thinning on
growth and yield of Acacia mangium
Dipterocarpus alatus mixed plantation”,
Kasetsart University, Thailand, 2005.
[8] Pinard MA, “Carbon retention by reducedimpact logging’, PhD Thesis, 1995, University
of Florida, USA.

140

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

ASSESSMENTS OF ABOVE GROUND BIOMASS (AGB) AND CARBONSTOCKS OF EUCALYPTUS PLANTATIONS IN SABAH, MALAYSIA
Ahmad Farid Mohsin, Mohd Nazip Suratman and Shaikh Abdul Karim Yamani Zakaria
Faculty of Applied Sciences and Centre for Biodiversity and Sustainable Development
Universiti Teknologi MARA, Malaysia

ABSTRACT: Timber resources from natural forest in Malaysia are becoming scarce and scarce. Therefore,
forest plantations are established to provide renewable resource base to meet the raw material requirements forthe country. Eucalyptus is one of forest plantation species extensively established and managed for pulp wood
production. However, despite providing raw material for wood-based industries, their critical ecosystem roles insequestering carbon are often overlooked. Therefore, this study was conducted to provide estimates of the above
ground biomass (AGB) and carbon stocks of Eucalyptus plantations in Sabah, Malaysia. For this purpose, forest
plantation field inventory and data analysis were conducted to provide inventory data for Eucalyptus grandis andE. pellita in Sipitang, Mendulong and Basio, Sabah. A 30 m ×30 m quadrat plots were established based on
random start. Within each plot, diameter at breast height (DBH in cm), total height (m), crown width (cm) andcrown closure (%) were recorded. Several published allometric functions developed for these species were usedand evaluated to analyse the accuracy of estimations and predictions. Generally there were significant
differences in the means of DBH, basal area (BA) and volume between the ages of plantations (p≤0.05). The
highest stand AGB was recorded for seven years stand (i.e. 247.5 t/ha) with the total stand carbon stocks wasestimated to be 67.8 tC/ha. This analysis is expected to provide crucial insights into the ecosystem roles of forest
plantation in mitigating climate change.
Keywords: Eucalyptus, Above Ground Biomass, Carbon Stocks

have been established such as Acacia mangium,
Gmelina arborea, Tectona grandis, Eucalyptus spp.
and few more species [1].
Eucalyptus is commonly used for woody crops
due to their fast growth and high productivity.
Furthermore, they adapt well to various sites andtheir management is simple compared with othercommon forest species. Consequently, Eucalyptus
spp. is one of the most important commercial species
in Australia, Brazil, South Africa, Sri Lanka andIndonesia for its principal use in pulpwood
productions. In Sabah, Malaysia, the industry
utilizes this species for timber and paper productions.
Sabah has established some 226,000 haof forest plantations, of which about 55 % arecultivated with high-value commercial species
with Sabah Forest Industries Sdn. Bhd. (SFI), took
the lead with total plantation areas covering morethan 45,400 ha [2].
While this important role of Eucalyptus spp.
forest plantations in strengthening the socioeconomic has been established, their roles inecosystem functions are not fully understood andwell documented in Malaysia. Quick responses are
essential to face the emerging challenges of theforest plantation industry
This study was conducted to provide estimates ofabove ground biomass (AGB) with respect todifferent plantation ages of plantations for E.

INTRODUCTION
Awareness of environmental issues has increasedon an unprecedented scale. Deforestation, loss of
biodiversity, global warming and climate change aresome of the environmental issues linked directly toterrestrial ecosystems, both natural and humanmanaged. The natural resources are crucial in theindustry as raw materials. However, timberresources from natural forest in Malaysia arebecoming scarce and scare. In addition, a moresustainable way such as forest plantation practices
shall be taken and studied specifically on its ability
to supply timbers and also the potential onsequestering carbon.
Nowadays, forest plantation enhances thecreation of resources to meet high demand for woodand wood product, development to produce
innovative products for internal and external market.
Forest plantations are important inreducing
emissions from deforestation and degradation
mechanism (REDD+) strategies for increasing
carbon sequestration while enhancing local
livelihoods.
Malaysia, through the National Timber Industry
Policy (NATIP) provides the strategic thrusts andpolicy directions in addressing the challenges toensure that the industry remains sustainable andcompetitive. Therefore, many fast growing species
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SEE-Osaka, Japan, Nov. 21-23, 2016

grandis and E. pellita in Sipitang, Mendulong,
Ketanon and Basio, Sabah. Considering the fact thatbiomass represent the role of tree as a key indicatorof carbon source and sink, the information from thisstudy is expected to provide the carbon stock
estimates of the Eucalyptus spp. plantations.

Measurement and Estimation of Field Variables
Basal area
Basal area (BA) is the common term used todescribe the average amount of an area occupied bytree stems. It is defined as the total cross-sectional
area of all stems in a stand measured at breast height,
and expressed as per unit of land area as follows [3].

MATERIALS AND METHOD
Study Site and Field Data Collection

𝐁𝐁𝐁𝐁

This study was conducted to provide estimates of
AGB and carbon stocks of Eucalyptus spp.
plantation. The selected study areas for field datacollection were in managed forest plantations owned
by SFI in Sipitang, Sabah, Malaysia (Fig.1).
Sipitang is a town, district and also a parliamentary
constituency located in the interior division of Sabah,east Malaysia on the island of Borneo. It spans anarea of approximately 273,249.69 ha. This district islocated at the southwest portion of the state of Sabahlocated between latitude 4°7' and 5°10' North andbetween longitude 115°25' and 115°37’ East withelevation 45 to 1200 meter above sea level.

=𝛑𝛑 × 𝐃𝐃𝟐𝟐
𝟒𝟒 × 𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏(𝟏𝟏)

Where BA is basal area in m² and D is DBH in
cm. The calculated BA was then divided by the plot
area in ha.
Stand volume
The volume equation developed by Meskimen[4] for E. grandis was used to calculate tree volume.
The stand volume was calculated from the total plot
volumes. Calculated volume was converted to metricunits for further analysis.
𝐕𝐕 = 𝐃𝐃𝟐𝟐 (𝟎𝟎. 𝟎𝟎𝟎𝟎𝟎𝟎𝟎𝟎𝟎𝟎𝟎𝟎𝟎𝟎 +𝟎𝟎. 𝟎𝟎𝟎𝟎𝟎𝟎𝟎𝟎)(2)

Where, V is volume in ft³, D is DBH in in(outside bark) and H is total height in ft.
Aboveground biomass

Fig. 1

Several published allometric functions developed
for these species are used and evaluated to analyze
the accuracy of estimations and predictions.Table 1
provides a list of the equations to calculate
aboveground biomass.

Map of the study area

Data from field plots were collected from various
age groups during March to April 2016 from a totalof 65 plots. Each quadrat plot was 30 m × 30 m insize and the plots were established based on random
start using random number table. Age groups ofplantations were 2 and 3 years for E. pellita and 4, 5,
6, 7 and 8 years for E. grandis. Data on plantation
age were obtained from the SFI management.
Within each plot, diameter at breast height (DBH incm), total height (m), crown width (cm) and crownclosure (%) were recorded. The DBH – 1.3 m fromthe ground level of all sampled trees was measured
using a DBH tape. Total tree height was measured
using a hypsometer. The global positioning system(GPS) readings were taken at the corners of eachplot using a GPS receiver and recorded.

Table 1 List of allometric functions
No.
1.
2.
3.
4.
5.

Equations
𝑾𝑾 = 𝟐𝟐𝟐𝟐. 𝟐𝟐𝟐𝟐𝟐𝟐 − 𝟔𝟔. 𝟗𝟗𝟗𝟗𝟗𝟗 × +𝟎𝟎. 𝟕𝟕𝟕𝟕𝟕𝟕
× 𝑫𝑫𝟐𝟐
𝑾𝑾 = 𝟎𝟎. 𝟎𝟎𝟎𝟎𝟎𝟎𝟎𝟎𝑫𝑫𝟐𝟐.𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓
𝑾𝑾 = 𝟎𝟎. 𝟎𝟎𝟎𝟎𝟎𝟎𝟎𝟎 × 𝝆𝝆𝑫𝑫𝟐𝟐 𝑯𝑯
𝑩𝑩 = −𝟎𝟎. 𝟏𝟏𝟏𝟏 + 𝟎𝟎. 𝟎𝟎𝟎𝟎 × 𝑫𝑫
𝑩𝑩𝑩𝑩 = 𝒆𝒆(−𝟐𝟐.𝟖𝟖𝟖𝟖+𝟏𝟏.𝟗𝟗𝟗𝟗𝟗𝟗𝟗𝟗𝟗𝟗)

Ref.
[5]
[6]
[7]
[8]
[9]

Where, W is AGB in t/ha, D is DBH in cm, H is
total height in m, B is total biomass in ton and Bi is
total biomass in kg.
Carbon stocks

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SEE-Osaka, Japan, Nov. 21-23, 2016

According to Onrizal [6] the average of carbon
content of E. grandis tree part was 44.92% ofbiomass with varying from 36.72 to 54.01% ofbiomass. The equation used for calculating carbon
stocks for all the Eucalyptus spp. in this study is as
below.
𝑪𝑪 =𝟎𝟎. 𝟎𝟎𝟎𝟎𝟎𝟎𝟎𝟎𝟎𝟎𝟐𝟐.𝟔𝟔𝟔𝟔𝟔𝟔𝟔𝟔(3)

Where, C is carbon stocks in tC/ha and D is DBH incm.

Notes: Means with the same letter are notsignificantly different (P≤0.05).

Statistical Analysis

Fig. 2 Age of Eucalyptus spp. versus DBH

All analyse of data procedures were performed
using Statistical Analysis Software (SAS v. 9.4).
Tests of significance for the means of DBH, BA,
stand volume, AGB and carbon among the various
ages was undertaken using one-way analysis ofvariance (ANOVA). When the statistical significant
in the means of parameters were obtained, multiple
comparison test (i.e. Duncan test) was used tocompare the means of variables.

The DBH size decreases at 8 years might be due
to lack of sample size for this age stand. In addition,it also may due to the condition of the samples thatwere stunted due to poor site condition (soil type,elevation), a poor site management and competition
with other pioneer species (e.g. A. mangium) which
affects the growth.This is based on the previous
studies stated that, different sites support the tree
growth in different manner, even for the same
species [10]. Furthermore, a study reported diameter
growth in stands of E. grandis plantation is very
rapid during early years and then the rate of increase
becomes slower, as is characteristic of most species
and after competition-induced mortality makes
additional growing space available, the rate ofdiameter growth increases again [11].
In a study conducted for E. pellita in acommercial plantation in Mexico by Maria et al. [8],they found that the age of two and a half years
plantation recorded the means of DBH at 14.4 cm.
This is due to selection of sample was measured for
12 to 18 cm. The result was more than the range ofage in this study with means of DBH of 6.7 cm and8.7 cm for 3 years age plantation with minimum 0.5
cm, and maximum 20 cm. Meanwhile, it was foundthat the mean DBH for 2, 3, 6 and 8 years were 8.8
cm, 11.1 cm, 11.9 cm and 14.2 cm for planted E.
grandis forest in North Sumatera [6] which iscomparable with the present study.
Several of factors between different regions may
influence the variation in the DBH growth andproductivity of forest plantation. It might due to site
index, elevation, soil condition, rainfall and generalclimate of the area.

RESULTS AND DISCUSSION
Diameter at Breast Height
A descriptive statistics for the means of DBH for
the seven different ages of plantation is shown in
Table 2. As seen from the table, the means ofmeasured DBH for seven ages range from 6.7 cm to16.9 cm.
Table 2 Descriptive statistics of the means of DBH
(cm)
Age
2
3
4
5
6
7
8

n
1861
2134
507
510
879
837
211

Mean
6.7
8.7
11.3
14.8
15.5
16.9
11.9

SD
3.5
3.5
5.2
7.7
5.3
5.6
4.5

Min.
0.2
0.5
1.5
2.5
3.1
2.8
3.3

Max.
16.8
20.0
28.0
146.0
29.0
32.8
24.3

Figure 2 shows the trends of DBH in relation toplantation ages. The DBH increases as the ages
increases from 2-7 years old after which it reduces at
the age of eight years old. Result from ANOVA
indicated that there were significant differences in
the mean DBH between tree ages (p≤0.05). The
mean DBH at age 7 was significantly greater thanages 8, 6, 5, 4, 3 and 2 years. This suggests that theage of Eucalyptus spp. is significantly affected sizeof tree.

Basal Area
Table 3 shows the descriptive statistics of meanof BA per tree in relation to plantation ages. Result
from ANOVA indicates that there was significant
difference in the means of BA per tree between
different ages of stand (p≤0.05). From a post-hoc

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SEE-Osaka, Japan, Nov. 21-23, 2016

test, the mean BA for age 7 was significantly higher
than the rest of ages. Mean BA per tree for age 4
was lower than the others.

Stand Volume
Table 4 presents the descriptive statistics ofmean of volume per tree in relation to plantation age.
Result from ANOVA indicates that there weresignificant differences in the mean of volume pertree between different ages of stand (p≤0.05). Froma post-hoc test, the mean volume for age 7 wassignificantly higher than the rest of ages. Mean
volume for age 2 years was the lowest.

Table 3 Descriptive statistics of mean BA per tree
(m2)
Age
Mean
SD
Min.
Max.
0.0045d 0.004 0.000003
0.02
20.0069d 0.005 0.000001
0.03
30.0121c 0.01
0.00020.06
40.0218b 0.07
0.00051.7
50.0212b 0.01
0.00080.07
60.0249a 0.02
0.00060.08
70.0126c 0.009
0.00090.05
8Note: Means with the same letters are notsignificantly different (p≤0.05)

Table 4Descriptive statistics of mean volume pertree (m³)
Age Mean
SD
Min.
Max.
0.0191d 0.02 0.000003
0.1
20.0319d 0.03 0.000005
0.3
30.0680c 0.08
0.00030.5
40.1396b
0.4
0.001
10.0
5
0.1429b
0.1
0.001
0.6
6
0.1782a
0.2
0.001
4.1
7
0.0768c
0.1
0.002
0.4
8
Note: Means with the same letters are notsignificantly different (p≤0.05)
Fig. 4 presents the result of the mean standvolume between different ages of plantations whichshows a similar trend to the previous finding. Seven
years plantation recorded the highest mean which is207.2 m³/ha. Age of 5 years plantation recorded thesecond with 158.2 m³/ha and the lowest is age of 2
years plantation with only 23.2 m³/ha. Stand volume
value correlates with BA since stand volume
equation basically derived from BA value. Even
though there was a large difference in the mean
volume between ages, it is insufficient to detect astatistical difference among several ages that might
be due to large variation in individual volume
measurement in the study area.

40
29.0

30

24.7

20
10

Stand Volume (mᶟ/ha)

BA (ma²/ha)

Analysis of stand BA indicates that the washighest at the age of 7 years (29 m²/ha), followed by
5 years (24.7 m²/ha), 6 years (23 m²/ha), 8 years(14.8 m²/ha), 4 years (m²/ha), 3 years (8.6 m²/ha)and 2years (5.9 m²/ha), respectively. From theresults, the stand BA increases as the ages increases,
depicting a similar increasing trend as the previous
findings.
Onrizal [6] studied the allometric functions ofbiomass and carbon stocks of planted E. grandis in
Toba Plateau, North Sumatra, Indonesia. Different
stand ages (1-, 2-, 3-, 6-, 8-, and 9-years) using
destructive method. The results indicated thevariation existed in the stand BA of E. grandis
between ages. The highest stand BA for 9 years
plantation age was 66.9 m²/ha as for 8 years
plantation was 43.78 m²/ha which is higher thanwhat was recorded in the present study. However,
only at age 6 years plantation with stand BA of
19.46 m²/ha was slightly lower than the findings inthis study.

23.0
14.8

13.6
5.9

8.6

0
2

3

4
5
6
Age (years)

7

8

250

207.2

200

158.2 155.1

150
100
50

90.0

76.6
23.2

39.8

0
2

Fig. 3 Age versus basal area (m²/ha) of Eucalyptus
spp. plantations

3

4
5
6
Age (years)

78Fig. 4 Age versus Stand volume (mᶟ/ha) versus of
Eucalyptus spp. plantations

A study in Swaziland for E. grandis recorded themean stand BA at 38.7 m²/ha for age 6.75 years [12]which is also higher than what was obtained in thepresent study with the range ages of 6 to 7 years.

The stand volume in the present study appears to
be lower than volume yields measured for spacing
trials in Hawaii 214 m³/ha [13]. Sample plots used144

SEE-Osaka, Japan, Nov. 21-23, 2016

for comparison from the Hawaii study were for E.
saligna species, unthinned at a stocking of 1,100
trees per hectare. E. saligna, E. pellita and E.
grandis are closely related species with comparable
characteristics. The differences between these
species should not result in dramatic differences ofvolume yields [14].
The variation in the stand volume in present
study and other studies elsewhere could be due thedifferences environmental factors including soil
types, topographical position and precipitation.
Furthermore, silvicultural systems practiced indifferent sites may have also been contributed to thedifferences.
Moreover,duringplantation
establishment, site preparation and stand density
may also result in the variation in the growth ofyield of the plantation.

2
3
4
5
6
7
8

[6]
[7]
[8]

59.1

60

47.5

40
20

24.6

24.2
6.6 10.9

0
3

4
5
6
Age (years)

7

8

2

3

4 5 6
Age (years)

7

When compared to the previous studies, theamount of carbon stocks obtained in this study arecomparable with their findings. For example, in astudy of planted E. grandis Onrizal et al. [6] foundthe amounts of 62.84 t C/ha and 39.43 t C/ha wererecorded for 9- and 8-year-old stand. In addition,
The carbon stocks of Eucalypt forests in South
Eastern Australia were 52 tC/ha [19]and 63.7 tC/ha
in Southeast Brazil [20] which were lower than what
is recorded in the present study comparing to 5 years
plantation age. Previous findings indicate that the8

Fig. 5 Age versus AGB (t/ha) versus of Eucalyptus
spp. plantations
Table 5 Descriptive statistics of Onrizal [6] AGB
equation
Age

67.8

Fig. 6 Age versus carbon stocks (t C/ha) versus of
Eucalyptus spp. plantations

50
0

80

2

[9]

100

98.1
153.9
366.5
25939.5
401.2
551.2
254.3

Based on the selected allometric carbon stocks
equation [6], the total of aboveground carbon stocksof planted Eucalyptus spp. at different ages were
estimated (Fig. 6).The highest carbon stocks wasproduced for age 5 at 67.8 tC/ha. This is followed by
59.1 tC/ha at age 7 years. The 2-years old plantation
recorded the lowest stand carbon stocks at 6.6 tC/ha.

[5]

150

0.001
0.01
0.2
0.7
1.25
0.97
1.5

Carbon Stocks

Carbon stocks (t C/ha)

AGB (t/ha)

Figure 5 shows a comparison of stand AGB
estimates computed from five different allometricfunctions listed in Table 1. In general, all equation
produce a similar trends of estimates from age 2 to 8
years. As can be observed, the highest AGB was
calculated from allometric function [8] while
allometric function [6] produced the lowest. Basedon these trends, AGB of allometric function [6] isselected since the multiple coefficient ofdetermination reported from the study was thehighest (i.e. R²=98.8%) compared to the rest.
Table 5 shows the descriptive statistics of stand
AGB based on [6]. The result indicates that thehighest mean of AGB was recorded at five years
plantation (i.e 134.5 t/ha) while lowest was at 2
years (14.3 t/ha).

200

16.4
20.6
60.1
1146.93
76.9
104.0
47.6

The AGB values recorded in this study arecomparable with several studies as in North
Sumatera. AGB of 129.5 t/ha was recorded for E.
grandis of stand age of 9 years [6] which is much
lower than recorded in this study. In addition, a casestudy on A. mangium plantations in West Java
reported to be only 69.7 t/ha for 10 years plantation
age [15]. However, studies of A. mangium in Papua
New Guinea and in Vietnam produced stand AGB of
121.10 t/ha and 121.30 t/ha respectively [16][17]. A
study on stand AGB of A. Mangium plantation in
Claveria was at the ranges between 2.05 to 54.13
t/ha which are also comparable with the present
study [18].

Above Ground Biomass

250

14.3
23.7
51.0
134.5
99.3
122.7
52.1

Mean

SD

Min.

Max.
145

SEE-Osaka, Japan, Nov. 21-23, 2016

most important environmental variables associatedwith carbon stocks irrespective of stand type wereedaphic variables, most commonly total andavailable soil nitrogen [19]. Tree carbon was the
only component stocks more strongly associatedwith climatic and spatial than edaphic variables.

[8] Maria RS, et al., “Biomass assessment, volume
equations & crown architecture of E. pellita F.
Muell in a commercial plantation in
Mexico”Revista Forestal Mesoamericana Kurú
Vol. 12, No. 29, Julio, 2015.
[9] Burrows, WH., et al., “Allometric relationships& community biomass estimates for somedominant eucalypts in Central Queensland
woodlands. Australian J. of Botany 2000,
48:707–714.
[10] S.M.C.U.P. S, “Modelling Total Height ofE.grandis Hill ex Maiden”,J. of Tropical
Forestry & Environment Vol. 4. No 02 (2014)
31-44.
[11] Brian VB, “Diameter Growth of E. grandis
under Conditions of Extreme Suppression”,
New Zealand J. of Forestry Science 1990,
20(2): 162-7.
[12] M dP and Kotze H, “Growth and yield models
for E.grandisgrown in Swaziland”Southern
Forests 2011, 73(2): 81–89.
[13] Walters G,“Saligna eucalyptus growth in a 15year-old spacing study in Hawaii”, PacificSouthwest Forest & Range Exp. Stn., Forest
Serv., 1980, Paper PSW-151:6.
[14] Brook FA, “Vol. Yields of Smallholder E.
grandis W. Hill Ex Maiden Stands in Eastern
Paraguay”, Dissertations, 2014[15] Heriansyah, I, et al., “Estimating carbon
fixaxion potential of plantation forests: casestudy on A. mangium plantations”, Forest
Research. Bulletin,2003, 634: 1-14
[16] Yamada, M., et al., “Carbon stock in fastgrowing tree species A. mangium man madeforest in Papua New Guinea”, Tropical Forestry
2002, 49: 20-33[17] Yamada M, et al.,“Carbon stock in fast-growing
tree species A. mangium, A. auriculiformis, andE. camaldulensisman made forest in Sonbe,
Vietnam”. Tropical Forestry 2000, 47: 33-39[18] Richmund AP,“Determination of Aboveground
Carbon Density of Mangium (A. mangium
Willd.) using Biomass Expansion Factor”,
Mindanao Journal of Science and Technology
Vol. 12 (2014) 39-50.
[19] Melissa F,et al., “Carbon stocks in temperate
forests of south-eastern Australia reflect large
tree distribution and edaphic conditions”, Forest
Ecology and Management 334 (2014) 129–143.
[20] Sabina CR, et al, “Aboveground &Belowground Biomass & Carbon Estimates forClonal Eucalyptus Trees in Southeast Brazil”,
Revista Árvore, Viçosa, v.39, 2015 p.353-363.

CONCLUSION
The AGB and carbon stocks were estimatedusing non-destructive method. In general, there weresignificant differences in the means of DBH and forbasal area (BA) and volume between the age ofplantations (p ≤ 0.05). The highest stand AGB wasrecorded for seven years stand (i.e., 247.5 t/ha) withthe total stand carbon stocks was estimated to be
67.8 tC/ha. The carbon content was comparable toother studies. However, the variation of results could
be due to differences related to the site andspecies/clones. Therefore, further studies of carbon
content in the laboratory should be conducted toallow more reliable comparisons.
ACKNOWLEDGEMENT
The authors would like to express their deepest
gratitude to Ministry of Education, Malaysia forproviding research grants through the Fundamental
Research Grant Scheme (FRGS) (600-RMI/FRGS
5/3 (38/2014)), Universiti Teknologi MARA(UiTM) and Sabah Forest Industries (SFI) for
providing logistic related services and data fieldcollection.
REFERENCES[1] National Timber Industry Policy 2009-2010.
Supply of raw materials. Min. of Plantation
Industries & Commodities Malaysia. 2009.
[2] Jack Wong (2012, July20). The Star: Business
news“Sabah has 226000ha of forest plantations”[3] Hovind HJ and Rieck CE, “Basal area andpoint-sampling interpretation & application”
Tech. Bulletin Number 23, Wisconson, 1970.
[4] Meskimen G, and Franklin EC,“Spacing E.
grandis in southern Florida- a question ofmerchantable versus total volume” Southern J.
of applied forestry. 1978,2(1);3-5.
[5] Brown S, et al.“Biomass estimation methods fortropical forests with applications to forest
inventory data. For Sci1989, 35:881–902.
[6] Onrizal, CK, et al., “Allometric biomass &carbon stock equations of planted E. grandis in
North Sumatra” Proceeding Int. Seminar
Research on Plantation Forest Management,
2010. pp 1-6[7] Chave, et al. “Tree allometry & improved
estimation of carbon stocks & balance intropical forests” Ecosystem Ecology, 2005.
146

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

STAND STRUCTURE AND FLORISTIC COMPOSITION OF
FRAGMENTED FRESHWATER SWAMP FORESTS IN MALAYSIA
Siti Maisarah Che Abdullah1, 2, Mohd Nazip Suratman1, 2 and Judith Gisip1
Faculty of Applied Sciences, Universiti Teknologi MARA (UiTM), Malaysia
2
Centre for Biodiversity and Sustainable Development, Universiti Teknologi MARA (UiTM), Malaysia
1

ABSTRACT
Freshwater swamp forests in Malaysia are getting scarce from time to time due to land use and land coverchanges, which turns their populations to become vulnerable to extinction. A study was conducted to determine
the stand structure and tree species composition in the remnants of freshwater swamp forests located in Parit
Forest Reserve, Perak, Malaysia. For this purpose, transect lines with random start method were established in
two sites (i.e., wet condition [WC] and dry condition [DC]). The width of transect lines was 20 m and the length
was ranged from 40-200 m. Distance between transect lines was 50 m apart. Transect lines were gridded into
subplots (20 m × 20 m). All trees (DBH> 10 cm) were measured and identified at species level. From the study,
the diameter distribution of trees displays the characteristic of inverse J distribution, indicating the presence ofregeneration in both study sites. In terms of floristic composition, a total of 1,263 trees, representing 179 species
in 109 genera from 41 families were enumerated in the study area. Two dominant families in the study locations
are Euphorbiaceae and Sapotaceae. Tree species such as Artocarpus scortechinii and Nephelium lappaceum areamong the important part of the floristic composition in the study areas. The Shannon-Weiner diversity index(H’) is uniform for both study sites, (i.e., 2.39), which is within the range of other studies in freshwater forests.
The results from this study are useful in providing a valuable reference for conservation of biodiversity for the
freshwater swamp forests.
Keywords: Floristic Composition, Freshwater Swamp Forest, Stand Structure, Endangered Species

Hopea, Shorea, Vatica and Parashorea are
categorised as critically endangered [7]. Among allthese species, few species are restricted to
freshwater swamp forests. D. semivestitus or locallyknown as Keruing padi is restricted to freshwater
swamp forest in Parit Forest Reserve, Malaysia.
Information on density, species composition,
diversity of tree species and species-richcommunities are of primary importance in theplanning and implementation of biodiversity
conservation efforts. To conserve the forests fromdeclining, it is essential to examine the current statusof species diversity as it will provide useful
information for the management of the forest.
Therefore, this study was conducted to assess thestand structure of freshwater swamp forests of Parit
Forest Reserve and to determine the floristic
composition in this area. Information from this study
will provide a valuable knowledge in identificationof ecologically useful species as well as species of
special concerns, thus identify conservation efforts
required for sustainability of forest biodiversity.

INTRODUCTION
Malaysia is endowed with richness inbiodiversity of the tropical rain forests [1][2] Themajor types of forest in Malaysia are peat swamp
forest, mangrove forest, lowland dipterocarp forest,
hill dipterocarp forest and montane forest. However,there are only about 3.3 million ha of forested
wetlands and freshwater swamps forests occupying
about 2.5% of the areas in the country as comparedto others forest types [3].
In Malaysia, freshwater swamp forest hasreceived scant attention due to the less economic
values. In addition, deforestation and urban
expansion lead to the reduction of the habitat [4],which turn freshwater swamp forest into criticallythreatened habitats. This forest is very peculiar andunique because it gives rise to a habitat from thesurrounding lowland dipterocarp forests [5]. Thus,
the reduction of this forest gives an impact toendemic tree species that need specific habitat
requirements.
Dipterocarpaceae is listed as one of the mostthreatened tree families in Malaysia [6]. Shorea isthe genus of this family that has the highest numberof taxa and unfortunately one species of this genus
was assessed as extinct (i.e., Shorea kuantanensis).
A few more species from the genera Dipteracarpus,

MATERIALS AND METHODS
Description of Study Area
This study was conducted in freshwater swamp
147

SEE-Osaka, Japan, Nov. 21-23, 2016

diameter at breast height (DBH) ≥ 10 cm. All trees
were identified at the species level. If field
identification was not possible, the botanicalspecimens were taken to the herbarium section of
the Forest Research Institute Malaysia (FRIM) for
identification and confirmation.

forest remnants in Parit Forest Reserve, Perak,
Malaysia (Fig. 1). The study area lies between thelatitude of 4° 21’ 21” N and longitude of 100° 57’
14” E with the topography ranges from 20-45 m
above sea level. The climate is characterized bypermanent high temperatures range from 20-35°C.
The weather is dry and warm from January till
March with the lowest rainfall occurs in January(60-100 mm of rainfall). The highest rainfall occurs
in October to November (i.e., 230-350 mm) [8].

PerakData Analysis
In this study, the stand structure was describedbased on the number of individual trees per hectare,basal area and distribution of trees by diameterclasses. Therefore, the basal area was calculated
based on the equation from Husch et al. [9], the dataof DBH were classified into diameter classes whichgave a frequency of trees then used to draw bar chartgraphs.
Data of all tree species were summarized todescribe the species composition, abundance anddiversity of the tree communities. The abundance
data include determination of density, frequency andbasal area. In order to determine the mostimportance species in the communities, theImportant Value Index (IVI) was calculated bysumming up the values of relative density (R D ),relative dominance (R Do ) and relative frequency(R F ) of each species or family [10].
Different species richness in terms of indiceswere calculated using Margalef’s diversity index(D Mg ) [11] and Menhinick’s diversity index (D Mn )[12]. The Shannon-Wiener’s Diversity Index (H’)[13] and Simpson’s Diversity Index (D) [14] wereused to determine the species diversity in acommunity. Evenness was used to measure of how
similar the abundances of different species were
determined using Shannon’s equitability (E H ) [15]Community similarity between the two study sites
was determined using the Sӧrensen’s Similarity
Index (S s ) [15].

Peninsular
Malaysia

Indonesia

Fig. 1

Location of the study area.

This forest is classified as freshwater swamp
forest and the entire forest reserve is surrounded byfragments of secondary forests within the district ofPerak Tengah, Perak. Much of the area has beendeveloped into urban sites leaving very small
patches of isolated swamps.
From the fieldobservation, it is apparent that the area belongs to
two conditions of distinct microhabitat (i.e., wetcondition (WC) and dry condition (DC)). The total
size of area covers an area about 12.39 ha (7.73 ha
for WC and 4.66 ha for DC). The two habitats
support different tree communities due to a variationin habitat characteristics.
Due to the water logged condition of this forestthat causes by rainfall runoff, the trees exhibit
different strategies for survival which include
growth of buttresses and stilt roots. The hydrophytic
trees (i.e., Ficus spp., Macaranga spp. and Syzygiumspp.) dominate the vegetation type in the forest.
Other than that, Livistona saribus palm is frequently
occurred in the area. In terms of stratification, theforest comprises irregular canopies that range from
10-25 m height and the emergent trees range
between 30-35 m height.

Statistical Analysis
For data analysis, an independent t-test was
performed to determine any statistical differences
between the means of variables of floristic
composition between the two conditions of
microhabitat in the study area. The analysis of thedata was performed using Statistical Analysis
System (SAS) software version 9.3.

Data Collection
Transect lines with the width of 20 m were
established in a systematically using random start.
The length of transect lines vary from 40-200 m
depending on the length of study sites. Distance
between transect lines were 50 m apart. Eachtransect line was gridded into subplots, 20 m × 20 m
in size, as workable units. Each subplot wasinventoried by measuring all tree species within a

RESULTS AND DISCUSSIONSStand Structure Analysis
Density
From the analysis, study site at DC recorded
148

SEE-Osaka, Japan, Nov. 21-23, 2016higher tree density of 663 individuals ha-1 ascompared to 484 individuals ha-1 in the WC study
site. However, both study sites contain low densityof trees ha-1. From the t-test, there was a significant
difference in mean of tree density between the bothstudy sites (p≤0.05).
Previous study conducted by Mata et al. [16]that determined the floristic composition in threetropical freshwater forested wetlands (i.e., Cienaga,
Apompal and Chica) in Mexico, reported thewetland density of 1750, 2889 and 2400 individuals
ha-1, respectively. Other study in Malaysia by
Khairil et al. [17] on tree species composition andcommunity structure in a tropical watershed forest
reported that inland forests have higher density with
1472 individuals ha-1 followed by riverive forest andseasonal flood forest with density 1277 individuals
ha-1 and 1132 individuals ha-1, respectively.
When compared to other findings, the result of
this study for density in the present study is lower inboth study sites. It is apparent that density of trees infreshwater swamp forests shows high variation due
on various factors. The effects of natural andanthropogenic disturbances could be the factors that
influence tree density. The lower stand density in
WC might be due to hydroperiod which may disturb
the growth of small trees [17].

40
30
20
10
0

10-14.9
15-19.9
20-24.9
25-29.930-34.9
35-39.9
40-44.9
45-49.9
50-54.955-59.960-64.9
65-69.970-74.975-79.9
80-84.9
85-89.9>90

Relative frequency (%)

50

Diameter class (cm)Fig. 2

Diameter class distribution of WC study
site.

40
30
20
10
0

10-14.9
15-19.9
20-24.9
25-29.930-34.9
35-39.9
40-44.9
45-49.9
50-54.955-59.960-64.9
65-69.970-74.975-79.9
80-84.9
85-89.9>90

Relative frequency (%)

50

Diameter class (cm)Basal area
In terms of stand basal area, WC recorded 23.9m2 ha-1 and DC was 29.2 m2 ha-1. However, there
was no significant difference in the mean of basal
area between both locations (p≥0.05). Ficus carica
in DC is the largest tree for both locations, thus, it
may contribute to an overall basal area.
Examining the tree species diversity and forest
stand structure of Kuala Keniam in Pahang,
Suratman et al. [23] recorded the basal area ranged
from 17.2-34.3 m2 ha-1, in which within in the range
with the present study even they are different typesof forest.

Fig. 3

Diameter class distribution of DC study site.

The presence of growth of the forest in bothstudy sites are indicated by the movement of trees invarious diameter classes. The findings show DC has
higher regeneration due to high percentage of small
trees compared to WC. Moreover, it may suggest
higher mortality due to less number of larger treesthat could be due to the natural causes. However, thestand structure shows both study sites confirm to thecharacteristic of De iocourt’s factor procedure(inverse J-distribution) where stems frequencies
decreasing with increase in DBH for all trees. Thus,
the stands in both study sites are developing andregeneration in the forest is present.

Diameter class distribution
As shown in the Figure 2, 39.5 % of trees fellwithin the 10-14.9 cm, 22.7% fell within 15-19.9 cm,
12.8% fell within 20-24.9 cm, 8.5% fell within 2529.9 cm and 5.3% fell within 30-34.9 cm in WC
study site. In addition, it shows a less or an absent
number of stems in diameter classes from 70-79.9
cm onwards. When compared to DC study site, has
higher portion of smaller trees with percentage of
10-14.9 cm is 45.2%. However, trees in diameterclasses from 60-64.9 cm until 85-89.9 cm appear to
be absent (Fig. 3).

Floristic Composition Analysis
A total of 1263 trees representing 179 species in
109 genera from 41 families were enumerated fromboth study sites. As shown in Table 1, the total
number of 600 trees in WC study site belong to 38
families, 88 genera and 130 species, whilst the DC
consist of a total of 663 trees that belong to of 36
families, 79 genera and 100 species.

Table 1 Summary of floristic composition in two
149

SEE-Osaka, Japan, Nov. 21-23, 2016

study sites.
Study site
WCDC

No. offamilies
38
36

No. ofgenera88
79

species richness can be related to small size of study
sites.
For evenness, the E H value was 0.93 in site WC
and 0.92 in site DC. There was no significant
difference in the means of evenness between bothstudy sites (p≥0.05). Evenness is a measure of therelative abundance of the different species making
up the richness of an area. A community dominatedby several different species that have a similarabundance is considered to be more diverse, thus as
species richness and evenness increase, so diversity
increases.
From a similarity analysis (Ss) on the species
composition of both sites revealed that the similarity
between the sites was low with a value of 31.4%(table not shown). This could be due to WC sitewhich contains higher species richness as comparedto DC, and majority of species occurred only at theDC.

No. ofspecies
130100

Different size of study sites may have affected
the number of taxa present. The larger area of studysite WC tends to have higher number of families,
genera and species as compared to DC that only halfof WC site.
Species diversity
A summary the analysis for five indices ofdiversity, richness and evenness for the two study
sites is presented in Table 2.

Family-wise distribution

Table 2 Summary of species diversity for two study
sites.

Data for tree families were pooled for both study
sites. A total of 41 tree families were encountered in
the study sites. The maximum number of tree
species belongs to the family of Euphorbiaceae
which accounts for 11.7% of the total individuals
encountered in the study sites. This is followed by
Sapotaceae, Guttiferae and Myrtaceae which
account for 8.9%, 7.8% and 5.6% of the total
individual encountered in the study sites,
respectively. A few families have lowest percentagesof the total individual encountered in the study sites
with 0.6 % (i.e., Anisophylleaceae, Aquifoliaceae,
Celastraceae, Icacinaceae, Lecythidaceae, Olacaceae,
Opiliaceae, Passifloraceae, Polygalaceae, Rosaceae,
Sterculiaceae and Verbenaceae) (Fig. 4).
A study in Cambodia on the evergreen swamp
forest by Theilade et al. [21] also reported
Euphorbiaceae as the dominant family with thehighest number of species in that area, followed byDipterocarpaceae, and Meliaceae. In other study on
floristic composition at freshwater swamp forest in
south eastern Brazil by Magalhaes and MaimoniRodella [22] reported that Orchidaceae, Rubiaceae
and Myrtaceae are the three dominance families inthat area.
In Malaysia, a study on tree species diversity andforest stand structure of Kuala Keniam by Suratman
et al. [23] at Pahang National Park, Malaysia
reported that Euphorbiaceae was the dominantfamily with 23.9 % of the total individuals wereencountered in the study area. In addition, Khairil etal. [17] who studied the tropical watershed forest in
Peninsular Malaysia also found that Euphorbiaceae
as a dominant family in the study sites.

Study sites
WC
DC
Shannon-Weiner index (H’)
2.39a 2.39a
Simpson’s diversity (D)0.95a 0.91b
Margalef’s diversity index (D Mg )4.22a 4.05a
Menhinick’s diversity index (D Mn )3.07a 2.77a
Shannon’s equitability (E H )0.93a 0.92a
Note: Means with the same letters are notsignificantly different (p ≤0.05)
Variables

As shown in the table, the H’ value for bothstudy sites recorded a similar value of 2.39. The D
values for sites WC and DC was 0.95 and 0.91,
respectively. Results from t-test indicated that the Dwas significantly difference between both study sites(p≤0.05). Generally, the finding suggest that bothstudy sites are uniform as there no significant
differences in means of most of the indices.
Other study by Mata et al. [16] recorded the H’value for tropical freshwater forested wetlands in
Veracruz, Mexico, ranged from 2.25-3.37. Based on
Rosenzweig and Waide et al. [18][19], the area andenvironmental heterogeneity have strong effects on
species diversity. These may suggest that thedifferent of environment factors within study
locations have influenced the species diversity in acommunity.
Similar patterns were found for species richness
which was computed using D Mg and D Mn . The D Mg
was 4.22 and 4.05 where the D Mn was 3.07 and 2.77
in WC and DC, respectively. Both indices show that
the WC had higher species richness as compared to
DC. There was no significant difference in means ofspecies richness between both study sites (p≥0.05).
Rajkumar and Parthasarathy [20] reported that lower

150

Tree family

SEE-Osaka, Japan, Nov. 21-23, 2016

Table 3 Species importance value (IVI) for the five
most dominance species in both locations

Verbenaceae
Ulmaceae
Tiliaceae
Thymelaeaceae
Sterculiaceae
Sapotaceae
Sapindaceae
Rubiaceae
Rosaceae
Rhizophoraceae
Polygalaceae
Passifloraceae
Oxalidaceae
Opiliaceae
Olacaceae
Myrtacaea
Myristicaceae
Moraceae
Meliaceae
Melastomataceae
Leguminosae
Lecythidaceae
Lauraceae
Ixonanthaceae
Icacinaceae
Guttiferae
Flacourtiaceae
Fagaceae
Euphorbiaceae
Ebenaceae
Dipterocarpaceae
Dilleniaceae
Chrysobalanaceae
Celastraceae
Burseraceae
Bombacaceae
Aquifoliaceae
Apocynaceae
Annonaceae
Anisophylleaceae
Anacardiaceae

Species
WC
Artocarpus scortechinii
Nephelium lappaceum
Syzygium papillosum
Palaquium spp.
Shorea macrantha
Total (& % for top fivespecies)DC
Macaranga spp.
Ficus carica
Syzygium spp.
Artocarpus integer
Nephelium lappaceum
Total (& % for top fivespecies)

FamilyIVIMoraceae
Sapindaceae
Myrtacaea
Sapotaceae
Dipterocarpaceae

28.44
26.99
20.15
12.57
11.85
100.00(27.3%)

Euphorbiaceae
Moraceae
Myrtacaea
Moraceae
Sapindaceae

24.73
19.61
16.40
14.95
10.69
86.38
(37.0%)

Others studies was Theilade et al. [21] recorded
Macaranga triloba being dominant in swamp forestof Cambodia and Mata et al. [16] found that Pachiraaquatic was the dominance species in Chira forested
wetland, Mexico.
0

2

4

6

8

Tree species of special interest

10 12 14

Relative frequency (%)
Fig. 4

From the field observation, some of criticallyendangered species were encountered in the study
sites. Based on the IUCN Red List data list, six
species of Dipterocarpaceae (i.e., D. semivestitus, H.
apiculata, S. hemsleyana, S. macrantha, S.
platycarpa and V. flavida) are listed in the category[25]. All these species are restricted to freshwater
swamp forest in Peninsular Malaysia except for H.
apiculata that can be found in lowland to hill
dipterocarp forests up to 610 m altitude.

Family-wise distribution of trees in the
study sites.

The study area presented high family richness ascommonly found in swamp forest [24]. In total,
53.7 % of tree families in this area is similar to theprevious studies conducted at evergreen swamp
forest in Cambodia by Theilade et al. [21] and at
freshwater swamp forest in south eastern Brazil byMagalhaes and Maimoni-Rodella [22]. Based on thepresent and previous study, freshwater swamp
forests consist of common families such as
Euphorbiaceae, Guttiferae, Myrtacaea, Lauraceae
and Moraceae.

CONCLUSION
The freshwater swamp forest of Parit Forest
Reserve comprises of natural vegetation and isdictated by microhabitat conditions. The findings
show that DC has higher regeneration and mortality
compared to WC. However, both study sites confirm
to the characteristic of De iocourt’s factor procedure(inverse J-distribution) that indicate stands aredeveloping and regeneration in the forest is present.
The similar value of H’ (2. 39) suggests that bothstudy sites are uniform in terms of species diversity.
The most dominance families in the study area are
Euphorbiaceae,
Sapotaceae,
Guttiferae
andMyrtaceae. The sites are represented by different
combinations of the dominant and co-dominant
species where Artocarpus scortechinii was dominant
species followed by Nephelium lappaceum as codominant in WC, whilst in DC the dominant and codominant species are Macaranga spp and Ficus

Important Value Index (IVI)
Table 3 shows that Artocarpus scortechinii wasdominant species with the highest value of IVI (i.e.,
28.44), followed by Nephelium lappaceum as codominant species (i.e., 26.99). In DC, the five mostdominance species contributed 37.0% IVI.
Macaranga spp. was the dominant species in WC
site with an IVI of 24.73%. The co-dominant species
in DC is Ficus carica with an IVI of 19.61 (Table 3).

151

SEE-Osaka, Japan, Nov. 21-23, 2016carica,respectively.
Morecomprehensive
information are required to identify conservation
efforts towards the protection of freshwater swamp
forests.

[12] Menhinick EF, “A comparison of some species
individual diversity indices applied to samplesof field insects”, Ecology 45, 1964, pp. 839-861.
[13] Shannon CE & Weaver W, The Mathematical
Theory of Communication. Urbana: University
of Illinois Press, 1949
[14] Simpson EH, “Measurement of diversity”,
Nature 163, 1949, pp. 688.
[15] Kent M & Coker P, Vegetation description andanalysis: a practical approach. London:
Belhaven Press, 1992.
[16] Mata Di et al., “ Floristic composition and soil
characteristics of tropical freshwater forested
wetlands of Veracruz on the coastal plain of the
Gulf of Mexico”, Forest Ecology andManagement 262, 2011, pp. 1514-1531.
[17] Khairil M, Wan Juliana WA, & Nizam MS,“ Edaphic influences on tree species
composition and community structure in a
tropical watershed forest in Peninsular
Malaysia”, Journal of Tropical Forest Science26(2), 2014, pp. 284-294.
[18] Rosenzweig ML, Species Diversity in Spaceand Time. Cambridge University Press, 1995.
[19] Waide et al. RB, “The relationship between
productivity and species richness”, Annu. Rev.
Ecol. Systematics, vol. 30, 1999, pp. 257-300.
[20] Rajkumar M, & Parthasarathy N, “Treediversity and structure of Andaman Giant
Evergreen Forests, India”, Taiwani 53 (4), 2008,
pp. 356-368.
[21] Theilade I et al., “Evergreen swamp forest in
Cambodia: floristic composition, ecologicalcharacteristics, and conservation status”, Nordic
Journal of Botany 29, 2011, pp. 71-80.
[22] Magalhaes JHR, & Maimoni-Rodella RCS,
“Floristic composition of freshwater swamp
forest remnant in southeastern Brazil”, Journalof species lists and distribution, 2012, pp. 833838.
[23] Suratman MN et al., Beyond Biodiversity
Conservation. Shah Alam: UiTM Press, 2014,
pp. 1-17.
[24] Marques MC, Silva S, & Salino A, “Florística e
estrutura do componente arbustivo-arbóreo deuma floresta higrófila da bacia do Rio JacaréPepira”, Acta Botanica Brasilica 17(4), 2003, pp.
495-506.
[25] Saw LG et al., “Conservation of some rare andendangered plants from Peninsular Malaysia”,
Kew Bulletin Volume 65, 2010, pp. 681-689.

ACKNOWLEDGEMENTS
The authors would like to thank to the Ministryof Education (MoE), Malaysia for providing
research grants through the Fundamental Research
Grant Scheme (FRGS) 600-RMI/FRGS 5/3(41/2014) and Universiti Teknologi MARA (UiTM)
for providing support and logistic related services.
REFERENCES[1] Woodruff DS, “Neogene marine transgressions,paleogeography and biogeographic transitions
on the Thai–Malay Peninsula”, Journal
Biogeography No. 30, 2003, pp. 551-567.
[2] Mittermeier RA et al., “Hotspots revisited:earth’s biologically richest and most terrestrial
ecoregions”,
Conservation
International,
Washington, 2005.
[3] Department of Agriculture M, “Vegetation
Cover of Peninsular Malaysia”, Kuala Lumpur:
Department of Agriculture Malaysia, 2006.
[4] Pfaff A, Amacher GS, & Sills E, “Realistic
REDD: improving the forest impacts ofdomestic policies in different settings”, Rev.
Environ. Econ. Policy 7 (1), 2013, pp. 114–135.
[5] Suratman MN, Noh NA, & Nawi L, “Spatial
Distribution and Demographic Structure of the
Critically Endangered Dipterocarpaceae in
Fragmented Habitat in Malaysia”, 2014[6] Suhaida M & Chua LS, (2012). “Conservation
status of threatened dipterocarps in Peninsular
Malaysia”, International Union of Forest
Research Organizations, Vienna, Austria:
IUFRO Headquarters, 2012, pp. 62.
[7] IUCN, “The IUCN Red List of Threatened
Species”,
Retrieved
from http://www.iucnredlist.org, 9 March, 2015.
[8] Department Meteorology Malaysia, “Annual
Rainfall Statistic of Perak”, Retrieved
from http://www.met.gov.my/index.php?option=com_weathertimeseries&purpose=humidity&I
temid=907, 2 May, 2016.
[9] Husch B, Beers TW & Kershaw JA, Forest
Mensuration, fourth edition. New York: John
Wiley and Sons Publishing, 1982.
[10] Brower CA, Zar JH, & Ende CN. Field andLaboratory Methods for General Ecology.
Boston: McGraw Hill, 1997.
[11] Margalef FR, “Evolution and measurements ofspecies diversity”, Taxon. Vol. 21, 1972, pp.
213-251.

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Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

ASSESSING TSUNAMI VULNERABILITY AREAS USING SATELLITEIMAGERY AND WEIGTHED CELL-BASED ANALYSIS

1

Abu Bakar Sambah12, Guntur1, Fusanori Miura3 , Fuad1, and Defrian Marza Arisandi1
Faculty of Fisheries and Marine Science, Brawijaya University, Indonesia; 2Marine Resources Explorationand Management Research Group, Brawijaya University, Indonesia; 3Graduate School of Science andEngineering, Yamaguchi University, Japan

ABSTRACTThe application of multi-criteria analysis followed by weighted cell-based processing is one of the methods
for tsunami vulnerability mapping. In this study, vulnerability due to tsunami disaster in coastal area of East Java
Province Indonesia was carried out. Appropriate input criteria were derived from Digital Elevation Model data,
satellite remote sensing and survey data. The criteria applied were elevation, slope, coastal distance, riverproximity, coastal type, and land use. Five classes of vulnerability were defined from low to high vulnerability.
Analytical hierarchy process described that elevation was the highest weight. The area that identified as slightly
high and high class of tsunami vulnerability spread in the coastal area which has a lower elevation and predict asinundated area. Most of the area was developed areas with low vegetation density. The high vulnerability areas
were mostly found in the coastal area with the sloping coast type. The result presented here can aid as a basic
data for city planning related to disaster mitigation and for the evacuation process and management strategy
during a disaster.
Keywords: Tsunami Vulnerability, Weighted Cell-based, Geo-spatial Data

contribution in conducting a tsunami vulnerability
assessment. A multi-criteria approach will be
integrated into geo-spatial analysis. The study aims
are to assess the vulnerability areas due to tsunami
disaster and to analyze vulnerability area to different
land use type. The use of multi-criteria and weighted
cell-based analysis to assess the tsunami
vulnerability areas was introduced in this study, inwhich this approach has not been applied before.

INTRODUCTION
Assessing tsunami vulnerability areas canprovide basic information that is important fortsunami disaster risk management plans andmitigation. Tsunami vulnerability assessment isessential to disaster management planning. This
includes pre-planning appropriate response activities
in order to minimize the impact of disaster and all
possibilities that will happen. This also plays animportant role in preparing and mitigating for the
future events [1].
Geologically, the south coast of Java Island is in
the confluence of two major plates meet each other,Eurasian and Indo-Australian, where the movementof tectonic plates in this area will cause anearthquake that could trigger a tsunami. Based on
the historical data of the earthquake event that
followed by a potential destructive tsunami in the
period of 1991 to 2006, recorded a tectonic
earthquake in the Indian Ocean which triggered thetsunami on the southern coast of East Java, namely
on June 3, 1994. A magnitude of 7.8 Mw,
earthquake triggered a tsunami that affect southerncoastal areas of Banyuwangi, East Java withestimated death toll reached 215 people [2]. The
same events have the possibility to occur again in
the same area in near future.
The development of geo-spatial analysis in theconcept of a multi-criteria analysis for disastermanagement study provides an important integrated

METHODS
Study Area
The study area includes coastal area of Jember
District, East Java Province, Indonesia (Fig. 1).

Fig. 1153

Study area.

SEE-Osaka, Japan, Nov. 21-23, 2016

This area is one of the important areas for marine
fisheries resources along southern part of Java Island,
Indonesia. This area also affected by 1994 tsunami
event along coastal area of East Java.

vulnerability assessment, while the construction
phase describes the process of geo-spatial data. Eachof those criteria weighted based on analyticalhierarchy process due to lack of knowledge
regarding the impact level of each criteria.

DatasetALOS satellite imagery with the instrument ofpanchromatic (PRISM) in the spatial resolution of
2.5 m and the Advanced Visible and Near Infrared
Radiometer type 2 (AVNIR-2) with the spatial
resolution of 10 m was analyzed for land use
observation. The elevation data was obtained fromThe ASTER Global Digital Elevation Model(ASTER GDEM) version 2. The Advanced Spaceborne Thermal Emission and Reflection Radiometer(ASTER) GDEM is a joint product developed andmade available to the public by the Ministry of
Economy, Trade, and Industry (METI) of Japan andthe United States National Aeronautics and Space
Administration (NASA) [3]. In addition to prepare
coastal morphology data, digital vector map of thestudy are was applied.
CRITERIA AND
PROCESSINGGEO-SPATIAL

DATA

Criteria Construction
Vulnerability mapping has been carried out using
the parameters elevation, slope, coastal distance,
river proximity, coastal type, and land use. The stepsof analysis are data collection, surface analysis of
DEM data, vector map extraction, land use mapping,and multi criteria processing using pair-wisecomparison analysis (see Fig. 2 and Fig. 3).

Fig. 2

Fig. 3

Flow diagram of data processing.

Geo-spatial Data Processing
A set of criteria that describe the physicalvulnerability are ; (1) elevation, that generated using
ASTER GDEM version 2 data (downloaded fromhttp://gdem.ersdac.jspacesystems.or.jp/; (2) slope,which is generated from elevation data; (3) coastal
distance, which is calculated the distance fromcoastline to the land using multi-buffering and wasset based on the possibility range of the tsunami toreach the land; (4) river proximity; (5) coastal type;and (6) land use, as the result of ALOS AVNIR-2
image classification.
Slope was generated using Eq. (1). The rates ofchange (delta) of the surface in the horizontal(dz/dx) and vertical (dz/dy) directions from thecenter cell determine the slope. At a given point on asurface z=f (x,y), S is defined as a function ofgradients at X and Y (i.e., West-East and NorthSouth) directions.

General methodology adopted in this study.

𝜹𝜹𝜹𝜹 𝟐𝟐𝜹𝜹𝜹𝜹 𝟐𝟐𝐒𝐒 = �� � + � �𝜹𝜹𝜹𝜹The two steps of this concept are the design andconstruction phases. The design phase includes theselection of criteria which is used for the

154

𝜹𝜹𝜹𝜹

(1)

SEE-Osaka, Japan, Nov. 21-23, 2016

Coastal distance generated using vector map
provided by Indonesia Geo-spatial Authority, andcreated using Eq. (2).
𝒀𝒀𝒍𝒍𝒍𝒍𝒍𝒍𝐗𝐗 𝒎𝒎𝒎𝒎𝒎𝒎 = 𝒍𝒍𝒍𝒍𝒍𝒍𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏 + 𝟒𝟒�𝟑𝟑 𝒍𝒍𝒍𝒍𝒍𝒍 � 𝟎𝟎�𝟏𝟏𝟏𝟏�

(2)

X max is the maximum reach of the tsunami over land,
and Y 0 is the height of the tsunami at the coast.
Land use map generated from supervisedclassification process of ALOS image. Land use
class was divided into five classes. We selectrepresentative samples for each land use class in thereflectance value of digital image. The classificationof land use was based on the spectral signaturedefined in the training set. Maximum likelihoodclassification was applied in the supervised process.
Criteria was calculated using its vulnerability
value range as shown in Table 1 and Table 2, while
map of tsunami vulnerability based on the criteria
described in Fig. 4, Fig. 5, Fig. 6, Fig. 7, Fig. 8, andFig. 9.

Fig. 4

Tsunami vulnerability
elevation.

map

based

on

Fig. 5Tsunami vulnerability map based on slope.

Fig. 6

Tsunami vulnerability map based on coastal
distance.

Table 1 Tsunami vulnerability value range (a)Vulnerability
class
High
Slightly highModerate
Slightly low
Low

Elevation
(m)1
<5
5-10
10-15
15-20
>20

Slope
(%)2
0-2
2-6
6-13
13-20
>20

Landuse3
Urban
Agriculture
Bare soil
Water
Forest

1

[4]
[5]
3
[6]
2

Table 2 Tsunami vulnerability value range (b)Vulnerability
class
High
Slightly highModerate
Slightly low
Low
45

Coastaldistance(m)4<293
293-514514-762762-1032
>1032

River
proximity
(m)5
0-100
100-200
200-300
300-500>500

Coastal
type5
V bay
U bay
Cape
Straight
NeutralBased on Eq. 2 calculations[7]

Tsunami vulnerability maps based on elevationand slope (in Fig. 4 and Fig. 5) show vulnerability
classes of slightly high and high were found to thewestern side of coastal areas. This area identified as
an urban and agricultural, with the slope range
between 0-13% and elevation of 0-15m. The highest
elevation (1185m) was found to the eastern side of
the study area and is classed as a low vulnerability totsunami area.

The tsunami vulnerability map based on coastal
distance (in Fig. 6) was calculated based on thehistorical data collected during previous tsunami
events by USGS. Minimum run up recorded in the
study area was 3.1m. The calculation of Eq.2
describes that 3.1m of run up will reach 293m of theproximity from coastline to land, while in theproximity range of 1032m will have 11.2m of run up.
155

SEE-Osaka, Japan, Nov. 21-23, 2016

on land use (Fig. 9), urban area represents a highclass of tsunami vulnerability. Low density urban
area was classified as bare soil and forested areas as
the area with the lowest vulnerability to tsunami
damage. High density of vegetation can have asignificant effect on protecting the land fromtsunami [9].
VULNERABILITY ASSESSMENT
Weighted Cell-based

Fig. 7Weighted overlay is a technique for applying acommon measurement scale of values to diverse anddissimilar inputs to create an integrated analysis.
Weighted overlay also is a type of suitability
analysis that helps in analysing site conditions basedon multiple criteria. By identifying and rating areas
based on criteria, weighted overlay analysis allows
the user to combine weight and rank several
different types of information and visualize it, so
multiple factors can be evaluated at once [10].
All parameters are displayed in grid cells within
this paper. Cells are then classified based on its
value to five classes of vulnerabilities; represent low,slightly low, medium, slightly high and highvulnerability. Grouping cells in this raster data
followed zonal function operation. Each cell is
encoded based on the criteria that make up a zone.
Weighted
linearcombinationisvery
straightforward in a raster GIS and factors are
combined by applying a weight value to eachfollowed by a summation of the results to create avulnerability map using Eq. (3) [11].

Tsunami vulnerability map based on riverproximity.

As shown in Fig 7, rivers were identified in four
different areas. Rivers can play an important rolein expanding the impact of the damage during
tsunami event. The run-up of the tsunami reaches thehinterland not only through the low elevation of thearea, but also through rivers. Rivers also act as
flooding strips transporting inundation [8].

∑ (𝑊𝑊𝑖𝑖 ∙ 𝑋𝑋𝑖𝑖 )(3)

Where, Wi is the weight values of the parameter i,and Xi is the potential rating of the factor.

Fig. 8Tsunami vulnerability map based on coastal
type.

Tsunami Vulnerability Mapping
In order to create the vulnerability map, each raster
cell of the criteria was calculated to its weight. The
weight of each criterion was calculated using pairwise comparison matrix and normalized matrix
processing until 6th iteration (see Table 3).
Table 3 Pair-wise comparison matrix
Normalized principal eigenvector (6th iteration)
c.1
c.2
c.3
c.4
c.5
c.6

c.1
0.28
0.187
0.14
0.112
0.187
0.093

c.2
0.29
0.194
0.194
0.097
0.129
0.097

c.3
0.353
0.176
0.176
0.088
0.088
0.118

c.4
0.288
0.231
0.231
0.115
0.077
0.058

c.5
0.184
0.184
0.245
0.184
0.122
0.082

c.6
0.273
0.182
0.136
0.182
0.136
0.091

CI = 0.032, CR = 2.6%
c.1 : elevation; c.2 : slope; c.3 : coastal distance; c.4 : riverproximity; c.5 coastal type; c.6 : land use

Fig. 9 Tsunami vulnerability map based on land use.
In the classification of tsunami vulnerability based

The comparison matrix of each parameter (c.1
156

%
28
19
18
12
13
9

SEE-Osaka, Japan, Nov. 21-23, 2016

until c.6) as shown in Table 3 was calculated using
Saaty scale of AHP (1 to 9 scales) [12]. Fig. 10shows the output map as a result of weighted cellbased analysis. In the comparison matrix, elevation
has the highest score out of other criteria, and isconsidered to be more important than slope, coastal
distance, river proximity, and land use. In term ofcoastal distance, even if the area is close to coastline,
a higher elevation will have low vulnerability. The
elevation parameter is considered the only reliable
parameter of the tsunami magnitude to vulnerability
functions on buildings that can be observed or
measured following all tsunami events, while water
depth during a tsunami will differ according to theground elevation [13]-[1].

During the 2011 Tōhoku’s tsunami [16], some of
the most dramatic flooding occurred close to theriver, where flood water washed across large tractsof farmland and urban area. Research conducted byscientists at Tōhoku University suggests that waves
from the tsunami travelled nearly 50 kilometres
upstream from the coastal area (mouth of theKitakami River) [16].
The use of pair-wise comparison matrix helps in
the analysis of spatial multi criteria where all of theparameters used in this study were calculated basedon its weight factor to create vulnerability map.
Research conducted in coastal area of Miyagi
Prefecture, Japan [8] also describes the applicationof pair-wise comparison matrix in weight calculationfor each parameter. The result of this research showsa similar pattern of high class of tsunami
vulnerability area to the real tsunami inundation area
during the 2011 Tōhoku’s tsunami [8]. The
calculation of weight as a result of pair-wisecomparison matrix was created from expert
judgment. Expert knowledge about the weight scaleof each parameter is a necessity, so that every
parameter was weighted not equally since theindividual importance of each parameter. Other
research on tsunami vulnerability in Alexandria wasapplied all parameter in equal weight due to thelimitation of knowledge regarding to the study area
[17].
The high vulnerability areas were mostly foundin the coastal area with the sloping coast type.
Elevation and slope play an important role ingoverning the stability of a terrain [18]. Tsunami
vulnerability research in Bali, Indonesia shows the
distribution of vulnerability is not uniform andphysically it is highly influenced by coastal
proximity, elevation, and slope [19].
The historical data of run up height in study area
was used to assess tsunami inundated areas. Spatial
analysis through grid overlay between historical run
up height and tsunami vulnerability classes shows
the inundated area may spread along the high classof vulnerability where the elevation was less than
20m (Fig. 12 and Fig. 13). Inundated area mapping
is important for preparing the evacuation route andevacuation building. Elevation more than 20m
indicates the area may select as evacuation area.
In the process of weighted overlay, elevation is
the parameter that has the highest weight (28% of
six parameters). Most of the area that identified asslightly high and high class of tsunami vulnerability
is developed areas (urban areas) with low vegetation
density. Previous research [20] stated different ways
in which coastal vegetation may reduce the impactof tsunami. Vegetation will stops driftwood andother flotsam, reduces water flow velocity andinundation depth, provides a life-saving snare forpeople swept off land by a tsunami run-down, andamasses wind-blown sand and create dunes, which

Fig. 10 Tsunami vulnerability map.
DISCUSSION
Vulnerability is the characteristics of a person orgroup and their situation that influences theircapacity to anticipate, manage, resist, and recoverfrom the impact of a hazard. It also represents thesusceptibility of a given population to damaging
effects from exposure to hazardous events [14][15].
Class of vulnerability could be based on physicalcriteria, such as elevation, slope, coastline proximity,
and land use. Some research [1][7][8] also put thecriteria of coastal geomorphology, coastal ecosystem
resources, direction of tsunami wave, and distancefrom river.
Coastal ecosystem including mangrove areas andreefs can be a barrier zone to reduce the effect oftsunami wave, as well as the islands with steep-sided
fringing is only at moderate risk from tsunamis.
Tsunami waves may undergo extensive refraction
and create a process that may converge their energy
to particular areas on the coastal areas and increase
the heights. This is depending on the water depth,
the coastal geomorphology, and the direction oftsunami wave. Moreover, rivers can be a tsunami
flooding strips and brings the tsunami wave to thehinterland.

157

SEE-Osaka, Japan, Nov. 21-23, 2016act as a natural barriers against tsunamis [20].
However, in the case of a huge tsunami event,narrow belts of coastal vegetation may be ineffective
in providing protection, and in some cases may
create more damage because of uprooted trees
flowing inland [21].

CONCLUSIONS
The application of multi criteria analysis followed
by weighted cell-based processing is useful fortsunami vulnerability mapping. It can be used for theevacuation and reconstruction plan due to tsunami
disaster. The combination of raster weighted overlay
in the geo-spatial data analysis indicated thevulnerability area due to tsunami and described thepossibility area that could be affected by tsunami
wave. The weight of each parameter was calculated
by pair-wise comparison matrix of expert judgment,
in which every parameter was weighted not equally.
Parameter of elevation was 28% of weight, whileland use has the lowest weight (9%). Tsunami
inundated area was indicated in the high class ofvulnerability with the elevation less than 20m. The
spatial overlay result of tsunami vulnerability to land
use classes describe that high class of tsunami
vulnerability mostly in the class of urban area, while
forest area was indicated in the low class. The moreparameters that are applied, the more detailed is theassessment that can be displayed. Several parameters
can be applied, such as land cover, geologicalstructures, coastal type, and tsunami wave direction.
In addition, the social and economic parameters also
can be added, such as population density, type ofbuilding, household income, and business centre.

ForestWater
Bare soil
Agriculture
Urban area
0

5000

10000

15000

20000

Area (in hectares)
Urban area Agriculture Bare soil
Water
5 2344.00
2139.00
742.00282.00

25000

30000

Forest191.0046388.277229.852379.8753.51

1262.9836825.224801.37

2333.54108.813379.9324761.212404.74

1854.33

125.1212495.11

11420.97528.22348.5541.4133422.98

1 : low; 2 : slightly low; 3 : moderate; 4 : slightly high; 5 : highFig. 11 Overlay graph of tsunami vulnerability
class and land use (in hectares).

ACKNOWLEDGEMENTS
Authors are thankful to METI and NASA for theAster GDEM version 2 products, Japan Aerospace
Exploration Agency (JAXA) for the ALOS images
and BIG Indonesia for providing the basic map of
the study area. We also thank to Laboratory ofDisaster Prevention System, Yamaguchi University,
Japan.
REFERENCES
Fig. 12 Tsunami inundation assessment.
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vulnerability assessment and its implications
for coastal hazard analysis and disastermanagement planning, Gulf of Corinth,
Greece”, Natural Hazards and Earth System
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[2] Synolakis C, F. Imamura, Y. Tsuji, H.
Matsutomi, S. Tinti, B. Cook, Y. P. Chandra,
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Vol. 76, No. 26, June 27, 1995, p. 257, 261262.
[3] Bollin C, Cardenas C, Hahn H, Vatsa KS,“Natural Disaster Network; Disaster Risk
Management by Communities and Local

Fig. 13 Elevation profile along inundation areas.
158

SEE-Osaka, Japan, Nov. 21-23, 2016

Governments”, Washington, D.C., InterAmerican Development Bank, 2012.
[4] Iida K., “Magnitude, energy and generation
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159

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

APPLICATION OF GAUSSIAN PROCESS TO SEABED LOGGINGMODELS TO STUDY THE EFFECT OF FREQUENCY VARIATIONSTO HYDROCARBON EXPLORATION
Siti Mariam Mukhtar1, Hanita Daud2 and Sarat Chandra Dass3
1, 2, 3

Universiti Teknologi PETRONAS, Department of Fundamental and Applied Sciences, 32610 Bandar
Seri Iskandar, Perak, Malaysia

ABSTRACT
Hydrocarbon exploration is the process of finding hydrocarbon (HC) deposits beneath the Earth’s surface by
petroleum geologists or oil and gas companies. Seabed Logging (SBL) is a technique that uses controlled
electromagnetic (EM) waves for finding potential HC reservoirs in deep water environments. Nowadays, thecomputer experiments in lieu of physical experiment for conducting the empirical research have been conductedin many fields. This paper investigates the correlation between variations frequencies of the transmitter to thedepth of HC for SBL data. Computer Simulation Technology (CST) software was used to generate synthetic datathat mitigated the real environment of SBL in a deep water environment. Parameters such as frequency, HC
thickness and depth are the important physical inputs that determine the successful HC identification. The
frequencies used in this work were 0.5Hz, 0.25Hz, 0.125Hz, and 0.0625Hz. The initial location of the HC was
1,000 m below the seabed and was incremented by 250 m until 3,000 m. By varying the frequency at each depth,
the magnitudes of the E-field were recorded and they were processed using an algorithm of Gaussian processusing MATLAB software. It was found that Gaussian Process is able to identify the presence of HC up to 2750m
under the seabed at the lowest frequency (0.0625Hz) compared to only 2250m at the highest frequency (0.5Hz).
This finding shall help geophysicists to decide on what frequency to use at optimum cost to obtain good resultson HC exploration
Keywords: Seabed Logging, Gaussian Processes, Frequencies and Electromagnetic Wave.

frequency electromagnetic signal both into theoverlying water column and downwards from thetransmitter close to the seabed [3]. In practice, SBL
can examine the presence of high resistivity but it isdifficult to dictate the exact geometry of theresistivity structure using SBL data alone due to low
resolution [4]. Normally, in practice the seismic
method will be used first to detect the presence ofliquid underneath the seabed followed by SBL toconfirm whether the liquid is water or HC traps.
Indeed, both seismic interpretations and SBL data
analysis play complementary roles.
In this research, forward modeling wasdeveloped by using a Gaussian process function
which is a famous and good type of machinelearning process. The standard GP modelingframework has been applied in various prediction
problems. The data set was generated by using
simulations software named Computer Simulation
Technology (CST) software that replicates the real
SBL environment. It is also used to generate
synthetics data for various parameter variations.
To date, numerous applications are applying
using Gaussian Process (GP) method to solve theirproblems. However, no literature on Gaussian

INTRODUCTION
Hydrocarbon exploration is the process offinding hydrocarbon (HC) deposits beneath the
Earth. Since 1970, a seismic method is a major
technique in HC exploration because it can identify
structures that might be expected to contain HC, but
it is practically blind to the fluid contained in theformation [1]. This is because sound waves
generated will only be reflected if there are rocklayers beneath the seafloor. Therefore, a newtechnique called Seabed Logging (SBL) method wasintroduced and could overcome the ambiguity
encountered in the seismic method.
SBL is an application of the marine Controlled
Source Electromagnetic (CSEM) technique that is
endeavoring to detect and depict HC bearing
reservoirs in deep water exploration. The centralprinciple of SBL which makes it as a revolutionizing
tool in the exploration performance is the guiding
electromagnetic (EM) wave in resistive layers
between HC traps and sediments [2]. SBL is theapproach that utilizes the use of a mobile horizontal
electric dipole (HED) source and an array ofseafloor electric field receivers by emitting a low160

SEE-Osaka, Japan, Nov. 21-23, 2016

Process (GP) for SBL application has been found.
GP is a collection of random variables, any finite
number of which has consistent joint Gaussian
distributions. A Gaussian process is fully
parameterized by its mean function m(x ) andthe overburden were varied from 1000 m (initial
location) to 3000 m at increment of 250 m for eachmodel. Frequencies of the transmitter were also
varied at 0.0625 Hz, 0.125 Hz, 0.25 Hz, and 0.5 Hz
respectively. In the simulations, a fixed HED-source
was placed at 35 meters above the seabed at each
operating frequency. The transmitter used was 270
m long with 1250A while the receiver was
represented by a straight line parallel to thetransmitter and placed at the seabed.

covariance function k ( x, x ' ) on which the Gaussian
distribution has mean and covariance in the form ofvector and matrix respectively [5]. GP is a
probabilistic, non-parametric model based on aprinciple of Bayesian probability. It differs frommost of the other black-box identification
approaches as it does not try to approximate themodeled system by fitting the parameters of theselected basis function, but more of searching for the
relationship among the measured data. The output of
the GP model is a normal distribution, expressed interms of the mean and variance. The mean value
represents the most likely output and the variancecan be interpreted as a measure of its confidence
level. Based on these properties, GP models are
suitable for modeling uncertain processes ormodeling unreliable data, data with noise andincomplete or missing data.

(a)

SIMULATION SETUP
In this research, as mentioned earlier CST
software was used to simulate the SBL models. In
the preliminary step, all constants or material
properties that were used in the SBL models had
been defined. We established a layered model where
it replicated the actual SBL applications as showedin Table 1.
Table 1 The material properties for SBL models
Layer

ThermalElectrical

Thermalpermittivity,

conductivity,

conductivity,

F/m

(S/m)

W/K/m
0.024

Air

1.000

1.0E-11

Sea water

80.000

1.63

0.593

Sediment

30.000

1.000

2.000

Hydrocarbon

4.000

0.002

0.492

(b)
Fig. 1 Snapshot of SBL models with (a) presenceof hydrocarbon and (b) absence of hydrocarbon.
Table 2 The stratified layered-media model for SBL
models
Layer

Generating data

MediumThickness,

Variables(m)

The base model for this study is the rectangularcuboid reservoir as shown in Fig. 1(a) and 1(b), formodel with HC and without HC respectively. The
model area was assigned as 10 Km x 10 Km x 5 Kmthat was considered previously in [6]. There were 5
main layers; air layer (300 m), seawater layer (1000m), overburden layer (starts from 1000 m andincreased by 250 m), hydrocarbon layer (200 m),
and under burden layer (starts with 2500 m anddecreased by 250 m) as shown in Table 2. As
continuation from the previous paper in [6], depth ofLayer 1

Air300

Layer 2

Sea water

1000

Fixed

Layer 3

Overburden

1000

Increased by

-3000

Fixed

250 m foreach model

Layer 4

Hydrocarbon

200

Fixed

Layer 5

Underburden

2250

Decreased
250 m foreach model161

SEE-Osaka, Japan, Nov. 21-23, 2016

range on the y axis. In other to make it the function
to look smooth, the neighbor must be alike. It meansf (x ) is perfectly correlated with f (x ' ) . If x is far
away from the x’, these two pints cannot reach eachother, therefore it will affect the interpolation at newx values. How much effect this separation has will
depend on the length parameter  , so there is muchflexibility built into Eq. (6). Give the covariance
between output points corresponding to input x p

THEORETICAL BACKGROUND
Gaussian Process Regression (GPR)
A GPR is a flexible and probabilistic regression
method that also gives an uncertainty estimate [7].
Its uses and properties for modeling are reviewed in[8]. In this section, we derive the framework to train
GP models under uncertain input data. For a given
data set, a training set with n output data points is
considered. Let x i denote the offset whereand x q respectively. Thus, the mean µ (x ) and they i , i = 1,2,3..., n denotes as a new predicted E-

covariance function C ( x p , x q ) fully specify the GP.

field. Assuming there exist a relationship as in Eq.
(1) between input x and output y.

y = f (x )In GP regression, for every input x there is anassociated random variable f (x ) , which is the valueof the stochastic function f at that location.

(1)

In order to make inferences about all of thehyperparameters in the light of the data, theprobability of the datasets given the hyperparameters
are computed. The marginal likelihood can becomputed by integration over function f.

A Gaussian process is completely parameterized byits mean function and covariance function and aredefined as in Eq. (2) and (3) below[m( x ) = Ε f ( x )

]

(2)

[

k ( x, x ' ) = Ε ( f ( x ) − m( x ))( f ( x ' ) − m( x ' ))]2p ( y | x ) = ∫ p ( y | f , σ ) p ( f | x, θ ) df

(3)

Assumed the distribution of the data is Gaussian,then from Eq. (7) the log marginal likelihood is
obtained as in Eq. (8),Then, will write the GP as(4)f ( x ) ~ GP ( m( x ), k ( x, x ' ))L = log p( y | x, θ )11n= − log ∑ − ( y − µ )T ∑ −1( y − µ ) − log(2π )222

Available n training data, n* test data, and k ( x, x ' )shall be used to represent the n × n* matrix ofcovariances evaluated at all pairs of training and test
points. A kernel K ( xi , x j ) satisfies the property(5)

There are several types of covariance functions
available, but squared exponential (SE) covariance(eq. 6) is the most commonly used kernel in machinelearning.
 ( x − x' ) 2  2
2+σ δ
k ( x, x ' ) = σ f exp(6)
 2 2  n ii '

RESULTS AND DISCUSSION
Training of a GP model typically took less than
10 s on a laptop (Lenovo) equipped with Intel Corei7 CPU. Then, the implementation of the GPRprocess was realized using a MATLAB toolbox(GPML Toolbox) [10] . The commands used todefine, minimize and predict the new test points x*

Where θ = {a , b, σ f , σ n , } are called the freeparameters.

In

general,(8)

The unknown hyperparameters can then be
estimated from Eq. (8) by using a gradient-basedalgorithm [9]. The predictive distribution of any new
test data x* can then be evaluated. It can be shownthat its mean and variance are given by Eq. (9) and
(10).
2 −1
T
T
m( x* ) = Θ( x* ) µ = k* ( K + σ I )(9)T2v ( x* ) = Θ( x* ) ∑ Θ( x* )
(10)
T
2 −1
= k ** − k * ( K + σ I ) K

that it is an inner product in the feature space F as inEq.(5).

φ ( x i ), φ ( x j ) = k ( x i , x j )

(7)

it

considered as2
hyperparameters. The signal variance σ f definedas the maximum allowable covariance and it isshould be high for functions which cover a wide

were formulated from the appropriate equations in
162

SEE-Osaka, Japan, Nov. 21-23, 2016

GPR section. All the models for SBL have beendeveloped using CST software by varying thefollowing parameter; depth of hydrocarbon andfrequency of the transmitter. It is to observe thedifferences in E-field magnitude by changing bothparameters.
0.065 Hz0.125 Hz0.25 Hz
0.5 HzVariations of frequency of the transmitterIn this work, the focused is on the magnitude of
the hydrocarbon by varying the frequency of thetransmitter. At each depth, 4 different frequencies
had been run and the magnitudes of the E-field wererecorded as in Fig. 2.
(c)Fig. 2 Magnitude of E-field at Depth 3000 m forfrequencies 0.5Hz, 0.25Hz, 0.125Hz, and 0.0625Hz
at depth (a) 1,000 m, (b) 2,000 m and (c) 3,000 m
The magnitude of E-field at four different
frequencies at depth 1,000 m, 2,000 m and 3,000 m
are shown in Fig. 2(a), 2(b) and 2(c) respectively.
Other depths are not shown due to space limitationof this paper.
It can be seen that, as the depth going deeper,
the magnitude of E-field is getting smaller for all
frequencies. Frequency of 0.0625Hz has the highest
magnitude followed by 0.125Hz, 0.25Hz and 0.5Hz
respectively. Therefore, from Fig. 2, it can be seenthat lower frequency has bigger wavelength andhigher wavelength lead to the higher magnitude ofE-field due to large penetration rate. Then, based on
the application of the Gaussian process, effects ofthe different frequencies with two scenarios (withand without hydrocarbon) at 1000 m and 3000 mwill be discussed in the next section. These two
depths were chosen because the contrasts in E-fieldmagnitudes are clearly seen.

0.065 Hz0.125 Hz0.25 Hz
0.5 Hz(a)0.065 Hz0.125 Hz0.25 Hz
0.5 Hz

Implementation of Gaussian process for SBL
using MATLAB
The aim of the simulation is to generate synthetic
data for SBL models. Then, the data was extracted
from CST and make them the training andpredictions data for presence of HC using a
MATLAB scripts. For this work, datasets with 60
points were used as the training data and 300 points
were used as the test point. Since the transmitter was
located at the center (zero offsets), the right and leftof the SBL models give the same magnitude of Efield. Therefore, one side of the graph is only usedas depicted by Fig. 3 and 4. Figures below also
shows the 2 standard deviation error bars for thepredictions obtained using the values of thehyperparameters. In this paper, only two depths with

(b)

163

SEE-Osaka, Japan, Nov. 21-23, 2016

two different frequencies are discussed due to space
limitation. Frequency of 0.25Hz is demonstrated
instead of 0.5Hz (as mentioned in abstract) due to
low E-field magnitude obtained at depth of 2,250 m
and below. Therefore, presence and absence of HC
cannot be distinguished.

(a)

(a)

(b)
Fig. 4Gaussian process prediction with thehyperparameters at 95% confidence region for theunderlying function f for (a) 0.125 Hz and (b) 0.25
Hz at 3000 m
From Fig. 3 and 4, the predicted values for thetest datasets shown that as the magnitude of E-fieldis reducing, the depth of the hydrocarbon is getting
deeper. At depth 1000 m, presences of hydrocarbon
are at both frequencies clearly seen. However, at
depth of 3000 m, the magnitude of E-field with andwithout hydrocarbon is almost equal and not
distinguishable for both frequencies.

(b)
Fig. 3 Using Gaussian process prediction with thehyperparameters we obtain 95% confidence region
for the underlying function f for (a) 0.125 Hz m and(b) 0.25 Hz at 1000 m.

CONCLUSION
Gaussian process has shown that, it shows that as
the depth going deeper, the magnitude of E-field isgetting smaller for all the frequencies. These finding
are in line with all the findings as discussed in [1] [4] .
In conclusion, kernel-based machine learningalgorithm, GPR, is well implemented to performhydrocarbon prediction. Results have shown that as164

SEE-Osaka, Japan, Nov. 21-23, 2016

the frequencies increase the skin depth decrease
accordingly thus this will affect the magnitude of
EM waves received. Given a set of training data, GP
provides a flexible Bayesian framework for
identifying the nonlinear relationship between input
x and output y.

[4]

A. Bhuiyan, T. Wicklund, and S. Johansen,“High-resistivity anomalies at Modgunnarch in the Norwegian Sea,” First Break, vol.
24, no. January, pp. 39–44, 2006.

[5]

C. Rasmussen, “Gaussian processes formachine learning,” Inst. Biol. Cybernatics.
70276 Tubingen, Ger., pp. 68–75, 2012.

[6]

S. Mariam, H. Daud, and S. Chandra,“Prediction of Hydrocarbon using GaussianProcess for Seabed Logging Application,” inProcedia Computer Science, 2015, vol. 72C,
pp. 225–232.

[7]

D. Petelin, A. Grancharova, and J. Kocijan,“Evolving Gaussian process models forprediction of ozone concentration in the air,”
Simul. Model. Pract. Theory, vol. 33, pp.
68–80, 2013.

[8]

C. E. Rasmussen, Gaussian processes formachine learning., vol. 14, no. 2. 2006.

[9]

A. Y. Sun, D. Wang, and X. Xu, “Monthly
streamflow forecasting using Gaussian
process regression,” J. Hydrol., vol. 511, pp.
72–81, 2014.

[10]

C. E. Rasmussen and H. Nickisch,“Gaussian Processes for Machine Learning(GPML) Toolbox,” J. Mach. Learn. Res.,
vol. 11, pp. 3011–3015, 2010.

Acknowledgements
The authors would like to express their gratitude
to those who have contributed to the success of thispaper directly or indirectly. We also would like toexpress our gratitude to The Ministry of Higher
Education Malaysia for the financial support andUniversity Technology PETRONAS for guidance,
assistants and support throughout the research.
References

[1]

[2]

[3]

A. Kumar and J. E. Lie, “Sea Bed Logging –Direct Hydrocarbon Detection Technique inOffshore Exploration,” 2002.
L. O. Løseth, H. M. H. M. Pedersen, T.
Schaug-Pettersen, S. Ellingsrud, T. Eidesmo,
L. Loseth, and T. Schaugpettersen, “A
scaled experiment for the verification of the
SeaBed Logging method,” J. Appl. Geophys.,vol. 64, no. 3–4, pp. 47–55, 2008.
T. Eidesmo, S. Ellingsrud, L. M. MacGregor,
S. Constable, M. C. Sinha, S. Johansen, F. N.
Kong, and H. Westerdahl, “Sea Bed
Logging (SBL), a new method for remoteand direct identification of hydrocarbon
filled layers in deepwater areas,” First Break,vol. 20, no. 3, pp. 144–152, 2002.

165

QUANTUM PARTICLE SWARM OPTIMIZATION FOR ECONOMICDISPATCH PROBLEM USING CUBIC FUNCTION CONSIDERING
POWER LOSS CONSTRAINT
Fahad Parvez Mahdi1, Pandian Vasant1, Vish Kallimani2, Patrick Yeoh Siew Fai2 and M. Abdullah-AlWadud3, Junzo Watada2
1
Department of Fundamental and Applied Sciences, 2Department of Computer & Information Sciences,
Universiti Teknologi PETRONAS, Malaysia; 3Department of Software Engineering, College of Computerand Information Sciences, King Saud University, Riyadh, KSA

ABSTRACTIn this paper, quantum integrated particle swarm optimization (QPSO) algorithm is utilized to solve
economic dispatch (ED) problem. Here, authors use cubic fuel cost function, instead of the traditional quadratic
cost function, to make the system robust against nonlinearities of actual power generators. Power loss andgenerator limit constraints are considered in this paper. To show the efficiency and robustness of the proposed
method, authors have compared the obtained results with other algorithms used for ED on 3-unit and 5-unit
generator systems using cubic fuel cost function, and obtained comparatively better results with lesscomputational time in most of the cases.
Keywords: Economic dispatch, Quantum particle swarm optimization, Cubic function, Power loss, Optimization,
Quantum computing.
used cubic function to represent ED problems here
in this paper. Khoa et al. [3] proposed a new MeanVariance Mapping Optimization (MVMOS) method
to solve ED problems using cubic function andshowed that it performs better than PSO, Genetic
algorithm (GA), Firefly algorithm (FA) etc.
The methods used previously in economic
dispatch problem have evolved from traditional
methods to heuristic methods, and finally to hybrid
methods in solving optimization issues [15], [16].
Adhinarayanan and Sydulu [21] proposed PSO in tosolve economic problem using cubic function, andshowed that it improves the effectiveness of particle
swarm optimization (PSO) in solving ED problems.
PSO is considered as one of the modern swarm
based heuristic algorithms for optimization problems
in power systems [5],[ 6]. It is a population-based
technique which is an alternative tool to genetic
algorithms and this behavioral interaction techniquegained popularity in control system applications [7].
It is computationally efficient and easier toimplement compared to other evolutionary
algorithms proposed in recent studies [8]-[12].
One key edge is this algorithm is the capability
to allocate memory for storage. Each particle stores
the best solution and the solution is compared to thatof the group's best solution to tackle optimization
issues. PSO works best when there is no need todifferentiate conditional variables and the constraints
are visible throughout the process. In practicalapplications, however, PSO has defects such aspremature convergence [10]. The disparities of PSO
are prone to optimization issues and the quantum

INTRODUCTION
Economic dispatch (ED) is one of the most
crucial problems of power generation system. It has
the objective to find an optimal combination of
power generation in order to minimize the total
production cost satisfying all other constraints [1].
Many assumptions have been made in order to
optimize ED in power systems and theseassumptions are sometimes impractical to realsystems and can no longer be ignored. Theseassumptions are later included by different
researchers as constraints such as emissions,
uncertainties, reactive power dispatch, ramp rates,
valve points and integration of Renewable Energy(RE) generators [2]-[4]. In this work, for simplicity,
authors consider only transmission loss andgenerator limit constraint.
A significant amount of research have been done
to get the minimum solution for economic dispatch
problem in power generation system. Various
classical methods like lambda iteration [17], gradientapproach [18] etc. have been used to solve ED
problems. But, these conventional methods cannot
optimize ED problems efficiently if fuel-cost curvesof the generating units are not piece-wise linear andmonotonically increasing [19]. Generally, ED
problems are formulated using quadratic function.
But quadratic function couldn’t represent the actual
power response of generating unit accurately [20].
Thus, higher order polynomial function is preferred
to counter this problem. To avoid the complexities
of higher order polynomial function, authors have166

SEE-Osaka, Japan, Nov. 21-23, 2016

particle swarm optimization algorithm (QPSO)
improves such shortcomings.
Quantum particle swarm algorithm is a new
intelligent optimization algorithm which can beeasily implemented into the control system
optimization issues. The algorithm introduces
quantum computing into the particle swarm
algorithm with the manipulation that the particles inthe space have quantum behavior. The algorithm
succeeds in dealing with the non-linearity while
sustaining the advantages of particle swarm
algorithm [13], which will result in positive
outcomes.
The principle of quantum mechanics claims that
the PSO algorithm is applied to quantum space as an
approach within physics and quantum mechanics[14].
Latest progress in solving ED problems in a large
number of units has been struck by the highcomputational time and growing nonlinearities ofpower generating systems. To reduce thecomputational efficiency, Meng et al. [22] proposed
Quantum PSO using quadratic function to solve thiscost problem. QPSO proved better for its stronger
search ability and quicker convergence speed thanother algorithms like GA and PSO. In this research,
we have added dimension to the previous researchby exploiting quantum computing technique in cubic
cost function with the help of QPSO to solve ED
problems.
Next section of this paper presents the QPSO
methodology, describing QPSO and its operation
with flowchart and algorithm. After that, problem
statement section briefly discusses about theeconomic dispatch and the constraints that have been
considered in this paper. Finally, result and analysis
section shows the obtained result and analysis ineach part with tables and figures. The paper isconcluded with discussion and conclusion sections,where the contribution, short-comings of thisresearch, future direction are described to makefurther improvement in solving economic dispatch
problem.
THE QPSO METHODOLOGY
Quantum PSO is a new and efficient version of
PSO which is basically the integration of quantum
computing into PSO. Due to the introduction ofquantum bit and quantum rotation gate along with
implementation of self-adaptive probability selection
andchaotic
sequencesmutation,
QPSO
demonstrates stronger search ability and quicker
convergence speed. QPSO uses quantum bit andangle to depict the state of a particle rather thanposition and velocity used in the classical PSO. The
performance and capabilities of the QPSO has gone
beyond that of the classical methods, e.g. PSO, interms of convergence speed and cost function [23].

Start

Initialize the Particles

Compute Fitness of eachparticle

Update pbest

Calculate mbest

Update gbest

Gen = Gen + 1

NoConverged

Yes
Update Position of theParticle
Stop

Fig. 1 Flowchart of standard Quantum PSOQPSO uses qubit to denote particles. The basic
difference between qubit and classical bit used in
PSO is that qubit can simultaneously stay in the
superposition of two different quantum states,=ψ α 0 +β 1(1)where α and β are complex numbers that satisfy thefollowing equation,22(2)
α +β =
1|0> represents spin up state and |1 > represents thespin down state. From Eq.1, we can see one qubit isrepresenting two state of information (|0> and |1>)
simultaneously. This superposition state can also be
expressed as,=ψ sin θ 0 + cos θ 1(3) where θ represents the phase of the qubit. The
relation among θ, α and β can be defined as,

θ = arctan

β
α

(4)

The structure of QPSO is depicted in fig. 1.
Some of the main steps of QPSO are initialization of
qubit encoding for particles, evaluation andchanging particle forms, updating particles anddecoding particles. Detail description of these steps
are out of the scope of this paper. However,167

SEE-Osaka, Japan, Nov. 21-23, 2016

Pij = ⱷ•Pij + (1 - ⱷ)Gj;

interested readers may check [26] for details.

If (rand (0,1) > 0.5)
Xij=Pij + α•abs(Cj-Xij)•log(1/u);
Else
Xij=Pij - α•abs(Cj-Xij)•log(1/u);
Endif

Start

Endfor
Endfor
EndforPositions of all particles in the population, M, areinitialized randomly. The fitness value for allparticles are then calculated and evaluated according
to the problem at hand. The personal best (pbest)
position of every particle is updated if the current
fitness value is found to be better. The best pbest
among the particles is then assigned to global best
(gbest) in the next step.
After the gbest is assigned, the velocity for allparticles is determined. The calculated velocities arethen updated to its data values and these values arecompared to each other in iterations to get the best
fitness value (target value). The best fitness value isconsidered as the criterion in the algorithm.
If the criterion is not satisfied, the fitness valueof the particle is calculated again and the steps arerepeated until there is no further update of best
fitness value.

Initialize particles

Calculate fitness values for each particle

Is current fitness value
better than pbest?

Assign current
fitness as new
pbest

Yes

No

Keep previous pbest

Assign best particle’s pbest value to gbest

Calculate velocity for each particle

Use each particle’s velocity value to update its data values

No

Maximum
epochsreached?

PROBLEM STATEMENT

Yes
Stop

The main objective of economic dispatch is tofind an optimal combination of generated power inorder to minimize the total generation cost whilesatisfying all other constraints. Economic dispatch
using cubic function can be written as:
RM/h
Fi ( Pgi ) = ai Pgi 3 + bi Pgi 2 + ci Pgi + di
(3)

Fig. 2 Detail flowchart of Quantum PSO used in thisresearch to solve economic dispatch problem
The procedure for implementing the QPSO
algorithm is given below as Algorithm 1.
Algorithm 1. The QPSO algorithm.
Initialize the population size (M), the positions
and the dimensions of the particles;
For t = 1 to Maximum Iteration T
Compute the mean best position C;
α = (α1 – α0) •(T – t)/T + α0;
For i = 1 to population size M
If f(Xi) < f(Pi) then Pi = Xi;
Endif
G = argmin (f(Pi));For j = 1 to D
ⱷ= rand(0,1);
u= rand(0,1);

where, Fi is the fuel cost calculated in Malaysian
Ringgit per hour (RM/h) of generating unit i. ai, bi, ci
and di are fuel cost coefficients of generating unit i.
Additionally, Pgi and n are the real power generationof the ith unit (in MW) and the total number ofgeneration units, respectively. Our goal is tominimize total fuel cost, which can be defined as:nMinimize, FT = ∑ Fi ( Pgi )
i =1

(4)

In this research, two constraints are considered tosolve economic dispatch that can be formulated as
below:

168

SEE-Osaka, Japan, Nov. 21-23, 2016diPower Balance Constraint: The total output powershould be equal to the total power demand plustransmission losses:

=
P

Pimin
Pimax

n

∑ P= P + P
i =1

i

D

L

𝟔𝟔. 𝟒𝟒𝟒𝟒
× 𝟏𝟏𝟏𝟏−𝟖𝟖
300
1200

𝟗𝟗. 𝟗𝟗𝟗𝟗
× 𝟏𝟏𝟏𝟏−𝟖𝟖
275
1100

(5)
Tables 2 and 5 are showing comparison ofsimulation results among GA, PSO and QPSO. From
Table 3, it can be seen that QPSO performs better
result than GA and PSO for 3-unit system where
PSO performs better than QPSO for 5-unit system.

where P, PD and PL are total output power generated(in MW), total power demand (in MW) andtransmission loss (in MW) respectively.
Generator Limit Constraint: The output power
generation of each power generating unit has its
minimum and maximum value. The power
generation should be between its maximum andminimum value. This inequality can be formulated
as below:

Pi ,min ≤ Pi ≤ Pi ,max

𝟏𝟏. 𝟐𝟐𝟐𝟐
× 𝟏𝟏𝟏𝟏−𝟕𝟕
320
800

Table 3 Comparison of results (total cost) for 3
units system without considering power loss
Unit
GA
PSO
QPSO
1
725.02724.99733.292
910.19910.15914.1
3864.88864.85852.64
Total Power,
2500
2500
2500
P (MW)
Total Cost, FT 22730.14 22729.35 22729.07
(RM)

(6)

RESULT AND ANALYSIS
Quantum particle swarm optimization (QPSO)
technique has been applied here to solve economic
dispatch problem for 3-unit and 5-unit systems [19],[25] using cubic function where the total loaddemand is 2500 MW and 1800 MW respectively.
Authors have implemented this proposed algorithm
in MATLAB R2015a and executed with Intel®
Core™ i5-3470 CPU @ 3.20 GHz (4 CPUs),~3.2GHz and 4GB RAM personal computer. Tables
1 and 4 are showing the cost coefficient values,
minimum and maximum limit of each power
generating unit without considering power loss for
3-unit and 5-unit system respectively.

Table 4 Test system data for 3 units system
considering power loss
Unit
1
2
3
P
FT
(MW)
(RM)
714.
891.
898.
QPSO
2504.
22766.
22
53
3
05
66
Our proposed method used for economic dispatch
considering power loss shows straight line for both
3-unit and 5-unit (Figs. 3 and 5) i.e. with theincrease of iteration the result is found to be same.
This interesting behavior can be explained as fast
convergence to the best value.

Table 1 Settings of parameters for PSO
Parameters
ValuesPopulation Size
100000Maximum Position
100
Maximum Velocity , vmax 1
Minimum Velocity, vmin
1.05
Maximum Iteration
20
Number of Runs
50
Table 1 shows the parameter settings of QPSO. 50
number of runs have been considered as a fair test ofrobustness. Larger population size has been taken to
get better result which ultimately slows down thecomputational efficiency.

Fig. 3 Convergence curve of the QPSO for economic
dispatch of 3-unit system considering power loss

Table 2 Cubic cost function coefficients for 3 units
system without considering power loss
Unit
1
2
3
ai
749.55
1285
1531
bi
6.95
7.05
6.531
ci
0.000968
0.000738
0.00104169

SEE-Osaka, Japan, Nov. 21-23, 2016

Total 50 number of runs have been conducted totest the reliability and robustness of the proposed
method. Authors have found that for 3-unit system
QPSO is more stable, reliable and robust as thedeviation is not high (Fig 4). But for the 5-unit
system the deviation has been found higher (Fig. 6).

Fig. 4 Total cost (in RM) vs number of runs curvefor economic dispatch considering 3-unit systemwith power loss constraint using QPSO.
Table 5 Cubic cost function coefficients for 5 units
system without considering power loss
Unit
1
2
3
4
5
ai
749.6
1285
1531
749.6
1285
bi
6.95
7.05
6.531
6.95
7.05
ci
𝟗𝟗. 𝟔𝟔𝟔𝟔
𝟕𝟕. 𝟑𝟑𝟑𝟑
0.0010 𝟗𝟗. 𝟔𝟔𝟔𝟔
𝟕𝟕. 𝟑𝟑𝟑𝟑
× 𝟏𝟏𝟏𝟏−𝟒𝟒 × 𝟏𝟏𝟏𝟏−𝟒𝟒
4
× 𝟏𝟏𝟏𝟏−𝟒𝟒 × 𝟏𝟏𝟏𝟏−𝟒𝟒
di𝟏𝟏. 𝟐𝟐𝟐𝟐
𝟔𝟔. 𝟒𝟒𝟒𝟒
𝟗𝟗. 𝟗𝟗𝟗𝟗
𝟏𝟏. 𝟐𝟐𝟐𝟐
𝟔𝟔. 𝟒𝟒𝟒𝟒
× 𝟏𝟏𝟏𝟏−𝟕𝟕 × 𝟏𝟏𝟏𝟏−𝟖𝟖 × 𝟏𝟏𝟏𝟏−𝟖𝟖 × 𝟏𝟏𝟏𝟏−𝟕𝟕 × 𝟏𝟏𝟏𝟏−𝟖𝟖
Pimin
320
300
275
320
300
Pimax
800
1200
1100
800
1200
Tables 3 and 6 represents the best result obtained by
QPSO for economic dispatch using cubic function
considering power loss constraint. When power loss
is considered, the total cost becomes higher than thecost without considering power loss.

Fig. 5 Convergence curve of the QPSO for economic
dispatch of 5-unit system considering power loss

Fig. 6 Total cost (in RM) vs number of runs curvefor economic dispatch considering 5-unit systemwith power loss constraint using QPSO.

Table 6 Comparison of results (in Malaysian
Ringgit) for 5 units system without considering
power loss
Unit
GA
PSO
QPSO
320.00320.001
325.05343.74343.702
360.44472.60472.603
486.24320.00320.004
302.49343.74343.705
325.76
P (MW)
1800
1800
1800
FT (RM)
18611.07
18610.4
18613

DISCUSSION
This paper has considered 3-unit and 5-unit systemin this research to compare the obtained results withother methods like Genetic algorithm (GA) and PSO.
For comparison purpose, authors have taken thesame coefficients value and have not considered
power loss. Simulation results show QPSO performs
better to predict minimum total cost function for 3unit system than other methods like GA and PSO.
But for 5-unit system, PSO and GA predict slightly
better results than QPSO. This proposed method iscomputationally powerful as it takes less time foreach run than PSO. But sometimes it needs larger
population size to find the global optimal value andfor this reason it sometimes need morecomputational time to achieve the global value.
Authors have also shown the results for 3-unit and 5unit system considering power loss. What is yourcomment regarding power loss???

Table 7 Test system data using QPSO for 5 units
system considering power loss
Unit
QPSO
1
341.862
309.483471.464
325.285355.90Total Power, P (MW)
1803.98
Total Cost, FT (RM)
18648.17

170

SEE-Osaka, Japan, Nov. 21-23, 2016

PSO – Particle Swarm Optimization
QPSO – Quantum Particle Swarm Optimization
QBAT – Quantum Bat Algorithm
QCS – Quantum Cuckoo Search
QTLBO – Quantum Teaching and Learning Based
Optimization

CONCLUSION
In this paper, quantum PSO (QPSO) technique ispresented to solve the economic dispatch problem
using cubic function. QPSO technique issuccessfully implemented into ED problems
considering 3-unit and 5-unit systems with power
loss and generator limit constraints. Simulation
results show its effectiveness in solving economic
dispatch problems by demonstrating better andstable results. The obtained results are comparedwith PSO and GA. For 3-unit system, QPSO gives
better result but for 5-unit system, PSO gives better
result. To reduce the nonlinearities of power
generating systems, cubic function of economic
dispatch works well. In this paper, total 50 numberof runs have been considered as a fair test ofrobustness of the proposed method. Obtained results
for the test systems confirm that this proposed
method gives better global solution, is more robust
and computationally powerful in solving the
economic dispatch problems. To the best of theauthors’ knowledge, this is the first work on single
objective economic dispatch problem with cubic
function considering power loss using QPSO.
Authors’ next work is to include emission dispatch
as another objective i.e. it will be a multiobjective
problem, where the authors shall consider Quantum
Cuckoo Search (QCS), Quantum Bat (QBAT) and
Quantum
Teaching
andLearning
Based
Optimization (QTLBO) techniques.

REFERENCES
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[3]

ACKNOWLEDGEMENTS[4]

The authors would like to thank Universiti
Teknologi PETRONAS (www.utp.edu.my) for
supporting the research under Graduate Assistance
Scheme. This research paper is financially sponsoredby the Centre of Graduate study with the support of
the Department of Fundamental & Applied Sciences,
Universiti Teknologi PETRONAS.

[5]

[6]

NOMENCLATURE
Fi – Fuel cost (RM/h) of generating unit i.
ai, bi, ci, di – Fuel cost coefficients of generating uniti
Pi – Real power generation of the ith unitn – Total number of generation units
P – Total output power generated (in MW)
PD – Total power demand (in MW)
PL – Transmission loss (in MW)
ED – Economic Dispatch
FA – Firefly Algorithm
GA – Genetic Algorithm
MVMOS – Mean-Variance Mapping Optimization

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Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

CONCEPT OF PLASTICITY INDEX TO INFLUENCE MECHANICAL
BIFURCATION OF SOILS AND SOFT-SEDIMENT DEFORMATION
Naoto Kaneko1, Jun Muto1 and Hiroyuki Nagahama1
Department of Earth Science, Graduate School of Science, Tohoku University, Japan

1

ABSTRACT: A triaxial compression test is one of the laboratory soil tests in the field of soil mechanics.
Yielded specimens have various deformation patterns depending on loading stages and stress ratios in spite of
the same ground materials. Failure patterns of ground materials bifurcationally change to diamond, bulge and apair of oblique shear patterns. Symmetry of deformation patterns (e.g. shear band patterns) has been illuminatedby bifurcation analysis by governing equation based on Cam-clay model. On the other hand, plasticity index
tested by Casagrande liquid limit device and plastic limit instruments is known to describe mechanicalcharacteristics (e.g. compressibility) of soils. Relationship between plasticity index and mechanical bifurcation
controls the evolution of deformation patterns. Here, from the view point of concept of plastic potential, weshow that plasticity index theoretically determines deformation patterns of soils based on Cam-clay model on thebasis of Shibi and Kamei (2002)’s bifurcation analysis. Furthermore, because deformation facies of rocks aredescribed by mean ductility of rocks similar to the concept of plasticity index, we point out that mean ductility
controls mechanical bifurcation of the geologic materials such as soft-sediments.
Keywords: Plasticity index, Cam-clay model, Bifurcationwater content. On the other hand, the relationshipbetween I P and mechanical parameters (such asmean and deviatoric stress) and the theoretical
relationships between soil strength φ and I P havebeen derived [4]–[7]. Interestingly, Uemura [8]proposed that classification of folding can be
expressed by mean ductility of rocks similar to theconcept of I P .

1. INTRODUCTION
1.1 Theoretical and Experimental preface
When deformation phenomena of geologic
materials such as soils, rocks, soft-sediments, andeven tectonic plates are described, we generally use
Mohr's circle or simulations based on Cam-claymodel. However, it is difficult to explain a soil
parameter about deformation phenomena from a
unified fields of geology and soil mechanics. The
reason for the difficulty is that physical properties
controlling on deformations of soils and rocks are
hardly known, and their specified mechanicalparameters as stress σ, strain ε and so on cannot be
determined uniquely. For example, Paterson [1] usedcylindrical marbles under various confiningpressures up to 1000 kg/cm2 by triaxial compression
test. Significantly, the developed shear zones
differently displays three different patterns in spiteof same starting materials. With respect to thesefracture developments, Shibi and Kamei [2] andIkeda et al. [3] pointed out that the surface fracturesofcylindrical
specimensofgeomaterials
bifurcationally changes to diamond pattern, bulge
pattern and a pair of oblique shear patterns.
Plasticity index I P is an extremely importantparameter in Shibi and Kamei [2]’s analysis, so wetheoretically introduce that the concept of I P can be
unifiedly related to mechanical formulae and Camclay model based on elastoplasticity.
Plasticity index I P has been a conventional andsimple experimental parameter to evaluatemechanical properties of soils. Voight [4] and Kanji[5] mentioned direct correlations between internal
friction angle φ and I P . Slope stability is related to I P
which can be also related to compressibility by

1.2 Concept of plastic potential
Cam-clay model can be derived from flow ruleand some constitutive laws [2]. Flow rule used byplastic potential f is given by [9];dε p = h∂f
, h > 0,∂σ 'ij(1)where dε p is incremental tensor of plastic strain rate,
σ 'ij is effective stress tensor, and h is plastic
multiplier. Increment of plastic strain tensor ispartial differential of the potential due to effective
stress in q–p'–v space, where q is the deviatoricstress, v is the specific volume and p' is the meaneffective stress. In q–p'–v space, the condition of soil
and rock under triaxial compression is expressed by
critical state line. When stress state of soil reached tothe critical state, the state of soil yields and behaves
fluidity. Regarding plastic potential on q–p' plane, itcauses plastic expansion on the upper side of thecritical state line and causes plastic compression on
the lower side of the line. Therefore, the critical stateline can be understood as condition boundary line.
Then, the slope of critical state line by M c is definedby;q = M p '.
173

(2)

SEE-Osaka, Japan, Nov. 21-23, 2016

By using p y , the plastic void ratio ep is given by,
The work increment at shear process is assumed toequal the energy dissipation at the critical state [10],[11]. Moreover, Eq. (2) is displayed as follows,p' dε v + qdε d = M c p ' dε d ,de p = − (λ − κ )

(9)
,
py
where κ is swelling index, and λ is compression
index at the critical state line [11]. On the other hand,
the relationship between plastic volumetric strain ε vp
and plastic volume ratio vp is given by,(3)

where M is constant, ε v is volumetric strain and ε d isdeviatoric strain. From Eq. (3), we can obtain, dε q= M c −  v .
p' dε d (4)

dε vp =

v = Γ − λ ln p' ,v = N − λ ln p' ,

(5)

dq
= −
.
dp '

e = e0 − Cc log p' , p' 
 py 
+ ln  − ln ,Mc p'
 p '0  p '0 q(13)

where e 0 is initial void ratio. C c is expressed by
Cc =

(6)

IP
,
74

(14)

where I P is defined by non-dimensional units asfollows;

I P = wL − wP ,

(15)

(7)
where w L means liquid limit [%]: the water content
at which the soil ceases to be liquid, and w P means
plastic limit [%]: the water content at which the soil
ceases to be plastic [13], [14]. Plasticity index I P isan empirical parameter to characterize the range ofwater contents where the soil exhibits plastic
property, and is known to describe mechanicalcharacteristics (e.g. compressibility) of soils.
On the other hand, there is a theoretical
relationship between I P and mechanical bifurcation
controlling the evolution of deformation patterns [2].

Then, setting from the case (p' = p y , q = 0; p y is ahardening parameter) and integrating Eq. (7), we get
f =

(12)

1.3 Experimental definition of plasticity index
For more consideration about consolidation
phenomenon, we need to confirm that I P essentiallyconnects v. These directly link to the compressibilityof soil. Compression index C c representing thecompressibility of soil can be obtained by

From Eqs. (4) and (6), we can getqdq−= M c.
p'
dp '

(11)

where N is constant. This line runs parallel to Eq.
(11). Eqs. (11) and (12) are related to e determinedby Eq. (10).

orthogonally intersects as shown by Eq. (1). At thispoint, normal vector of plastic potential plane isequivalent to the yield function of ε p on q–p' plane.
Then, we obtain

dε
dε

(10)

where Γ is constant. Moreover, the normal
consolidation line is given by

where σ 1 is major principal stress, σ 3 is minor
principal stress, ε 1 is axial strain, and ε 3 is lateralstrain. This is an expression for the relationshipbetween principal stress ratio (= σ 1 /σ 3 ) and principal
strain incremental ratio during the shear of granularmaterials (= -dε 3 /dε 1 ). This is usually called stressdilatancy relation. Moreover, K is internal energy
ratio of soil. Besides, we can regard Eq. (2) or Eq.
(4) as Eq. (5). Then, the outward plastic strain
increment vector components ( dε vp and dε dp )

p
v
p
d

dv p
de p
= −
,
v
1+ e

where v is expressed by void ratio e (v = 1 + e).
Projecting Eq. (2) onto a v–p' plane, we obtainedThis is the relationship between stress ratio and stain
increment ratio in Cam-clay model [10], [11], which
is similar to Eq. (2). Moreover, Rowe [12]microscopically studied Eq. (4) from the view pointof deformation of granular materials and obtained asimilar relation as, − dε 3 2εσ1π ϕ 
 = − 3 tan 2  + ,
= K 

ε1
σ3
4 2
 dε 1 

dp y

(8)

where f is the yield function of Cam-clay model. As
shown in the present study, Cam-clay model can bederived from flow rule and some constitutive laws.
174

SEE-Osaka, Japan, Nov. 21-23, 2016

The velocity v i , in the coordinate system on (x i )= (x 1 , x 2 ) ≡ (x, y), and i = 1, 2, is defined by thestream function ψ as

From Eq. (14), that is to say, the more consistency ofsoils increases, the more compressibility increases
substantially than several tens to hundred times.
Moreover, I P links to the parameters of Cam-claymodel widely used for simulation of consolidationand shearing of clay.

v1 = ψ , 2 , v2 = − ψ ,1 ,(17)

By using the stream function in Eq. (17), thegoverning equation of ψ can be given by

1.4 Bifurcationally deformation in Cam-claymodel: I P and mechanical parameters
From previous researches [2], [3], bifurcation
analysis can be applied to failure patterns of groundmaterials. Under the condition of mechanicalparameter,deformation
patterns
behavecharacteristically.
Shibi et al. [15] analyzed that the specimen was
introduced by initial imperfection based on a coaxial
Cam-clay model. Then, the function of coaxial Camclay model f c is given byaψ ,1111 + bψ ,1122 + cψ , 2222 = 0,(18)where the constitutive parameters of a, b and c are
determined by virtue of I P through various
parameters shown in Table 1 [2]. Moreover, theresults of Shibi and Kamei [2] indicates theinfluence of soil parameters on bifurcation behaviorof normally consolidated cohesive soils under planestrain undrained compression loadings, and they
applied to the prediction of slip surface. Then ψ canbe expressed by

λ −κ
p'
~q
(16)
+ D
− ε vp ,
ln
1+ e
p '0
p'
~
where D is coefficient of dilatancy, and v 0 is initial
specific volume. The ratio of q to p' is called stressratio η (= q/p') and is expressed in dimensionlessunit. Peculiarly, when deformation patterns bifurcate,
the stress ratio is defined as bifurcation load η y [2].
That is to say, Eq. (16) describes that deformation of
all rock and soils are controlled in q–p'–v space.
Based on Cam-clay model [2, 16], bifurcation
behavior of the soil with the lower I P occurred atlarger η and smaller ε 1 than those with higher I P . I P
related to C c can be theoretically expressed by λ (Eq.
11). Moreover, some soil parameters (λ, κ, M) in
Cam-clay model (Eq. 16) can be linked to I P .
Significantly, I P closely affects critical state theory
from specific volume v (= 1 + e).
In addition, various soil parameters can be
determined simply by using I P because of linear
correlations among them as shown in Table 1.
fc =ψ = V ( x1 ) cos(k m x2 ), k m =

mπ
,
2H

(19)

where V(x 1 ) is the general solution at x 1 coordinate,k m is the function of deformation mode m, and H isheight of specimen. By Eq. (19), Eq. (18) can be
written by(aD 4 + 2bk m D 2 + ck m )V ( x1 ) = 0,
2

4

(20)

where D is differential [2]. Then, a governing
equation is expressed byaρ 4 + 2bρ 2 + c = 0,
where ρ is bifurcation solution [18].

(21)

2. SAMPLES AND METHODSIn this study, the physical properties of geologic
materials are measured. Firstly, Futaba-fault gouge(Fukushima prefecture, Japan) is used to investigate
mechanical properties of active fault gouge.
Moreover, we also measure the physical property of
volcanic ashes (Mt. Aso, Kyusyu, Japan) which may
cause disastrous lahars with fluidity by rain. The
ashes are picked at Mt. Aso (Kyusyu, Japan). On theother hand, the landslide surface is potentiallyformed by the trigger of porcelain clay consisting offine-granited soil consists of fine grains and isdeposited in the Chubu region (central Japan). We
used two porcelain clays (Gaerome and Kibushiclay). Two types of clay minerals (halloysite andmontmorillonite) are also investigated in this study.
Secondly, we measured physical parameters ofsoils through experiments, and noticed especially theconsistency signifying the physical state of soils.
The soil tests are followed by Japanese Industrial

Table 1 Soil parameters and plasticity index
λ = 0.02 + 0.0045IP
κ = 0.00084 (IP – 4.6)
N = 1.517 + 0.019IP
M = 1.65~
D = 0.00082IP + 0.0159
Nakase et al., [17] and Kamei [18] tested thereconstituted twelve soils which ranges of IP
from 10 to 55.
1.5 Bifurcation analysis based on Cam-clay model
By means of the bifurcation analysis based on a
coaxial Cam-clay model, Shibi et al. [15], [19]reveals deformation patterns of specimen bysimulation. Shibi and Kamei [2] derived a governing
equation from flow rule including plastic potential
and constitutive law.
175

SEE-Osaka, Japan, Nov. 21-23, 2016

Standards (JIS). Samples are well-mixed for
adjusting the grain size and uniformity property.
According to the JIS A 1202, the density of particles
of soil ρ s can be determined by the particles density
test with a pycnometer. For estimating plastic index
I P , two tests are used to determine the liquid limit
w L and plastic limit w P according to JIS A 1205. In
the liquid limit test, samples with various watercontents are placed in a brass cup. Then a number ofblows is counted until the two separated parts of thesoil sample on the cup come into contact. From therelationship between numbers of brows and watercontent for various samples, the water content at 25
blows is determined to be a liquid limit. For theplastic limit, the sample is rolled on a glass plateusing the palm of hand until crack formation occurs
at 3 mm diameter. Then the water content of thesample at the crack formation is calculated to be theplastic limit of the soil. The liquid limit and plastic
limit of sandy and silty soil cannot be determinedand hence the soil consistency is called non-plastic;NP [20], [21]. The w P and w L express the physicalstates of soil. Moreover, we conducted the ignition
loss L i test for measuring the content of organic
matter of the soil according to JIS A 1226.

geomaterials differs from sedimentary/formation
environments, constituent mineral types, andweathering. The reason why the plasticity indices of
Aso volcanic ashes show “NP” is because theseaches are not weathered well, and behave as dry
sand to the touch when it contains water. Therefore,
it is difficult to measure its liquid/plastic limit, andthese ashes are not strong enough with increasing its
water content. On the other hand, the ignition loss
for volcanic ashes has negative value. The ignition
loss represents the content of organic matter in thesoil, consequently, two ashes does not have organic
matter. It is thought that the mass is increased byoxidized metals in the soil under high temperatureduring the test (temperature of kiln; 750 ± 50
degrees Celsius).
4. DISCUSSIONS
4.1 Bifurcation determined by the concept of I P
Based on above discussion, we consider physicalmeaning of I P theoretically. When the MohrCoulomb’s failure criterion is reviewed, void ratio eof the soil is not included. And the lateral pressure
corresponding to p' in triaxial compression test
relates to φ obtained by the test. The φ is given by
Eq. (5). Strains ε 1 and ε 3 can be differentiated bytime. Hence, Eq. (5) shows that energy ratio can be a
new factor for frictional instability such as
deformation of fault gouge [22]. Moreover, theempirical relationship between I P and φ isapproximately given by

3. RESULTS
The results of soil tests are as listed in Table 2.
In comparison with density and consistency, Minokibushi porcelain clay has similar to the parameters
to those of halloysite except their ignition losses L i .
The difference in density between Mino kibushi
porcelain clay and halloysite are only 0.02 g/cm3,
also the difference of consistency is under 2%. Then,the parameter of L i of Seto kibushi porcelain clay issimilar to the parameter of halloysite except its ρ sand consistency. Moreover, montmorillonite hashigh I P because of structural feature (layer structureof the mineral). From this result, the permeability ofmontmorillonite is expected to be extremely low.
Based on these findings, the consistency of various

ϕ = α I P-β ,(22)where α and β are specific values on soil types (e.g.
α = 46.6 and β = -0.446; [5]).
Based on Eq. (5), we can obtain σ 1ε1 π.
+ 2 tan −1 


2
2
σ
ε
3
3


Table 2 Results of soil tests for geologic materials

ϕ = −

176

(23)

SEE-Osaka, Japan, Nov. 21-23, 2016

From Eqs. (22) and (23), we can getthat stratum including rocks is that fluidly deformed
when its character change more ductile. The Uemura[8]’s concept versatilely represents the various
deformation patterns of various rocks. However, its
problem is that the indices of mean ductility andductility contrast are qualitative ones and hencedifficult to argue the development of deformation
patterns quantitatively, as discussed in the present
study. In deformation facies diagram, the verticalaxis defines mean ductility and illustrated
interestingly deformation patterns of specimens. On
this vertical axis, mean ductility controls thedeformation patterns: a pair of oblique shear patterndiamond pattern-bulge pattern from low to highmean ductility. In other words, the concept of I P isimportant to determine patterns of folds andtectonics besides mechanical parameters (e.g. stressand strain). It should be noted that I P is an index
characterizing the state of soils, especially clay.
However, we point out the possibility on that we canmesoscopically discuss the evolution of deformation
patterns of the geologic materials such as softsediment deformation in virtue of I P . For example,
geological observation of soft sediments in
subduction zones [26] reveals that the mode of
sediment deformation are complex and incompletely
understood as an interaction of porosity, porepressure, and state of accreting sediments. As shownin the present paper, it has been already understoodtheoretically that the porosity of soft sediments
corresponds to plasticity index of soil. We found theconcept of the void ratio of soils can be related toporosity of rocks. Moreover, from this previous
study, the deformation of strata is closely controlledby brittlely (mudstone) and ductilely (sandstone).
This is, namely, ductility contrast can be explainedby composition of the ratio of mud and sand. In
conclusion, the geological deformation phenomena(including folds, tectonics and landslides) are notconstantly controlled by physical parameter such as
stress or strain. The concept of plasticity index I P
determines deformation patterns.

1

β

α
 .
I P = −1
 2 tan ( K ) − π / 2 (24)

In this way, I P is linked to Eq. (24) through Rowe’s
energy ration of granular material. On the other hand,deformation mode can be analyzed. Significantly, it
is remarked that parameters a, b and c in Eqs. (18),(20) and (21) relate to I P . Eventually, deformation
mode analysis by the governing equation derived
from flow rule based on plastic potential isdetermined by I P . In this paper, we detected theprocedure of dealing with the view point of I P in
regard to deformation patterns. From the above, we
evaluate that I P theoretically determines thebifurcationally deformed patterns of soils.
The internal friction angle φ can beapproximately estimated (by I P based on Eq. 22).
From the viewpoint of φ, the landslide is predicted
to happen in condition that φ is around 10° or less[23]. Interestingly, the φ of each porcelain clay andFutaba-fault gouges are also low. Kuwahara andHirama [24] indicated fault gouges behave as awater barrier sheet partially to surrounding jointed
bedrocks because the permeability of faults was low.
Hence, application of liquid/plastic limit tests togeologic materials is able to assess the basic
mechanical data of materials such as φ and/or
cohesion evaluating a physically weak zone inground and geology conditions.
4.2 Deformation implication materials of soils
and rocks
Finally, we discuss deformation patterns ofgeomaterials (soils and rocks) through the concept of
I P . We can discuss the relationship between theconcept of I P and “Deformation facies diagram”.
The deformation facies proposed by [8] arerepresented by means of their series and grades on
the coordinate axes. Uemura [8] said, “The former
allows the discrimination of the deformation series
in definite environment, and the latter is expressedby the deformation grade for a definite material.
Ductility contrast and mean ductility are available
as indices to qualify such series and grades,
respectively [25]. Taking into account that mostrocks are not homogeneous in lithology but havesome internal structures or they consist ofmultilayered strata, the ductility as a whole should
be expressed by the average of constituent portions
and layers. This is mean ductility. On the other hand,internal movement of rocks, which results in the
deformation fabric, is expected to be largely
dependent on the relative difference of ductility
between adjacent constituents, namely it is thesecond index ductility contrast”. By the Uemura[8]’s proposal, deformation facies diagram shows

5. CONCLUSIONFirstly, we showed that I P theoreticallydetermines deformation patterns of soils by Camclay model. Moreover we prove that the index
closely affects the bifurcation formulas by [2] andmention that this concept of plasticity index canreflect a mechanical bifurcation of rocks (e.g. variety
of folds or soft-sediments). Explicating the hidden
meaning Eq. (22), we might discuss about landslides
with lower φ from the view point of the physicalmean of I P .
Based on mathematical conversion [27],Yamaguchi et al. [28] related L i to C c by Eq. (13).
Therefore, by Eq. (14), I P can be linked to L i . So, in

177

SEE-Osaka, Japan, Nov. 21-23, 2016

the future, we need to study why organic matter is aparameter of Cam-clay model.

(USA); Cornell Univ., Ithaca, NY (USA).
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Behavior, 3rd ed. New York: John Wiley & Sons,
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[21] Sakai T, Katsuyama K, Md. Zakaria H, andLaura, J. P. N., Soil Mechanics (1) Fundamental Properties-, Tokyo: CORONA
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behavior of plane strain compression specimens
based on bifurcation mechanism”, Proc. Jpn.
Soc. Civ. Eng., Vol. 757, 2004, pp. 167-176.
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[5] Kanji MA, “The relationship between drained
friction angles and atterberg limits of naturalsoils”, Géotechnique, Vol. 24, 1974, pp. 671674.
[6] Kenny TC, “Discussion”, J. Soil Mech. Found.
Div., ASCE, Vol. 85, no. SM 2, 1959, pp. 67-79.
[7] Mandar MD and Huzjak RJ, “Drained residual
shear strength of some claystones from Front
Range”, Colorado, J. Geotech. Geoenviron.
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1981, pp. 297-305.
[9] Mises R von., “Mechanik der plastischen
Formänderung von Kristallen”, Z. angew., Math.
Mech. Vol. 8, no.3, 1928, pp. 161-185.
[10] Roscoe KH, Schofield AN, and Wroth CP, “On
the yielding of soils”, Géotechnique, Vol. 8, no.
1, 1958, pp. 22-53.
[11] Roscoe KH, Schofield AN, and Thurairajah A.,“Yielding of clays in state wetter than critical”,
Géotechnique, Vol. 13, no. 3, 1963, pp. 211-240.
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1962, pp. 500-527.
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[26] Lash GG, “Accretion-related deformation of anancient (early Paleozoic) trench-fill deposit,
central Appalachian orogeny”, Geol. Soc.
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179

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

NORMAL RATIO IN MULTIPLE IMPUTATION BASED ON
BOOTSTRAPPED SAMPLE FOR RAINFALL DATA WITHMISSINGNESS
1,2,3

Siti Nur Zahrah Amin Burhanuddin1, Sayang Mohd Deni2 and Norazan Mohamed Ramli3
Center for Statistics and Decision Science Studies, Faculty of Computer and Mathematical Sciences,
Universiti Teknologi MARA, 40450 Shah Alam, Selangor, Malaysia
ABSTRACTThe existence of missing values in rainfall data series is inevitably affects the quality of the data. This
problem will influence the results of analysis and subsequently provide imprecise information to thehydrological and meteorological management. A practical and reliable approach is needed in developing
estimation methods to impute the missing values. Single imputation is the most commonly used approach formissing values, but, it encounters with the limitation of not considering the uncertainty and natural variability in
missing data imputation. Thus, this study has proposed multiple imputation approach based on bootstrap samples
in order to overcome the limitation of single imputation approach. Three normal ratio estimation methods are
implemented using the proposed approach. The performances of the estimation methods are evaluated at six
different levels of missingness. Complete 40 years daily rainfall data from four meteorology stations wereconsidered for the analysis purpose with Johor Bahru station was selected as the target station. The results of the
proposed approach were compared to the results obtained from single imputation approach and the widely
known built in software for multiple imputation, Amelia II package, in assessing the performance of proposed
approach. The results showed that all estimation methods that implemented using proposed approach provided
the most accurate estimation results at all percentages of missingness. This proves the advantage of adaption ofvariability and uncertainty element in the proposed approach in estimating the missing rainfall data at the area ofthe current study.
Keywords: Missing Rainfall Data, Single Imputation, Multiple Imputation, Bootstrap, Normal Ratioand [6]. Reference [5] and [6] compared NR method
to their more sophisticated proposed methods toestimate the missing values in monthly
meteorological data. They have discovered that the
proposed method produced more accurate resultscompared to the old NR method.
Due to its simplicity, NR method is considered
as an evergreen method in imputing missing rainfall
data. However, the limitations of the NR method aredisclosed from its applications in missing data
imputation. The implementation of NR method in
the previous studies is only through the single
imputation (SI) approach. This approach iscommonly known with the limitation of notaccurately represents the variability of missing data
and the uncertainty of imputed values [10].
Therefore, in order to overcome the limitation of SI
approach, multiple imputation approach is
introduced by [11]. Multiple imputation (MI) is oneof the advanced approaches in imputing the missing
rainfall data.
MI is an approach that handles missing data in a
way to produce a valid statistical inference insteadof estimate the missing values as close as possible tothe observed ones [12]. The approach has proven to
be a powerful tool in studies conducted by [13] and[5]. [5] were successful in developing such

INTRODUCTION
Complete rainfall dataset is highly necessary to
the effective hydrological and meteorologicalanalyses. However, the presence of missing data in
the rainfall dataset is inevitable [1]. This is due toseveral factors such as relocation of stations andfaulty instruments. This problem will influence theaccuracy of the analysis results and subsequently
provide inaccurate information to the managementand development of hydrology and meteorology.
Concerning this situation, various estimation
methods have been explored in treating the missing
values in rainfall time series, i.e. normal ratio,
inverse distance weighting, multiple linear
regression, and kriging. However, normal ratio (NR)
has appeared to be the most commonly used methodin estimating missing rainfall values as stated inliterature [2]–[4] due to its simplicity and efficiency.
Reference [7] introduced the application of NR
method in estimating missing rainfall records. The
NR method was then modified by [8] and [9]through the adaption of correlation coefficients andthe effect of distance in the original version of NR
method to improve its performance. The
development of the NR method is continually being
explored and is recently being studied by [4], [5],180

SEE-Osaka, Japan, Nov. 21-23, 2016

The remaining of this paper are organized asfollows: Materials and Methods part describes thedata preparation and the proposed multiple
imputation approach with the performance criteria
used in evaluating the performance of the estimation
methods. Results and Discussions part presents theresults of the study with a comparative evaluation of
the method’s performance followed by theconclusions.

estimation methods based on MI approach called
EM-MCMC.
Althoughthemethodiscomputationally inefficient, it has produced morerobust results compared to the SI based methods.
Reference [13] applied four stages of imputation
approach (based on MI approach) in estimating themissing rainfall values at Paya Kangsar, Malaysia,
and proved that the MI performed better than the SI.
Recently, various built-in packages are createdfor implementing the MI, hence, Amelia II package
is the one that commonly used in estimating themissing rainfall data. The package is abootstrapping-based algorithm that estimates thestatistics by applying the expectation maximization
method. The method imputes each missing value mtimes (m=5 is the program default), that created fivecompleted datasets. The datasets can be straightly
used for analysis purpose. General bootstrap used inthis package is not suitable to be used for time series
data since it does not preserve the original timeseries structure. Therefore, moving blockbootstrapping (MBB) is considered in this study to
improve the accuracy of bootstrap for time series
data. MBB divides the data into several blocks andsamples the whole blocks before concatenate them.
The dependency structure of the time series waspreserved within each block [14]Accordingly, this study is aimed to propose
multiple imputation approach onto the NR method,which will result in more accurate estimations of
missing rainfall values by considering the variability
and uncertainty of imputation at the same time. Thiseffort is of the consideration in providing a goodquality dataset to be used for public domain.

MATERIALS AND METHODS
Data Preparation
This study was performed for the south region of
Peninsular Malaysia. For the purpose of estimation
method evaluation, four rainfall measuring stations
were selected throughout this region. The name ofthe stations with their respective geographicalcoordinates and spatial and descriptive information
are listed in Table 1.
Johor Bahru station is considered as the target
station (station in bold). In estimating the missing
values of the target stations, rainfall data from theirsurrounding stations are also necessary. Data fromstations that are closer to the target station tend toshare similar characteristics with the target station,
which are definitely valuable in providing moreaccurate estimation results [4]. Thus, the stations
within the radius of 100 km to the target stations
were all considered as neighboring stations (seeTable 1).

Table 1 List of the selected stations with their geographical coordinates and spatial and descriptive information
Name of Station

LatitudeLongitude

Johor Bahru

103.75

1.47

Euclidean
Distance (km)0.00 (0)Sek. Men. Bkt. Besar

103.72

1.76

Kuala Sedili

103.971.85

Jln. Kluang/Mersing
103.742.26
The complete daily rainfall records from thesestations were obtained from the Malaysian Drainage
and Irrigation Department (DID) for the analysis of
this study. The data consists of the daily rainfall
amounts for the period of 40 years from January 1,
1975 to December 31, 2014.

6.635

Standard
Deviation
10.43

Max
Value
285.4

0.29 (32)

5.369

8.806

298

0.44 (49)7.067

10.369

397.5

Mean

0.79 (88)6.431
10.265305
approach proposed in this study. The application ofthese methods through the MI approach is rarely
found in the previous studies. Generally, the NR
methods are implemented using SI approach by mostof studies, for example, [4], [5], and [6].
The old normal ratio (ONR) method was firstly
introduced by [7] in estimating rainfall missing
values. It is based on the mean ratio of data between
the target station and the neighboring stations. The
NR method is further expressed as follows:

Estimation Methods for Missing Rainfall Values
Three normal ratio methods, i.e. old normal ratio(ONR), normal ratio based on trimmed mean
(NRTR), and normal ratio based on geometric
median (NRGMED) are considered to be
implemented using the multiple imputation (MI)181

SEE-Osaka, Japan, Nov. 21-23, 2016

1 N Yˆ    t  Yi
N i 1  i 

ProposedMultiple
Bootstrapped Samples(1)

Imputation

using

i t

Multiple imputation approach is proposed for the
implementation of the estimation methods explainedin the previous. Generally, MI consists of threeconsecutive phases; (1) imputation phase, (2)analysis phase, and (3) pooling phase [12].
Imputation phase is the most complicated phasewhich involves the process of estimating the missing
values as in the SI approach. However, in MI, theimputation process is simulated m times ([11]suggested 3 to 5 times) producing m estimatedvalues for each individual missing values,
consequently resulting in m different imputed
datasets. The imputed datasets are then going
through the process of analysis, which is the second
phase. Several sets of parameter estimates andstandard errors are produced before being pooled
into single results through the last phase
The implementation of MI approach proposed inthis study is quite different from the other studies.
The execution has adapted the concept used in
Amelia II package which involves bootstrapping.
Moving block bootstrapping (MBB) is applied torainfall time series in preserving the original timeseries structure. This effort is expected to produce
more accurate missing values estimation results dueto the variability and uncertainty inherent in the
proposed approach algorithm. Figure 2 shows thediagram of the proposed MI approach.

where; t is the arithmetic mean of the available
data at target station t; i is the arithmetic mean of
the available data at ith neighboring station; Yˆ is theestimated missing data at target station t; Yi is theconcurrently observed data at the ith neighboring
station; and N is the number of neighboring stations.
Normal ratio based on trimmed mean (NRTR)
method is the modified version of ONR which
considering the trimmed mean as the weighting
factor. Trimmed mean reduced the effect of outlierson the calculated average. Several levels of
trimming (1%, 5%, and 10%) considered to assess
the consistency of the estimation results. The
application of the trimmed mean in the estimation
methods can produce more accurate estimation
results. The NRTR method is defined as follows:

1 N  trim t 
 YiYˆ   
N i 1  trim i 

(2)

i t

where; trim t is the trimmed mean of the available
data at target station t; trim i is the trimmed meanof the available data at ith neighboring station.
The last method is normal ratio based ongeometric median (NRGMED). Geometric median(Gmed) is a robust estimator of centrality in
Euclidean spaces [15]. Gmed of a dataset is the data
minimizing the sum of distances to the sample
dataset. It is defined as a robust version of geometricmean that is more stable in the presence of outliers[15]. The method is expressed as follows:

1 N  Gmedt Yˆ   
 Yi
N i 1  Gmedi 

Fig. 2(3)

A Schematic of Proposed Approach to MI

Five bootstrapped samples are created to produce
five sets of estimated values for each missing dataset.
The bootstrapped sample are generated based on theprocedure of MBB proposed in this study. The
procedure of MBB in this study is a bit different
from other studies. Rainfall time series of the target
station are divided into several parts according to thecharacteristics of rainfall data, such as the seasonalpattern and the rainfall amounts before going
through the MBB process. The MBB is applied
separately on each part of the data. The procedure is
as follows:i tGmed is defined as: Gmedi  e(median(ln( yi )))where; Gmedt is the geometric median of theavailable data at target station t; Gmedi is thegeometric median of the available data at ithneighboring station.

182

SEE-Osaka, Japan, Nov. 21-23, 2016

i. Divide rainfall time series into four parts(blocks) according to monsoon seasons, i.e. (1)the month of May to August, (2) March to April,(3) November to February, and (4) September to
October.
Block 1

Block 2Block 3Block 4

(Mar Apr)(May Aug)(Sep Oct)(Nov Feb)

missing values in the original rainfall dataset, inwhich producing five complete datasets withdifferent imputed values and the same observed
values.
e) The complete imputed datasets are analyzed andthe results of analysis are pooled to produce asingle result of analysis.
The results obtained from the proposed NRMIboot were compared to the results of SI approachand the results obtained from Amelia II package.
The performance of the considered NR methods isevaluated based on the implementation of these three
approaches. Two error measurements are consideredin evaluating the performance of the estimation
methods, namely root mean square error (RMSE)
and similarity index (SIndex). They are defined asfollows:

ii. Resample each block of rainfall time series
obtained in (i) for 100 times (the size ofbootstrap sample is the sample size of theoriginal data). Then merge the blocks ofbootstrapped data to produce a year daily rainfall
time series.
Block 1

Block 2Block 3Block 4

xi

xj

xk

xl

i = 1, ... , 61

j = 1, ... , 123

k = 1, ... , 61

l = 1, ... , 120n

RMSE 

iii. Repeat step (i) and (ii) for all 40 years daily
rainfall data and merge them to generate a set ofbootstrapped sample representing the new
sample for a period of 40 years and equal to14610 daily data.

L  1, 2,  , 5



i 1

 Yˆi  Y  Yi  Y2

Six levels of missingness ranges from 5% to 30%
are used in assessing the performance consistency of
estimation methods. The performance of estimation
methodsisinvestigatedthroughtheirimplementation using SI and MI approaches. The
results of the NRMI-boot are compared to the SI atvarious level of missingness and displayed in Table
3. The results of estimation methods using NRMIboot produced slight improvements compared to the
SI approach based on the least RMSE and thehighest SIndex (see the values in bold). It also
produced better estimation results than SI at varying
percentages of missingness. This shows that thevariability and uncertainty accounts in the NRMIboot produced more accurate results of estimation.
Of the five estimation methods, ONR appears as
the best method in estimating the missing rainfall
values, whereas NRGMED is the worst. The NRTR
method was divided into three based on different
levels of trimming, i.e. NRTR1 (1% trimming),
NRTR5 (5% trimming), NRTR10 (10% trimming),
in order to investigate the effects of the trimming
levels of the mean on the accuracy of the estimation
results. The accuracy of the estimation results using
NRTR decrease with the increase of the trimming
percentage.

iv. Repeat step (i) to (iii) for 5 times to produce 5
new samples
The new samples produced are used in the
proposed MI approach (NRMI-boot). The NRMIboot is implemented based on the following
procedures:a) The same procedures of introducing missing datain the target station used in the SI approach areapplied in NRMI-boot.
b) The ratio means of each new sample of the target
station and the data of its nearby stations are
considered as the weighting factor for theestimation methods (an example of ONR method- refer to Eq. (1)).

,

n

RESULTS AND DISCUSSIONS

n = 1, 2, 3, ... , 14610

i SIndex 

i 1

xn

 Li



1 n ˆ
 Yi  Yi
n i 12where; Yˆi is the estimated value; Yi is the actual
value of the observation; Y is the mean of actual
values; n is the number of observations.

New Sample

wLi  Yˆi  Yi 

2

(4)

where, wLi is the weight of the ith neighboring station
for bootstrapped sample L;  Li and i the sample
mean of the available data for bootstrapped sample L
and ith neighboring station respectively.
c) Five weighting factors are produced to yield fivedifferent estimated values for each individual
missing value.
d) Each estimated values is then used to impute the183

SEE-Osaka, Japan, Nov. 21-23, 2016

Table 3 Performance of NR methods through single imputation (SI) and proposed NRMI-boot approaches atvarious level of missingness
Level of
Missingness

5%

10%

15%

20%

25%

30%

Estimation
Method
ONR
NRTR1
NRTR5
NRTR10
NRGMED
ONR
NRTR1
NRTR5
NRTR10
NRGMED
ONR
NRTR1
NRTR5
NRTR10
NRGMED
ONR
NRTR1
NRTR5
NRTR10
NRGMED
ONR
NRTR1
NRTR5
NRTR10
NRGMED
ONR
NRTR1
NRTR5
NRTR10
NRGMED

RMSE
SI
14.86915.09315.34015.442
15.63314.74414.98515.22415.32215.44114.18214.41714.64214.72914.87014.31914.53814.73014.80614.88414.61014.84915.05515.13515.333
14.58414.82114.98415.04415.223SIndex
NRMI-boot13.952
14.17414.421
14.54014.87113.672
13.86014.06014.15414.40013.55313.75213.95914.05314.24714.29614.51514.732
14.83115.051
14.391
14.62114.82914.92015.10614.15714.381
14.57114.65214.892The next comparison involved the results of thebest estimation method using the proposed NRMIboot, i.e. ONR method with the results obtained
from the Amelia II package. Table 4 presents theresults comparison of these MI approaches. The
method in bold represented the most appropriate
method in estimating the missing values. Based on
the comparison, it can be seen that the results
obtained from NRMI-boot gives more accurate
results compared to the Amelia results. This may
due to the moving block bootstrapping adapted in
the NRMI-boot, in which it preserved the originaltime series structure in imputing the missing rainfall
values.

Error
Measures

RMSE

SIndex
Table 4 Performance of NR methods through the
NRMI-boot and the Amelia II package results at
various level of missingness.

184

SI
0.648
0.642
0.635
0.632
0.627
0.643
0.637
0.630
0.627
0.624
0.646
0.639
0.632
0.630
0.626
0.662
0.656
0.650
0.648
0.646
0.660
0.654
0.649
0.646
0.641
0.667
0.660
0.656
0.654
0.649

NRMI-boot
0.688
0.682
0.675
0.672
0.662
0.682
0.676
0.671
0.668
0.661
0.669
0.664
0.657
0.655
0.649
0.656
0.650
0.644
0.641
0.635
0.655
0.648
0.643
0.640
0.634
0.664
0.658
0.652
0.650
0.643

Level of
Missingness

Amelia

NRMI-boot5%

22.36013.95210%

141.935

13.67215%

209.194

13.55320%

196.579

14.29625%

139.747

14.39130%

66.47314.157

5%

0.475

0.688

10%

0.134

0.682

15%

0.197

0.669

20%

0.031

0.656

25%

0.163

0.655

30%

0.244

0.664

SEE-Osaka, Japan, Nov. 21-23, 2016

estimating missing rainfall data”, J. Agric. Sci.,
Vol. 3, 2007, pp. 101–108.
[3] Khorsandi Z, Mahdavi M, Salajeghe A, andEslamian S, “Neural network application formonthly precipitation data reconstruction”, J.
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[4] Suhaila J, Deni SM, and Jemain AA, “Revised
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[5] Yozgatligil C, Aslan S, Iyigun C, and Batmaz I,“Comparison of missing value imputation
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[6] Khosravi G, Nafarzadegan AR, Nohegar A,
Fathizadeh H, and Malekian A, “A modified
distance-weighted approach for filling annual
precipitation gaps: application to different
climates of Iran”, Theor. Appl. Climatol., Jan.
2014, pp. 1–10.
[7] Paulhus JLH and Kohler MH, “Interpolation of
missing precipitation records”, Mon. Wea. Rev,
Vol. 80, 1952, pp. 129–133.
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Mon. Weather Rev., Vol. 120, 1992, pp. 2561–
2569.
[9] Tang WY, Kassim AHM, and Abubakar SH,“Comparative studies of various missing data
treatment methods -Malaysian experience”,
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[11] Rubin DB, “Multiple Imputation After 18 +Years”, J. Am. Stat. Assoc., Vol. 91, 1996, pp.
473–489.
[12] Enders CK, Applied Missing Data Analysis.
New York: The Guilford Press, 2010.
[13] Yendra R and Jemain AA, “Methods on
handling missing rainfall data with NeymanScott rectangular pulse modeling”, Proc. 2nd
Natl. Symp. on Math. Sci., vol. 1213, 2013,
pp.1213-1220.
[14] Li J, “The block bootstrap test of Hausman”,
Econ. Lett., Vol. 91, 2006, pp. 76–82.
[15] Das KR and Imon AHMR, “Geometric medianand its application in the identification ofmultiple outliers”, J. Appl. Stat., Vol. 41, 2014,
pp. 817–831.

Although the computation of the proposed
approach is quite intensive compared to the SI
approach, it is recommended to be applied in any
studies related to missing values since it provided arobust approach and more accurate estimation
results. For future research, the degree of suitabilityof the proposed MI approach (NRMI-boot) towards
other climatic variables (e.g. temperature and windspeed) and time scales (e.g. monthly and yearly)
needs to be investigated. Other suggestions are toconsider other estimation methods such as inverse
distance weighting and geographical coordinate
methods in estimating the missing values by using
the proposed approach.
CONCLUSIONS
The implementation of estimation methods
through the NRMI-boot produced the most accurate
results among the SI approach and Amelia II
package in estimating the missing rainfall values.
This shows the advantage of the proposed approachthat considering the variability in creating themissing values and uncertainty in estimating theimputed values. The involvement of these twoelements has successfully improved the estimation
results’ accuracy for the area of the current study.
Furthermore, the adaption of MBB gives advantage
to the NRMI-boot and is more suitable when dealing
with the time series data compare to the generalbootstrapping adapted in Amelia II package.
ACKNOWLEDGEMENTS
The authors are indebted and thankful to the staffof Malaysian Meteorological Department, andDrainage and Irrigation Department for providing
the daily rainfall data used in this study. This
research would not have been possible without thesponsorships from Ministry of Higher Education andalso Universiti Teknologi MARA, Malaysia. This
research is funded by the Malaysian Fundamental
Research Grant, 600-RMI/FRGS 5/3 (58/2014).

REFERENCES[1] Firat M, Dikbas F, Koc AC, and Gungor M,“Missing data analysis and homogeneity test
for Turkish”, Sadhana, Vol. 35, 2010, pp. 707–
720.
[2] De Silva RP, Dayawansa NDK, and Ratnasiri
MD, “A Comparison of methods used in

185

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

REAGENT PREPARATION FOR TEST KIT ANALYSIS OF
HARDNESS

1

Somporn Pleanjai1
Faculty of Science and Technology, Rajamangala University of Technology Thanyaburi, Thailand

ABSTRACT
Every household and every factory uses water, and none of it is pure. One of impurity that is of special
interest is “hardness”. Hardness is defined as calcium and magnesium ion content. These “hardness ions” cause
two major kinds of problems. First, the metal cations (Ca2+ and Mg2+) react with soaps, causing precipitation of
the soap scum. More seriously, the calcium and magnesium carbonates tend to precipitate out as adherent solids
on the surfaces pipes and especially on the hot heat exchanger surfaces of boilers. The resulting scale buildup
can impede water flow in pipes. Hard water also contributes to inefficient and costly operation of water-using
appliance. Water hardness can be readily determined by titration with the chelating agent ethylenediaminetetra
acetic acid (EDTA). Most water testing laboratories offer hardness test for fee. Also, many companies that sellwater treatment equipment offer hardness tests. An approximate estimate of water hardness can be obtained
without the aid of testing facilities or testing kits or strips. Consequently, this study aimed to prepare a chemicalsolution a portable kit (Test kit) for water hardness analysis. In this experiment the chemical solution will bestandardized by titration against a known solution made from calcium carbonate, CaCO 3 . The titration is carriedout at a pH10. Eriochrome black T and Calmagite were used on comparison indicator in the analysis process.
Then use the same titration techniques to measure the hardness of four unknown water samples. The results
found that both indicators can use for hardness determination. In addition, our chemical reagent preparation areavailable that can be alternative water hardness testing kits for purchase through water testing supply companies.
The significance of test results will be discussion.
Keywords: Calcium, Hardness, Reagent preparation, Test kit, Water analysis

and mastering quantitative analysis relating to water
quality, total hardness, and making accurate
dependent calculations. The titration method is stillwidely used for the determination of water hardness[4]. However, only a few studies encompass thegreener alternatives in formulation of chemical
reagent. In addition, in the past there are only a few
researches studying data deviation for environmental
impacts, assessment, especially chemical reagent
products data by using life cycle assessment (LCA)in Thailand.
Therefore, in this study, the primary objective
was to analyze and compare water hardness of using
commercial reagent (Test kit) and chemical preparedreagent (Test kit). The results were used todetermine the options that would minimize the costof the chemical reagents utilization and provide
recommendation environmental data before T R
Water Engineering Company Limited that acts in thedesign and installation of water treatment systems to
produce clean water for industrial companies andgovernment, etc. which industry was selected before
they consider substituting from commercial reagent
to a chemical prepared reagent.

INTRODUCTION
Every household and every factory uses water,and none of it is pure. One of impurity that is of
special interest is “hardness”. Hard water contains
multiply charged ions such as calcium, magnesium,and heavy metal ions, which replace sodium andpotassium ion in soaps and detergents to form
precipitates. These precipitates interfere withcleansing action and leave unsightly bathtub ringsand scum. High levels of hard water ions such as
Ca2+ and Mg2+ can cause scaly deposits in plumbing,
appliances, and boilers. Hard water does not present
a health risk, as long as the minerals are not heavy
metal salts [1]. Water hardness is usually express as
the milligrams of CaCO 3 equivalent to the total
amount of Ca2+ and Mg2+ present in one liter ofwater. Water hardness has usually been determinedby titration with ethylenediaminetetraacetic acid
(EDTA) and Eriochrome Black T or Calmagite [2],employing a manual procedure. Magnesium andcalcium will be determined together. Eriochrome
Black T and Calmagite are often used in water
hardness determination [3]. In order to hard water
contributes to inefficient and costly operation ofwater-using appliance especially for industries andcompany limited and so on. Therefore, practicing
186

SEE-Osaka, Japan, Nov. 21-23, 2016

EXPERIMENTAL
EDTA titrant
A solution of approximately 0.015 M of EDTA
prepared by weighing 5.5836 g of disodium salt
dehydrate of EDTA and dilute to 1.00 L with
distilled water. The solution of EDTA will bestandardized by titration against 0.015 M CaCO 3(three replicate samples).

EDTA Titrimetric Method
Hardness, which reads the concentration of
calcium and magnesium ions, was determined asindicated in literature [2]. Accordingly, 50 mL
sample was transferred to conical flask. 2 mL buffer
solution (will be sufficient to give a pH of 10.0 to10.1) was added followed by about 0.4 g of solid
indicator or 1 or 2 drop indicator solution. Add
standard titrant slowly, with continuous stirring,
until the last reddish tinge disappears and blue color
was observed. Reagent blank used for comparison
was titrated in a similar way as for the sample.
Finally, Ethylenediaminetetraacetic acid (EDTA)
titrant was standardized against Calcium standard ( aknown solution made from calcium carbonate,
CaCO 3 ). Eriochrome Black T as indicator was usedin chemical prepared reagent for test kit. Calmagite
as indicator was used in commercial reagent for test
kit. Record the titrant volumes for the Data andCalculations sheet. The result shows in Table 1 andTable 2. Finally, comparing cost performance andother parameter of water hardness analysis between
using chemical prepared reagent and commercial
reagent for test kit. The result shows in Table 3.
Calculation:
Hardness (EDTA) as mg CaCO 3 /L
= (A x B x 1000)/mL sample
Where:
A= mL titration for sample and,
B= mg CaCO 3 equivalent to 1.00 mL EDTA
titrant.

HI 3812 Hardness Testing Kit
The HI 3812 test kit tests the hardness level as
mg/L (ppm) calcium carbonate, via an EDTA
titration. HI 3812 Hardness Test Kit which there are
2 ranges. They are high range-0 to 300 mg/L CaCO 3
and low range-0.0 to 30.0 mg/L CaCO 3 .The Order
Information: HI 3812test kit comes with 30mL
hardness buffer, 10mL calmagite indicator, 120mL
EDTA solution, 20mL plastic beaker with cap, 50
mL plastic beaker with cap and 1mL syringe withtip[5]. The testing kit tests were obtained from T R
Water Engineering Company Limited.

RESULTS AND DISCUSSION
Hardness by EDTA Trimetric Method
Hardness, as mgCaCO 3 /L or CaCO 3 ppm by using
EDTA-titration method, the result shows in Table1.
Table 1 Comparing of EDTA-titration and test kit method withstandard valueStandard

Reagents and Solutions
Hard water samples
A hard water sample that mimics very hard waterwith approximately 0.015M CaCO 3 may be preparedby creating slurry of 0.3750 g of anhydrous CaCO 3
with 3-4 mL of deionized water. Add 6 M HCl, a
few drops at a time, until the CaCO 3 has dissolved.
Dilute to 250 mL with deionized water.
pH 10 buffer
Solution I: Dissolve 1.1790 g of disodium salt
dehydrate of EDTA and 0.7800 g of Magnesium
sulfate heptahydrate (MgSO 4 ∙7H 2 O) in 50 mL
distilled water.
Solution II: Dissolve 16.90 g of Ammonium
chloride (NH 4 Cl) 143.00 mL of conc. Ammoniumhydroxide (conc.NH 4 OH)
Add solution I into solution II and dilute to 250
mL with distilled water.

Solution
CaCO 3(ppm)

Titration
Eriochrome
Black T
Calmagite

Test Kit
Eriochrome
Black T(ppm)*

SD(ppm)*

SD(ppm)*

SD

6.00

6.09

0.12

6.09

0.12

6.47

0.06

9.00

9.18

0.26

9.18

0.26

9.81

0.48

12.00

12.17

0.23

12.17

0.23

12.98

0.36

15.00

15.23

0.32

14.97

0.15

15.66

0.64

18.00

18.04

0.07

18.16

0.18

19.33

0.15

60.00

60.33

0.31

60.33

0.31

63.72

1.44

90.00

90.20

0.35

90.20

0.35

91.79

1.80

120.00120.270.46

120.270.46

122.073.64

150.00149.930.13

149.930.13

153.311.50

180.00180.190.32

180.190.32

184.35

4.76

Note : * Arithemic mean from three replicate samples
SD = Standard Deviation

From Table1, the result was found that differenceof standard deviation values is 0.06-4.76 for bothmethods. The percentage of error found 0 to 9.
Based on the evaluations from Table 1, ourachievement focused not only on analyticalchemistry knowledge in designing experiment in

Eriochrome Black T Indicator
A mixture of 0.50 g of Eriochrome Black T
and100.00g of Sodiumchloride(NaCl) was employed.
187

SEE-Osaka, Japan, Nov. 21-23, 2016

laboratory, but also on field. It was found that 0% to
3% error in Table2. Thus, it can use both theindicators in chemical prepared reagent for EDTAtitration method and test kit which according to bothof indicator was used in conventional titration [3].

estimated to be 6,677 Baht [9- 12]. Table 3 shows
the chemical reagent’s price that was calculated per
set from price in the year 2016 [7, 8]. To further
value from Table3, cost of saving has been
calculated to be 913.35 Baht per set. Assuming thatcompany which sell water treatment equipment offer
hardness test 300 samples per year if using chemical
prepared reagent will be saved money 2,740.05 Baht
(2,740.05 = (3 set x 1,500/set) - (3 set x 586.65/set))
than using commercial reagent. Therefore, a
reduction cost of hardness water analysis can beachieve by reducing the cost Hardness Test Kit set(using chemical prepared reagent alternative tocommercial reagent).

Table 2 Hardness in different types of water using EDTAtitration as a reference method
SampleNo.

1.Natural
Water

Titration
Eriochrome Black T
Hardness(
mg/L)
140.06

Test Kit*
Calmagite
(mg/
%Err
L)
or
141.0
0
0.67

Test Kit**
Eriochrome
Black T
%Err
(mg/L)
or134.100.45(Prathumetane Province)
2. TapWater
107.28

108.0
0

0.67

110.26

2.78(Prathumetane Province)
3.Tap
Water
89.40

Opportunities for greener alternatives in chemical
formulation

87.00

2.68

89.40

0.00

(Ayutthaya Province)
4.Water
Drinki
ng
2.98

3.00

0.67

2.98

0.00

Due to EDTA is mainly used in above the process. It
should be considered. In addition to EDTA is used
as a complexing agent in many industrial branches.
During the use as complexing agent, the majoramount of the applied EDTA is emitted into thewastewater. EDTA and its metal complexes arehighly soluble in water. Because of the ionicproperties, volatilization from aqueous solution will
not occur [13]. Furthermore, the other reagents suchas in most ammonia plants, CO 2 is separated fromhydrogen at an early stage, generally use solvent
adsorption. Energy savings can be achieved by using
new solvents, with a potential of up to 1.4 GJ/t.
Much of the CO 2 separated is used to produce urea,
a popular type of nitrogen fertilizer. It takes 0.88
tonnes of CO 2 to produce a tonne of urea [14].
These mean can minimize global warming potentials
which depending on their method of manufacture.
Due to their manner of use, many of these materials
end up in the sewer system or directly dispersed into
the environment. Therefore greener replacements areactively sought. Fortunately, this study based on the
result that using of chemical prepared reagent was
effective more than using commercial reagent,especial saving cost per set.

(Saraburi Province)*Commercial reagent solution **Chemical prepared reagent
solution

Table 3 Comparing between commercial reagent solution
and chemical prepared reagent solution for test kit
Commercial Chemical
Parameter
Unit
reagent
prepared
1.Quantity of
using
time
100
125
(per set)
2.Accuracy% error(compared withtitration method)
3.Indicator

4.Price( per set)

type

Baht*

0-9

0-9

Calmagite(solution)

Eriochrome
Black T(solid)1,500.00

589.00Note:* 1 USD = 35.2004 Baht[6]"Bank of Thailand", Last update: April 12, 2016, available
on line:https://www.bot.or.th

CONCLUSION

An acceptable design chemical prepared reagent
for hardness water analysis by test kit method thatmust have a process that is capable to yield a profit
or more reduce the cost of water testing laboratories.
An estimation of the investment is required and thecost of production is needed before profitability of a
project is evaluated. In this section, the equipment
cost and chemical reagent cost are discussed. The
chemical reagents cost has been estimated to be
5,600 Baht [7, 8]. The equipments (titration
apparatus set, reagent bottle, volumetric flask etc.,
excluded equilibrium balance) cost has been

As a conclusion of this study, the chemical preparedreagent can use for total hardness determination by
test kit method as well as commercial reagent use inaccuracy. Its price are not expensive per set so thatthey can identify the effective for promoting
chemical prepared reagent utilization in companies
and industries which solve a water quality problem
realize and reducing cost for operation in the future.

188

SEE-Osaka, Japan, Nov. 21-23, 2016

http://shop.hannasingapore.com/media/pdf/man
HI_3812.pdf[6] "Bank of Thailand", Last update: April 12, 2016,
available on line : https://www.bot.or.th[7] Last update: April 14, 2016, available online:
https://www.vittayapun.com[8] Last update: April 14, 2016, available online:
npchemsupply.weloveshopping.com/store/produ
ct/MERCK-2030774-th.html[9] Last update: April 14, 2016, available
online: https://gammco.com[10] Last update: April 14, 2016, available online:
https://www.globalgilson.com/volumetric-flasks[11] Last update: April 14, 2016, available
online: http://www.pelletlab.com/reagent.bottles[12] “Business Finance Online”, Last update: April
16, 2016, available
online: http://www.zenwealth.com/businessfina
nceonline/CB/PaybackPeriod.html[13] Summary Risk Assessment Report,“Tetrasodium Ethylenediamineacetate(NA 4 EDTA), CAS No: 64-02-8, EINECS
No:200-573-9, Institute for Health andConsumer Protection European Chemicals
Bureau I-21020 Ispra(VA), Italy, 2004.
[14] IFA for type and production of feedstock, 2006.

ACKNOWLEDGEMENTS
The author is grateful for financial support ofRajamangala University of Technology Thanyaburi.
The author also would like to thank analyst who
provided helpful comments the analysis.
REFERENCES[1] WHO, “Hardness in drinking-water”, inBackground Document for Development of
WHO Guideline from Drinking-water Quality,
WHO/SDE/WSH/03.04/06, WHO, Geneva, 1996.
[2] Standard Methods for the Examination of Water
and Wastewater, American Public Health
Association, 18th ed., 1992, pp. 2-36, Method
2340C.
[3] Yappert, M.C. and DuPré, D.B. Complexometric
Titrations: Competition of Complexing Agents inthe Determination of Water Hardness with
EDTA. Journal of Chemical Education, Vol. 74,
No. 12, Dec.1997, pp. 1422-1423.
[4] Skoog, D. A., West, D. M., Holler, F. J. andCrouch, S. R. Fundamental Analytical
Chemistry, 8th ed., 2004, 870 pp. USA:
Thomson Brooks/Cole.
[5] Instruction Manual, “HI 3812 Hardness TestKit”, available on line:

189Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

VIRTUAL SCREENING OF COMMERCIAL CYCLIC PEPTIDES AS β OG POCKET BINDER INHIBITOR IN DENGUE VIRUS SEROTYPE 2
Usman Sumo Friend Tambunan1*, Arli Aditya Parikesit1, Vincentia Cheryl Adam1, Mochammad Arfin
Fardiansyah Nasution1, Ratih Dyah Puspitasari1, Djati Kerami2
1

Bioinformatics Research Group, Faculty of Mathematics and Natural Science, Universitas Indonesia,
Indonesia.
2
Mathematics Computational Group, Faculty of Mathematics and Natural Science, Universitas Indonesia,
Indonesia.

ABSTRACT
Dengue virus (DENV) has caused infectious disease which puts roughly 40% of world population at risk. An
antiviral drug against DENV infection remains unavailable up until now. This research aims to find a drugcandidate, which can inhibit β-OG binding site by a screening of 308 commercial cyclic peptides virtually.
Through molecular docking and molecular dynamics simulation, it is discovered that Cyclo (-D-Trp-Tyr) ligand
has good affinity with β-OG binding pocket. Ligand forms a stable complex with envelope protein in 310 K and
312 K. Cyclo(-D-Trp-Tyr) ligand is revealed to be a potential inhibitor of β-OG binding pocket. Thus, it is feasible
for further development as an antiviral drug against DENV infection.
Keywords: Dengue, β-OG pocket binder, Fusion inhibitor, Cyclic peptide, Docking

further analysis and biological assay. The results
showed that A5 can inhibit the fusion process of
DENV [3]. Li et al., (2008) have obtained thethiazoles-modified compounds for inhibiting the
DENV envelope protein in the β-OG binding site [6].
Wang et al., (2009) have screened 586.829
compounds by using in silico approach into 111
compounds to be tested further in order to obtain six
compounds that can inhibit the DENV effectively
based on immunofluorescence study [7]. Finally,
Zhou et al., (2008) have screened compounds of the
National Cancer Institute (NCI) library and obtained
the compounds that can inhibit the viral reproduction
at μmol concentrations, and NMR spectroscopy
proves PO2 compound bound to the virus and maycompete with the β-OG natural ligand in its bindingsite with greater affinity [8].
This research aims to screen commercial cyclic
peptides to be used as an inhibitor of β-OG pocketbinder on DENV serotype 2 based on moleculardocking and dynamics simulations to obtain the novel
antiviral drug. We also deployed computational
ADMET test, such as health effect and toxicity
prediction, in order to eliminate the remaining
compounds from molecular docking simulation to be
selected into molecular dynamics simulation.

INTRODUCTION
Dengue virus (DENV) still becomes a major healthproblem worldwide. According to the World HealthOrganization (WHO), the exposure to DENV
increases in a recent decade. Approximately more than
2.5 billion people or 40% of the world's population is
at risk of DENV. Before the 1970s, only 9 countries
were experiencing the dengue epidemic, but now morethan 100 countries in Africa, Americas, Eastern
Mediterranean, Southeast Asia and the Western
Pacific are exposed to this deadly disease [1].
The efforts from the researchers and scientists arebeing made to prevent the transmission of DENV. Oneof them is focused on the eradication of Aedes sp. as
DENV vector [2]. Nowadays, the research isconcentrated on finding an antiviral drug candidatethat able to inhibit the DENV pathways, such as
replication path, the path of synthesis of RNA, viralmaturation pathway, and lane fusion with host cells[3].
The peptide is an amino acid based molecule which
able to inhibit the enzyme’s activity with good
specificity. Furthermore, it is also has a tendency of
non-accumulate in the body [4]. However, the peptide
can also be easily degraded in our body. To preventthe peptide degradation by protease enzymes, thepeptide molecules need to be cyclized into cyclic
peptide[5]. Several previous studies were conductedin an effort to inhibit β-OG pocket binders:Kampmann et al., (2009) have obtained five
molecules (namely A1-A5) out of 135,000 small
molecules selected. However, A1-A5 molecules need

RESEARCH METHODOLOGY
A. Tools and Material
This research used some online and offline softwares
such as Accelrys Discovery Studio 2.5, Accelrys
Discovery Studio 4.1 Visualizer [9], GROMACS
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SEE-Osaka, Japan, Nov. 21-23, 2016

4.6.5 [10], ChemDraw Ultra 12.0, OSIRIS Property
Explorer [11], ACD-iLabs [12], VegaZZ 2.4.0 and
Toxtree 3.5.0 softwares [13]. DENV envelope protein
sequence database could be obtained from the
National Center for Biotechnology Information(NCBI) (http://www.ncbi.nlm.nih.gov/), and for thethree-dimensional structure could be searched byusing SWISS-MODEL then downloaded from the
Research Collaboratory for Structural Bioinformatics
Protein
Data
Bank(RCSB-PDB)(http://www.rcsb.org/pdb/home/home.do) databasein .pdb format. The structure of commercial cyclic
peptide ligands can be obtained from these following
chemical company databases: BaChem, Mimotopes,
PolyPeptide Group, AnaSpec and the American
Peptide.

Accelrys Discovery Studio 2.5 software. The resultsof the molecular docking simulation process wereidentified by the ‘Calculate Binding Energy’ modulein Accelrys Discovery Studio 2.5 software. Finally,
2D visualization and molecular interaction of the best
ligand-receptor complex from molecular docking
simulation could be seen by using Accelrys
Discovery Studio 4.1 Visualizer software.
E. Computational ADMET test
In this study, we deployed two kinds of ADMET
test by using OSIRIS Property Explorer, Toxtree
3.5.0 and ACD-iLabs softwares to determine theligand’s drug-likeness, mutagenicity/carcinogenicity
prediction, and the health effect prediction,
respectively. These tests were conducted to eliminate
the remaining ligands from the previous simulation,in order to get the best ligand, based on its
pharmacological properties and drug-likeness, to be
selected for molecular dynamics simulation.

B. Preparation of Cyclic Peptide Ligands
The cyclic peptide sequences were drawn
manually by using the ChemBioDraw Ultra 14.0 with.mol file format. All ligands that have been drawn
then converted into a 3D structure with VegaZZ 2.4.0
software, then imported into Accelrys Discovery
Studio 2.5 software for ligand optimization in .sd
format, CHARMm forcefield and the addition ofpartial charge MMFF94 ligands were conducted as
well.

F. Molecular dynamics simulation
Molecular dynamics simulation was utilized tolook at the protein-ligand complexes stability basedon the RMSD (Root Mean Square Deviation) graph.
The preparation of protein-ligand complexes, such as
geometry optimization and energy minimization, wasrequired before performing molecular dynamics
simulation. The molecular dynamics simulation was
performed using GROMACS 4.6.5 software. The
GROMOS43a1 force field and TIP3P explicit solvent
models parameters were utilized while the rest of theparameters were set by default.
The molecular dynamics simulation process was
performed on the best cyclic peptide ligands whichhave the lowest ΔGbinding value, the best affinity, andinteraction with the target cavity, as well as having
the best pharmacological properties, based oncomputational ADMET test. Molecular dynamics
simulations were performed in 20.000 ps (20ns)
twice, at 310K and 312K, respectively. The result ofmolecular dynamics simulation could be seen in
GROMACS viewer. Protein-ligand interactions
between molecular dynamics during the process
could be viewed by using Accelrys Discovery Studio
4.1 Visualizer.

C. Preparation of Envelope Protein
DENV envelope protein sequence data was
obtained from NCBI (National Center for
Biotechnology Information) database in FASTA
format,whichwasaccessibleon
http://www.ncbi.nlm.nih.gov/. DENV envelope
protein structure prediction was performed byhomology modeling. Homology modeling step wasaccessed online using SWISS-MODEL server(http://swissmodel.expasy.org/).
The homology modeling results were used toobtain the 3D structure of DENV envelope protein asa template. The 3D structure of proteins could be
downloaded from the PDB database by RCSB-PDB
database and was stored in .pdb format. Then
validated the 3D structure of proteins using
RAMPAGE server for generating the Ramachandranplot (http://mordred.bioc.cam.ac.uk/~rapper/rampage.php)[14].
Furthermore, the DENV envelope protein was
prepared and optimized by eliminating theunnecessary ligand and water molecules in the protein
sequence. Then, the CHARMm Force Field wasapplied, along with the energy minimization.

RESULTS AND DISCUSSIONS
Geometry optimization and energy minimizationof DENV envelope protein
In this study, we used PDB file 1OKE as the 3D
structure of DENV envelope protein [15]. This 3D
structure was opened by using Accelrys Discovery
Studio 2.5 software. Furthermore, this PDB contains
β-OG, the natural ligand of DENV envelope protein,
and it appears in dimer form. First, we prepared thestructure by eliminating one envelope protein chain,removing water, unnecessary molecules, and

D. Molecular docking simulations
The whole docking process was done by using
Accelrys Discovery Studio 2.5 software, with
LibDock module applied in binding free energy
calculation. First, we set the parameters to determine
the amount of Docking ‘Hotspot’ and ‘Tolerance’,
other parameters were set according to the default of191

SEE-Osaka, Japan, Nov. 21-23, 2016

protonating the structure. After that, the minimizationof the structure was conducted by using CHARMm
forcefield. Finally, we determined the binding cavityof the DENV envelope protein by using ‘Find
Receptor Sites Cavity’ feature in Accelrys Discovery
Studio 2.5. In this study, we selected the residues thatbind β-OG. The residues around the cavity are: His27,
Leu45, Ile46, Lys47, Thr48, Glu49, Ala50, Lys51,
Gln52, Pro53, Val130, Leu135, Glu136, Tyr137,
Phe193, Leu198, Leu199, Gln200, Met201, Lys202,
Asp203, Lys204, Ala205, Trp206, Leu207, Thr268,
Glu269, Ile270, Gln271, Met272, Ser273, Ser274,
Gly275, Asn276, Leu277, Leu278, Phe279, Thr280,
and Gly281.
Molecular docking simulation
The molecular docking simulation was done byusing LibDock module in Accelrys Discovery Studio
2.5. LibDock module offers a rapid process of
docking with the precision of the docking’s position[16]. The suitable interaction, that can be expected toinhibit the DENV envelope protein, can be achieved
if the ligands capable of binding to a target receptorof the β-OG binding site. The purpose of this study is
to deploy 308 commercial cyclic peptide ligands thatwent into molecular docking simulation. In the end,
4129 poses of the ligands were obtained.
Furthermore, we selected 487 poses, that have better
binding value than the others, and proceed into
‘Calculate Binding Free Energy’ process. The freebinding energy value (ΔGbinding) of the commercial
cyclic peptide was expected to have a negative value
and lower than the standard ligands (the β-OG
compound, Yennamalli R1, and Kampmann A5).
Free binding energy is associated with the binding
affinity between ligand and receptor and can be
determined the stability of ligand-protein complexes.
To find a ligand that able to inhibit β-OG pocketbinder, this ligand must have a better interaction withthe binding site of β-OG pocket, in terms of binding
energy and molecular interaction. So, this ligand canbe utilized as a novel compound to inhibit the DENV
envelope protein.

From the molecular docking simulations results, it
showed that β-OG ligand can interact with 3 residues(Ala50, Gln271, and Thr280) in the β-OG pocketbinder. It can be concluded that the three residues are
the main residues of the β-OG binding site, thevisualization of the β-OG ligand with its binding sites
can be seen in Figure 1. The interaction can be shownby using Accelrys Discovery Studio 4.1 Visualizer.
The virtual screening of 308 commercial cyclic
peptide ligands yields ten best ligands that have abetter interaction and binding affinity than thestandard ligands. The results of the ΔGbinding
calculations and the inhibition constant of the ligands
can be seen in Table 1.

Table 1. The Results of Binding Free Energy
Calculation and Inhibition Constants
Ligands∆G binding(Kcal/mol)

Inhibition
Constant(Psi)
21.7062

Acetyl-(N1e4, Asp5, D-29.7963
2Na17, Lys10-cycloαMSH (4-10) amide
Cyclo(-Arg-Gly-Asp-D-27.0986
19.7409
Phe-Val)Acetyl(n1e4, Asp5,-26.8260
19.5423
Dtyr7, Lys10)-cyclo-αMSH (4-10) amide(D-Cys6, Asn7, D-26.2073
19.0916
Ala11, Cys14)Bombesin (6-14(Arg8)-Deamino-24.4771
17.8312
Vasopressin
Desglycinamide
Cyclo(-D-Trp-Tyr)-23.7543
17.3046
Cyclo(-Arg-Gly-Asp-D-23.0906
16.8212
Phe-Lys)
Cyclo(-Gly-19.3360
14.0860
Tyr(PO3H2)-Val-ProMet-Leu
Bremelanotide-19.1494
13.9500
Felypressin-17.7451
12.9270β-OG-14.2837
10.4055
Kampmann-7.84415.7143
Yennamalli R1-2.68631.9569*Note: Bold ligand indicates standard ligand

In silico prediction of pharmacological andtoxicity properties of ligands

Fig. 1This study aims to find new drug candidates, so it
is very important to know whether ligands that havepassed the screening has good pharmacologicalproperties. This can be reached by obeying into
Lipinski's Rules of Five. This rule specificallyevaluates the oral drug administered into the body[17]. The virtual prediction of pharmacologicalproperties can be done either by offline or online
softwares. One of the software that is frequently usedin this field is Osiris Property Explorer, which can beaccessible
onlineat
http://www.organicchemistry.org/prog/peo/. The results of these tests canbe seen in Table 2.

Visualization of Interaction between β-OG
with Envelope Protein

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SEE-Osaka, Japan, Nov. 21-23, 2016

Cyclo(-Gly-Tyr(PO3H2)-Val-Pro-Met-Leu) andscore below 0.70. Besides, the molecular weight ofFelypressin ligands cannot be tested by the Osiris
the cyclic peptides tends to be above 500 Da andProperty Explorer software because it cannot read therelatively have a large size, except for Cyclo (-D-Trpligand structure perfectly. Based on the results inTyr), which led to poor drug score results based on
the molecular weight indicators and Total Polar
Table 2, only Cyclo(D-Trp-Tyr) that has drug scoreabove 0.70, while the rest of commercial cyclic
Surface Area (TPSA).
peptide ligands and standard ligands have a drug`
Table 2. Pharmacological property prediction by using OSIRIS Property Explorer
LogP

Solubility

MW

TPSA

Druglikeness

Drug
score

-0.56

-6.88

1073

382.20

-3.99

0.09

-2.30

-1.94

574

244.70

7.09

0.63

-2.99

-4.81

1039

402.40

-2.60

0.12

-3.97

-5.08

1012

440.005.78

0.37(Arg8)-Deamino Vasopressin
Desglycinamide

-2.59

-4.25

1012

451.10

-0.70

0.28

Cyclo(-D-Trp-Tyr)

1.53

-3.32

349

94.22

6.98

0.84

Cyclo(-Arg-Gly-Asp-D-Phe-Lys)
Cyclo(-Gly-Tyr(PO3H2)-ValPro-Met-Leu)
Bremelanotide

-4.66

-1.89

603

270.70

4.86

0.60

-3.69

0.19

LigandAcetyl-(Nle4, Asp5, D-2-Nal7,
Lys10)-cyclo-α-MSH (4-10)
amide
Cyclo(-Arg-Gly-Asp-D-Phe-Val)
Acetyl-(Nle4, Asp5, DTyr7,
Lys10)-cyclo-α-MSH (4-10)
amide(D-Cys6, Asn7, D-Ala11, Cys14)Bombesin (6-14)

ND
-0.95

-5.20

1024

376.40ND

Felypressin
β-OG

1.28

-2.07

306

99.38

-23.030.46

Kampmann A5

7.97

-7.58

468

87.64

1.80

0.12

Yennamalli R1

5.03

-6.25

414

72.95

5.58

0.32

*Note: ND = not determined, MW = molecular weight, Bold ligand indicates standard ligand

In addition to the pharmacological properties, it isvery important to know the toxicity properties of theligand, such as mutagenic and carcinogenic
properties. In drug design and development,mutagenic and carcinogenic properties should be
avoided because it will give bad side-effects of thedrugs. One of the approaches that can be taken in the
toxicity test is QSAR (Quantitative StructureActivity Relationship). In this study, we determined
the ligand’s toxicity properties by using two kinds ofsoftware, which were Osiris Property Explorer andToxtree. The former one, besides from predicting the
drug-likeness properties, can be also deployed todetermine the toxicity properties of the ligand such as
tumorigenic, mutagenic, irritant and reproduction
effect. The prediction results of this test can be seenin Table 3. Based on the results, we observed that
Acetyl-(Nle4, Asp5, D-2-Nal7, Lys10)-cyclo-α-MSH(4-10) amide ligand has a tumorigenic risk while
Acetyl-(Nle4, Asp5, DTyr7, Lys10)-cyclo-α-MSH(4-10) amide ligand has a risk to be an irritant. It canbe seen also that the Kampmann A5 ligand has atumorigenic risk, and Yennamalli R1 ligand tends tobe irritants. Furthermore, the rest of the ligands,
includingtheβ-OG ligand,have good
pharmacological properties due to lack of tumorigenic,
mutagenic, irritant and reproduction effect properties.
Toxicity properties of these ligands can besearched further by using Toxtree v.2.6.6 software,
this toxicity test is based on Benigni-Bossa rule,
which stated that the ligand may potentially mutagen
or carcinogen if this ligand has the fragments that cancause mutagenic or carcinogenic, such as acyl
halides, haloalkane, epoxides, aldehyde, hydrazine,
alkyl/aromatic nitro, isocyanates and polyaromatichydrocarbons. Furthermore, there are two
193

SEE-Osaka, Japan, Nov. 21-23, 2016cancer by using a different mechanism other than the
genotoxic carcinogenicity. Along with the
carcinogenicity test, mutagenicity test was also
conducted, using the Salmonella typhimurium
bacteria as the indicator [18]. The result of this test
can be seen in Table 4.

carcinogenic parameters that can be used, they are
genotoxic and non-genotoxic carcinogenicity. While
the former one is based on the potential of thecompound to induce cancer by using the irreversible
mechanism in the genetic material, the latter one isbased on the potential of the compound to induce

Table 3. Toxicity prediction by using OSIRIS Property Explorer.
Toxicity Risk
LigandReproductive
EffectMutagenic

Tumorigenic

Irritant

No

High Risk

No

No

No

No

No

No

No

No

High Risk

No

No

No

No

No

No

No

No

No

Cyclo(-D-Trp-Tyr)

No

No

No

No

Cyclo(-Arg-Gly-Asp-DPhe-Lys)

No

No

No

No

Acetyl-(Nle4, Asp5, D-2Nal7, Lys10)-cyclo-α-MSH (4-10)
amide
Cyclo(-Arg-Gly-Asp-DPhe-Val)
Acetyl-(Nle4, Asp5, DTyr7,
Lys10)-cyclo-α-MSH (410) amide(D-Cys6, Asn7, D-Ala11,
Cys14)-Bombesin (6-14)(Arg8)-Deamino
Vasopressin
Desglycinamide

Cyclo(-Gly-Tyr(PO3H2)Val-Pro-Met-Leu)
Bremelanotide

ND
No

No

Felypressin

No

No

ND

β-OG

No

No

No

No

Kampmann A5

No

High Risk

No

No

Yennamalli R1

NoNo

Low Risk

No*Note: ND = not determined, Bold ligand indicates standard ligand

Finally, the ADMETox test was conducted todetermine the oral bioavailability, health effect,
maximum passive adsorption and Central Nervous
System (CNS) activity of the ligand. This test was
performed by using ACD/I-Lab software. We
selected four ligands ((Arg8)-Deamino Vasopressin
Desglycinamide, Cyclo(-D-Trp-Tyr), Cyclo(-GlyTyr(PO3H2)-Val-Pro-Met-Leu), and Felypressin) thathave better results than the rest of the ligands fromour previous tests. The results of this test can be seenin Table 5.

From this test, we can see that all ligands,
including the standard ligands, are not mutagenic,
whereas four out of ten ligands are predicted to be a
carcinogen. The reason why Acetyl-(Nle4, Asp5, D2-Nal7, Lys10)- cyclo-α-MSH (4-10) amide, Acetyl(Nle4, Asp5, DTyr7, Lys10)-cyclo-α-MSH (4-10)
amide, (D-Cys6, Asn7, D-Ala11, Cys14)-Bombesin(6-14), and bremelanotide ligands are predicted so
because they have imidazole or benzimidazole
fragments in their chemical structure. In addition,
Acetyl-(Nle4, Asp5, DTyr7, Lys10)-cyclo-α-MSH(4-10) amide ligand also predicted as a genotoxic
carcinogen. This is due to the aldehyde functionalgroup in the structure of Acetyl-(Nle4, Asp5, DTyr7,
Lys10)-cyclo-α-MSH (4-10) amide ligand.

Oral bioavailability can be defined as the rate andextent of a compound/substance that is absorbed byour body through oral delivery [19,20]. In this test,
the Cyclo(-D-Trp-Tyr) ligand has the highest oral
194

SEE-Osaka, Japan, Nov. 21-23, 2016

bioavailability (between 30% and 70%) while the restof the ligands have a low oral bioavailability (lower
than 30%). The similar results were occurred as wellin the health effect prediction, other than Cyclo(-DTrp-Tyr) ligand, the other three ligands have a highprobability to affected our internal organs. Hence,these ligands may have an undesirable side effect toour body when it is consumed.

Passive adsorption is a diffusion movement through asemi-permeable membrane from the highconcentration gradient into a low one. Unlike theactive transport, which requires energy or a carrier
protein, the passive adsorption does not requireenergy nor carrier to be able to penetrate the cell
membrane [21]. In this test, we can also see that the
Cyclo(-D-Trp-Tyr) ligand have a good passive
adsorption while the rest were completely unable topassively adsorbed into out body. Finally, based on
this test, all the ligands cannot penetrate the bloodbrain barrier, thus, they cannot interfere with the
CNS.

The active transport prediction can be also done inthis test, based on the chance of the ligand can be
carried by peptide transporter 1 (PepT 1) and apicalsodium-dependent bile acid transporter (ASBT)
protein. These proteins are the carrier protein that has
an important role in the active transport process. From
the result of this test, we discovered that there is noligand that can be carried by these proteins. In
addition to active transport, there is also another way
for the drug to be absorbed into our body by passing
through cell membranes, such as passive adsorption.

Based on all tests that we were conducted in thisphase, we discovered that the Cyclo(-D-Trp-Tyr)ligand has the best results among all. Thus, this ligand
will enter the final step of this study; molecular
dynamics simulation.

Table 4. Mutagenicity and Carcinogenicity Prediction by Toxtree software
QSAR-based
Carcinogenicity

Genotoxic
Carcinogenicity

Non-Genotoxic
Carcinogenicity

Potential Mutagenicity(on S.typhimurium)

No

Negative

Positive

No

Cyclo(-Arg-Gly-Asp-D-PheVal)

No

Negative

Negative

No

Acetyl-(Nle4, Asp5, DTyr7,
Lys10)-cyclo-α-MSH (4-10)
amide

No

Positive

Positive(D-Cys6, Asn7, D-Ala11,
Cys14)-Bombesin (6-14)

No

Negative

Positive

No(Arg8)-Deamino
Vasopressin Desglycinamide

No

Negative

Negative

No

Cyclo(-D-Trp-Tyr)No

Negative

Negative

No

Cyclo(-Arg-Gly-Asp-D-PheLys)

No

Negative

Negative

No

Cyclo(-Gly-Tyr(PO3H2)Val-Pro-Met-Leu)No

Negative

Negative

No

Bremelanotide

No

Negative

Positive

No

Felypressin

No

Negative

Negative

No

β-OG

No

Negative

NegativeNo

Kampmann A5

No

Negative

NegativeNo

Yennamalli R1

No

Negative

PositiveNo

LigandAcetyl-(Nle4, Asp5, D-2Nal7, Lys10)-cyclo-α-MSH (410) amide*Note: Bold ligand indicates standard ligand

195

No

SEE-Osaka, Japan, Nov. 21-23, 2016

Table 5. The result of the ADMETox test by ACD/I-Labs software

Parameters/
Ligands(Arg8)-Deamino

Cyclo(-GlyCyclo(-D-

Vasopressin

Trp-Tyr)

Desglycinamide

Tyr(PO3H2)-Val-

Felypressin

β-OG

Pro-Met-Leu)

Kampmann

Yennamalli

A5

R1

Oral Bioavailability<30%

30%-70%

<30%

<30%

30%70%

30%-70%30%-70%

Blood

100%

56%

98%

100%

36%

47%

31%

Cardiovascular
System

0%

84%

94%

0%

36%

86%

70%

Gastrointestinal
System

68%

84%

60%

89%

1%

97%

84%

Kidneys

100%

87%

92%

99%

10%

57%

52%

Liver

100%

89%

100%

99%

7%

15%

62%

Lung

16%

40%

93%

63%

8%

94%

47%

Active Transport

No

No

No

No

No

No

No

Passive Adsorption(Maximum)

0%

100%

0%

0%

100%

100%

100%

CNS Active

Inactive

Inactive

Inactive

Inactive

ActiveActiveInactive*Note: Bold ligand indicates standard ligand

In Figure 2, it can be observed that the interactionof hydrogen bonds from Cyclo(-D-Trp-Tyr) ligand
and DENV envelope protein were formed at two
different temperatures, at the normal bodytemperature (310 K) and at the fever bodytemperature (312 K), respectively. Furthermore, theCyclo(-D-Trp-Tyr) ligand still able to maintain thehydrogen bonds at the binding site residues (Gln271
and Gly275) in the both temperature. Theintervention of explicit solvent and temperature canchange the overall interaction of the ligand-protein
complex, including the hydrogen bonds. As we cansee in Table 6. The Cyclo(-D-Trp-Tyr) ligand wasable to maintain its hydrogen bonds with Gln271 and
Gly275 at both temperatures on molecular dynamics
simulation. However, it can be also seen at moleculardocking simulation that Cyclo(-D-Trp-Tyr) ligand
interacts with the Ala50, Gln200 and Lys202 residuesof DENV envelope protein. Although that wasslightly different, this indicates that the Cyclo(-DTrp-Tyr) ligand was able to inhibit binding sites of
DENV envelope protein at either normal or fever
body temperature.

Molecular Dynamics Simulation
In general, molecular dynamics simulation consistof three phases: initialization, equilibration, andproduction [22]. In the initialization phase, the solutesolute interaction is simulated to determine thecoordinate system of the complex, then, we proceed
into the equilibration phase, which is influenced by
the temperature (this step may be included with theheating process). Finally, the production phase isperformed to see the stability and molecularinteraction of the ligand-protein complexes under the
influence of solvent and temperature at the desirable
intervals, at this phase, the RMSD graph will beobtained, this graph is necessary needed to observe
the stability of ligand-protein complexes.
Furthermore, the molecular interaction from thedocking and dynamics simulation can be comparedeach other to determine their stability without andunder the influence of temperature, solvent, and time,
respectively.

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SEE-Osaka, Japan, Nov. 21-23, 2016

Table 6. Comparison of hydrogen bonding between the
Cyclo(-D-Trp-Tyr) ligand with DENV envelope protein inmolecular docking and molecular dynamics simulation
Docking simulations
Ala 50

Dynamics simulation(310K)
Gln271

Dynamics
simulations (312K)
Gln271

Gln 200

Gly275Gly275temperature, but it can still able to maintain its
interactions in the fever body temperature (due toslight RMSD difference between the twotemperatures). Additionally, the absence ofsignificant RMSD change between the twotemperatures indicates that the conformation of the
DENV envelope protein does not change
dramatically, so that the Cyclo(-D-Trp-Tyr) ligand
may disrupt the conformational change in the DENV
envelope protein that holds the key factor to thefusion process and DENV attachment to the hostcells.

Lys 202

CONCLUSIONS
The virtual screening of commercial cyclic peptide
compounds was made by in silico method to find anovel inhibitor of β-OG pocket binder in DENV-2
envelope protein. This research has screened 308
commercial cyclic peptide ligands through moleculardocking, computational ADMET test, and molecular
dynamics simulation. From the first phase, we
discovered that ten out of 308 ligands have goodbinding affinity on the β-OG pocket binder residues,such as Ala50, Gln271, and Thr280. Moreover, thecomputational ADMET test uncovered that Cyclo(D-Trp-Tyr) ligand is the best ligand, owed to its
pharmacological properties and low toxicity
prediction. This ligand was further analyzed for its
interaction with DENV envelope protein through 20
ns molecular dynamics simulation. The results are the
Cyclo(-D-Trp-Tyr) ligand formed a stable complex
with DENV envelope protein at normal (310 K) andfever body temperature (312 K), and able to maintainits interaction with the binding site of the β-OG
pocket binder residues. Therefore, we conclude that
the Cyclo(-D-Trp-Tyr) ligand is the best ligand
among all the commercial cyclic peptides to inhibit
DENV envelope protein. Thus, it can be viable to be
developed into a novel antiviral drug candidate
through in-vitro and in-vivo experiment.

Figure 2. 2D visualization of molecular interaction
between Cyclo(-D-Trp-Tyr) ligand with DENV envelope
protein in 310 K (A) and 312 K (B)ACKNOWLEDGMENT

Figure 3. RMSD graph of Cyclo(-D-Trp-Tyr) ligand with
DENV envelope protein

The authors would like to thanks Hibah Penelitian
Unggulan Perguruan Tinggi (PUPT) Dikti 2016 No:
1713/UN2.R12/HKP.05.00/2016. We also would liketo thank Directorate of Research and Community
Engagement-University of Indonesia (DRPM-UI) for
the Riset Unggulan 2016. Usman Sumo Friend
Tambunan and Arli Aditya Parikesit supervised thisresearch. Vincentia Cheryl Adam and Ratih Dyah
Puspitasari worked on the technical details.
Mochammad Arfin Fardiansyah Nasution was
writing the manuscript and added more relevant datain “Result and Discussion” section. Djati Kerami

In the molecular dynamics simulation, theinteraction between the protein and ligand can occur
in a solvent, then they can move dynamically. This
may lead to the changes in the complex conformation.
These changes can be observed from the RMSD
graph. From the Figure 3, we can see that there are no
significant difference between the two complex
conformation in the both temperature (310 K and 312K), although the protein-ligand complex tends to be
more linear or stable at 310 K. This means that the
Cyclo(-D-Trp-Tyr) ligand is more likely to form aligand-protein complex in the normal body
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SEE-Osaka, Japan, Nov. 21-23, 2016

gave important suggestion to improve our pipeline.
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Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

THE RELATION BETWEEN PREVALENCE OF APPLIED THAIMASSAGE AND CAUSE OF DISEASE: CASE STUDY WITH
THAI TRADITIONL MEDCINE.
Nittaya Putthumrugsa1, Benchawan Sopha2 and Kamolruth Na Nongkai3
Thai Traditional Medicine College, Rajamangala University of Technology, Thailand.

1,2,3

ABSTRACT
To find out the relationship between the prevalence of disease cure for the applied Thai massage andbio-social factors, through the cause and behaviors of disease and to be under the principles of Thai traditional
medicine. This project use Cross-sectional method by prospective studies from a sample of patients at the Clinicof Applied Thai Traditional Medicine College. The random sampling was used on 1552 patients of Applied Thai
Traditional Medicine College in 2007-2008 year,(every other group) at a confidence level of 99.7% according to
the Yamane theory. The 776 random patients were distributed to 3 groups(as per 3 illness seasons : Summer,
Winter and Rainy).All patients were interviewed and the general data was analyzed under the relationship between
the prevalence of applied massage and bio-social factors. By using Chi-square statistical analysis technic.
Result : Found the most of serviced patients got problems on backaches 42.4 % and neck shoulder
pains 39.3%, that both pains were impacted from the prevalence of gender, occupation, the four traditional
elements (Earth, Air, Fire & Water), age group, weather, period of day and causes of 5 diseases, work
characteristics, overwork, sadness, anger, and surroundings with a significance of ≤ 0.05.
Reccommentation : People should understand and take action in personal health care by correctly
especially meal and human practice in each people, in case knowledge require, they should learn from public healthcare staff that is based on the principles of Thai traditional medicine.
Keywords: Cause of disease, Applied Thai massage, Bio-social factors.
INTRODUCTION

prevent disease and rehabilitation.

A survey of National Statistical Office[7] in 2005,
Thais got problem of Diseases of the musculoskeletal
system and connective tissue such as Osteoarthritis,
Gouty arthropathy, myofascial pain syndrome, soft
tissue disorders etc., and Thailand imported drugs tocure the patients of Muscle aches ,Tendon andorthopedic surgery cost 1,706.020 Million baht
(Bureau of drug control, 2547)[3].Also doctors from
Bangkok Orthopedic Center[1] said there were manycause of Orthopedic surgery such as inborn,
infection ,accident the deterioration of the body andbehavior etc. The National economic and social
development Plan no. 10 “Green and HappinessSocity”.So we request to study The Relation between
Prevalence of Applied Massage and Cause of Disease
by Case Study at Applied Thai Traditional Medicine
Clinic Rajamangala University of Technology
Thanyaburi. The analysis by symptom of Applied
Massage compare age, sex, occupation, cause of
disease and behaviors of disease according to
the principles of Thai traditional medicine. This result
is used to development of the health services,

MATERIALS AND METHODS
Study Design
To be cross-sectional by prospective studies fromsampling of 1552 patients at the Clinic of AppliedThai Traditional Medicine.
Study population
The population were 776 patients of Clinic ofApplied Thai Traditional Medicine, Rajamangala
University of Technology, Thanyaburi. They weretreated with Thai traditional massage, They wereclassified to 3 groups as per their illness season(Summer, Winter, Rainy season). And then; They
The 776 patients were interviewed and their data
were analyzed on relationship between the prevalenceof applied massage and bio-social factors with
Chi-square statistical analysis.

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SEE-Osaka, Japan, Nov. 21-23, 2016

Tool :The Interview form content include :Demographic characteristic, Cause of illness,
Behavior, and Meal was used.This interview used
form is consulted and validated by specialist.

Table 1; Patients characteristic

characteristics
1. Sex2. occupation* P - Value ≤ .05

AnalysisOur Statistical data significance was set atprobability level less than 0.05 (p≤0.05) By thesedata were normal distributed, and the statistical wereused as followed:
1. Descriptive statistics explain demographic
characteristic in Percentage
2. Inferential statistics in Chi-square. That include
Tathu, Season, Age, Time, Source, and cause of thedisease.

,Pearson
ChiSquare
17.329131.513

PValue0.015*
0.000*

Table 2; Cause relation of illness

Cause of illness
1. Tathu Genesis
2. Age3. Season
4. Birthplace
5. Current address
6. Illness place
7. Time* P - Value ≤ .05

RESULTS
Demographics characteristics
All of 776 patients were :- Sex : 64.7 % female, 35.3% male.
- Occupation : 36.7% Public servant,17.5% trader,
14.7%worker, 14.0% monk 10.4% housewife, 4.8%
student, and 1.8% farmer respectively.
- Tathu Genesis : 36 %Fire, 23.3% Air, 23.1%
Earth and 17.7% Water.
- Age cause : 87.8% Final period of life(over 32
years old), 12.0%Middle-aged(16–32 years old) and
0.3%Childhood(infant–16 years old).
- Seson : 43.4% Summer, 35.7% Rainy and 20.9%
Winter.
-Born:79% CentralRegion,8.5%North, 7.1%
Northeast and 5.4% South.
- Habitation while illness : 99.2%Central Region,
0.4%North, 0.3%Northeast and 0.1 %South.
- Illness duration : 36.7% at 02.00 – 06.00 PM.
and 02.00 – 06.00AM., 34.0% at 06.00 – 10.00AM.
and 06.00 – 10.00PM., and 29.3% at 10.00 AM. 14.00PM. and 10.00 PM – 02.00 AM-Manner : 69.3% take Starchy foods, 53.5%
Normal life style, 48.1.% eat three meals 3 on time,
40.5% food tasteless , 33.1%sit at long time.
-Illness : 42.4 % Backpain, 39.3% Neck pain andUpper back pain, 8.1% Knee ache, 3.2% Ankle pain,
1.9% Paralysis, frozen shoulder and trigger finger
were equal 1.8%, and got 1.4% pains and aches.
-The patients got 57.5% 1 Tathu abnormality,
40.9% 2 Tathu, abnormality and 1.7% 3 Tathu
abnormality.

Pearson
ChiSquare
54.84933.81828.98827.476
13.66316.82830.2110.000*
0.002*
0.010*
0.156
0.884
0.721
0.007*

PearsonChi-Square
78.07716.29014.34421.04453.95937.09142.84837.21547.47555.7947.099
47.56721.32718.952526.085

PValue0.000*
0.269
0.424
0.101
0.000*
0.001*
0.000*
0.016*
0.001*
0.001*
0.419
0.000*
0.094
0.167*0.000

PValueTable 3; Behavior
Behavior
1. Job description
2. Drinking water
3. Drinking alcohol
4. Drink tea or coffee
5.Rest
6. Work overload
7.Sad
8.Angry
9.Temperature
10. Exercise
11. Defecate
12. Restrain feces
13. Urine
14. Restrain urine
15. Abnormal of Tathu* P - Value ≤ .05
Table 4; Meal
Meal
1. Mealtime
2. taste of food
3. carbohydrate
4.protein
5. Fried foods
6. Meal bitter
7. Meal sour
* P - Value ≤ .05

Summarize of The Relation between
Prevalence of Applied Massage and Cause of Disease
study data :200

PearsonChi-Square
21.56692.05724.77736.61860.41762.32323.947

P - Value
0.088
0.000*
0.037*
0.001*
0.000*
0.000*
0.046*

SEE-Osaka, Japan, Nov. 21-23, 2016

REFERENCESDISCUSSION
Most patients have 64.7% Tathu genesis andseason of illness were Fire element , 87.0% age of
illness, 36.7% time of illness and 99.3% Country ofillness were Air element.Then Tathu 4 was related inprevalence of applied Thai massage and cause of
disease and shown statistically significant difference(P ≤ .05),that the Fire element related to issue
catalysis in body. It was Shiranudkee. Shiranudkee
was degenerative catalyst.For Air element was
Angkamangkanusarevata that it effect with blood
circulation system.

[1] Prat Boonyawongvirote,MD.2006 .
Rheumatology International. Web site:
http://www.dtam.moph.go.th/alternative/news/
8 October 2006
[2] Ayurved Thamrong School . Thai Traditional
Medicine in the Faculty of Medicine
Siriraj Hospital. Supavanich Press, 767/3
Arunamarin Road. Bangkok[3] Bureau of drug control.2006. cost of annual
imports medicine 2004. by Pharmacological
http://drug.fda.moph.go.th/zone_bioequivalence/be.asp, 13 September 2006.
[4] Department for Development of Thai Traditionaland Alternative Medicine.2003.
The5th Conventional of Thai Traditional
Medicine and Nationl herb.The Institute Of
Traditional Medicine Ministry of Public Health.
Nonthaburi.
[5] Green, L.W. and M.W. Kreuter. (1991). Health
Promotion Planning; An Education andEnvironment Approach. Mayfield Publishing
Company, Toronto.
[6] Mehlum,Kjuus,Veiersted,&Wergeland(2006).Se
lf reported work related health problems fromthe Oslo health study.Occupational Medicine.
[7] National Statistical Office. (2005).Healthstatistics.Statistics patients in primary healthcare. 2001 -2005. Web site:
http://www.service.nso.go.th/nso/G_data23/data
23_4.html. 13 September 2006.
[8] Pender, N.J. (1987). Health promotion innursing praetice. 2nd ed. Appleton centurycrofts,East Norwalk.
[9] Somporn Putiyanan&Khesorn Nantachit. 2002.
Food Consumption Behavior and Traditional
Thai Medicine. Faculty of Pharmacy Chiang
Mai University, Chiang Mai.

CONCLUSION
42.4 % Backaches and 39.3% Neck andShoulder pains patients. They got abnormal on 1 tathu
from 42 tathu. And also related with tathu genesis andseason of diseases causes, age , time, weather,behavior of 8 diseases causes (such as: carbohydrates,
meat, bitter food, sour food, relaxation, work
characteristics, overwork, sadness, anger, bodytemperature, exercise, suppression of bowel
movements and abnormalities in body systems) witha significance of 0.05. The samples of serviced
patients have good behaviors about health care. The
results of this study suggest an alternative for healthcare for public health care staff that is based on theprinciples of Thai traditional medicine.
Health personnel should promote the provisionof advice to the public in health care. Tathu, Season,
Age Time,Clime and Appropriate behavior.
FUTURE STUDY
The study primary health care compare withThai traditional medicine theory.

201

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

ETHICS ON SOCIAL NETWORKING: A PRELIMINARY SURVEY IN
THAILAND
Lachana Ramingwong and Sakgasit Ramingwong
Department of Computer Engineering, Faculty of Engineering, Chiang Mai University, Thailand

ABSTRACTThe rapid growth of social networks and their users has been phenomenon. This brings numerous changes ineveryday life, both positively and negatively. Ethics have become a major growing challenge in this area.
Sensitive issues such as privacy, impersonation and cyberbullying are increasingly causing more damage to thecommunity. This research reviews ethical issues on social networks. It also reports results from a survey on themost anticipated ethical concerns from the viewpoints of undergraduate students from Chiang Mai University,
Thailand. Lost of privacy, misinformation and impersonation are anticipated as the worst ethical misconducted.
Keywords: Social networking, Ethics, Risks, Survey

INTRODUCTIONETHICAL
ISSUES
NETWORKING

It is estimated that there are approximately 2.2
billion social network users worldwide in 2016 [1].
Compared to the past decades, this technology has
brought numerous changes to global community [2],along with the rapid growth of smartphone users.
Although social networking brings numerous
benefits, it also represent an increasing number ofinevitable risks [3].
There were more than 44.6 million Internet users
In Thailand in 2014 [3]. This was roughly 65.7% of
the total population of 67.9 million. The mostpopular social networking platform is Facebook withthe total of 30 million active users. YouTube, twitterand Instagram are also well-known amongst theThais with the total users of 26.2, 4.5 and 1.7 million,
respectively. This high number of users are related
to a number of undesirable ethical incidents which
can also happen in other countries.
This research focuses on ethical risks which arise
from the use of social networking. It identifies 15
sensitive issues, i.e. loss of privacy, identity theft,phishing, misinformation, malicious software,cyberbullying,hacking,piracy,plagiarism,
spamming, trolling, clickbait, inappropriate contents,
witch hunting and disagreement lacking dialectic. It
discusses the characteristics and impacts of theserisks based on cases from the use of social networks
in Thailand, a developing Southeast Asian country.
It also report results of a survey on the perceptions
towards them from undergraduate students from
Chiang Mai University.
The second section of this paper discuss ethicalissues in social networking can cases in Thailand.
The survey methodology and results are represented
in the third section. Then, the fourth section discuss
the results. Finally, the fifth section concludes thepaper.

ON

SOCIAL

It is undeniable that there are risks from the useof social networking. This research mainly focuseson ethical risks which have impacts on individuallevel.
A. Loss of Privacy
Loss of privacy is arguably the most anticipatedrisks during the recent years. This can surface fromvarious situations, such as leakage of personal
information from the providers, either intentionallyor deliberately. Emerging technologies such as theuse of geolocation also adds the vulnerability to theusers [4]. As a result, the social network users areleft vulnerable from unsolicited acts. Advertisement
is one of the most common form of unwelcome
approach from loss of privacy [5]. Yet, it mostly
provides minor disturbances. On the other hand, lossof privacy could lead to other more serious problems
such as identity theft or social engineering which
could lead to major loss of social status, money orlife-threatening cases.
Thai Netizen Network reported that several
privacy issues recently took place in Thailand [6].
For example, in 2013, an online payment system
accidentally leaked the email list of its customers. In
addition, there were cases that some companies
disclosed their customer’s information to theirpartners, resulting in involuntary activities. Leaked
information from unprotected online databases orsystems were also reported [6].

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SEE-Osaka, Japan, Nov. 21-23, 2016

is incorrect, either intentionally or unintentionally. It
is literally an upgraded version of traditional hoax
with additional bad intentions. Spreading of
misinformation lead to misconception towards
knowledge, individuals, or perceptions. Social
network users are vulnerable to misinformation
since sharing them can be done very easily. Without
careful considerations, misinformation from friends,
networks or well-known sources can be quickly
perceived as authentic. This deteriorates publicknowledge as a whole. Unfortunately, spreading ofcorrective information seems to be slower.
In Thailand, despite there is a law against
spreading of false information, misinformation iscommonly circulated in social networks. Basichoaxes like ‘using something to cure some disease’or ‘something cannot be eaten along with something’cases are there. The more serious misinformation isused for political intentions and this leads to major
breakdown in general community.

B. Impersonation
Impersonation or identity theft is an online
mimicry of a person for indecent reason. Actually,
this can be easily and very quickly done without
gaining authentic information from the real users.
Indeed, with appropriate information, identity theftcan be even more convincing. Being a victim ofidentity theft leads to loss of money or compromised
security [7].
There are a number of impersonation cases inThailand. The objectives of this misbehavior varyfrom comedic to criminal. A wide range ofimpersonate identity is also found [8]. There havebeen cases which criminals fake identities ofcelebrities, businesspersons or government offers fora mass fraud. For example, there are more than 50
fake Facebook pages for a businessperson who isfamous in lucky draw activities. Some of them edit
their profile pictures so they are looked like averified identity. Interestingly, some of them havemore than 150,000 followers. These fake pages
usually make the people believe that they somehow
won a lucky draw and need to transfer a small
amount of money to certain accounts to verify
themselves [9].

E. Malicious Software
Viruses, worms, spywares and other forms ofmalicious software can cause damage to computer
systems. Preventing selves from this unethical act
can be complicated since new malicious software arereleased endlessly. More than 400 million malicious
software elements were discovered in 2015 [11].
Amongst these malicious software, the latest form ofattack is arguably the “ransomware” and it has
recently become a major problem to the community[12].
There have not been reports on major malware
cases in Thailand. However, attacks on individuallevel are found everywhere.

C. Scamming and Phishing
Scamming and phishing involve online mimicrysimilar to impersonation. However, instead of animpersonation, this case escalates to the level of abusiness entity. In general, scamming and phishing
can be seen in the form of a fake website or businesscontact which is directly copied from the authentic
source. The offered appearance and feeling of the
fake and the real services are indifferent. The only
noticeable inconsistency is usually the URLs of thephishing sites which would slightly deterred fromthe genuine ones.
Online banking is one of the main target for
scamming and phishing in Thailand. There havebeen reports on phishing sites which is visually aduplication of the authentic ones [10].

F. Cyberbullying
Cyberbullying is the abuse of social network tohumiliate, harass or threaten another person [13].
Generally, this happens to younger persons andusually results in the victims’ deteriorated
psychology. Serious cases of cyberbullying can leadto violence or even suicidal acts. Related
misbehaviors, such as racism and sexism, may also
be considered as cyberbullying in a broader context.
A report indicated that 35% of Thai youths
involve in cyberbullying, either the actors or thevictims [14]. Fortunately, no serious cases oncyberbullying have been yet reported. Nevertheless,this figure shows an alarming potential of this risk

D. Misinformation
News and information circulate and penetrateextremely quickly in modern social networks.
Misinformation denotes news and information which203

SEE-Osaka, Japan, Nov. 21-23, 2016

In Thailand, it is reported that the seriousness ofplagiarism is well aware in the academia. However,
due to certain excuses, such as language proficiency
or imminent deadline, it is still conducted by anumber of people [18]. Detection systems has been
implemented in many higher study institutions withan intention to reduce this problem [19].

and highlights how quickly it should be mitigated.

G. Hacking
Hacking and other forms of technical attacks cancause major damage to computer systems. It could
happen to anyone or any organizations. A number ofhacking tools is distributed around the Internet sobasic hacking, such as dictionary attack, can be
performed rather easily without real technicalknowledge. Serious incidents such as the hacking ofmajor networks have been reported during the recent
years [15]. These led to many related ethical risks.
Major hacking incidents also periodicallyaffected Thailand. Recently, a group of Internet
users showed dissident against a government policy
by attacking several legislative websites [16]. The
attack was, in fact, performed by the most basic
action, i.e. normal but repeatedly refreshing of thewebsites. However, when this is done withvoluminous users, it became a major distributed
denial of service (DDoS) attack which ultimately
crashed the systems. This shows the vulnerability ofthe systems and databases run by the government.

J. Spamming
Generally, the main objective of spamming isadvertising. Apart from spam email which has beenrather common since the beginning of the Internet,
spamming on social network is increasingly
committed. Unlike other ethical misconducts,
spamming does not directly result in serious
consequences. Most of the time, it is considered as
an online nuisance. However, spamming cansometimes involve malicious software which further
cause problems to the users.
There has been no reports on serious case fromspamming on social network in Thailand. Yet,arguably the most impactful scenario is the
spamming of chain marketing network which resultin loss of money, time and opportunity.

H. Piracy

K. Trolling

The nature of sharing on the Internet usuallycause violation in intellectual property rights.
Certain download services, peer-to-peer protocols
such as BitTorent are major threats to the copyrights
owners.
It has been reported that software piracy is stillcommon [17]. The use of unauthorized contents
does nothing but damages to innovation industries.
Rates of illegal software installation in Thailand
is gradually declining [17]. Yet, the rate of 69%
illegal installation is still unacceptable. There arealso a widespread of unauthorized content sharing
amongst social networks and other online services
which periodically leads to arguments on the society.

Trolling is an act of ignorance users who intend
to incite the online community. Usually this iscommitted just for a pleasure. However, it ispossible that the agitated conversation can lead tobroader level of arguments and resulting indisharmony amongst the related users. It is reported
that trolling can be found more easily on social
networks which do not require real identity, such as
Twitter [20].
Trolling is common in popular Thai websites.
Many times, it caused commotions in thecommunity. General successful trolling subjects in
Thailand involve political views, academic institutes,
sports, and celebrities.

I. Plagiarism

L. Clickbait

Plagiarism is the act of taking certain contents
and use them as own idea without a proper citation.
It has been considered as one of the worst
misconducts in academic society. With the current
Internet technology and the enormous resources ofknowledge, it is increasingly convenient to commit aplagiarism.

Clickbait has recently been a technique to lureusers to visit certain websites. It usually appears as alink with a very intriguing but incomplete name.
After the user clicked the link, he or she will find anumber of advertisement with the shallow or, manyof the time, plagiarized contents. It is highly possiblethat clickbait may be associated with malicious

204

SEE-Osaka, Japan, Nov. 21-23, 2016

lacking dialectic do not end well with mutual
agreements but rather loose ending arguments.

software and consequently harm the users.
Clickbait has become an increasingly popularmarketing technique in Thailand. It is astonishing tofind that a clickbait website successfully became thesecond most visited websites of Thailand during theearly of 2015 [21].
M. Inappropriate Contents

PERCEPTIONS ON ETHICAL ISSUES FROMUNDERGRADUATE STUDENTS, CHIANG
MAI UNIVERSITY

Inappropriate contents involve pornography,
vandalism, violence, gambling and etc. which are
deemed unsuitable to certain group of users orcultures. Obviously, these contents are spreading
around the Internet and social networking sites.
Installing certain mechanisms can partly help
preventing such access. However, tools such as
virtual private network can still allow users toretrieve inappropriate contents.
The Royal Thai Government has installed anational firewall which protect users against
browsing to certain websites [22]. Yet, its
effectiveness is still doubtful since a large number of
inappropriate websites are still accessible.

To study the perceptions towards the ethicalissues, a survey was conducted in Chiang Mai
University. Three hundred and eighty seven
undergraduate students who enrolled in the “Internet
and Online Community” elective course participatedin the study. The students were from various
faculties and various study years. All of them werefamiliar to social networking and major online
services.
Loss of privacy
Misinformation
Impersonation
Scamming
Witch Hunting
Hacking
Disagreement
Plagiarism
PiracyMalwareTrolling
Cyberbullying
Clickbait
Inapp. Contents
Spamming
Other

N. Witch hunting
Online witch hunting is a social trial on certain
entity. It is similar to cyberbullying but with a larger
group of accuser and virtually stronger consequence.
Witch hunting is usually based on bias, agitation,
speculation, or misinformation. Innocent persons canbe wrongfully condemned from this unethicalactivity. Recent cases of witch hunting led to major
false allegation on impeccable victims [23].
In Thailand, there have been cases on online
witch hunting which involve personal behaviors,
accidents, crimes and different political views [24].
Some of them lead to social sanction to certain
persons or organization while some of them later
judged not guilty by the court of laws.

19.85%
14.43%
13.40%
9.28%
7.99%
7.22%
6.19%
4.90%
4.12%
4.12%
3.09%
2.32%
2.06%
0.77%
0.26%
2.32%

Fig. 1 Percentage of worst ethical misconduct
perceived by undergraduate students from Chiang
Mai University, Thailand.

O. Disagreement Lacking Dialectic

Prior to the survey, the students joined a lecture
on online ethics. All fifteen ethical issues in theprevious section were discusses along with their casestudies. After the session, the students were asked to
identify their perceived worst ethical misconduct
and reasons. Fig. 1 lists the ranked percentage
summary of the answers. It is important to note thatseven of the feedbacks contains more than one
ethical issues therefore each item is counted as one
separated feedback, resulting in a total of 397
feedbacks.
It can be seen from Fig. 1 that the worst
perceived ethical misconduct is, not surprisingly, theloss of privacy. The participated students reveal that

Disagreement lacking dialectic is an intensified
version of online arguments. Unlike witch hunting
or cyberbullying, this ethical issue involves a disputeof at least two parties who have completely different
perceptions on the same subject and they are notlistening to each other’s opinion.
Disagreement lacking dialectic is commonly
found in Thailand’s major social network websites.
Recently, the main debate revolves around politicalparties, celebrities, religions and spirits, and trendy
events. It is unfortunate that most disagreement205

SEE-Osaka, Japan, Nov. 21-23, 2016

they fear that, especially according to case studies,
the leak of their personal information can lead toseveral misfortunes. One of the major concern on
this issue is the risk may not be caused by the users’
careless but from the involuntary change in theproviders’ policy. Some of them also indicated thatthey were surprised to learn that normal social
activities, such as posting status or photos withgeolocation information, can unfortunately be used
to initiate serious crimes.
Misinformation is ranked as the second worst
ethical issues in social networking. This unexpected
finding reflects the growing concern on abusing ofsocial networks in Thailand. Two major scenarios in
misinformation are specially denoted from thefeedback. Firstly, the fault information on daily
activities, especially on foods or medicines, such as
the use of Formaldehyde for food preservation
without evidence, may lead to major misconception.
This, most of the time, can affect related businesses.
A serious cases of this, such as a fault advertisement
on weight-loss drugs, could lead to life threatening
scenarios. The second misinformation case is related
to politics. This exposes the current major unstable
politics in Thailand where misinformation become
an efficient tool to condemn the oppositions. More
importantly, this case can be very detrimental
because they are mostly created deliberately. The
students were especially concern that social
networks help spreading these cases of
misinformation very quickly and widely.
The third and the fourth misconducts are related
and may be even considered as the same issue fromsome perspective. If being counted together,impersonation and scamming will be ranked themost concerned ethical issue instead of loss ofprivacy. Yet, in this research, they are separated
based on their practices. Impersonation, as a
mimicry of a person, is perceived by the students as
the third most serious misbehavior. Students
commented that due to the ease of acting as anotherperson on the social network, this risk is extremely
apprehensive. The fact that it takes only minutes toalmost perfectly duplicate an account makes themrealize this imminent threat. On the other hand,
scamming and phishing take considerable more
efforts to make themselves credible. Students also
indicated that it seems to be slightly easier to notice
the unauthentic elements of these fraud. This
includes suspicious URLs, emails, phone numbers orother means of contact.
Witch hunting is ranked fifth on the list. The
participants denoted that the judging on other people
by community bias is unacceptable. Some of them
added that the result of witch hunting can beenormous to the victim, therefore, it is best to refrainfrom such actions. If inevitable, the students insisted

that they will need information from various
stakeholders before making the decision.
The sixth ethical issue, hacking, is a top
concern for more than 7% of the participatedstudents. Many of them reported that they fear of
hacking because they feel this threat is out of theircontrol. Yet, some of the students learnt that one of
the easiest but effective basic mitigation towards
hacking is the strength of their password and how
easy the dictionary words can be hacked.
Disagreement lacking dialectic has been acommon source of online arguments in Thailand. It
is ranked ninth in this research. The students agreed
that bias from different backgrounds or different
perspectives can exacerbate the disagreement. Thisultimately leads to disruption in the community. Few
students suggested that such threat is best mitigatedby disregarding the entire scenario. On the other
hand, some other students argued that they would try
to learn from all perspectives and support the mostrational side of the argument.
Plagiarism is the tenth ranked ethical concern inthis research. Several students admitted that they justrealized the impact of plagiarism and why it isdeemed unacceptable in the international level fromthe lecture. As a result, they promised not to commit
this action and will help spreading the appropriate
action against this case to their networks.
Other ethical issues were considered the worst
misconduct by comparatively less students than the
aforementioned items. Yet, it is undeniable that allof them can bring serious consequences and should
all be mitigated. Apart from the previously discussed
items, the students also proposed that some otherissues, such as dishonesty and lack of moral
judgment, could lead to undesirable outcomes.
DISCUSSION
The results of the survey depict how a group of
Thai students perceived risks that came with the useof social networks and how significant those issues
are to them. Loss of privacy, misinformation andimpersonation, scamming and phishing are ranked
on the top. The case studies on these issues can befound more often from news media including social
media. When it became viral or spreads out on social
networks, people feel its presence, and start torealize that these types of threats exist. Once thesimilar cases are speared on their social network
feeds, they start to perceive its seriousness andsignificance of the problems. Because the negative
effects of these issues to other individuals involved
are usually made public on social networks, people
can relate those effects to what may have happened
to themselves if they come across such the cases.
That makes them feel more vulnerable to those206

SEE-Osaka, Japan, Nov. 21-23, 2016

threats and lead to them relate to those issues morethan the others.
On the contrary, witch hunting, hacking,disagreement lacking dialectic, plagiarism, piracy,
malware, trolling and cyberbullying are the issues
that mostly effects on particular groups of people
such as political support group, sport fan group andusers of the website. People who are not a part ofsuch groups are unlikely to be affected. Therefore,
the chance for them to realize the trouble of theseissues are less than the issues listed on top.
Moreover, the participants who took this survey are
students whom may not have experience with witch
hunting, hacking or disagreement lacking dialectic.
Clickbait, inappropriate contents and spammingare not considered the worse issues because theeffects of the issues are not as serious as the others.
Some people does not realize what appears on theirsocial page as a spam or inappropriate. They rather
get used to it or does not feel the appropriateness.
Clickbait is not much of a big problem similar to
spamming when a person does not feel it is aproblem. Those who click through did because they
were interested in what they see or read. So they arelikely to accept the consequence.

[4] Armerding T, “RSA: Geolocation Shows Just
How Dead Privacy Is,” CSO, 2016. [Online].
Available:
http://www.csoonline.com/article/3040374/secu
rity/rsa-geolocation-shows-just-how-deadprivacy-is.html. [Accessed: 13-Jun-2016].
[5] Tucker CE, “Social Networks, Personalized
Advertising, and Privacy Controls,” J. Mark.
Res., vol. 51, no. 5, pp. 546–562, 2014.
[6] Thai Netizen Network, “Online Privacy
Violation in Thai Community,” 2014.
[7] S. Hinde, “Identity Theft: Theft, Loss andGiveaways,” Comput. Fraud Secur., vol. 2005,
no. 5, pp. 18–20, 2005.
[8] Thairath Online, “Impersonation: It Can be
Easily Done Online. Is This True?,” Thairath
Online, 06-Aug-2014.
[9] Komchadluek Online, “Warning on 21 Fake
‘Ichitan’ Facebook Pages,” Komchadluek
Online, 31-Mar-2016.
[10] Siam Commercial Bank, “Beware of Phishing,”
Siam Commercial Bank, 2016. [Online].
Available:
http://www.scb.co.th/en/aboutscb/phishing-mail. [Accessed: 13-Jun-2016].
[11] Symantec, “2016 Internet Security Threat
Report,” 2016.
[12] Trend Micro, “Ransomeware One of theBiggest Threats in 2016,” Trend Micro, 2016.
[Online].
Available:
http://blog.trendmicro.com/ransomware-one-ofthe-biggest-threats-in-2016/. [Accessed: 14-Jun2016].
[13] Bastiaensens S, et. al., “Cyberbullying on Social
Network Sites: An Experimental Study into
Bystanders’ Behavioural Intentions to Help theVictim or Reinforce the Bully,” Comput.
Human Behav., vol. 31, pp. 259–271, 2014.
[14] DTAC
Insight,“The
Spreadingof
Cyberbullying: An Online Threat,” Brand
Buffet,2016.
[Online].
Available:
http://www.brandbuffet.in.th/2016/02/cyberbull
ying-dtac-internet-behavior/. [Accessed: 14Jun-2016].
[15] Broder JM, “Hacking Inquiry Closes With
Mystery Unsolved,” The New York Times, 18Jul-2012.
[16] BBC News, “Thai Government Websites Hit byDenial-of-Service Attack,” BBC, 01-Oct-2015.
[17] Business
SoftwareAlliance,“Seizing
Opportunities Through License Compliance:
BSA Global Software Survey,” 2016.
[18] Charubusp S, “Plagiarism in the Perception ofThai Students and Teachers,” Asian EFL J. Prof.
Teach. Artic., no. 87, pp. 61–81, 2015.
[19] Nagi K, “Plagiarism in Education and What We
Can Do About It,” Nation Multimedia, 2012.
[20] Edwards J, “One Statistic Shows that Twitter
Has a Fundamental Problem Facebook Solved
Years Ago,” Business Insider UK, 17-Apr-2015.

CONCLUSION
The survey result reveals that the participatedundergraduate students believed that loss of privacy,
misinformation and impersonation are as the top
most serious ethical issue in social networking.
Issues ranked from the fourth place down to thefloor include scamming and phishing, witch hunting,hacking, disagreement lacking dialectic, plagiarism,
piracy, malware, trolling, cyberbullying, clickbait,
inappropriate contents, spamming, respectively. It isinteresting to repeat this survey in a boarder
population and diverse culture, which will reflect theperceptions of the more general social network users.
REFERENCES[1] Statista, “Number of Worldwide Social
Network Users 2010-2019,” Statista, 2016.
[Online].
Available:
http://www.statista.com/statistics/278414/numb
er-of-worldwide-social-network-users/.
[Accessed: 07-Jun-2016].
[2] Mao J and Shen Y, “Cultural Identity Change inExpatriates: A Social Network Perspective,”
Hum. Relations, vol. 68, no. 10, pp. 1533–1556,
2015.
[3] Digital Advertisting Association of Thailand,“Thailand Social Media Landscape,” Digital
Advertisting Association of Thailand, 2014.
[Online]. Available: http://syndacast.com/wpcontent/uploads/2015/01/Thailand-SocialMedia-Landscape.pdf. [Accessed: 07-Jun-2016].
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SEE-Osaka, Japan, Nov. 21-23, 2016[21] Truehits.net, “Truehits Statistics,” Truehits.net,
2015. [Online]. Available: http://truehits.net/.
[Accessed: 14-Jun-2016].
[22] Technology Crime Suppression Division,“TSCD: Technology Crime Suppression

Division,” Technology Crime Suppression
Division,
2016.
[Online].
Available:
http://www.tcsd.in.th/. [Accessed: 14-Jun-2016].
[23] BBC News, “Reddit Apologises for Online
Boston ‘Witch Hunt,’” BBC, 23-Apr-2013.

208

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

RUTHENIUM BIS-BIPYRIDINE COMPLEXES WITH N-BENZOYLN'-(1,10-PHENANTHROLIN-5-YL)THIOUREA AS AN OPTICAL pH
SENSOR
Siew San Tan1, Norhashimah Bt. Ramli2 and Mohammad B. Kassim 1,3
1

School of Chemical Sciences and Food Technology, Faculty of Science and Technology, Universiti
Kebangsaan Malaysia, 43600 Bangi, Selangor, Malaysia.
2
Center for Research and Instrumentation Management, Universiti Kebangsaan Malaysia, 43600 Bangi,
Selangor, Malaysia.
3
Fuel Cell Institute, Universiti Kebangsaan Malaysia, 43600 Bangi, Selangor, Malaysia

ABSTRACT: pH is a measurement that eventually relates to environmental, biological, chemical andindustrial activities. The optical pH sensing technique based on the absorption and luminescence activities
offers a better thermal performance and faster response time. Ruthenium based optically active complexes
are suitable for optical pH devices, due to their long-lived metal-to-ligand charge transfer excited states andstrong luminescence at ambient temperature. A [Ru(bpy) 2 (phen)-nBT)](PF 6 ) 2 {bpy= 2,2'-bipyridine, (phen)nBT= N-benzoyl-N'-(1,10-phenanthrolin-5-ly)thiourea was synthesized and characterized by elemental
analyses, mass spectrometry, infrared, ultraviolet-visible, and nuclear magnetic resonance spectroscopy. The
absorption and luminescence spectra of the complex vary with pH changes. We observed a bathochromic
shift in the absorption and emission bands as the pH increases. Higher luminescence intensity and lifetimes
were exhibited for acidic solutions, while there is a red shift in the absorption and luminescence bands inbasic medium. This was attributed to a decrease in the energy of the ligand based π* orbital, which stabilizes
the MLCT states. This complex exhibits a linear absorption and luminescence intensity response between pH
1 to pH 11. The absorption and emission results for optical pH sensing offer greater sensitivity and selectivity
and hence, can be applied to optical devices to monitor environmental pollutions from various chemical andindustrial activities.
Keywords: optical pH sensing, ruthenium polypyridyl, thiourea, luminescence, environmental
to determine the pH. Although they lack ofconvenience and handy detection, they offers
many advantages, such as small probe size, highsensitivity and accuracy. They are based on thevarying of physical behaviour such as calorimetricabsorbance and fluorescence, all of which use an
optical detector [2]. The development of optical
pH sensors has improved the response time as wellas the range of chemical compatibility compared to
pH paper and electrodes [3]. Ruthenium(II)polypyridyl complexes which have bipyridine or
phenanthroline moieties especially [4], have beenused extensively for optical pH sensors due to theirhigh photochemical stability, high molar
absorptivity and long luminescence time-resolved[5]-[6].
Herein, we report on the synthesis,characterization as well as the effect of pH on theemission and absorption spectra of the ruthenium
bis-bipyridine complexes with N-benzoyl-N'-(1,10phenanthrolin-5-yl)thiourea.

1. INTRODUCTION
pH plays a far greater role in our lives than werealized, that affects and enables chemistry
throughout our daily lives. pH is significantly
essential in pharmaceutical processing, food andbeverageprocessing,seawateranalysis,powerplant cooling water as well as determines therate of many industrial processes. Accurate
measurement of pH allows us to monitor and finetune chemical processes, protect the environment
and the living things within it. There are several
methods exist for pH sensing. The simplest andmost inexpensive is pH paper, in which paper isinfused with various indicator compounds thatchange colour in response to pH. They areconvenient but lack of accuracy and no highthroughput analysis [1]. Electrodes are the mostcommon pH sensor, using a milli-voltmeter withvery high input impedance to measure the potential
difference between hydronium-sensitive electrodeand reference electrode. However, they are often
salinity dependent and not compatible with all thechemical environments. Optical pH sensor is oneof the most promising method that use theinteraction of light with pH sensitive molecules,
for instance, ruthenium(II) polypryidyl complexes

2. EXPERIMENTAL
2.1 Materials and chemicals
All the chemicals used in this study were209

SEE-Osaka, Japan, Nov. 21-23, 2016

lifetimes, Ʈ𝒎𝒎 was obtained by dividing themeasured lifetime ( Ʈ𝒓𝒓 ) with the quantum yield.
Radiative (k r ) and nonradiative (k nr ) rate constants
were calculated using the Eq. 2 and Eq. 3 [10].

analytical-reagent grade and were used as received
without further purification. RuCl 3 .3H 2 O andlithium chloride were purchased from Merck. 1,10phenanthroline-5-amine and benzoyl chloride wereobtained from Fluka (Malaysia) and 2,2'bipyridine (bpy) was obtained from Aldrich
Chemical Co. Cis-Ru(bpy) 2 Cl 2 .2H 2 O was
prepared using published procedures [7].

𝒌𝒌𝒓𝒓 =

𝒌𝒌𝒏𝒏𝒏𝒏 =2.2 Spectroscopic Analyses

𝑰𝑰𝒓𝒓

ɳ𝟐𝟐
𝒓𝒓

𝟏𝟏

Ʈ𝒓𝒓

(3)

2.3.1 Synthesis of the ruthenium(II) bipyridyl withphenanthroline, cis-Ru(bpy) 2 (5-NH 2 phen).2PF 6
was
Cis-Ru(bpy) 2 (5-NH 2 phen).2PF 6
synthesized according to previously reported
literature methods [11], with some modifications.
The apparatus were thoroughly degassed andperformed under a gentle stream of argon bystandard
Schlenktechniques.
A
cisRu(bpy) 2 Cl 2 ).2H 2 O (0.50g, 0.96 mmol) was
dissolved in 50 mL of hot distilled water, followedby addition of 1,10-phenanthroline-5-amine (0.21g, 1.08 mmol) which was dissolved in 100 mL of
hot ethanol. The mixture solution was brought toreflux (100°C) for 3 hours. Three quarter of theethanol was then removed by rotary evaporation
and a cold aqueous solution of NH 4 PF 6 (0.98g, 4.8mmol) was added to produce orangish precipitate.
The precipitate was collected by filtration, washedwith 25 mL of cold distilled water followed by 25
mL of cold diethyl ether to give a pure solid
product. Yield, 0.834 g (97 %). FTIR (cm-1):
υ(NH 2 ) 3409, υ(C-N heterocyclic ) 1445, υ(C=C) 1638,
υ(uncoordinated PF 6 ) 829. λ max , nm (CH 3 CN),ε(Lmol-1cm-1): 245 (35,402), 286 (63,595), 362(11,893), 457 (15,597). 1H NMR (400 MHz,DMSO-d6), δ: 8.92 (dd, 1H), 8.90-8.80 (m, 4H),
8.32 (dd, 1H), 8.20 (tdd, 2H), 8.11 (td, 2H), 8.06
(dd, 2H), 7.87-7.80 (m, 3H), 7.64-7.53 (m, 2H),
7.44-7.35 (m, 2H), 7.09 (s, 1H), 6.93 (d, 2H). 13C
NMR (400 MHz, DMSO-d6) δ: 157.26, 157.06,
152.22, 151.91, 146.69, 145.78, 140.92, 138.27,
138.77, 132.38, 128.27, 126.46, 125.31, 124.88,
123.78.

Electronic absorption spectra were measured
on a Perkin-Elmer Lambda 35 spectrophotometerin the range of 900-200 nm. Steady state emission
spectra were recorded on a Edinburgh FLS920
time resolved fluorescence spectrometer at 298 K
in CH 3 CN, using 1 cm path length quartz cell.
Time-correlated single-photon-counting (TCSPC)
measurements were used for the luminescencedecay of the ruthenium complex in different pH.
For TCSPC measurement, the photoexcitation wasmade at 472.4 nm using a picosecond diode laser(EPL-375). The lifetimes of the receptor wereobtained as a function of different anions and theemission was monitored as a function of time. The
luminescence quantum yields were calculated by
Eq. 1, [8]-[9] using [Ru(bpy) 3 (PF 6 ) 2 ] as thestandard.
𝑨𝑨𝒓𝒓 𝑰𝑰𝒔𝒔𝒔𝒔𝒔𝒔 ɳ𝟐𝟐𝒔𝒔𝒔𝒔𝒔𝒔−

2.3 Synthesis

2.2.1 Absorption and luminescence spectra

𝑨𝑨

𝟏𝟏

Ʈ𝒎𝒎

(2)

For the investigation on the effect of pH toabsorbance and emission intensities, 0.6 mg of the[Ru(bpy) 2 (phen-nBT](PF 6 ) 2 was dissolved in 100
mL of deionized water. Five solutions with various
pH value (pH= 1, 3, 5, 9, 11) were prepared byadding drops of 0.1 M NaOH or 0.1 M HCl. The
UV-vis spectra of the samples were recorded in therange of 180-600 nm. The emission spectra werethen recorded in the range of 500-800 nm, withexcitation being performed at absorption
maximum for the metal-to-ligand charge transfer(MLCT) transition.

The infrared spectra were recorded on a
Agilent Cary 630 spectrophotomer in the range of
4000-400 cm-1 in the ATR Diamond mode. The
microanalyses (C, H, N and S) were obtained witha Leco 932 elemental analyzer. The 1H and 13C
NMR spectra were collected in deuterated
dimethyl sulfoxide using Bruker Ascend 400
spectrophotometer. The chemical shift values werescaled to parts per million (ppm) with reference to
TMS. Mass spectrum was recorded on a DIMS
2010 Shimadzu mass spectrometer. Magnetic
susceptibility measurements were determined on a
Sherwood Scientific MSB-AUTO, at room
temperature (25.5 ºC) using HgCo(SCN) 4 ascalibrating
agent
and
the
diamagnetic
susceptibility correction was calculated from
Pascal's constants.

𝝋𝝋𝒓𝒓 = 𝝋𝝋𝒔𝒔𝒔𝒔𝒔𝒔 𝒔𝒔𝒔𝒔𝒔𝒔

𝝋𝝋𝒓𝒓

Ʈ𝒎𝒎

(1)

where 𝝋𝝋𝒓𝒓 and 𝝋𝝋𝒔𝒔𝒔𝒔𝒔𝒔 are the quantum yield of theruthenium complex and standard sample[Ru(bpy) 3 (PF 6 ) 2 ], 𝝋𝝋𝒔𝒔𝒔𝒔𝒔𝒔 is 0.042. A r and A std (<0.1) are the solution absorbance at the excitation
wavelength (λ ex = 450 nm). 𝑰𝑰𝒓𝒓 and 𝑰𝑰𝒔𝒔𝒔𝒔𝒔𝒔 are theintegrated emission intensities, and ɳ𝒓𝒓 and ɳ𝒔𝒔𝒔𝒔𝒔𝒔 are
the refractive indices of the solvent. Radiative210

SEE-Osaka, Japan, Nov. 21-23, 2016

The
[Ru(bpy) 2 (phen-nBT](PF 6 ) 2 complex(Fig. 1) was obtained by in-situ reaction of cisRu(bpy) 2 (5-NH 2 phen).2PF 6
withbenzoylisothiocyanate. The structure of the complex was
elucidated based on elemental analysis and IR,
UV-Vis, mass spectrometry, 1H and 13C NMR
spectroscopic measurements. The analyses results
were consistent and in good agreement with
reported data [12]. The ruthenium complex
exhibited the expected magnetic susceptibility
value of 0 suggesting the Ru(II) metal centre
adopts a diamagnetic d6 configuration. Thisobservation was in agreement with previously
reported magnetic properties of similar[Ru(bpy) 2 (thio-based imine)](ClO 4 ) 2 complex[13].

2.3.2 Synthesis of the ruthenium(II) bipyridyl Nbenzoyl-N'-(1,10-phenanthrolin-5-yl)-thiourea[Ru(bpy) 2 (phen-nBT](PF 6 ) 2
There are two methods of synthesizing thecomplex and one of the method has been reported[12]. The reaction was performed in dark condition
and under inert argon gas in latter method. To asolution of benzoyl chloride (0.012 mL, 0.1 M) in
acetonitrile was added ammonium thiocyanate (8.0
mg, 0.1 mmol) and the mixture was stirring for 20
minutes to give benzoyl isothiocyanate. Then,
Ru(bpy) 2 (5-NH 2 phen).2PF 6 (9.0 mg, 0.1 mmol) in
acetonitrile was added into it and stirred for 8hours. The solvent was removed under reducedpressure, wherein an orange sticky solid was
obtained. The solid was then dissolved in aminimal volume of cold ethanol to give a brightorange precipitate, filtered, washed with cold water(25 mL) and followed by cold diethyl ether (25mL). Yield, 53 mg (50 %). Anal. Calc: C, 45.25; H,
2.85; N, 10.55, S, 3.02. Found: C, 44.42, H, 3.35,
N, 9.87, S, 2.18. FTIR (cm-1): υ(NH) 3408, υ(C-N
heterocyclic ) 1446, υ(C=C) 1587-1484, υ(C=O) 1670,
υ(C=S) 1243, υ(uncoordinated PF 6 ) 829. λ max , nm
(CH 3 CN), ε (Lmol-1cm-1): 236 (91,588), 284(104,022),451(20,545).
Luminescence,
wavelength, nm (CH 3 CN): 617 nm. 1H NMR (400
MHz, DMSO-d6), δ: 12.88 (s, 1H), 12.05 (s, 1H),
8.92-8.81 (m, 4H), 8.76 (d, 1H), 8.70 (s, 1H), 8.23
(t, 2H), 8.20-8.10 (m, 4H), 8.11-8.05 (m, 2H),
7.97-7.88 (m, 2H), 7.85 (d, 2H), 7.75-7.65 (m, 2H),
7.64-7.58 (m, 4H), 7.57-7.47 (m, 2H), 7.45-7.37(m, 2H). 13C NMR (400 MHz, DMSO-d6), δ:
182.40, 168.99, 157.29, 157.09, 153.16, 147.59,
146.35, 138.48, 135.48, 133.88, 133.28, 132.49,
130.13, 129.35, 129.02, 128.52, 127.17, 125.73,
125.00. Mass spectrum (m/z): 917.05 (917.10
theory), [Ru(bpy) 2 (phen)-nBT)(PF 6 )]+, 771.09(771.10 theory), [Ru(bpy) 2 (phen)-nBT + H]+.

3.2 Absorption and luminescece spectroscopy
The Ru(II) complex displayed strong
absorption bands in the ultra-violent region withabsorption maxima at 236 nm (ε= 91,588 L mol1cm-1) and 284 nm (ε= 104,022 L mol-1cm-1) thatcan be attributed to the π→π* ligand-centered(LC) transitions. This transitions basically denoted
the excitation of electrons from filled π to vacant
π* orbitals of the bpy, phen or benzoylthiourea
moieties [14]. The complex also exhibited anabsorption band in the visible region, 451 nm (ε=20,545 L mol-1cm-1) that was attributed to spinandallowedRuII(dπ)6→bipy(π*)
II
6Ru (dπ) →phen(π*) MLCT transitions [15]-[16].
Excitation of the complex at their metal-to-ligand
charged transfer (MLCT) wavelength typicallyleads to visible light emission that shows anasymmetric band at 617 nm. This emission band
was assigned to a radiative transitions fromRuII(dπ)6→ π* (ligand) transition [15]. Typically,
the emission energy of the Ru(II) complex will besmaller than the energy of the first absorption peak,as the emission of ruthenium complex is expected
to stem from its low-energy triplet state which is
phosphorescence, rather than the excited singlet
state [17].

2+N

3.2.1 The pH influence on spectroscopy

N

N

S

Ru
N

N
N

N
H

O

Protonation and deprotonation equilibrium inthe complex will undergo changes in theiremission and/or absorption spectra, in particular ofwhether the pH affects the ground state or theexcited state. If the excited state of the complex isaffected by the pH changes, the emission spectra
will be notably change with pH, and vice versa[18]. It is important to note that the complex
exhibited a greater sensitiviy and selectivity inemission [6] and also absorption based sensing.
Fig 2 and Fig. 3 depict the absorption andluminescence spectra of the ruthenium complex inN
H

Fig. 1 Structural formula of the examined complex
3. RESULT AND DISCUSSION
3.1 General211

SEE-Osaka, Japan, Nov. 21-23, 2016

different pH values, respectively.
The absorption spectrum of the Ru(II) complex
in acetonitrile exhibits a maximum at 451 nm andundergo 4 nm bathochromic shift in acid and basic
medium. In line with the absorption spectral
behaviour, the emission band of the complex isalso red-shifted in protonation and deprotonation
equilibrium. Both cases are experience thebathochromic effect, albeit to a small extent,
probably due to the lowest unoccupied molecularorbital (LUMO) of its ground state and excitedstate are stabilized in protonated/deprotonatedcomplexes.
The UV-Vis spectral data of the complex inacetonitrile over the pH range of 1-11 is cataloged
in Table 1. The maxima absorption with thevariation of pH displayed an isosbestic point at
455 nm and decreases relatively with the pH (Fig.
2). There is a bathochromic shift in the absorption
bands when the pH increases due to decrease in theenergy of π* orbital of the ligands and stabilized
the MLCT levels.

shape of the curve suggests the existence of justone process of protonation/deprotonation of thecomplex in excited state [19].
The maximum peak of the emission intensity iscentered at 620 nm and decreases significantlywith pH in the range of 1-11. In line with the effectof pH to absorption spectral, a higher
luminescence intensity and lifetimes are also
observed in acidic solutions, while a bathochromic
shift occured in basic media. The red shift of theband upon protonation/deprotonation can beinterpreted in terms of the stabilization of the
MLCT levels caused by the energy decrease in theπ* orbital of the ligands. The higher the pH value,
the more red-shifted of the band, resulting in an
overall broadening and flattening of the curve.

Table 1 Absorption data for Ru(II) complexes in
acetonitrile solution at different pH value[Ru(bpy) 2 (phen)nBT)]2+
pH 1
pH 3
pH 5
pH 9
pH 11

Absorption, λ max =455 nmε (L mol-1 cm-1)
7738
5292
4508
3392
2887

Fig. 3 The effect of pH on the emission spectra of[Ru(bpy) 2 (phen)-nBT)](PF 6 ) 2 with excitation at
455 nm in acetonitrile
The complex exhibits a longer lifetime in lower
pH solution, most likely due to the thermally
activated decay of the lowest MLCT state to theshort-lived metal center states is slowed down,
consequence of the stabilization of the MLCT and
the destabilization of the metal-centered (MC)level [20]. The radiative and nonradiative decayrate constants, k r and k nr respectively were also
calculated for the complex, as shown in Table 2.
The decrease of the emission quantum yield isowing to the increase of k nr and decrease of k r . In
general, a greater k nr value contributes to a lower
emission quantum yield and shorter lifetime of thecomplex. Noteworthy is the lower energy excitedstate in the complex decays more efficiently to theground state via a non-radiative pathway [10].

Fig. 2 The effect of pH on the absorption spectraof [Ru(bpy) 2 (phen)-nBT)](PF 6 ) 2 in acetonitrile

Table 2 Luminescence data for Ru(II) complexesin acetonitrile solution at different pH value

The plot of the emission intensity of theruthenium complex versus pH shows a sigmoidal
relationship (Fig. 3). This result complementaryagreed with previous report [6]. The sigmoidal
212

𝝋𝝋𝒆𝒆𝒆𝒆Luminescence,
620 nm
kr
Ʈ𝒎𝒎
Ʈ𝒓𝒓

k nr

SEE-Osaka, Japan, Nov. 21-23, 2016

pH 1
pH 3
pH 5
pH 9
pH
11

0.044
0.041
0.039
0.038

(ns)
501
446
419
391

(μs)
11.39
10.88
10.74
10.29

(μs-1)
0.088
0.092
0.093
0.097

(μs-1)
1.908
2.150
2.294
2.460

0.032

339

10.59

0.094

2.855

photophysical investigation", Inorganica Chim.
Acta, Vol. 360, No. 3, 2007, pp. 1102–1110.
[7] C. Viala and C. Coudret. "An expeditious(bpy=2,2'routetocis-Ru(bpy) 2 C1 2bipyridine) using carbohydrates as reducers",
Inorganica Chim. Acta, Vol. 359, No. 3, 2006,
pp. 984–989.
[8] S. Baitalik, U. Flo, K. Nag, "Mononuclear
and binuclear ruthenium (II) complexes
containing
2,2'-bipyridineor1,10phenanthroline
andpyrazole-3,4bis(benzimidazole).
Sythesis,structure,isomerism, spectroscopy and proton-coupled
redox activity", Vol. 38, No. 14, 1999, pp.
3296–3308.
[9] S. Dutta, S. Baitalik, M. Ghosh, U. Flörke,and K. Nag. "Structural, photophysical andelectrochemical
studiesof[RuN 6 ]2+complexes having polypyridine and azole
mixed-donor sites", Inorganica Chim. Acta,
Vol. 372, No. 1, 2011, pp. 227–236.
[10] K. Nakamaru. "Synthesis, luminescencequantum yields, and lifetimes of trischelatedruthenium(II)mixed-ligand
complexes
including
3,3′-dimethyl-2,2′-bipyridyl",
Bulletin of the Chemical Society of Japan,
Vol. 55. pp. 2697–2705, 1982.
[11] C. D. Ellis, L. D. Margerum, R. W. Murray,
andT.J.
Meyer,"Oxidative
Electropolymerizationof
Polypyridyl
Complexes of Ruthenium", Inorg. Chem.,
Vol. 22, No. 192, 1983, pp. 1283–1291.
[12] S. S. Tan and M. B. Kassim, "Structure andspectroscopic properties of ruthenium(II)bipyridyl N-benzoyl-N’-(1,10-phenanthrolin5-yl)-thiourea", 2015, p. 050010.
[13] D. Bhattacharyya, S. Chakraborty, P. Munshi,
and G. K. Lahiri, "Ruthenium (II/III)bipyridine complexes incorporating thiolbased
iminefunctions.
Synthesis,
spectroscopic and redox properties", Vol. 18,
1999, pp. 2951–2959.
[14] C. Dragonetti, L. Falciola, and P. Mussini.
"The role of substituents on functionalized 1,
10-phenanthroline in controlling the emission
properties of cationic iridium (III) complexesof interest for electroluminescent devices",
Inorganic Chemistry, Vol. 46, No. 21, 2007,
pp. 8533–8547.
[15] D. Saha, S. Das, S. Mardanya, and S. Baitalik,"Structuralcharacterizationandspectroelectrochemical, anion sensing andsolvent dependence photophysical studies ofa bimetallic Ru(II) complex derived from 1,3di(1H-imidazo[4,5-f][1,10]phenanthroline-2yl)benzene", Dalton Trans., Vol. 41, No. 29,
2012, pp. 8886–98.
[16] N. a F. Al-Rawashdeh, S. Chatterjee, J. a.
Krause, and W. B. Connick, “Ruthenium bis-

4. CONCLUSION
The optical response of the Ru((II) complex
was good for the pH range of 1-11. The
ruthenium(II) complex with polypyridyl ligand
shows an excellent absorption and luminescent pH
sensitivity and selectivity and hence, is apromising agent for an optical pH sensor.
5. ACKNOWLEDGEMENTS
The author would like to acknowledge Universiti
Kebangsaaan Malaysia for sponsoring the project
under FRGS/1/2016/ST01/UKM/02/2.
6. REFERENCES[1] H. X. Chen, X. D. Wang, X. H. Song, T. Y.
Zhou, Y. Q. Jiang, and X. Chen, "Colorimetric
optical pH sensor production using a dual-color
system", Sensors Actuators, B: Chemical, Vol.
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[2]H. Nam, M. Jeong, O. J. Sohn, J. Il Rhee, J. Oh,
Y. Kim, and S. Lee, "Synthesis ofphenanthroline derivative by Suzuki coupling
reaction and the use of its ruthenium complex
as an optical pH sensor", Inorganic Chemistry
Communication, Vol. 10, No. 2, 2007. pp.
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[3] C. M. Chan, W. Lo, and K. Y. Wong,"Application of a luminescence-based pH
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[4] M. Jeong, H. Nam, O. J. Sohn, J. I. Rhee, H. J.
Kim, C. W. Cho, and S. Lee. "Synthesis ofphenanthroline derivatives by Sonogashirareaction and the use of their ruthenium
complexes as optical sensors", Inorganic
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[5] H. J. Kim, Y. C. Jeong, J. Heo, J. Il Rhee, andK. Hwang, "A wide-range luminescent pH
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[6] E. C. Constable, C. E. Housecroft, A. C.
Thompson, P. Passaniti, S. Silvi, M. Maestri,and A. Credi, "pH-sensitive Ru(II) and Os(II)bis(2,2':6',2''-terpyridine)
complexes:
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diimine complexes with a chelating thioether
ligand: Delineating 1,10-phenanthrolinyl and2,2′-bipyridyl ligand substituent effects”,
Inorganic Chemistry, Vol. 53, No. 1, 2014,
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[17] E. Badaeva, V. V Albert, S. Kilina, A.
Koposov, M. Sykora, and S. Tretiak, “Effectof deprotonation on absorption and emission
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complexes
functionalized with carboxyl groups”,
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Baba, “The effect of pH on the emission andabsorption spectra of a ruthenium complex”,
Inorganic Chemistry Communication, Vol. 5,

No. 8, 2002, pp. 555–559.
[19] S. Pizarro, M. Gallardo, C. Leyton, E. Castro,
F. Gajardo, and A. Delgadillo, “Effect of pH
in the photoluminescence of a ruthenium
complex featuring a derivative of the ligand
pyrazine[2,3-f][1,10]-phenanthroline”,
Spectrochimica Acta Part A: Molecular andBiomolecular Spectroscopy, Vol. 146, pp.
61–65, 2015.
[20] L. Troian-Gautier and C. Moucheron,“Ruthenium (II) complexes bearing fusedpolycyclic ligands: From fundamental aspects
to potential applications”, Molecules, Vol. 19,
No. 4, 2014, pp. 5028–5087.

214

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

THE STUDIES ON TINTED GLASS USAGE FACTORS AMONG
VEHICLE USERS IN MALAYSIA
Mustaffa, A. A., Ahmad, H. N., Rohani, M., Basil, D. and Khairul Nizar, M.Y.
Smart Driving Research Centre (SDRC),
Faculty of Civil and Environmental Engineering, Universiti Tun Hussein Onn Johor, Malaysia.
ABSTRACT
Malaysia is located on a equator line with minimum and maximum temperature of 23.1°C and 35.7°C,
respectively. The stated temperature is around in Peninsular Malaysia, and the recorded temperatures areaccording to the Malaysian Meteorological Department (MetMalaysia). Due to invariable recorded temperatures,the road and highway users forced to install and used a layer or cover of the inner of their vehicles so that theirjourney will be smooth and comfortable till the destination. Therefore, the tinted glass is the alternative to thatinner layer of cover. However, tinted glass issue is often dealt with at present. There are various advantages anddisadvantages of the uses of tinted glass. This study aimed to identify the probability numerical factor of tinted
glass usage. This paper provides quantitatively study of a questionnaire feedback, and involvement of the
respondents from private vehicle users in Malaysia, especially multi-purpose vehicle (MPV) and sport utility
vehicle (SUV). This questionnaire is in form handout, where it is includes listed of constructed of 33 questions,and consists of four sections, namely (i) demography respondents;(ii) questions related factors of use of tinted
glass; (iii) questions related to the rules of use of tinted glass and views; and finally the (iv) comments andsuggestions from respondents about the use of tinted glass. The Statistical Packages for Social Sciences (SPSS)
was applied to analyze and obtained the some part of a statistical and probability results. The Cronbach’s Alphareliability coefficient of factors of tinted glass usage and the rule of tinted glass usage are greater than 0.7, where
this is resulted from the climatic factor and safety factors. In addition, the analysis of Spearman’s Rank Order(SRO) is conducted to identify the strength of the relationship of questions related factors of use of tinted glass;and questions related to the rules of use of tinted glass. Yet, the visible light transmission (VLT) specifications
provide and enhancing the authority’s effort in monitoring the purchasing by users of tinted glass and also theentry of imported vehicles in Malaysia. Nevertheless, the correlation in this study found that the tinted glass
usage makes it difficult to see the vehicle from the driver’s seat and rear mirror, and in order to enhance theusage of the tinted glass among of all the vehicle users, the education and information regarding the use of tinted
glass should be acknowledged. This being is an expected as to support the authorities in improving the regulationof tinted glass usage in Malaysia.
Keywords: Tint, Questionnaire Studies, Statistical and Probability Approach, Passenger Vehicle Users

1991. Statistics of enforcement of tinted glass which
is detected by the Road Transport Department (JPJ)in 2011 was 15,336 cases. Meanwhile, in 2012 a
total of 51,431 cases and up to June 2013 a total of
22,663 cases. This shows an increase in the fault of
tinted glass usage in Malaysia.
In general, there are some well known factor in
the used of tinted glass, such as the weather factor,
safety factor and health factors. In addition, theRules of Motor Vehicles (Prohibition of Certain
Types of Glass) Act 1991 also provides for the
exclusion of tinted glass usage in vehicles based onsafety and health issues. Therefore, this study
attempts to look at the factors against the use of
tinted glass in the passenger vehicle users, altogether
with some research questions that can be raised,namely (i) Item A: What the causes of tinted glass
usage on their vehicles; and (ii) Item B: Do vehicle
users understand the rules which allowed the use of
tinted glass in Malaysia.

INTRODUCTION
Every year, total vehicle production in the worldis increasing. Malaysia also contributes theincreasing of the vehicle production in line with thesocio-economic
development
in
Malaysia.
Furthermore, sales of passenger vehicles such as
cars, multi-purpose vehicle (MPV) and sport utility
vehicle (SUV) increased in 2015 were 591,298 units,compared to 588,341 units in 2014. The sales ofcommercial vehicles decreased from 78,124 to
75,736 units [1]. This shows that passenger vehicles
become the preferred vehicle in Malaysia compared
to commercial vehicles. Moreover, the enforcementof offenses tinted glass held from time to time,
whether on the local vehicles and imported vehicles.
For vehicle user who have the vehicles that are notin accordance with specifications of tinted glass
having committed offenses under the Rules of Motor
Vehicles (Prohibition of Certain Types of Glass)215

SEE-Osaka, Japan, Nov. 21-23, 2016

FACTORS AFFECTING THE TINTED GLASSFRONTThere are various factors that led to the use of
tinted glass. Among them are the weather factors,
the factors of safety, health factors, a reduction in
vehicle cabin temperature, the privacy of vehicle
users and the aesthetic of the vehicles.
Night driving vision is the fundamental safetyissue regarding light transmittance of windows. The
visual detection of an object depends on its
brightness contrast with the background. The
contrast sensitivity of the human eye depends on theoverall brightness of the scene. In daylight, a low
contrast target on a dark road surface can be seen,
but at dusk, it cannot be seen because the contrast
sensitivity of the eye at dusk or twilight isinsufficient to detect a target of its contrast [2].
In our countries, the Rule 5(1) and 5(3) of theMotor Vehicles (Prohibition of Certain Types ofGlass), 1991 allows windscreen of a vehicle to betinted but must permit transmission of at least
seventy percent (70%) visible light. Whereas forother side windows, including rear glass must permit
fifty percent (50%) light transmission [3].
However, the issue of regulation of tinted glass is
said to be less relevant to current practice. Therefore,a discussion was held to review the use of tinted
glass, including existing regulations, enforcement,
security and usability. The result of amending
regulation of tinted glass has been determined during
the discussion, where the glass must permit visible
light transmission (VLT) 70% for the windscreen
and 50% for driver side mirror. While, the level of
VLT in the passenger side mirror and the othermirrors reduced from 50% to 30%. Figs. 1 (a) and 1(b) show the previous and current tint rules of visible
light transmission (VLT) accordance to Malaysia'sRoad Transport Dept. (JPJ). The new or current tint
rules were commenced after the 1st May 2015 [4].

BACK

windscreen

rear side

rear sidewindscreen

VLT 70%VLT 50%VLT 30%VLT 30%Fig. 1(b) The rear side view of VLT's used
Fig. 1 The previous and current tint rules of visible
light transmission (VLT) accordance to JPJ [4].
In these three presented papers, such as A Studyon Automotive Tint Glazing in Malaysiain 2015
page 6 [5]; Front Side Window Tinting Visual Light
Transmittance Requirements in 2004 page 3 [6];and External Viewing of Vehicle Contents under
Varying Window Tinting and Illumination
Conditions in 1995 pages 2 to 4 [7]; they are all
agrees with Proffitt's view, where Mohd Hafzi et al.
pointed out, and Figs. 2(a) and 2(b), are associatedwith the text below.

Fig. 2(a) At Junctions Without Tinted Glass

before 01 May 2015
FRONT

BACK

windscreen

rear side

rear sidewindscreen

VLT 70%VLT 50%VLT 50%VLT 50%Fig. 2(a) Clearvision: No 35% VLT tinted glass

after 01 May 2015
FRONT

BACK

windscreen

rear side

rear sidewindscreen

VLT 70%VLT 50%VLT 30%VLT 30%Fig. 2(b) Blurry vision: with 35% VLT tinted glass
Fig. 2 The Clear and blurry vision with and without
35% VLT usage (remodified from [5]).

Fig. 1(a) The isometric view of VLT's used216

SEE-Osaka, Japan, Nov. 21-23, 2016

inside the vehicle's tinted windows as clearly as with
non-tinted windows. The Police oppose this because
they are less able to see if the occupants are
behaving appropriately, such as wearing seatbelts
and driver using phone or other device during
driving [7]. Some people believe tinting improves
the appearance of their vehicle. This should notover-ride safety requirements [13].

"In certain circumstances in traffic environment,
there exist needs for other road users, such aspedestrians and cyclists, to look through vehicle
windows for vital traffic cues.
In other words these users exploit the seethrough windows, for information beyond theordinary mechanism of unobstructed visualconfrontation, where the VLT 35% of front side
windows could substantially reduce the externalviewers’ traffic cues to check the presence ofpedestrians, cyclists or other road users.
In brief, similar principle applies situation where
when two cars are facing in opposite directions,
waiting to turn at traffic islands in the middle of amain road or at the intersections or when cars linedup.
Furthermore, such situation is foreseen to
become worse during low ambient lighting."
In 1994, Griffiths and Jones reported in theirstudies regarding the window tinting and road safety,
is also associated with the above statements, where
drivers turning into an intersecting road need to lookthrough their front side windows to detect thepresence of pedestrians or cyclists. The analysis
claims that visibility through side windows is not a
problem because the driver always has the benefit ofbeing able to see the headlights or signals of othercars but this will not help in the recognition of thepresence of pedestrians or of many cyclists [8].
Besides, health factor also one of factors of tinted
glass usage in Malaysia. Previous research has
proven that skin exposed to the sun shining throughwindow glass, even in the office, can over time leadto significant skin damage [9]. The UV exposure we
receive driving a car, especially adds up. In a US
study, the researchers found asymmetric photodamage (sun induced skin damage) on the face, withmore brown pigment (color) and deeper wrinkles on
the left. The more time subjects spent driving avehicle, the more severe their photo-damage on theleft side. Reinforcing this research, in countries
where the driver’s side is the right side, people tend
to develop more sun damage and skin pre-cancers on
the right. Certain pre-cancers can turn into squamouscell carcinoma, the second most common form ofskin cancer [10].
The tinting industry has argued that tinting has apositive effect on cooling vehicles, reducing the loadon air conditioning systems. The past researchers
found mobile air conditioning can reduce fuelconsumption and vehicle emissions [11]. Studies
have shown temperature reductions of only aroundone degree in a moving vehicle as a result of having
tinting and that the corresponding reduction in air
conditioner load was almost insignificant[12].Somedrivers believe tinting will give the vehicle
occupants greater privacy, since people cannot see

THE METHODOLOGY
The study consists of three phases. First, thetopic was selected and analyzed to identify the scope
and the problems of study. Next, the research anddata were collected through literature review and aquestionnaire. The questionnaire was given to
private vehicle user, such as cars, vans, MPV and
SUV as respondents. The method of questionnaire
studies was almost similar were carried out by
Malaysian Institute of Road Safety Research in 2014[10]. In fact, it also includes either local vehicle
users or imported vehicle users. Overall, the study
used a descriptive approach to look at the frequency
and percentage of respondent demographics. The
questionnaire is divided into four parts; A(demographic -16 items); B (the factors of tinted
glass usage –17 items); C (the rules of tinted glass
usage – 4 items); D (suggestions). Questionnaires
were distributed through on-line, through car clubs
on the social networking. Data obtained fromquestionnaires were analyzed using SPSS version 22.
The study population consisted of vehicle users
in Malaysia. 396 vehicle users from various states
are chosen as respondents. Data collected andanalyzed using descriptive analysis and pilot study
was conducted to test the questionnaire that has been
prepared. The objectives of pilot survey wereconducted to test reliability and validity of the
instruments. After analyzed, some questions weremodified to improve the questionnaire. Table 1
shows the result for the coefficient of reliability foreach of the two variables.
Table 1 Analysis of reliability - Cronbach's Alpha
Variable

Cronbach's Alpha

Item

Factors of tinted
glass usage

0.806

12

Rule of tinted
glass usage

0.704

4

The reliability for the factor of tinted glass usage
is 0.806 and the rule of tinted glass usage is 0.704.
The value of both these variables exceeds 0.70.
Therefore, the items of the questionnaire are reliable
and applicable. Lastly, recommendations andconclusions have been made after analysis of data.
217

SEE-Osaka, Japan, Nov. 21-23, 2016

with PUSPAKOM inspection of 82.3%. Conduct the
PUSPAKOM inspection is important. In terms offrequency and percentage of users who modify
tinted glass and went to PUSPAKOM inspection
only a total of 18 (4.5%), while that modified tinted
glass user and never go PUSPAKOM inspection is
200 people or 50.5%. However, there are also those
who did not modify the glass, but also want anassurance from the PUSPAKOM are 24 people or
6.1%. This analysis clearly shows that the attitude ofusers to request permission from the PUSPAKOM
tinted glass is still deficient.

RESULT AND DISCUSSION
The evaluation and analysis of data were carriedout using the SPSS Version 22 as a tool to obtain therequired parameter, such as the percentages of eachfactor division, the chi-squared, the p-value, themean, the standard deviation, and other required thatis discussed in the following matters.
Demographic Analysis
The results of the analysis showed that the
majority of respondents were males of the 345
respondents (87.1%) than female respondents. In
addition, the Malays are the majority of respondents
in this study, a total of 373 respondents (94.2%)
compared to other races like the Chinese, Indiansand others. This shows that the Malays male
respondents are more interested in the study of theuse of tinted glass. Besides, the study found that
more than half of the respondents aged between 20
to 30 years, a total of 216 respondents (54.6%).
The study found that respondents who live inSelangor state more like to modify their vehicle
glass and have been sued for tinted glass usage
compared to other states (Fig.3). This can be provenby statistics on the number of summons due to tinted
glass usage issued by the Road Transport
Department of Malaysia (JPJ).

Table 2Cross tabulation of modified tinted glass
used corresponded to PUSPAKOM inspection

Modified
Users

Yes
No

Total

PUSPAKOM
inspection
Yes
No
18
200
4.5%
50.5%
24
154
6.1%
38.9%
42
354
10.6% 89.4%
2.823
0.019*

F
%
F
%
F
%

Chi-Squarep- value

Total

218
55.1%
178
44.9%
396
100.0%

F: frequency;χ2: chi-squared; *: significant p value <0.05.

Perception of users toward tinted glass usage
Fig.4 shows the vehicle users in Malaysia areusing tinted glass due to weather factors (344respondents, 86.9%). Users prefer to use tinted glass
to suit the hot weather in the Malaysia. The second
factor is due to safety factors (265 respondents,
66.9%), where users worry about crimes such as car
break-ins and robberies. The third factor is due tohealth factors (119 respondents, 30.1%). Less
confirming the use of tinted glass is due to the typeof vehicle (SUV, MPV and imported vehicles).

Kedah

Perak

PahangSelangor

Putrajaya &Kuala Lumpur

Johor

Fig. 3 Total number of respondents based on statein Peninsular Malaysia
Status of tinted glass users
Table 2 shows the analysis of Cross tabulation ofmodified tinted glass user and Malaysia’s vehicle
inspection specialist (PUSPAKOM). The Chi-Square
test was 2.823 and p-value less than 0.05. When the
p-value less than 0.05, it means there is a significant
relationship between users who modify tinted glass
and PUSPAKOM inspection. The study said that, themodified tinted glass user has a strong relationship

400
350
300
250
200
150
100
50
0

344
265

119

99
8

weathersafetyhealthy

car types

400
350
300
250
200
150
100
50
0

Frequency

Frequency

Negeri
SembilanothersThe Factors

Fig. 4 Factors of tinted glass used
Based on the Table 3, the highest mean score was
4.53, the respondents strongly agreed that the use of
tinted glass can reduce glare to the driver.
218

SEE-Osaka, Japan, Nov. 21-23, 2016

Meanwhile, the lowest mean score was 1.72, which
respondents disagreed that the use of tinted glass canincrease the accident rate. In addition, therespondents agreed with the statement that the tinted
glass is a necessity for all types of vehicles, the useof tinted glass helps to reduce the use of air

conditioning, use of tinted glass can reducerobberies of vehicles and the use of tinted glass
helps to reduce the crime rate with mean scores in
the range of 3.51 to 4.50. Whereas, for the otherstatement, mean scores indicate that respondents
disagreed with the statement submitted.

Table 3 Mean and standard deviation of factor of tinted glass used
Item AN
Mean
17. The tinted glass is a need for all vehicles.
396
4.47
18. The tinted glass usage will affect the driving.
396
1.77
19. The tinted glass usage can reduce glare to the driver.
396
4.53
20. The tinted glass usage will affect the vision of driver during night.
396
2.28
21. The tinted glass usage will affect the vision of driver during heavy rains. 396
2.08
22. The tinted glass usage can reduce the use of air conditioning.
396
4.27
23. The tinted glass usage can reduce vehicle robbery case.
396
4.44
24. The tinted glass usage can reduce the crime rate.
396
4.11
25. The tinted glass usage can increase the accident rate.
396
1.72
26. The tinted glass usage makes it difficult to see the driver of the vehicle 396
1.82
from the forward direction.
27. The tinted glass usage makes it difficult to see the vehicle from the 396
1.97
driver's side.
28. The tinted glass usage makes it difficult to see the driver of the vehicle 396
1.90
from the rear mirror

Std. Deviation
0.764
0.922
0.771
1.160
1.047
0.974
0.952
1.124
0.947
1.095
1.091
1.065

Table 4 Mean and standard deviation of rule of tinted glass used
Item BN
Mean Std. Deviation
29. You understand the meaning of visible light transmission (VLT) 396
4.05
1.005
allowed in the vehicle.
30. You know how much the level of visible light transmission (VLT) 396
4.03
1.023
allowed in the vehicle.
31. The existing regulations on the tinted glass usage in accordance with the 396
2.25
1.335
requirements of the vehicle users.
32. The latest regulations on the tinted glass usage in accordance with the 396
2.76
1.504
requirements of the vehicle users.
driver's side and item A28; the tinted glass usage
Table 4 shows the mean and standard deviation
makes it difficult to see the driver of the vehicleof user perception of the rules of tinted glass usage.
from the rear mirror.
The study found that respondents agree that theyIn addition, the lowest correlation coefficient isunderstand the meaning of visible light transmission,
0.184. This indicates that almost no correlationand how much the level of transparency that allowed
between the item A22; the tinted glass usage canlight vehicles, based on the mean score in
reduce the use of air conditioning and A26; therespectively, by 4.05 and 4.03. In addition, based on
tinted glass usage makes it difficult to see the driverthe mean score 2.25, respondents did not agree thatof the vehicle from the forward direction. Based on
the existing rules on the use of tinted glass inTable 5, we can conclude that there is a relationshipaccordance with the requirements of the user.
between each variable based on the value of the
However, respondents agree that new regulations oncorrelation coefficient.
the use of tinted glass in accordance with therequirements of users with a mean score of 2.76.
CONCLUSION
Based on the analysis of output Spearman's Rho
correlation. The number of data, N is 396, while theThis paper investigates the questionnaire studies
significant (two - tailed) is 0.00, which is less thanon tinted glass usage factors among vehicle users in
0.05. The greatest value of the correlation coefficient
Malaysia, where the present study was designed tois 0.803. Level measurements show a perfectdetermine the questionnaire study results through thecorrelation between items A27; the tinted glass
mean and the standard deviation of factor of tinted
usage makes it difficult to see the vehicle from theglass usage, and also the based rule of tinted glass
usage. The findings can be summarized as follows:219

SEE-Osaka, Japan, Nov. 21-23, 2016(i) The respondents are showed that roughly 87%
of male gender, 94% of Malays as in races context,
and 55% of ranging ages between 20 and 30 years.
(ii) Selangor state with total of 123 is recorded as
the highest number of respondents, while Negeri
Sembilan and Pahang state, recorded with the lowest
number of respondents of 22.
(iii) Approximately 55% of users had modified
their vehicles without carrying out the inspection at
PUSPAKOM, while 45% of users did not perform
any modification and carrying out the inspection.
(iv) The factors of tinted glass usage as in thehighest frequency to the lowest frequency is insequence of the weather > the safety > the healthy >the car types > others.
(v) Items A and B as associated with the researchquestions, with values of 4.53 and 4.05, resulting as
the tinted glass usage can reduce glare to the driver,and the users understand the meaning of VLT
allowed in the vehicle, respectively, as the highest
mean. In addition, values of 1.77 and 2.25, recorded
the lowest mean with the tinted glass usage willaffect the driving, and the existing regulations on thetinted glass usage in accordance with therequirements of the vehicle users, respectively.
(vi) The most correlation uses of tinted isdifficult to see the vehicle from driver’s side (0.803)
and the lowest correlation (0.184) is tinted can
reduce mobile air conditioning. The analysis results
showed that many respondents are not sure whether
the tinted glass of their vehicles according to
specifications allowed.
Therefore, the conclusion was made based on theobjective that has been set. Finally, it is hoped that
this study will be used and exploited in the future
and could intensify studies on the use of tinted glassin Malaysia.

"Modification of Private Vehicles", 2015
Retrieved from, 2016, http://www.jpj.gov.my.
[5] Mohd Hafzi MI, Maslina M., Mohd KhairudinR., Aqbal Hafeez A., Azhar H., Syazwan S.,
Nor Fadilah S., Rabihah I., and Wong S. V. “A
Study on Automotive Tint Glazing in Malaysia,
Research Report, Malaysian Institute of Road
Safety Research (MIROS), MRR 159, 2015.
[6] Baldock MRJ, McLean AJ, and Kloeden CN,“Front Side Windows Tinting Visual Light
Transmittance Requirements”, Australia Centre
for Automotive Safety Research, 2004.
[7] Proffitt DR,, Joseph JE, Bhalla M., Durgin, FH,
Bertamini M., Lynn C. & Jernigan JD,“External Viewing of Vehicle Contents Under
Varying Window Tinting and Illumination
Conditions”, Final Report No. VTRC 95-R3,
Virginia Transportation Research Council,
1995.
[8] Griffiths MJ, & Jones CJ, “Window Tinting
And Road Safety” Proceedings of A
Symposium held in Sydney, Australia 10 May
1994 (pp 21-26). New South Wales: Roads andTraffic Authority.
[9] Susan TM, “Sun Hazards in Your Cars, Watch
out for Skin Cancers and Photo aging on theLeft Side of Your Body”. The Skin Cancer
Foundations Journal. Vol. XXIX, 2011, pp 3637
[10] Singer R, Hamilton T, Voorhees J, Griffiths C.,“Associationofasymmetricalfacialphotodamage with automobile driving” Arch
Derm 1994, Vol.130, 1994, pp 121-123.
[11] Nazenin G., and Mustafa Y., “Alternative Way
to Reduce Vehicle Emission in Summer With
the Help of Car Windows Filming and Car
Window Filming’s Economics Benefits OverWA, NY, NC, U.S.A, and Istanbul, Turkey”.
Proceeding of 12th Annual CMAS Conference,
2013.
[12] Rugh JP, Hendricks TJ, and Koram K., “Effectof Solar Reflective Glazing on Ford Explorer
Climate Control, Fuel Economy, andEmissions”, International Body Engineering
Conference and Exposition, 2001.
[13] Institute of Transportation Engineers Australia
and New Zealand (ITEANZ), “Motor Vehicle
Window Tinting”. ITEANZ, 2013.

ACKNOWLEDGEMENTS
The author would like to express gratitude to the
Ministry of Higher Education Malaysia, andUniversiti Tun Hussein Onn Malaysia for theirsupport with grant RSGS Vot U101.
REFERENCES
[1]

[2]

[3]

[4]

Malaysia Automotive Association (MAA).
“Malaysia Automotive Info Summary of Sales
and Production Data”, 2015, Retrieved fromhttp://www.maa.org.my/info_summary.htm
Boyd, P., “Report to Congress on Tinting ofMotor Vehicle Windows”. Washington, D.C.
U.S Department of Transportation National
Highway Traffic Safety Administration. 1991.
Road Transport Department Malaysia (2010)“In The Dark Over Tinted Glass Ruling”., 2010,Retrieved from, http://www.jpj.gov.my/en/Road
Transport
Department
Malaysia,220

SEE-Osaka, Japan, Nov. 21-23, 2016

Engineering

221

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

PUNCHING SHEAR STRENGTH OF BUBBLEDECKS UNDERECCENTRIC LOADS

1

Nazar K. Oukaili 1, Luma F. Husain 2
Professor, College of Engineering, University of Baghdad, Iraq; 2 Lecturer, College of Engineering –University of Al- Mustansiriyah, Iraq

ABSTRACTThe new prefabricated construction technology using BubbleDeck is recently applied in many industrial
projects in the world. BubbleDeck uses hollow plastic spheres and therefor it is an innovate method of virtuallyeliminating the concrete part in the middle of conventional slab which does not contribute to the structural
performance. Hence, this part significantly reduces the structural self-weight. So, this study aims to investigate
the effect of plastic bubbles on punching shear resistance of flat slabs. Six specimens of dimensions (1500×1500mm) with total thickness of (100 mm) without shear reinforcement were casted and tested in order to study thedifference between solid deck and BubbleDeck in ultimate load capacity, deflection of the slab at three points,
strain in flexural reinforcement and in concrete, crack width, area and perimeter of the failure zone and the valueof the failure angle. Self-compacting concrete with compressive strength of (30 MPa) is used for casting thespecimens, the main variables used are the effect of eccentric loads, subjected at 100 mm from the center of thecolumn, on the behavior of the tested slabs and the position of bubbles with respect to the critical section, (insideor outside the critical section), where the critical section is considered to be at (2d) from the face of the column
according to Euro-Code.
Keywords: Punching Shear Strength, BubbleDeck, Self- Compacting Concrete, Solid Decks, Eccentric Loads.

bottom reinforcing mesh by using tighten wires
without using top reinforcing mesh or lattice girder.

INTRODUCTION
The punching shear or two-way shear
phenomenon is a localized failure. It occurs when
the column, punches through the slab, and it can becharacterized by the truncated or pyramid failuresurface. This type of failure is extremely dangerous
and should be prevented, since it may lead to brittle,
with little or no warning, and progressive collapse offloors [1]. One of the most popular solutions to
avoid this failure is increasing the slab thickness,thereby increasing the weight of the structure byrequiring the use of large amounts of concrete [2].
A new solution to reduce the weight of concrete
structures and increase the spans of two-way
reinforced concrete slab systems is referred to
BubbleDeck system which was developed in the
1990s in Europe and is gaining popularity andacceptance worldwide [2].
BubbleDeck slab is the slab in which someamount of the concrete is replaced by the plastic
bubbles or ellipsoid which are made by the waste
plastic material, which reduces the self-weight of thestructure [3]. The main components of BubbleDeck
are reinforcing mesh at top and bottom, between
them there are air bubbles, (hollow ball), made ofrecycled plastic. While, lattice girder made of steel
is used between the bubbles. Usually, any grade ofconcrete can be used. Generally grade 20 or 30 isused [4, 5].
In this study, the bubbles are tighten with the

EXPERIMENTAL PROGRAMMEThe experimental work of this study consists of aseries of tests carried out on six half-scale two-way
slab specimens of dimensions (1500×1500 mm) withtotal depth of (100 mm) which were casted andtested in order to evaluate the effect of several
variables on punching shear strength of solid andbubbled flat plates.
All the specimens are reinforced with bottom
mesh steel reinforcement of (6 mm) diameter at (50mm) c/c. The steel yield strength is 627 MPa. The
magnitude of the cover is (20 mm) and the diameterof the bubble is (60 mm) while the distance between
bubbles is (15 mm). The bubbles are tighten with theflexural reinforcement by using tighten wires.
Table 1 and Plate 1 show the details of thespecimens. While Plate 2 shows the details of thereinforcement of column and corbel, where all thedimensions are indicated in mm:

222

SEE-Osaka, Japan, Nov. 21-23, 2016

100 150 470

Table 1 Details of the specimens
Slab
No.
SD1

Slab
Type
Solid

Loading
Type
Concentric

Position of
bubbles*
-

SD2

Solid

Eccentric-

BD1

BubbledConcentric

2d

1500
(d)

BD2

BubbledEccentric

2d

100 75

BD5

BubbledConcentric

D

BD6

BubbledEccentric

D

80

100

505

120

100
1500

Note: The position of bubbles measured with respect
to the face of the column(e)
100 75

505

120

100
1500
(f)

(a)

(g)
Plate 1 Details of slab specimens (a) SD1 (b) SD2(c) BD1 (d) BD2 (e) BD5 (f) BD6 (g) a
specimen with tighten bubbles.

(b)
100

150

470

80

4ᴓ6

4ᴓ12

6ᴓ12

100
4ᴓ6

1500
(c)

Plate 2 Details of column reinforcement223

SEE-Osaka, Japan, Nov. 21-23, 2016TESTING SETUP AND TESTING RESULTS

stage of loading. The cracks are usually increased in
number but the width is constant and its magnitude
is about 0.05 mm. As the load increased andparticularly at stages of loading near ultimate load,
the crack width increased and reaches about 1mm.
After that sudden failure occurred.

All slabs are simply supported along the fouredges. The test was done by subjecting a universal
load on the column as shown in Plate 3. The verticaldeflection was measured at the center and at one
third the span at each direction using dial gages ofsensitivity of 0.01mm. The strain of concrete atcompression face and of flexural steel reinforcement
is measured at each load stage using strain gages.

Four strain gages are located at (d and 2d) fromthe face of the column on two orthogonal directions
on the flexural reinforcement. While six strain gages
are located at (d and 2d) from the face of the column
at the compression face of slab in diagonal andorthogonal directions.
When the load is applied on the slab, the initial
cracking of all tested slabs was first observed in thetension zone of the slab near one or more of thecorners of the column. With further loading, cracks
increased in number from the center towards thefour edges of the slab. In general, the first flexural
crack load initiated at (27-36%) of the ultimate load,
as shown in Table 2. While the ultimate capacity of
BubbleDecks is lower than that of solid decks byabout (20-31%). Also, the test results show that theeccentricity of the loading decreased the ultimate
load and that caused by the increasing of unbalanced
moment.
During the tests, it was observed that thepunching crack tends to be at one side of slabs
subjected to eccentric load due to presence of
unbalanced bending moment, while the crack patternin slabs subjected to concentric load seems to be as
circle. Also, on the compression face there were no
flexural cracks noticed, only the crack from thecolumn penetration inside the slab.
The width of the cracks is measured at each

Slab No.

Pcr, (ton)Pu, (ton)

Δcr,
(mm)

Δu,
(mm)

Pcr/PuPu(BD)/
Pu(SD)

SD1

17.5

3.15

19.45

0.314

-

SD2

4.0

15

2.25

16.70

0.266

-

BD1

5.0

14

2.54

17.1

0.357

0.8

BD2

4.0

12

2.35

14.5

0.333

0.8

BD5
Plate 3 Testing setup

5.5

4.0

12

2.73

12.7

0.333

0.69

BD6

Table 2 Ultimate values of load and deflection

2.5

11

2.1

11.6

0.227

0.73

The magnitude of area and perimeter of failurezone as well as the failure angle is measured foreach slab as shown in Table 3.
Table 3 Area, perimeter and failure angle
Slab
No.
SD1
SD2
BD1
BD2
BD5
BD6

Area,
(m2)
0.58
0.223
0.497
0.214
0.637
0.234

Perimeter,
(m)
2.7
2.7
2.5
2.0
2.83
2.9

Failure Angle,
(Ø )̊
9.02
14.74
9.95
15.5
9.46
14.04

From Table 3, it is noticed that the eccentricloading increases the failure angle in the direction
near the load and cause a collapse at one side only.
Also, the perimeter and area of failure zone in slabs
subjected to eccentric load is lower than that slabs
subjected to concentric load, this is due to semipunching failure.
Plate 4 shows the crack pattern of all the tested
specimens.

224

SEE-Osaka, Japan, Nov. 21-23, 2016

Plate 4 Crack pattern of tested specimens
225

SEE-Osaka, Japan, Nov. 21-23, 2016

Figure 1 shows the load- central deflection
relationship.

The load-stain relationships are shown in Figs. 3
and 4 which represent the strain results of one
direction only (direction 2) in order to show theeffect of eccentric load on strain results. In eachdirection, there is two strain gages located at (d and2d) from the face of the column.

Fig. 1 Load-central deflection relationships
As shown in Fig. 1, all the slabs have a smallvalue of deflection before appearing of the first
crack, and these values increased with the incrementof loading. However, the presence of bubbles in thespecimens (BD1, BD2, BD5 and BD6) increases thedeflection at the same stage of loading incomparison with reference solid slab specimens(SD1 and SD2). This is may be due to a reduction in
the overall stiffness of BubbleDecks compared withthe solid slabs.
During the test, the strain in flexural
reinforcement and in concrete is measured with eachloading step. Figure 2 shows the position of thestrain gages in flexural reinforcement and in
concrete.
Flexuralreinforcement

(a)

1
(b)
2

Fig.

Strain gages

3

Load-strain relationship for
reinforcement (a) at d; (b) at 2d

steel

As shown in Fig. 3, the magnitude of strain insteel reinforcement at (d and 2d) from the face of thecolumn is influenced by the presence of the bubbles.
Ultimate strain in flexural reinforcement at (d) fromthe face of the column in BD1 and BD5 is higher
than that of SD1 by about (202 and 206%),
respectively at the same loading stage. While thisincrement is about (63 and 220%), respectively at(2d) from the face of the column. This may be due tothe reduction in stiffness in BubbleDecks. Besides
the values of strain in SD2, BD2 and BD6 is higher
than that of SD1, BD1 and BD5, this is due to theeffect of eccentric load.
The same act of strain in flexural strength
mentioned above is noticed in the strain of concrete
as shown in Fig. 4.

Compression Face

Fig. 2 Position of strain gages

226

SEE-Osaka, Japan, Nov. 21-23, 2016

3. The eccentricity of the loading decreased theultimate load and that caused by the increasing of
unbalanced moment.
4. Punching crack tends to be at one side of slabs
subjected to eccentric load due to presence of
unbalanced bending moment, while the crack patternin slabs subjected to concentric load seems to be as
circle.
5. The eccentric loading increases the failure angle
in the direction near the load and causes a collapse at
one side only.
6. The perimeter and area of failure zone in slabs
subjected to eccentric load is lower than that slabs
subjected to concentric load.
7. The presence of bubbles in the specimens
increases the deflection at the same stage of loadingin comparison with reference solid slab specimens.
8. Ultimate strain in flexural reinforcement and in
concrete at (d and 2d) from the face of the column in
BubbleDecks is higher than that of Solid decks at thesame loading stage.

(a)

REFERENCES[1] Fariborz Moeinaddini, “Concentric Punching
Shear Strength of Reinforced Concrete Flat
Plates”, M.Sc. Thesis, Swinburne University ofTechnology, Melbourne, Australia, 2012.
[2] Corey, J., Midkiff, " Plastic Voided SlabSystems: Applications and Design", M.Sc.
Thesis, Kansas State University, Manhattan,
Kansas, 2013.
[3] Churakov A, "Biaxial Hollow Slab With
Innovative Types of Voids", Строительство
уникальных зданий и сооружений. ISSN 23046295. 6 (21). 2014, pp.70-88.
[4] Mihai Bindea, Raul Zagon, Zoltan Kiss, "FlatSlabs With Spherical Voids. Part II:
Experimental Tests Concerning Shear Strength",
Acta Technica Napocensis: Civil Engineeringand Architecture, Vol. 56, No. 1, 2013.
[5] Lai T., "Structural Behavior of Bubbledeck
Slabs And Their Application To Lightweight
Bridge Decks”, Msc Thesis in Civil Engineering,
Massachusetts Institute of Technology, 2009.

(b)
Fig. 4 Load-strain relationship for concrete (a) at d;(b) at 2d
CONCLUSIONS
The following conclusion can be drawn:
1. The first flexural crack load initiated at (27-36%)of the ultimate load.
2. The ultimate capacity of BubbleDecks is lower
than that of solid decks by about (20-31%).

227

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

BEHAVIORAL ANALYSIS OF CONTINUOUS CONCRETE BEAMSREINFORCED BY PRESTRESSED CONCRETE PRISMS
1

Nazar K. Oukaili 1, Qusai Kh. Hameed 2
Professor, College of Engineering, University of Baghdad, Iraq; 2 Lecturer, College of Engineering –University of Al- Mustansiriyah, Iraq

ABSTRACTThe paper describes a numerical analysis, using ANSYS finite element program, of the structural behavior atserviceability and ultimate stages of two spans continuous concrete beams reinforced with prestressed concrete
prisms (PCP). Six rectangular (310x200 mm) continuous concrete beams with, (4550 mm) length, were modeled.
These beams are reinforced with mild steel bars and prestressed concrete prism, of (70x70mm) dimensions
concentrically prestressed with (12.7mm) diameter seven wire steel strand, (composite concrete beams). The
parametric studies of this work were the concrete compressive strength of prestressed concrete prisms (PCP), theeffective prestressing force and the location of the prestressed concrete prisms. Nonlinear materials behavior of
all types of reinforcement and concretes were simulated using appropriate constitutive models. Numerical load
deflection response, strain in mild steel bars, prestressed strands and concrete, crack pattern and crack width atdifferent loading stages and ultimate loading capacity were determined and compared with experimental resultsof the six tested continuous concrete beams. The comparison showed good agreement between experimental dataand numerical analysis using finite element method and the numerical analysis can considered satisfactorily
predict the structural behavior of such composite concrete beams.
Keywords: Finite Element, Prestressed Concrete Prism, Continuous Beam, Deflection, Composite

strength of 90 MPa was used in beams B6, B7, B8 &B9. Prisms were subjected concentrically to twoprestressing levels 55% or 70% of the steel yieldstrength, respectively, using single 12.7 mm seven wire strand of 1860 MPa ultimate tensile strength.
Six continuous concrete beams, of 4550 mm
length and 200x310 mm cross sectional dimensions,tested under two point loads. Four beams reinforced
with mild steel and one PCP only. Two beams
reinforced with mild steel and three PCP's, at tension
zones of middle supports and mid-spans, (see Fig. 1
and Fig. 2). For shear, all beams reinforced with 10
mm diameter stirrups at 100 mm c/c for the entire
beam length. Table 1 shows the reinforcement
details of these beams. The concrete design
compressive strength of the beams was 35 MPa at 28
days age.

INTRODUCTION
The main approaches to understand concrete
member behavior under loading to assists its
application efficiency are, experimental, numericaland theoretical. The main numerical method toaccurately simulate the behavior of concrete member
is Finite Element Analysis (FEA) by dividing themember to many simple elements in which it's
mechanical and physical properties have to be
defined accurately [1, 2]. This paper presents ananalytical investigation of the nonlinear behavior ofreinforced, partially prestressed and composite
continuous concrete beams under various loading
stages using finite element software package
ANSYS 16.1 and comparing the results with the
behavior of experimentally tested concrete beams.
EXPERIMANTAL TEST PROGRAM
Prestressed Concrete Prisms
Continuous Concrete Beams

(PCP)

and

Ten prestressed concrete prisms, with 70x70 mm
cross sectional dimensions, were casted using two
different concrete types. High strength concrete(HSC) with compressive strength of 60 MPa wasused in beams B4 & B5. Ultra-high strength
concrete (UHSC), which prepared using reactive
powder concrete (RPC) with 13 mm length steel
fibers of 1.5% of the mix volume, with compressive

Fig. 1

228

Cross section of beams: (a) at middle
support of beams B4 to B9, (b) at load pointof beams B4 to B7; (c) at load point of

SEE-Osaka, Japan, Nov. 21-23, 2016

beams B8 and B9Fig. 2(or truss) element which can be used to modeltrusses, sagging cables, links, springs, etc. The 3-D
spar element is a uniaxial tension-compression
element with three degrees of freedom at each node:translations of the nodes in x, y, and z-directions. No
bending of the element was considered.

Beams reinforcement details: (a) B4, B5,
B6 & B7; (b) B8 & B9

Beams

Table 1 Reinforcement details of tested beams

B4
B5
B6
B7
B8
B9

Steel at mid support
As,
mm2

No of
PCP

228

1

Steel at midspan

A s ',

As,

mm2

mm2

No. of
PCP

228

542

0

228

228

1

228

Fig. 4

A s ',
mm2

3D spar element with 2 nodes (LINK180)

Modeling of Steel Plates and Supports
Loading and supports steel plates were modeledusing SOLID186 which is a higher order 3-D 20node solid element that exhibits quadratic
displacement behavior. The element is defined by 20
nodes having three degrees of freedom per node;translations in the nodal x, y, and z directions. The
element supports plasticity, hyper elasticity, creep,
stress stiffening, large deflection, and large strain
capabilities (see Fig. 5).

FINITE ELEMENT MODEL
Modeling of Concrete
The three dimensional 8- node brick element(solid65 reinforced concrete solids) is used as amodel of concrete of the main continuous beams and
PCP. The element has eight corner nodes; each node
has three degrees of freedom, translation in the x, y,
and z directions. This element is capable of plastic
deformation, cracking in three orthogonal directions
and crushing (see Fig. 3).

Fig. 5

Brick element with 20 nodes (SOLID186)

Material Properties
Concrete material properties

Fig. 3The concrete is assumed to be homogeneous andinitially isotropic. The compressive uniaxial stressstrain relationship for the concrete model is obtainedby using the following equations to compute themulti-linear isotropic concrete stress-strain curve,[3].

Brick element with 8 nodes (SOLID65)

Modeling of Steel Reinforcement
To model steel reinforcement such as stirrups,
main longitudinal reinforcement and PCP strand in
finite element, the discrete model LINK 180 wasused in this study (see Fig. 4). LINK 180 is a spar

𝑓𝑓𝑐𝑐 = 𝜀𝜀. 𝐸𝐸𝑐𝑐
229

for 0 ≤ 𝜀𝜀 ≤ 𝜀𝜀1(1)

SEE-Osaka, Japan, Nov. 21-23, 2016

Table 2 Concrete material properties(4)

Linearisotropic

Beam

Concrete compressive and tensile strength used
for all types of concrete elements were obtained
from experimental test results. In PCP reinforced
beams, the analysis required that the main
continuous beams will be not intuit the initial strain
subjected by steel strand on the PCP before applying
of external load, this will be required include contact
elements to solve this issue. In order to simplify
finite element analysis, initial compressive stress oneach PCP converted to additional tensile strength to
the PCP itself and assuming full bonding between
the PCP and the surrounding concrete, where thecracking capacity of each PCP is the summation of
PCP tensile strength and the decompressive stresscame from initial strain which convert to PCP tensile
strength. Table 2 shows material properties of all
types of concrete used in this study, stress-strain
relationship tabulated for only beam B6 and its PCP.

B4

PCP
Beam

B5

PCP
Beam

B6

PCP
Beam

B7

PCP
Beam

B8

PCP
Beam

B9

PCP

28213
34146
26355
33008
29423
39324
27176
38753
29423
39324
27176
38753

Concrete
UnCompSt,
MPa

Beam No.

where:
f c = stress at any strain ε, MPa,ε o = strain at the ultimate compressive strength f c ',ε cu = ultimate compressive strain,
ε 1 = strain corresponding to (0.3 f c ').

UnTensSt,
MPa

𝐸𝐸𝐶𝐶

(3)

ShrCf-Cl𝜀𝜀𝑜𝑜 =

2.𝑓𝑓𝑐𝑐′for 𝜀𝜀𝑜𝑜 ≤ 𝜀𝜀 ≤ 𝜀𝜀𝑐𝑐𝑐𝑐(2)

ShrCf-Op

𝑓𝑓𝑐𝑐 = 𝑓𝑓𝑐𝑐′

𝑜𝑜

for 𝜀𝜀1 ≤ 𝜀𝜀 ≤ 𝜀𝜀𝑜𝑜

PRXY

𝜀𝜀 2

1+�𝜀𝜀 �0.2

𝜀𝜀.𝐸𝐸𝑐𝑐

EX, MPa

𝑓𝑓𝑐𝑐 =

0
0
0
0
0
0
0
0
0
0
0
0

0.8
0.8
0.8
0.8
0.8
0.9
0.8
0.9
0.8
0.9
0.8
0.9

3.86
26.5
3.82
21.9
4.41
33.6
3.95
28.9
4.41
34.4
3.95
29.1

37.5
63.2
383
63.2
39.4
95.3
38.2
93.7
39.4
95.3
38.2
93.7

Multi-linear isotropic
B6
B6
PCP

fc
ε
fc

11.82

25.82

33.59

37.78

39.4

0.000402

0.001

0.0015

0.002

0.003

28.59

38.28

55.58

70.92

94.30

ε

0.000732

0.001

0.0015

0.002

0.003

Table 3 Steel material properties
Steel material properties
Mild steel properties
Yield
Tangent
Area,
strength,modulus,
2
mm
MPa
MPa
78
392
113
661
0
201
641
314
551
Prestressing strand properties
StrandYield
Tangent
StrandArea,
diameter,strength, modulus,
2existence mm
mm
MPa
MPa
B4 PCP754
B5 PCP
982
B6 PCP
784
12.7
99.6
5925
B7 PCP
968
B8 PCP744
B9 PCP
959
Bar
diameter,
mm
10
12
16
20

Moduli of elasticity for all types of mild steel
were 200000 MPa and for prestressing strands were197500 MPa, poisons ratio were 0.3. In steel strand,
no initial strains were input for all PCP reinforced
beams, where strand effective prestressed wereconvert to PCP tensile strength, yielding strength ofsteel strand for each PCP were measured bymultiplying the ultimate tensile strength by 0.9 thensubtract the effective prestress, steel strand weremodeled as bilinear isotropic with tangent modulus
of 3% of initial modulus of elasticity [4]. Table 3
shows the properties of all types of steel
reinforcement.

Meshing Modeling230

SEE-Osaka, Japan, Nov. 21-23, 2016

Load Deflection Response

Meshing was conducted for lines and volumes
after dividing overall volume at the location of steel
stirrups and the PCP (Fig. 6). Fig. 7 and Fig. 8 show
the wireframe view for continuous concrete beams.

Deflections were experimentally and analyticallymeasured at mid-spans and under load points (seeFig. 9 and Fig. 10). Both figures show the effect ofincreasing of PCP tensile strength, resulted fromdifferent prestressing levels and different concrete
compressive strength, on PCP cracking load andincreasing beams flexural stiffness at serviceability
stage. These figures show approximately linear
relationship and good agreement between
experimentally and analytically measured deflection
at service load until the cracking of prestressed
concrete prisms, after cracking of PCP's, the beam
stiffness was reduced and the linear load –deflection
behavior ended when the tension steel reinforcement
starts to yield, the difference becomes slightly larger
at ultimate failure of continuous concrete beams.
600

Fig. 6

Continuous concrete beam meshing.

500

Total Load (kN)

400

300

200

Exp.
F.E.

100

B4

B6

B5

B7

B8

B9

0
0

1

2

3

4

5

6

7

8

9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27

Deflection at Mid-Span (mm)Fig. 9 Deflection at mid-span of continuous beams.
600

Fig. 7

Continuous concrete beam with one PCP.

500

Total Load (kN)

400

300

200

EXP.
F.E.
100

B4

B5

B6

B7

B8

B9

0
0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28

Deflection at Load Point (mm)Fig. 10 Deflection at load point of continuous
beams.
Deflected shape in Y-direction at ultimate load
obtained from finite element analysis of beams (B6)
and (B8) are shown in Fig. 11 and Fig. 12,
respectively. It has to be mentioned that the
maximum deflection were occurred at location
rather than mid-span or at load point.

Fig. 8 Continuous beam with three PCP's.
RESULTS AND DISSCUSSIONS

231

SEE-Osaka, Japan, Nov. 21-23, 2016

600

Total Load (kN)

500

400

300

200

Exp.
F.E.

100

B4

B6

B5

B8

B7

B9

0
0

1

2

3

4

5

6

7

8

9

10 11 12 13 14 15 16 17

Steel Strand Strain at Center Support x10-3

Fig. 14 Load-strain relations in prestressing strand.
Fig. 11 Deflected shape of beam (B6).

Surface concrete strain

Fig. 12 Deflected shape of beam (B8).
Load strain relations in concrete surface atcompression zone under load point of beams (B6) to(B9) are shown in Fig. 15. It shows also goodcorrelation between experimentally measured andfinite element analysis results at the entire loading
stages. Fig. 15 shows also less effect of PCP
cracking on concrete strain under load point. In bothmeasurements, concrete strain didn’t reach ultimate
concrete strain tabulated in different cods, where thelocation of strain gauges far away by (41mm) fromthe extreme compression fiber.

Load Strain Response
Steel reinforcement strain
Load strain relations in mild steel at load point
and strain increment relations in prestressing strand
at middle support are shown in Fig. 13 and Fig. 14,
respectively. Both figures show good agreement
between experimental and analytical strain until
cracking of PCP. Difference between both strains ismore obvious due its sensitivity to PCP cracking.

600

Total Load (kN)

500

400

300

200

Exp.
F.E.

100

B9

B8

B7

B6

0
-5

-4.5

-4

-3.5

-3

-2.5

-2

-1.5

-1

-0.5

0

Concrete Strain at Load Point x10-3

Fig. 15 Concrete load-strain relations.
600

Crack patterns and ultimate load carrying
capacities

Total Load (kN)

500

400

Crack patterns in experimentally tested beams
are shown in Fig. 16, while crack patterns obtained
from finite element analysis using crack/crashingplot option in ANSYS program are shown in Fig. 17
for beams (B7) and (B9). Crack initiated at the
middle support section due to the high elastic
bending moment then followed by cracks at midspan and load point sections. It can be observed that,

300

200

100

Exp.
F.E
B4

B5

B6

B7

B8

B9

0
0 1 2 3 4 5 6 7 8 9 101112131415161718192021222324252627282930313233

Mild Steel Strain at Load Point x10-3

Fig. 13 Load-strain relations in mild steel.
232

SEE-Osaka, Japan, Nov. 21-23, 2016

all beams having approximately similar crack
patterns at mid-span and load point and were mostly
flexural, flexure-shear cracks were appeared at
higher loading stages. Crack pattern and failuremode of FE models show good agreement withexperimentally tested beams.

F.E

Exp.
/F.E

Exp.

0.99
0.99
1.02
1.03

87
87
87
87

0.95
0.82
0.94
0.88

225 252
215 237
255 305
205 237

Exp.
/F.E

B6
B7
B8
B9

F.E

1.0
0.98

F.E

B4 62 57 1.08 185 207 0.89 477 477
B5 71 87 0.81 165 177 0.93 487 497
83
71
82
77

Exp.

Ultimate Load,
(kN)

Exp.
/F.E

Beam cracking PCP cracking
load, (kN)load, (kN)
Exp.

Beams

Table 4 Beams cracking and ultimate loads

0.89
0.91
0.84
0.86

522
509
497
492

527
513
486
479

CONCLUSIONS
The following conclusions can be drawn:
1.
The general behavior of experimentallytested beams and FE models shows good agreements
in deflection, steel and concrete strain curves atentire loading stages, however, FE deflection curves
show more stiffness after cracking of PCP while
steel strand curves show more strain in FE models.
2.
Crack patterns at ultimate load in FE
models are well agreed with experimentally tested
beams.
3.
Ultimate failure load for both FE models
and experimentally tested beams show that the strain
compatibility method is valid and conservative inanalysis of PCP reinforced beams.

Fig. 16 Crack pattern of tested beams.

Beam (B7)

Beam (B9)Fig. 17 FE crack pattern of beams (B7) and (B9).
REFERANCES
Table (4) shows beam cracking load, PCP
cracking load and ultimate failure load for bothexperimentally tested beams and FE models. Beamcracking load and PCP cracking load in FE models
were measured at loading steps once cracking
initiated on concrete beams or cracking passing the
PCP level, respectively. Table (4) shows good
agreement between experimentally and FE cracking
loads, while it show excellent agreement between
experimentally failure and FE load for all beams,
this lead to a conclusion that strain compatibility
method is valid and conservative in analysis of PCP
reinforced beams. Obviously, that increasing PCP
tensile strength didn’t affected neither beam covercracking load nor beams ultimate failure loads.

[1] Al-Hadithy, L., and Abdal-Kareem, H.,“Behavior of Reinforced Concrete Composite
Beams with Embedded Prestressed Concrete
Prisms Using Nonlinear Finite Element
Analysis”, The 1st Regional Conference of Eng.
Sci. NUCEJ Spatial ISSUE vol.11, No.1, 2008
pp202-215.
[2] Kote P. B., et al, “Finite element Analysis of
Prestressed Beams”, International Journal ofAdvance Foundation and Research in Science &Engineering (IJAFRSE), Vol.1, Issue 3, August
2014.
[3] Wolanski A. J., “Flexural Behavior of
Reinforced and Prestressed Concrete Beams
using Finite Element Analysis”, M.Sc. Thesis,
University of Marquette, May 2004.work but
accepted”, accepted, Year.
[4] Desayi P., and Krishnan, S., "Equation for theStress-Strain Curve of Concrete", Journal of theAmerican Concrete Institute, Vol. 61, March
1964, pp. 345- 350.
233

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

IMPACT RESPONSE OF REINFORCED CONCRETE T-BEAMS WITHMUILTIPLE WEB OPENINGS AND ITS THEORETICALSIMULATION
Nazar K. Oukaili1 and Abeer H. Al-Shammari2
College of Engineering, University of Baghdad, Iraq.2College of Engineering, University of Mustansiriya, Iraq.

1

ABSTRACTThe purpose of this study is to experimentally examine the response of reinforced concrete (RC) T-beams
with multiple web circular openings to repeated impact loading and to make a theoretical simulation to represent
their impact response. Seven simply supported RC T-beams were tested first under repeated impact loading at
mid-span by a dropping mass of 24.5 kg from pre-determined height until the width of shear crack reached thelimiting of the ACI318M-14 [1] (0.3 mm for exterior exposure). Subsequently, a static test was conducted under
one point load to find out the residual load carrying capacity of the RC beams after impact loading. Three design
parameters were considered including number of web openings (four or six), the method which was used tostrengthen the member at openings (either using internal deformed steel bars or using carbon fiber reinforced
polymer (CFRP) fabric) and the height of drop (100, 250, 400, 750, 1000, 1500 and 2000) mm. The
experimental results indicated that the beam with four openings does not show remarkable increase in the
maximum mid-span deflection as compared with the solid one while that with six openings shows increase in
the maximum mid-span deflections clearly by about 75% greater than the maximum mid-span deflection of thesolid one, strengthening of specimens can overcome the increase in deflections. It is also found that the numberof drops required to cause shear crack of 0.3 mm width decreases where four and six openings were created
while the number of drops increases for strengthen specimens. ANSYS 12.1 3-D transient finite element
analysis program was used for this study, comparisons between finite element predictions and experimental
results in terms of mid span deflection-time histories were presented and showed good agreements.
Keywords: Concrete Beams, Web Openings, Impact.

such openings reduces the strength of the beam. As
in [3], Mansur et al. carried out an experimental
investigation on eight reinforced concrete
continuous beams, each containing a largetransverse opening. This study showed that anincrease in the depth of opening from 140 mm to
220 mm led to a reduction in collapse load from240 KN to 180 KN.
Impact loading is an extremely severe loading
condition characterized by its application of a forceof great intensity within a short duration. Impact
loads may result from the crushing ofcomparatively rigid heavy objects such as falling
rocks in mountain areas and falling heavy loads
dealt with in factories and warehouses due toaccidents. To the researcher's knowledge, there are
no researcher studies the behavior of RC beams
with multiple web openings under impact loading.
In this paper, the experimental program
addresses the behavior of reinforced concrete Tbeams under impact load when four or six circular
openings in shear region are created, the efficiency
of using internal deformed steel bars or external
CFRP fabric around the openings to restore theoriginal characteristics of the RC beams due tocreating web openings. The results in terms of

INTRODUCTION
In some cases, it is necessary to create multiple
openings in the web of the beam to permit asystematic layout of utility duct and pipes which
resulted in a significant reduction in the story
height and major saving in material andconstruction cost especially in multistory buildings.
Creating openings in the web of the beam reduces
the cross sectional area and therefore decreases theshear capacity and deformation ability. If the
openings are planned before casting the beam,internal deformed steel bars can be fabricatedaround the openings while if the openings will becreated in the existing beam, strengthening byexternal steel plates or fiber reinforced polymer(FRP) materials can be used to restore the original
capacity. The combination of low weight and highstrength to weight ratio of fiber reinforced polymer(FRP) material are advantageous for this type ofmaterial. Moreover, FRP materials having highresistance to corrosion, hence they are satisfactoryin terms of durability requirement.
According to [2], a circular opening may beconsidered as large when its diameter exceeds 0.25
times the depth of the web because introduction of234

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

impact force-time history, mid span deflection-time
history, number of drops required to cause shear
cracks of width 0.3 mm and the residual strength of
the impact tested beams are presented. For
validation, a three dimensional finite element
program, ANSYS 12.1 Release, was used tosimulate the tested beams.

[4]. In this research, the width of the post was
about 5/8 the web depth.
In order to investigate the shear behavior of thetest specimens, the solid control beams were
designed to fail in shear (the flexural capacity was
designed to exceed the shear capacity of the control
beams) according to [1]. A schematic diagram of
the test specimens showing the dimensions andreinforcement details is depicted in Fig. 1a. The
length of the test specimen was 2000 mm with aneffective span of 1800 mm, the effective depth (d)was 256 mm. identical T-shape cross-section wasused for all specimens. The tension steel
reinforcement consists of two ϕ 20 mm, thecompression reinforcement consists of four ϕ 6
mm. Stirrups consist of ϕ 4 mm at 130 mm centerto center. This reinforcement was used for control
beams, beams with unstrengthened openings andbeams with CFRP fabric strengthened openings asshown in Figs. 1b-1d. The rest beams were
strengthened with pre-fabricated internal steel bars
consisting of three ϕ 8 mm as diagonal bars aroundthe openings, two ϕ 8 mm horizontal bars below
and above the openings and concentrated stirrups
ϕ 4 mm above, below and beside the openings, seeFig. 1e.

EXPERIMENTAL PROGRAM
In the experimental program, a total of seven
reinforced concrete T-beams were fabricated andtested as simply supported beams under repeatedimpact load at mid span. The design parameters are
the number of web openings (four or six), themethod used to strengthen beams at openings(using internal deformed steel bars or CFRP fabric)
to re-gain the loss in the original characteristics due
to creating web openings.
TEST SPECIMENS
Designation of test specimens and their details
are listed in Table 1. One of these beams was thesolid control beam without openings, two of themwere with unstrengthened openings and theremaining four beams were with strengthened
openings.
Table 1 Details of specimens
BeamsymbolNumber of
openings

BIW

Without
openings
4
6
4
6
4
6

BIO4
BIO6
BIO4S
BIO6S
BIO4F
BIO6F

Type ofstrengthening at
opening regions--No strengthening
No strengthening
Internal steel bars
Internal steel bars
CFRP fabric
CFRP fabricSec. A-A(a) Dimension of beams and reinforcement details.

All openings were of circular shape withdiameter equal to 110mm. The ratio of the opening
diameter to the web depth was 0.48 which wasenough to cause a sizeable reduction in shear
capacity (web containing a circular opening of
three-eighths the web depth dose not reduce thestrength of the specimen [4]). This made it possible
to evaluate the efficiency of different strengthening
techniques. The distance between the support andthe beginning of the first opening was 130 mm
which equals about half the effective depth.
Specimens with multiple web openings fail in thepost (element between two openings when these
openings are placed closed to each other) when thewidth of the post is smaller than 3/8 the web depth235

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

A drop mass impact loading frame was used for
impact loading tests as shown in Fig. 3. Each beam
subjected to a drop mass of 24.5 kg which was
dropped freely onto the top surface of the RC beamat mid-span from seven different heights: 100, 250,
400, 750, 1000, 1500 and 2000 mm then the impact
load was repeated from height of drop of 1000 mm
until the width of shear crack reached theserviceability limit state (0.3 mm in width forexterior exposure [1]). The drop mass system
consists of three parts: the steel cylindrical shaft,the dynamic load cell (MLC213 model) and theimpactor of stainless steel with curved tip. The RC
beam was supported over a span of 1800 mm withspecially design devices allowing it to freely rotate
while preventing it from moving out of
displacement.
The contact force developed between the massand the RC beam was measured using the dynamic
load cell, which was rigidly connected to the drop
mass system between the steel shaft and theimpactor. The mid-span deflection response of the
RC beam was measured using the LVDT (linear
variable differential transformer). Strains at
different locations were measured using electricalstrain gages. Signals from load cell, strain gages
and LVDT were amplified and then recorded using
storage type oscilloscopes having band width of
100 MHz.

Fig. 1 Details of beam specimens (unit: mm).
CFRP STRENGTHENING LAYING
Beams BIO4F and BIO6F were strengthened
with CFRP fabric having uni-directional fibers(SikaWrap-230C type) which cut into segments
and placed around the openings in two layers, thefirst layer was of horizontal and vertical segmentsof CFRP fabric placed around openings while thesecond layer was of diagonal segments of CFRP
fabric placed beside openings with an angle ofinclination of 45°, see Fig. 2.

Fig. 2 Alignment of CFRP fabric.
In general, the concrete surface beneath the
CFRP fabric was roughed and then cleaned prior to
the adhesive application using epoxy resin(Sikadur-330 type) with average thickness of 1 mm.
MATERIAL PROPERTIES
Properties of concrete, steel reinforcement andfiber reinforced polymer used in this study are
given in Table 2.

Tensilestrength, MPa

Modulus ofelasticity, GPa---

Compressive
strength, MPa

CFRP
fabric
Epoxy
resin

--20
6
4
8
0.131

Yield strength,MPa

Concrete
Steel

Diameter, mm
Thickness,mm

Material

Table 2 Material properties
IMPACT LOADING TEST

600
420
400
450
---

27
-----------

3.2
747
570
553
602
4300

23
200

---

---

30
@7
days

4.5
@7
days

1. Rope. 2. Guide frame. 3. Falling mass.4.
Main frame. 5. Load cell. 6. Impactor. 7.
Mechanism. 8. Concrete beam. 9. Support. 10.
Fig. 3 Schematic diagram of the impact test setup(units: mm).
RESIDUAL LOAD CARRYING CAPACITYTEST
The residual load carrying capacity of the RC
beam after impact loading was examined using
static loading tests, in these tests each RC beam
was simply supported over a span of 1800 mm andconcentratedly loaded at mid-span until failure, the

238

236

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

ultimate loads were recorded and compared withthe ultimate loads of the pure static RC beams
which were tested by the authors [5].

IMPACT RESPONSE
Impact load-time histories were recorded foreach beam for heights of drop of (100, 250 and400) mm and the deflection-time histories wererecorded for each beam for the seven heights ofdrop. Accordingly, typical impact force response
for BIW specimen is presented in Fig. 5. From theimpact load-time history, it can be noticed that themeasured impact loads are characterized by twoparts: the first part is the impact force directly
induced by dropping mass, this part represents theincidental wave with comparatively high amplitude,
and the second part is the inertia force produced by
the vibration of the beam, this part withcomparatively low amplitude as presented in many
previous researches [6].

EXPARIMENTAL RESULTS
Cracking, Failure Mode and Number of Drops
The first visible crack was a vertical crack
which appeared under the point of impact loadingon the flange of all beams then a flexural crack
started from the soffit of the beam and propagatedupward. Shear cracks then appeared after
successive drops of height 1000 mm, these cracks
started near mid height of the beam and propagateddiagonally with an angle of inclination of about
40˚- 60˚. All beams showed this behavior except
two beams: BIO6 which did not show web flexural
crack and BIO6F which did not show web crack
since CFRP covered almost whole web surface area.
For all beams, the impact test was stopped when
the width of shear crack reached 0.3 mm. a crack
detection microscope was used for this purpose.
Number of drops required to reach theserviceability limit state were recorded andpresented in Fig. 4. As compared with the solid
beam (BIW), it is concluded that the number ofdrops required to form shear cracks of width 0.3
mm decreased when four and six openings werecreated, specimens BIO4 and BIO6, by about 30%
and 86%, respectively. Also, when opening regions
were strengthened with additional reinforcement,
specimens BIO4S and BIO6S, the number of drops
required to form shear cracks of width 0.3 mmincreased by about 33% and 97%, respectively.
And, when opening regions were strengthened with
CFRP fabric, specimens BIO4F and BIO6F, thenumber of drops required to form shear cracks ofwidth 0.3 mm increased significantly by about 85%
and 125%, respectively.
150

25

Impact force kN

20

10

118

0

111

BIO6

Number of drops

BIW
BIO4

25

BIO4S

BIO6S

BIO4F

BIO6

20

BIO6F

100

Specimen

Fig. 4

70

30

0
BIO4

60

35

8
BIW

50

40

42

25

30
40
Time ms

Figure 6 shows comparisons of the maximum
impact force for specimens BIW, BIO4 and BIO6,
the maximum impact force values of specimen
BIW are slightly larger than those of specimens
BIO4 and BIO6. This indicates that the impact andinertia forces depend on the structural stiffness; thehigher the stiffness, the larger the impact andinertia forces.

60

50

20

Fig. 5 Impact force response for BIW specimen,
drop height = 100 mm.

80

75

10

Maximum Impact force kN

100

5
0

135

125

H=100 mm15

Number of blows required to reach theserviceability limit state for tested beams.

150

200
250
300
Height of drop mm

350

400

Fig. 6 Comparisons of the maximum impact forceof specimens for different heights of drop.

237

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Figures 7 and 8 show comparisons of the
maximum transient mid span deflections for theseven impact tested beams. From these figures it isconcluded that the maximum mid span deflections
increase as the height of drop is increased (theincrease is almost linearly for the first three heightsof drop). From these figures it is also noticed thatthe beam with four openings does not show
obvious increase in the maximum mid span
deflections while the beam with six openings
shows increase in the maximum mid span
deflections clearly by about 75% greater than thoseof the solid beam, strengthening of specimens
around openings either by additional reinforcement
or by CFRP fabric can overcome this increase in
the deflections, also the strengthening improves thedeflection behavior of specimen with four openings.

Static strengthsof
impacted
beams, kN

Residual static
strengths, %

15

BIW
BIO4
BIO6
BIO4S
BIO6S
BIO4F
BIO6F

160
112
95
142.5
137.5
147.5
182.5

125
92.5
81.5
108.5
102
110.5
130

78
82.5
85.5
76
74
75
71

beam

BIW
BIO4
BIO6
BIO4S
BIO6S

20

StrengthsofPure static tested
beams, kN
No. of drops
exertedon
impacttestedbeams

Table 3 Residual static strengths of impacted
beams

Impactedsymbols

Maximum mid span deflection

25

Also it can be noticed that the maximum difference
between the percentages of the residual static
strength of impacted beams does not exceed 15%,
this may belong to the failure limit that considered
for all beams to end the repeated impact load (whenwidth of shear crack reaches 0.3 mm).

10

60
42
8
80
118
111
135

FINITE ELEMENTANALYSES

5

MODELING

AND

0
0

250

500

750 1000 1250 1500 1750 2000
Height of drop mm

A simulation is done by using ANSYS finite
element software for the investigated experimental
study. The FEM and experimental results arecompared and the level of consistency between
them is investigated.
Transient dynamic analysis (sometimes called
time-history analysis) is a technique in used todetermine the dynamic response of a structure
under the action of any general time-dependent
loads. This type of analysis can be used todetermine the time-varying displacements, strains,stresses, and forces. Three methods are available in
ANSYS program to do a transient dynamic
analysis: full, mode superposition, and reduced.
ANSYS analysis was done using the reduced
method; this method condenses the problem size byusing master degrees of freedom and reduced
matrices. After the displacements at the master
DOF have been calculated, ANSYS expands thesolution to the original full DOF set.
Beams were modeled with the solid65 element(has eight nodes and three degrees of freedom ateach node) which was used to represent concrete,
the link8 element (three dimensional spar element
and it has two nodes with three degrees of freedom
at each node) which was used to represent steel
reinforcement, and the solid185 layered structuralelement (has eight nodes and three degrees of
freedom at each node) which was used to represent
CFRP fabric. Perfect bond was assumed between
different materials and the self-weight of the beams

Fig.7 Comparisons of the maximum mid span
deflections of specimens for different
heights of drop.
25
BIW
BIO4
BIO6
BIO4F
BIO6F

Maximum mid span
deflection mm

20
15
10
5
0
0

250 500 750 1000 1250 1500 1750 2000
Hieght of drop mm

Fig.8 Comparisons of the maximum mid span
deflections of specimens for different
heights of drop.
RESIDUALSTATICIMPACTED BEAMSSTRENGTHOF

The residual static strengths for impacted beams
were obtained through static tests and comparedwith strengths of pure static tested beams, test
results in Table 3 show that the percentage of theresidual static strength decreases with the increasein the number of drops which the beam subjected to.

238

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

was considered. Beams were modeled as volumes.
Taking advantages of the symmetry, only quarterof the beam was modeled. Rollers were used toshow the symmetry condition at internal faces
whereas the nodes at the support were restrained
against vertical displacement. Multiple load steps
are usually required to specify the load history in atransient analysis. The first load step is used toestablish initial conditions, and second andsubsequent load steps are used for the transientloading. Figure 9 shows FE mesh, load step andboundary conditions.

1. The number of drops required to form shear
cracks of width 0.3 mm (the serviceability limit
state) decreased when four and six openings werecreated by about 30% and 86% respectively ascompared with the solid reference one. This
number of drops increases when opening region
wasstrengthened
eitherbyadditional
reinforcement or by CFRP fabric.
2. The maximum impact force values of the solid
beam are slightly larger than those of beams withfour and six openings. This indicates that the
impact and inertia forces depend on the structural
stiffness; the higher the stiffness, the larger the
impact and inertia forces.
3. The impact force and mid span deflections of thereinforced concrete beams increase proportionallywith increases in drop height.
4. The beam with four openings does not show
obvious increase in the maximum mid span
deflections while the beam with six openings
shows increase in the maximum mid span
deflections clearly by about 75% greater than thoseof the solid beam, strengthening of specimens
around openings either by additional reinforcement
or by CFRP fabric can overcome this increase in
the deflections, also the strengthening improves thedeflection behavior of specimen with four openings.
5. Numerical models using finite element analysis
ANSYS program were developed to determine themaximum mid span deflection which is an
important index for evaluating damage levels of thereinforced concrete beams subjected to impact
loading. The numerical models were shown to be ingood agreement and the plots have similar trends tothe experimental results. However, the predictedpeak deflections were overestimated.

Fig. 9 FE mesh, load step and boundary conditions.
FINITE ELEMENT ANALYSIS RESULTS
Transient analyses were made for height of dropof 250 mm for each impact tested beam. Finite
element result in terms of mid span deflection-time
histories for specimen BIW is shown in Fig. 10. In
general, the agreement is good and the plots have
similar trends.

REFERENCES

Mid span deflection mm

2[1] ACI 318M-14 Building code requirements forstructural concrete and commentary. (2014).
Farmington Hills, Michigan, American
Concrete Institute.
[2] Somes, N.F. and Corley, W.G., "Circular
openings in webs of continuous beams",
American Concrete
Institute, Detroit, MI,
1974, pp. 359-398.
[3] Mansur, M.A., Lee, Y.F., Tan, K.H. and Lee,
S.L., "Test on RC continuous beams with
openings", Journal of Structural Engineering,Vol. 117, No. 6, 1991, pp.1593-1605.
[4] ACI-ASCE Committee 426, "Shear Strength ofReinforced Concrete Members (ACI 426R-74)(Reapproved 1980)", Proceeding, ASCE,
Vol.99, No.ST6, June 1973, pp. 1148-1157.
[5] Oukaili, N. K., and Al-Shammari, A. H. ,"Response of reinforced Concrete Beams with
Multiple Web Openings to Static Load", APFIS

1

0
0

20

40

60

80

100

-1

BIW, H=250 mm
ANSYS

-2

-3

Experimental
Time ms

Fig. 10 Comparison of predicted results to test
results for mid span deflection-time
history.
CONCLUSIONS

239

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

Conference, Melbourne, Australia, December
2013.
[6] Fujikake, K., Li, B., and Soeun, S., "Impact
Response of Reinforced Concrete Beam and Its
Analytical Evaluation." Journal of StructuralEngineering, Vol.135, No.8, 2009, pp. 938-950.

240

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

TRACTOR DRIVING TECHNICAL LEARNING OF
AGRICULTURAL STUDENT IN AGRICULTURAL
MACHINERY SUBJECT
Dowroong Watcharinrat1
Faculty of Agricultural Technology, Rajamangala University of Technology Thanyaburi, Thailand

1

ABSTRACT
Ability for driving a tractor is one of objective in Agricultural Machinery subject. Student also would learn
about part of tractor and their function. Learning was easier than learn how to drive a tractor. Comfortablecondition was one of student need. This research compare about technical driving tractor between a lecturer andstaff who able to drive tractor. There were forty five students divided into two group. First group (Group 1)
teached by a staff and second group (Group 2) teached by lecturer. This research used questionnaire to know
student ability in ride transportation before driving practice. After driving teaching a mount, students got
questionnaire about their satisfied in tractor driving teaching. Mean, standard deviation, frequency, percent, andt-test were statistical that used in this research. The result show in mean that after a mount, the group 1 was 3.60
better in driving tractor than the second group 2 was 3.50. Male students in mean were 3.61 better than female
students were 3.51. But, there were no significant difference in statistical t-test between group 1 and group 2
were 1.57 at level α 0.5 also t-test between male student and female students were 1.65 at level α 0.5. The result
between male and female student also group 1 and group 2 were no different ability in driving tractor after amount. Students ability in drive a tractor after teaching by staff and lecturer were same between group 1 andgroup 2 also between male students and female students.
Keywords: Tractor Driving, Farm Tractor, Agricultural Machinery

INTRODUCTIONMETHODOLOGY

Agricultural machinery subject is important todevelopment student role in agricultural.
Agricultural machinery subject explain all aboutmachinery in farm or agriculture side. It start frompart of machine, how to use machine, how tomaintenane a machine and how to safety when we
use the mechine. Their knowledge of agricultural
machinery will apply in farm directly. From thiscourse also student explore about tractor exactly.
Students need to understand more about tractor , partof tractor and safety in tractor. Because tractor wasbasic machine that used by farmer.
Student need to know about drive a tractor andable to ride it. But, learning how to drive a tractor aswell as teaching student how to drive newtransportation. It need more courage in order they
believe and safety. It is also need some comfortablecondition that make student feel nice and funlearning. From the above mention the research needto find the suitable method for improve technicaldriving for a tractor.
The objectives of this research to find teaching
methodology on tractor driving in agricultural
machinery subject. Because, more lecturer is better
than a lecturer to teach tractor driving. It should finda solution to solve and make student able to ride a
tractor well.

The population of this research was second year
student of agriculture machinery subject of Crop
Production major Agricultural Technology Faculty
Rajamangala University of Technology Thanyaburi
Thailand academic year 2/2014. This research was
on February 16, 2015 – March 14, 2015. There were
forty five students divided into two group. Group 1
there were taught by staff who able in drive tractor
and Group 2 taught by lecturer. Group 1 wasnineteen students and group 2 was twenty six
students.
All students got questionnaire before driving
teaching to know about their ability in ride kind oftransportation. That questionnaire also include about
driving experience, driving license and maintenancemachine. They got driving teaching once every week
and three hours each practice, but different day
between two groups depend on their free time. Aftera month, student got questionnaire to know theirability and satisfied. That questionnaire ask about
their satisfied and ability in machine checking before
driving, start engine, increase and decrease speed,
hydraulic control, safety in tractor driving andstudent satisfied with the trainer between lecturer
and staff. The statistical of this research was mean,
standard deviation, frequency, percentage, and t-test.

241

SEE-Osaka, Japan, Nov. 21-23, 2016

RESULTS AND DISCUSSION
This result showed about questionnaire score of all students. This questionnaire there were nine items. They
will get score 1 in need improvement ability/satisfied each item, 2 in fair ability/satisfied each item, 3 in goodability/satisfied each item and 4 in very good ability/satisfied each item. It would compared questionnaire score
between Group 1 and Group 2 also between male and female student in mean. It also compared questionnairescore between Group 1 and Group 2 also between male and female student in t-test statistical and probability inlevel 0.05.
Table 1 Questionnaire score after a month driving tractor practice of Group 1No

Gender

Check

Start

Begin

Gear

h-i

Hydro

SafetyTrainer

Lesson

Total

1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19

M
M
M
F
M
F
M
M
F
F
F
F
F
F
F
F
F
F
F

3
4
3
4
3
3
4
4
4
4
3
3
4
3
3
4
3
4
4
3.53
0.51

3
4
3
4
3
4
4
4
4
4
4
4
3
4
4
4
4
3
3
3.68
0.48

4
3
3
3
3
3
3
4
4
3
3
3
3
4
3
3
3
3
3
3.21
0.42

3
4
3
3
3
4
3
4
4
3
3
3
3
3
3
3
4
3
3
3.26
0.45

4
4
4
3
3
3
3
3
3
3
3
3
3
3
4
4
4
3
4
3.37
0.50

4
4
4
4
4
4
4
4
4
4
4
4
4
4
4
3
4
4
4
3.95
0.23

4
3
4
4
4
3
4
4
4
4
4
4
4
4
3
4
3
4
4
3.79
0.42

4
4
3
4
4
4
4
4
4
4
3
4
4
4
4
4
3
4
4
3.84
0.37

4
4
3
4
3
4
4
4
4
4
3
4
4
3
4
3
4
4
4
3.74
0.45

3.67
3.78
3.33
3.67
3.33
3.56
3.67
3.89
3.89
3.67
3.33
3.56
3.56
3.56
3.56
3.56
3.56
3.56
3.67
3.60
0.16

𝑿𝑿
S.D.

There were six male students and thirteen students in group 1. Students of group 1 got good score in all items.
Most of the student were expert in hydraulic control, that showed by �𝑿𝑿 = 𝟑𝟑. 𝟗𝟗𝟗𝟗. Group 1 has �𝑿𝑿 = 𝟑𝟑. 𝟔𝟔𝟔𝟔 in total
and standard deviation 0.16 in total.
Table 2 Questionnaire score after a month driving tractor practice of Group 2No

Gender

Check

Start

Begin

Gear

h-i

Hydro

SafetyTrainer

Lesson

Total

1
2
3
4
5
6
7
8
9
10
11
12
13
14
15

M
F
F
M
F
F
F
F
F
M
F
M
M
F
F

4
4
3
4
4
3
3
3
4
4
3
4
3
3
4

3
3
3
3
4
4
4
3
3
4
3
3
4
3
3

3
3
3
3
3
4
4
4
3
3
3
3
3
3
4

3
3
3
4
3
3
4
3
3
3
4
4
3
3
4

3
3
3
4
3
3
4
3
4
4
4
4
3
4
3

3
4
4
4
4
3
4
3
4
4
3
4
4
3
3

4
3
3
4
4
4
4
3
4
4
3
4
4
4
4

3
4
3
4
4
4
3
3
4
4
4
4
4
3
4

3
4
3
4
4
4
3
3
4
4
4
4
4
3
4

3.22
3.44
3.11
3.78
3.67
3.56
3.67
3.11
3.67
3.78
3.44
3.78
3.56
3.22
3.67

242

SEE-Osaka, Japan, Nov. 21-23, 2016

Table 2 Continue
16
17
18
19
20
21
22
23
24
25
26

F
M
F
M
M
M
M
F
F
F
F
𝑿𝑿
S.D.

4
3
4
4
4
4
3
3
3
3
3
3.50
0.51

3
4
3
3
3
4
3
3
3
3
3
3.27
0.45

4
3
4
4
3
4
4
3
3
3
3
3.35
0.49

3
3
4
4
3
4
4
3
4
3
3
3.38
0.50

3
3
4
4
4
3
4
3
4
3
3
3.46
0.51

4
3
4
4
3
3
3
4
4
4
3
3.58
0.50

3
4
4
4
4
3
4
3
3
4
4
3.69
0.47

3
4
4
4
4
3
4
3
4
3
4
3.65
0.49

3
4
4
4
4
3
4
3
3
4
4
3.65
0.49

3.33
3.44
3.89
3.89
3.56
3.44
3.67
3.11
3.44
3.33
3.33
3.50
0.24

Ten male students and twenty six female students were in group 2. Most of them expert in safety in driving
tractor that showed by 𝑿𝑿 = 3.69. Mean of all item was 3.50 and standard deviation 0.24
Table 3 Questionnaire score after a month driving tractor practice of male student

No

Gender

Check

Start

Begin

Gear

h-i

Hydro

SafetyTrainer

Lesson

Total

1

M

3

3

4

3

4

4

4

4

4

3.67

2

M

4

4

3

4

4

4

3

4

4

3.78

3

M

3

3

3

3

4

4

4

3

3

3.33

4

M

3

3

3

3

3

4

4

4

3

3.33

5

M

4

4

3

3

3

4

4

4

4

3.67

6

M

4

4

4

4

3

4

4

4

4

3.89

7

M

4

3

3

3

3

3

4

3

3

3.22

8

M

4

3

3

4

4

4

4

4

4

3.78

9

M

4

4

3

3

4

4

4

4

4

3.78

10

M

4

3

3

4

4

4

4

4

4

3.78

11

M

3

4

3

3

3

4

4

4

4

3.56

12

M

3

4

3

3

3

3

4

4

4

3.44

13

M

4

3

4

4

4

4

4

4

4

3.89

14

M

4

3

3

3

4

3

4

4

4

3.56

15

M

4

4

4

4

3

3

3

3

3

3.44

M

3

3

4

4

4

3

4

4

4

3.67

3.63

3.44

3.31

3.44

3.56

3.69

3.88

3.81

3.75

3.61

0.50

0.51

0.48

0.51

0.51

0.48

0.34

0.40

0.45

0.21

16
𝑿𝑿

S.D.

243

SEE-Osaka, Japan, Nov. 21-23, 2016

Sixteen male students was high ability in safety in driving tractor that showed by 𝑿𝑿 = 3.88. Mean of all items
was 3.61 and standard deviation 0.21.
Table 4 Questionnaire score after a month driving tractor practice of female student
No

Gender

Check

Start

Begin

Gear

h-i

Hydro

SafetyTrainer

Lesson

Total

1

F

4

4

3

3

3

4

4

4

4

3.67

2

F

3

4

3

4

3

4

3

4

4

3.56

3

F

4

4

4

4

3

4

4

4

4

3.89

4

F

4

4

3

3

3

4

4

4

4

3.67

5

F

3

4

3

3

3

4

4

3

3

3.33

6

F

3

4

3

3

3

4

4

4

4

3.56

7

F

4

3

3

3

3

4

4

4

4

3.56

8

F

3

4

4

3

3

4

4

4

3

3.56

9

F

3

4

3

3

4

4

3

4

4

3.56

10

F

4

4

3

3

4

3

4

4

3

3.56

11

F

3

4

3

4

4

4

3

3

4

3.56

12

F

4

3

3

3

3

4

4

4

4

3.56

13

F

4

3

3

3

4

4

4

4

4

3.67

14

F

4

3

3

3

3

4

3

4

4

3.44

15

F

3

3

3

3

3

4

3

3

3

3.11

16

F

4

4

3

3

3

4

4

4

4

3.67

17

F

3

4

4

3

3

3

4

4

4

3.56

18

F

3

4

4

4

4

4

4

3

3

3.67

19

F

3

3

4

3

3

3

3

3

3

3.11

20

F

4

3

3

3

4

4

4

4

4

3.67

21

F

3

3

3

4

4

3

3

4

4

3.44

22

F

3

3

3

3

4

3

4

3

3

3.22

23

F

4

3

4

4

3

3

4

4

4

3.67

24

F

4

3

4

3

3

4

3

3

3

3.33

25

F

4

3

4

4

4

4

4

4

4

3.89

26

F

3

3

3

3

3

4

3

3

3

3.11

27

F

3

3

3

4

4

4

3

4

3

3.44

28

F

3

3

3

3

3

4

4

3

4

3.33

29

F

3

3

3

3

3

3

4

4

4

3.33

3.45

3.45

3.28

3.28

3.34

3.76

3.66

3.69

3.66

3.51

0.51

0.51

0.45

0.45

0.48

0.44

0.48

0.47

0.48

0.20

𝑿𝑿

S.D.

Twenty nine female students was high satisfaction in trainer in driving tractor that showed by 𝑋𝑋 = 3.69.
Mean of all item was 3.51 and standard deviation 0.20.

244SEE-Osaka, Japan, Nov. 21-23, 2016

drive a car. There were two female and four male.
One of them can drive a tractor. That information
known by questionnaire before driving tractor
practice. Fourty five students divided into two group.
Group 1 there were nineteen students teached bystaff and group 2 teached by lecturer as researcher
for twenty six students. Students did not knoew
about this research. They divided into two groupbased on they free time to practice. Because,
researcher and staff teached student in different day
but same time.
The first practice week, most of students wereafraid. Because, tractor was big and it’s engine wasnoise. They tried to start the engine and check
tractor components before driving on the second
practice week. But, they did not step the clutch andbreak together that make them afraid because theengine stop directly. They tried to apply the gear forincrease or decrease the speed also for high and low
speed on the third practice week. On the last week,
they tried enjoy high speed with safety way.
Researcher experience showed that male wasbetter than female to drive a tractor. But from thisresearch, there was no different ability between themto drive a tractor, also they was no different
satisfaction between practiced by staff and lecturer.
Because, they have experience to observation drive acar with the family. They also have lecture in thissubject. They also observed their friend how to drivea tractor.

Table 5 Compared of questionnaire score after amonth driving tractor practice of Groups by using
independent samples t-test

Group

𝑿𝑿

S.D.

Group 1

3.60

.16Group 23.50

.24t-value

Probability

1.57

1.24

Note: significant at 0.05.
Students got questionnaire about their satisfied indriving tractor teaching.The result showed in meanthat after a mount, the group 1 was 3.60 better indriving tractor than the second group 2 was 3.50.
But, there were no significant difference in statisticalt-test between group 1 and group 2 were 1.57 withprobability 1.24 at level α 0.5. The result between
group 1 and group 2 were no different ability indriving tractor after a mount. Students ability indriving tractor after teaching by staff and lecturer
were same.

Table 6 Compared of questionnaire scoreafter a month driving tractor practice between
male and female student by using independent
samples t-test

ACKNOWLEDGEMENTS
Group
Male
Female

𝑿𝑿

3.61
3.51

S.D.
.21
.20

t-value
1.65

Probability

The authors would like to express their sincere
thanks for the participated of Faculty of Agricultural
Technology, Rajamangala University of Technology
Thanyaburi and other. We would also say thanks
for who could not be mentioned here for theirkindness and encouragement.

.107

Note: significant at 0.05.
After driving teaching a month, students got
questionnaire about their satisfied in driving tractor
teaching. Mean, standard deviation, frequency,
percentage, and t-test were statistical that used inthis research. The result show in mean that after amonth,male students in mean were 3.61 better thanfemale students were 3.51. But, there were no
significant difference in statistical t-test between
male students and female students were 1.65 withprobability .107 at level α 0.5. The result between
male and female student were no different ability indriving tractor after a mount. Students
ability/ satisfaction in driving tractor after teachingby staff and lecturer were same.

REFERENCES[1] Watcharinrat D, Agricultural Machinery(Handout
Theory).
2013.
Rajamangala
University of Technology Thanyaburi, Facultyof Agricultural Technology. Pathumtani
Province, Thailand.
[2] Watcharinrat D, Agricultural Machinery(Handout Labratory). Rajamangala Universityof Technology Thanyaburi, Faculty ofAgricultural Technology. Pathumtani Province,
Thailand, 2013.
[3] Goering CE, Engine and Tractor Power.
University of Illinois, United States of America,
1986.

CONCLUSION
There were sixteen male and twenty nine female
in forty five students. There were six students can
245

SEE-Osaka, Japan, Nov. 21-23, 2016[4] Hunt D, Farm Power and Machinery
Management. Iowa State University Press,
Ames, Iowa, 1973.
[5] Deere J, Fundamentals of Machine Operation,
Tillage. John Deere Service Training Dept. F.,
Moline , Illinois, 1976.
[6] Deere J, Fundamentals of Machine Operation,
Agricultural Machinery Safety. John Deere
Service Training Dept. F., Moline, Illinois. 1974.

[7] Intarawichai P, Farm Machinery Part 2.

Agricultural Engineering Training Center.
Pathumthani Province, Thailand, 1992.
[8] Policy and Planning Division, Policy of
RMUTT.
Rajamangala
UniversityofTechnology Thanyaburi, Pathumtani Province,
Thailand, 2014.
[9] Smith HP & Wilkes LH, Farm Machinery andEquipment. McGraw-Hill Book Company,
Thailand.

246

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

A STUDY OF NATURAL COLOR IN FIBRE ENRICHED FRUIT MILKPOWDER
Suzihaque, M.U.H1, Raja Maizatulakmal Raja Abdullah and Ummi Kalthum Ibrahim3
1,2,3
Faculty of Chemical Engineering, Universiti Teknologi MARA, Malaysia

ABSTRACT
Five different sources of natural color were selected in order to study the stability of the natural colors whichwere blended with milk prior to spray drying process. Five different colors of fruit milk powder were produced:
dragonfruit milk (magenta color), carrot milk (orange color), pandan milk (green color), orange milk (yellow
color) and strawberry milk (light pink color). Different types of color produced were contributed from different
color pigments incorporated in the fruit naturally. Each of the milk sample were run through the spray drying at
three different inlet temperatures, 110, 130 and 150℃. By using Sphere Spectrohotometer, the color was
visualized in which the color space ; L*, a* and b* values of each sample were obtained. The total color changes
after the drying process were also calculated. From the results, the total colour changes of carrot milk powder
after drying process were the highest followed by orange, pandan, dragonfruits and strawberry. After one weekof storage, the color changes was measured again. The results showed that different color had different color
stability. By using UV/Vis spectrophotometer, the solubility of the powder in water was measured after the
drying process and after 1 week of storage period. The solubility of the powder which remains in the watersignified the concentration of the color pigment that were not degraded during the drying process. Different color
pigment were measured at different wavelength relative to their maximum absorbance wavelength. From theresults obtained, all five type of milk showed that after drying, the highest absorbance values were recorded at
110℃ followed by 130 and 150 ℃. The surface topography of the powder was viewed at 500x and 1500
magnification by using Scanning Electron Microscope (SEM). From the image obtained, higher temperature ofdrying resulted to a smaller size of molecules which also signified the level of degradation at three different
temperatures.
Keywords:Milk, Fruit, Natural colour, Pigment, Spray drying

than plain milk. Therefore, it is highly believe thatflavored milk will be a good approach to attract
children, adolescent and adults to consume milk intheir daily diet
Color is one of the most important quality
attributes affecting consumer’s acceptance of foodsince it gives the first impression of food quality.
Moreover, the food industries nowadays are more
focused on the demand for natural colorant insteadof synthetic dyes highly due to safety issues.
However, the practice of natural pigment compels
knowledge especially on their stability in order toadapt them to the condition of use during processing,packaging and distribution.
It was reported that natural pigment from
biological sources came into consideration
especially pigment extracted from plant fungi,
bacteria, algae and insect. Soma major categories ofplant pigment include betalain, anthocyanins,carotenoids and chlorophylls. Among thse categories,
anthocyanin earned the most attention due to its
colour and antioxidant properties [3]. Besides that,natural colorant sources such as pandan leaves arewidely used in food industries as pandan contains
various bioactive compound especially natural green
colorants [4]. Betalain pigment that can be obtained

INTRODUCTION
Nowadays, children are drinking less milk anddislike eating healthy food such as vegetables andfruits. For them, the taste and sensory properties are
becoming important factor in choosing food [1] andthis behavior will lead them to consume unhealthy
diet which is lack in calcium and fiber and othermore having nutrient deficiency which is very
important for their growth. Different approaches has
been analyzed in order to make sure that children
can consume those foods which is combining fruit
flavor with the milk . Instead of liquid product, thefruit flavored milk is suggested to becommercialized in powder form for longer storage
stability and more attractive appearance withdifferent types of color based on the natural color offruits.
In the recent studies, it is found that theconsumption of milk especially among children
becoming lower and this had grow the concern ofmany parents since drinking milk is very crucial for
growth development and intake of other nutrientsthat needed to maintain our body health[2].
Furthermore, children nowadays are very picky andthey are more prefer to drink flavored milk rather
247

SEE-Osaka, Japan, Nov. 21-23, 2016

from dragonfruit have also been one of the widelyused colorants in food industries. However, theresearch done about these color pigment was not
fully conducted. There are several major factors that
affect the color produced and the pigment stability
such as pH, temperature, oxygen, ascorbic acid, light,
enzyme[5] etc. Generally, the major plant pigment
and their colors can be divided intocategories asshown in Table 1a below:

C. Storage of the Samples
All the samples powder were sealed and stored indark place at room temperature, 25℃ .
D. Determination of Color Parameters and Total
Color Changes by Colorimetric Analysis
The color of the product can be visualized using thecolorimetric analysis by measuring the color space
which the color values were expressed as L*, a* andb*. The color was measured using Lovibond RT400
Sphere Spectrophotometers. The instrument was
initially calibrated. Then, the measurement was
taken by placing the head of the spectrophotometervertically above the sample and then the head of thespectrophotometer was pushed slightly and was kept
on hold until a light appeared and a click sound washeard which signify the measurement was finished.
From the results obtained, The color changes foreach type of fruit milk from liquid into powder foreach temperature is calculated by using formula
below[2]:-Table 1a Major plant pigment and their concurrency[6]
Pigment
Chlorophylls
Carotenoids
Flavonoids
Betalains

Common type
Chlorophyll
Carotenes andxanthophylls
Anthocyanins,
aurones, flavonols
Betacyanins

ColorsGreen
Orange, reds,
yellow
Yellow, red,
blue, purple
Red to violet,
also yellow toorangeIn this study, four types of fruits and one types ofvegetable were extracted and incorporated with milk
and the effect of spray-drying procedure on the color
changes of the pigments, concentrations andsolubility of the pigments under three different
temperatures were determined. The effects of thetemperatures on the spray-dried product weremonitored right after the drying process and one
week storage.

ΔE* = �(𝚫𝚫𝚫𝚫 ∗ + 𝚫𝚫𝚫𝚫 ∗ + 𝚫𝚫𝚫𝚫 ∗)ΔE*= total color changes
L* = lightness which range from 100 for perfectwhite to zero for black
a* = redness when positive ,grey when zero,
greenness when negative
b* = yellowness when positive, grey when zero andblueness when negative

METHODOLOGY

The reading of color measurement were taken in
triplicate for each sample with the mean values
reported. The colorimetric analysis was done bycalculating the color changes between the originalforms which is in liquid mixture with the powder
form and the changes of the color after one weekof
storage.

A. Preparation of 5 Types of Fruit Milks
Seventy gram fresh pandan leaves, 68gripe dragon
fruit, 162g carrots, 413g oranges and 350g
Strawberries were prepared. Each of them were thenblended with 600 mL of Dutch Lady Full Cream
Milk. Then each of the blended mixture was filteredusing filter cloth to remove any insoluble solids andother impurities.Each of the mixture was added with
3g of maltodextrins to obtain homogenous mixture.

E. Spectrophotometric Analysis
0.04 gram of each powder samples were diluted with
10 mL of distilled water. After the powder
solubilized completely, the samples were thencentrifuged at 12,000 rpm for 10 minutes. The
absorbance reading of each powder sample weretaken at different wavelength depending on the typeof the color pigment as shown in Table 2 below:

B. Spray Drying Process
The equipment used was a spray dryer model SDBasic. Initially, the inlet temperature of dryer was
set to 110°C and the pump of the equipment was
adjusted at desired rotation speed in the range of 3rpm. When the process ended, the nozzle was left tocool down for a few minutes and then the powder
was collected. This step were repeated for inlet
temperature of 130 and 150 for each of the fruit milk
sample which gives 3 samples for each types offruits milk.

248

SEE-Osaka, Japan, Nov. 21-23, 2016

Table 2 Type of Fruits with their relative Color
Pigment and Wavelength
Types Fruit

Color pigment

Dragon fruit
CarrotPandanOrangeStrawberry

Betalain
Beta carotene
Chlorophyll
Flavonoids
Anthocyanin

Table 3.1 Color space reading for Dragonfruit milk
L*

Wavelength
(nm)
482
470
645
352
510

LiquidT=110℃
T=130℃
T=150℃

35.16
73.23
71.58
71.19

Average values
a*
b*
20.07
22.73
21.80
20.95

-4.97
-9.97
-9.42
-8.82

𝜟𝜟𝑳𝑳∗ 𝜟𝜟𝒂𝒂∗
7.65
6.00
5.61

𝜟𝜟𝒃𝒃∗ 𝜟𝜟𝜟𝜟
11.91
11.36
10.76

18.37
17.44
16.59

23.19
21.66
20.55

Table 3.2 Color space reading for carrot milk

F.Surface Topography and Composition Analysis
by Using Scanning Electron Microscope (SEM)

LiquidT=110℃
T=130℃
T=150℃

Scanning electron microscope (Hitachi TM3000
Tabletop Microscope) was used to examine themorphology
andsurfaceappearanceofmicroencapsulated powder. The samples wereattached with a two sided adhesive tape to thespecimen stubs and then coated with gold in Sputter
Coater (Quarom SC7620). The coated samples thenexamined at 50x, 500x and 1500x magnifications.

L*

Average values
a*
b*

46.69
84.03
83.37
83.93

9.03
9.44
8.73
7.01

14.29
30.24
32.83
33.62

𝜟𝜟𝑳𝑳∗ 𝜟𝜟𝒂𝒂∗ 𝜟𝜟𝒃𝒃∗
18.45
17.79
18.35

5.08
4.37
2.65

28.30
30.89
31.68

𝜟𝜟𝜟𝜟
34.16
35.91
36.71

Table 3.3 Color space reading for Pandan milk

L*
LiquidT=110℃
T=130℃
T=150℃RESULTS AND DISCUSSION

69.73
84.03
83.37
83.93

Average valuesa*b*-17.24-15.89-16.03-16.69

18.27
18.05
18.52
19.63

𝜟𝜟𝑳𝑳∗
15.63
14.66
14.69

𝜟𝜟𝒂𝒂∗ 𝜟𝜟𝒃𝒃∗
20.25
20.39
21.05

16.11
16.58
17.69

𝜟𝜟𝜟𝜟
30.23
30.09
31.18

Table 3.4 Color space reading for Orange milk

A. The Effect of Spray Drying on Color Fruit
Milk

L*
LiquidT=110℃
T=130℃
T=150℃

75.09
84.03
83.37
83.93

Average values
a*
b*
0.08
0.69
0.72
0.61

24.28
26.19
25.90
26.72

𝜟𝜟𝑳𝑳∗
23.52
21.97
22.18

𝜟𝜟𝒂𝒂∗ 𝜟𝜟𝒃𝒃∗
-3.67
-3.64
-3.75

24.25
23.96
24.78

𝜟𝜟𝜟𝜟
33.98
32.72
33.47

Table 3.5 Color space reading for Strawberry milk

L*
LiquidT=110℃
T=130℃
T=150℃

Fig. 1 Dragon-fruit milk powder, Strawberry milk
powder, Carrot milk powder, Orange milk powder
and Pandan milk powder.

70.26
79.98
79.42
78.25

Average values
a*
b*
3.41
7.92
9.12
9.26

6.37
4.86
4.58
4.99

𝜟𝜟𝑳𝑳∗ 𝜟𝜟𝒂𝒂∗ 𝜟𝜟𝒃𝒃∗
14.40
13.84
12.67

3.56
4.76
4.90

2.92
2.64
3.05

Generally, based on Table 3.1, 3.2, 3.3, 3.4 and
3.5, all the samples powder which has been
produced appeared to have higher lightness (higherL*) compared to liquid form. The lighter color
which results in spray drying was due to addition of
maltodextrin carrier which was necessary to reduce
the stickiness of the fruits and milks to enhance thedrying process [7]. From table 3.1, the a* (redness)values of dragon fruit
milk powder weresignificantly higher than b* (blueness) values andthis is highly due to presence of dominant betalain
pigment in dragon-fruits which gives off red violet
colour[3]. As the temperature increase, the a* values
becomes decreased as result from the thermal effect,
the betanin pigment were degraded by isomerization,
decarboxylation or cleavage which lead to gradualAs shown in Fig.3.1, there were five different
colorpowders with respect to different types of fruit
milk used in this study. From left, magenta colors
was produced from dragonfruits milk, followed bylight pink color for strawberry milk, orange color for
carrot milk, light yellow for orange milk and lastly
green for pandan milk.

249

𝜟𝜟𝜟𝜟
15.12
14.87

SEE-Osaka, Japan, Nov. 21-23, 2016

reduction of red color as the temperature
increased[8].
In Table 3.2,the values of b* (yellowness) for
carrot milk powder was higher than a* (redness)values. Both yellow and red color were contributedby the carotenoids pigment [9]. However, the valuesof b* (yellowness) were higher than a* (redness)
was observed highly due to the domination ofyellow color in the pigment. As the temperature
increase, the b* values decreased which was
expected, because the higher the drying temperature,
the higher the color degradation [10]. In contrast
with b* the a* values were decreased as thetemperature increased. The study has also found thatthe values of a* were decreased while b* wereincreased for spray drying effect of apricot which isalso dominated by carotenoids pigment color.
For pandan milk, the values of a* values aredifferent from carrot and dragon fruit milk thatthe a*values are in negative values which signify
greenness of the sample color as shown in Table 3.3.
So, obviously, the main factor of the color
differences is because the presence of thechlorophyll which contributed the green color of
pandan[4]. From the results, compared with b*(yellowness) values, the values of b* did not differ
significantly with the a* values. This results aresupported by Muhammad (2010) which also foundthat not only chlorophyll, but carotenoids is alsopresent in the pandan leaves which gives
contribution to the color [11]. As the temperature
increase, the greenness of the color also increased
which results from the heat that forces the gas
surrounding the plant cells to expand and escapehence allow the light reveals the bright green
chloroplasts within the cell.
From Table 3.4, as results from the drying
process, the a* and b* values were increased.
Compared to a* values, the b* values weresignificantly higher as the flavonoids pigment was
the main contributor to the yellowness of the color inorange fruits[6] The increase of the redness which
may seen as brown color which contributed by thedegradation of the color pigment[12].
As seen in Table 3.5, the a* values which signify
the redness are much more higher than the b* values
as the red strawberry are donated by 2 types ofanthocyanin pigment, which are pelargonidin andcyanin [13]. During heat treatment, the athocyanins
was degraded due to theirsensitivity toheat. This haslead to browning effect to the color of the pigment[13]. This may be the reason why the color of thepowder becomes more red as the temperature
increase.

of storage. The same finding was found in study oforange powder by Pitchiah (2004) in which after 2
weeks of storage, the chroma values which indicate
the a* and b* intensity were decrease[14]. This ishighly due auto-oxidative reaction which result to
discoloration of the Beta-carotene in low moisturemodel system [15]. From the same study, it was
assumed that the dried powder of carrots is assumed
to undergo the same reaction[15]
From Figure 4(a) and (b), it was clearly showedthat after 1 week of storage, the a* (yellowness)values and b* (greenness) values decreased for all
the three sample. It was found that the chlorophyll
will be oxidized and green color will significantly
reduced under room temperature condition. The
oxidation of chlorophyll will change the color fromgreen to grey [16].
Contrary to other fruit milk powder, forDragonfruit milk powder, the a* and b* values are
increase slightly after 1 week of storage for the threesamples as in Figure 2(a) and (b). According to Woo
et al (2010), under 85 degree Celsius, the heating
treatment will cause degradation of colour up to
30% at the initial stage of the storage and besides
after3 weeks storage, the samples which was kept in
25 degree will experience about 70-90% of color
loss [3]. Different from the results obtained in thisexperiment, the causes may highly due to presenceof ascorbic acid in the milk powder where even 1%of ascorbic acid are proved to preserve the red hueof the color [17].
The stability of anthocyanin in strawberry
depends highly on the surrounding effect as it canreact with other compound to promote colored or
discolorifing effect. The main reasons for color
changes during storage is the enzymatic browning[13].However several studies have shown that ashort processing at temperatures above 70 and 90
degree Celsius is enough to inactivate the enzyme
completely. On the other hand, a reducing agent
such as ascorbic acid from the milk [18] withpresence of oxygen can oxidize the anthocyanin to
become colorless compound [13] . Hence, this is themain reason the a* were decrease slightly after aweek storage especially after a higher temperature ofdrying as seen in Figure 5 (a) and (b).
After 1 week storage, the a* and b* values wereincreased for the three samples as shown in Figure6(a) and 6(b). Similar to the effect of heat treatment,
the browning effect was also increase during thestorage period. Besides degradation of the pigment,
other cause such as non-enzymatic reactions could
be the sources to the rise of the color. As mentioned
before, the presence of high ascorbic acid in milk
and also in the orange fruit[19] will contribute to thebrowning effect [12].

B. The Effect of Storage on Colour Stability
From the Fig 3(a) and (b), the values of a* andb* of the carrot were decrease slightly after 1 week250

SEE-Osaka, Japan, Nov. 21-23, 2016

25.00
24.00
23.00
22.00
21.00
20.00
19.00

Blueness( b*) versus Temperature
-8.00

23.33
22.73

110

24.13
21.80

Day 1
21.33
20.95

130

Day 8

COLOUR CHANGESVALUE OF A*

Redness( a*) versus Temperature

150

-8.50

110

-9.00
-9.50
-10.00-9.42-9.97-10.30-10.50TEMPERATURE (ºC)

130

150
-8.82
-9.14
Day 1
Day 8

-10.06TEMPERATURE (ºC)

2(a)

2(b)

Figure 2(a) and 2(b) shows the Changes in a* and b* values of Dragon fruit Milk after 1 weeks

Yellowness (b*) vs temperature

10.00
8.00

9.44

8.73
7.96

6.00
4.00
2.00
0.00

7.01
6.75
Day 1

4.61

110

Day 8
130

COLOUR CHANGESCOLOUR CHANGESRedness (a*) vs temperature

150

40.00
30.00
20.00

36.52
30.24

32.83
31.71

33.62
33.49
Day 1

10.00
0.00

Day 8
110

130

150

TEMPERATURE (ºC)

TEMPERATURE (ºC)

3(a)

3(b)

Figure 3(a) and b(b) shows the Changes in a* and b* values of Carrot Milk after 1 weeks

COLOUR CHANGES-13.00-14.00-15.00-16.00-17.00110

130

Yellowness (b*) vs Temperature150-14.50-15.89-15.75-16.03Day 1-16.27-16.69Day 8

COLOUR CHANGESGreeness (a*) vs Temperature
20.00

19.63

19.00
18.00
17.00
16.00

18.05
17.38
110

18.52
18.04

18.82
Day 1
Day 8

130

TEMPERATURE (ºC)

TEMPERATURE (ºC)

4(a)

4(b)

150

Figure 4(a) and 4(b) shows the Changes in a* and b* values of Pandan Milk after 1 weeks

251SEE-Osaka, Japan, Nov. 21-23, 2016

Yellowness (b*) vs Temperature

10.00
8.00
6.00

7.92
7.12

9.12
7.54

9.26
7.37

4.00

Day 1

2.00

Day 8

0.00

110

130

COLOUR CHANGESCOLOUR CHANGESRedness (a*) vs Temperature

150

8.00
6.00
4.00

7.36
6.02
4.99

5.88
4.58

4.86

2.00
0.00

Day 1
Day 8

110

130

150

TEMPERATURE (ºC)

TEMPERATURE (ºC)

5(a)

5(b)

Figure 5(a) and 5(b) shows the Changes in a* and b* values of Strawberry Milk after 1 weeks

Yellowness (b*) vs Temperature

1.50
1.00
0.50
0.00

1.04
0.69
110

0.77
0.72

0.83
0.61

130

COLOUR CHANGESCOLOUR CHANGESRedness (a*) vs Temperature

Day 1
Day 8

150

29.00
28.00
27.00
26.00
25.00
24.00

TEMPERATURE (ºC)

28.48
26.19

26.21
25.90

26.72
25.97

110

130

150

TEMPERATURE (ºC)

6(a)

6(b)

Figure 6(a) and 6(b) shows the Changes in a* and b* values of Orange Milk after 1 weeks
Table 3.6: The Absorbance Reading

110
130
150

Dragon fruit
Day 1 Day 8
2.107
1.109
2.091
0.936
2.086
1.636

CarrotDay 1 Day 8
1.613
0.762
1.238
1.028
0.827
0.818

Pandan
Day 1
Day 8
1.439
1.223
1.295
1.103
1.278
1.029

Orange
Day 1
Day 8
2.956
2.832
2.942
2.954
2.882
2.938

Strawberry
Day 1
Day 8
1.205
0.345
1.127
0.368
0.883
0.482

centrifuged at 10,000 rpm. With increase of
temperature, the denaturation of protein and othermolecule such as the pigment were increased which
results to higher amount of insoluble proteins andpigment. These insoluble molecules were thenremoved as sediment during centrifugation. Thus,
the soluble protein and pigment molecules left in the
supernatant was expected to decreased[20]. After 1
week of storage, the absorbance reading weredecreased for all the samples at all the three different
temperatures. Although all the values observed weredecreased, the behaviors at three different
temperatures are different for all five fruit milk.
In this study, as each of the fruit color were
contributed by different types of color pigment, so

C. Spectrophotometry analysis
Table 3.6 showed that difference type of color
pigment which have different wavelength is required
to read their absorbance reading using
spectrophotometer. Based on results in Table 3.7
above, it was observed that the reading of theabsorbance values on Day 1 for all the five fruit milk
powder gives the same results, where the highest
absorbance values was observed at 110℃followed
by 130 and 150℃. Higher absorbance values reading
indicates higher concentration of the color pigment
which remain soluble in the water.After the powder
samples were diluted with distilled water and
252

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Day 8

SEE-Osaka, Japan, Nov. 21-23, 2016

the stability of color pigment are differ especiallyafter 1 weeks compared to the reading on the day ofthe experiment. So it is highly suggested that a color
stabilizer is added for further research and future
benefits of natural color study.

photographs were viewed usingtwo different
magnification, 50x and 1500x magnification. Basedon the observation, as the temperature increased, thesize of the particles becomes much smaller where
the highest shrinkage were shown at 150 degree
Celsius. The molecule size were also smaller withnumerous presence of crumbled small molecules as
results from high thermal degradation[21]. Compare
to sample at 110℃, the size of the molecules arebigger, with less amount of round shaped moleculesaround the bulk.

D. Scanning Electron Microscope (SEM)
Fig. 3.2, Fig 3.3 and Fig 3.4
showed themicrostructure of the powder particle size of orange
milk powder at three different temperatures whichare 110, 130 and 150 ℃ respectively. The

(a)

(b)

Figure 3.2 SEM image of particles at 110℃ (a) 500x magnification (b) 1500x magnification

(a)

(b)

Figure 3.3 SEM image of particles at 130℃ (a) 500x magnification (b) 1500x magnification

253

SEE-Osaka, Japan, Nov. 21-23, 2016

(a)

(b)

Figure 3.4 SEM image of particles at 150℃ (a) 500x magnification (b) 1500x magnification
CONCLUSIONS
1. De Pelsmaeker, S., J. Schouteten, and X.
Gellynck, The consumption of flavored milk
among a children population. The influence ofbeliefs and the association of brands withemotions. Appetite, 2013. 71(0): p. 279-286.
2. Fayet, F., et al., Australian children who drink
milk (plain or flavored) have higher milk andmicronutrient intakes but similar body massindex to those who do not drink milk. Nutrition
Research, 2013. 33(2): p. 95-102.
3. Woo, K.K., et al., Stability of the Spray-Dried
Pigment of Red Dragon Fruit [Hylocereus
polyrhizus (Weber) Britton and Rose] as a
Function of Organic Acid Additives and Storage
Conditions. The Philippine Agricultural Scientist,
2011. 94(3).
4. Porrarud, S. and A. Pranee, Microencapsulationof Zn-chlorophyll pigment from Pandan Lea by
spray drying and its characteristics. International
Food Research Journal 2010. 17: p. 1031-1042.
5. Kne, E. Maintaining Color Stability. 2006 [cited
2015;
Available
from: http://www.foodproductdesign.com/article
s/2006/08/maintaining-color-stability.aspx.
6. Douma, M. Cause of Color. 2008; Available
from: http://www.webexhibits.org/causesofcolor/
7H.html.
7. Abonyi, B.I., et al., Quality Retention in
Strawberry and Carrot Purees Dried with
Refractance Window. Journal of Food Science,
2002. 67(2).
8. Nollet, L.M.L. and F. Toldra, Food Analysis by
HPLC. 3rd ed. 2012: CRC Press.
9. Wagner, L.A. and J.J. Warthesen, Stability ofSpray Dried Encapsulated Carrot Carotene.
Journal of Food Science, 1995. 60(5): p. 10481053.
10. Ihns, R., et al., Effect of Temperature on Drying
Characteristics, Colour, Antioxidant and Beta

This study proved that there were a lot of factors
need to be considered in order to achieve stability
and preserve the natural color intensity incorporated
in the milk powder especially after the heat
treatment process. Different color was contributedby different natural color pigment that signified
different stability level, sensitiveness or evenoxidation effect. All these aspects can be influenced
by the presence of the milk itself which contained
active compounds that aresusceptible to any possible
chemical reaction which can affect the color changes
especially after the heat treatment and storage period.
Other important factors necessary to maintain thecolor stability are the environment factors such aspresence of air, light and the packaging of the
product. Besides that, it was also proved that natural
color have the potential to be commercialized andapplied in the bigger scale especially in food color
industries during the processing, packaging, storage
and distributions. Thestabilities of the colors can beenhanced and controlled with sufficient chemical
knowledge structure and reactions of the moleculesthat can be analyzed anddiscovered throughout thecurrent and future research.
ACKNOWLEDGMENT
Support for this research was provided by agrant(RAGS/1/2014/TK05/UITM//4)
fromtheMinistry of Higher Education of Malaysia. Thankyou to Universiti Teknologi MARA and to all who
may contribute directly or indirectly towards making
this research successful.

REFERENCES
254

SEE-Osaka, Japan, Nov. 21-23, 2016carotene Content of Two Apricot Varieties.
International Journal of Food Science &Technology, 2011. 46: p. 275-283.
11. Muhammad, D.B.S., Extraction of Green
Pigment From Pandanus Odorus, in Faculty ofChemicalandNaturalResources
Engineering2010, Universiti Malaysia Pahang.
12. Wibowo, S., et al., Colour and carotenoidchanges of pasteurised orange juice duringstorage. Food Chemistry, 2015. 171(0): p. 330340.
13. Avasoo, M. and L. Johansson, Evaluation of
ThermalProcessing
Technologies
fior
Strawberry Jam, in Department of Food
Technology, Engineering and Nutrition2011,
Lund University, Sweden.
14. Pitchiah, S., Development and Evaluation of
Carrot Powder As a Food Ingredient, in
Department of Education, Nutrition, Restaurant,
Hotel and Institutional Management 2004, Texas
Tech University.

15. Inazu, T. and Y. Makino, Modelling of
Discoloration of Dried Powder of Carrots.
Agriculture 1998. 69: p. 294-254.
16. Coles, R. and M.J. Kirwan, Food and Beverage
Packaging Technology. 2nd Edition ed. 2011:
John Wiley and Sons.
17. Reynoso, R., et al., Stability of Betalai Pigmentsfrom Cactacea Fruit. Journal of Agricultural andFood Chemistry, 1997. 45(8): p. 2884-2889.
18. Mosure, J., Vitamin C (Ascorbic Acid), 2004, The
Ohio State University.
19. Maltejan, G., The World's Healthiest Food. 2nd
ed. 2001: George Maltejan Foundation.
20. Fang, Y., et al., Functionality of milk protein
concentrate: Effect of spray drying temperature.
Biochemical Engineering Journal, 2012. 62(0): p.
101-105.
21. Bahnasawy, A.H., A.E. Okasha, and Gonbeej,
Performance Evaluation of A Laboratory Scale
Spray Dryer. 2010.

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Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

NUMERICAL SIMULATION OF DESICCATIONCRACKING PROCESS BY WEAK COUPLING OF
DESICCATION AND FRACTURE
1,2

Sayako Hirobe1 and Kenji Oguni2
Department of System Design Engineering, Keio University, Japan

ABSTRACTThe prediction of the possibilities for the desiccation cracking is important for the building construction
because they could cause damages to the foundation structures. While the experimental and numerical researches
were performed with the various materials and conditions, the mechanism of the desiccation cracking is still not
clear. In this research, the desiccation cracking is modeled by the coupling of the desiccation governed by the
diffusion equation, the deformation, and the fracture. We perform the weak coupling analysis of finite element
analysis for the desiccation and the analysis of Particle Discretization Scheme Finite Element Method (PDSFEM) for the deformation and the fracture. The simulation is carried out with the different thickness of thedesiccation layer under various boundary conditions. The simulation results show the satisfactory agreementwith the experimental observation in terms of the crack pattern with net-like structure, pattern formation process,and the change in size of the cells framed by the cracks depending on the thickness of the desiccation layer. Thisagreement between the simulation results and the experimental observations indicates that the coupling ofdesiccation, deformation, and fracture is a fundamental mechanism of the desiccation cracking.
Keywords: Desiccation Cracks, Pattern formation, Coupled Problem, PDS-FEM

coupling analysis of finite element analysis for thedesiccation and the analysis of Particle
Discretization Scheme Finite Element Method(PDS-FEM) [8] for the deformation and the fracture.
The results of the simulation are compared with theexperimental results qualitatively.

INTRODUCTION
The prediction of the possibilities for thedesiccation cracking is important for the building
construction because they could cause damages tothe foundation structures. While the experimental
and numerical researches were performed with thevarious materials and conditions, the mechanism of
the desiccation cracking is still not clear.
The results of the previous experimental
researches show that the desiccation cracking has
geometric features conserved in various materials
and conditions [1]-[4]. For instance, the desiccation
cracking has a net-like structure and form polygonalcells framed by the cracks and the size and the shapeof the cells change depending on the constraint
conditions and the thickness of the specimen.
In previous numerical approaches, some models
and numerical methods are proposed to reproduce
these geometric features of the desiccation cracking[5]-[7]. While these models and methods canreproduce the net-like crack patterns, they cannot
reproduce the increase of the cell sizes depending on
the thickness of the specimen or the change in crack
pattern depending on the constraint conditions.
In this paper, the desiccation cracking is modeledby the coupling of the desiccation governed by the
diffusion equation, the deformation, and the fracture.
This model can reflect the inhomogeneous water
distribution due to desiccation on the problem of
deformation and fracture. We perform the weak

MATHEMATICAL MODEL OF DESICCATIOCRACKING
The desiccation process in the mixture of thepowder and the water is described by the diffusion
equation in terms of the volumetric water content θ
when the moisture diffusion coefficient D is
assumed as constant and the gravitational effect isneglected. Consider a permeable and linearly elastic
body Ω with external boundary Γ1. When the water
evaporated from the boundary Γ1, the water
distribution in Ω is given by the next initialboundary value problem: D 2tD Q1 ( )n
  x,0  

256

x 

(1a)

x on 1

(1b)

x 

(1c)

SEE-Osaka, Japan, Nov. 21-23, 2016

where Q1(θ) is a water flux due to the evaporationfrom the boundary Γ1 and θ is a function of position
x and time t . Here, only the liquid water movement
is considered.
For the coupling of the desiccation and fracture,
the effect of the cracks should be embedded in thedesiccation problem. In this research, the crack
surface Γ2 is considered as a newly createdevaporation surfaces and a shield for the permeable
flow. The evaporation from the crack surface Γ2 canbe introduced as additional Neumann boundary
condition of the initial boundary value problem forthe desiccation process Eq. (1):D Q 2  nx on  2

between the change in volumetric water content andthe volumetric drying shrinkage strain v is

 v ( x, t ) 


 0

(2)

(6)

(9)
(10)

where σij is a stress tensor and cijkl is an elastic tensor.
In this paper, the analysis of deformation andfracture are performed by PDS-FEM. For theevaluation of the functional I in Eq. (10), PDS-FEM
applies the particle discretization for the variables
with a pair of the conjugate geometries; Voronoi
tessellations {Φ} and Delaunay tessellations {Ψ}.
The Delaunay block is a tetrahedron on the threedimensional problem. The detail discretization
scheme is shown in Oguni et al. [8]. Then, thediscretized strain energy I iswhere the coordinate transform matrix Tij and the
projection matrix which eliminates the water flux
normal to Γ2 are1 if i  j  1, 2
Pij  0 otherwize.

(8)

if i  j .

 ij  cijkl ( kl   kls )1
I    ij   ijs  cijkl  kl   kls  dV
2

(4)

(5)

(7)

In the case of the desiccation crack phenomenon, thetotal strain ij can be divided into the elastic strain
ije and the drying shrinkage strain ijs. The shrinkage
strain ije does not contribute to the generation of thestress and the strain energy. Therefore, the stressstrain relationship and the strain energy I for thedesiccation induced deformation problem become

where J is a water flux vector in the coordinate
system {ei}. We define the orthonormal coordinate
system {ei’} with e3’ in the normal direction of thecrack surface Γ2. The projection of J on Γ2 (denoted
as Jc) in the coordinate system {ei} is expressed as

Tij  ei  e j{ ( x,0)   ( x, t )}1 v
  if i  j ijs   3(3)

J ic  T ji Pjk Tkl J l dwhere  is a moisture shrinkage coefficient of thepowder, ρw is the mass density of the water, and ρd isa dry bulk density of the powder. When Ω ishomogeneous and isotropic, the drying shrinkage
strain ijs iswhere Q2(θ) is a water flux from the crack surface Γ 2
due to evaporation.
The shield for the permeable flow can be
expressed as the elimination of the water flux
normal to the crack surface Γ2. The Darcy’s low inorthonormal coordinate system {ei} isJ   D

1 w

1 
 ij   ijs  cijkl  kl   kls    1 2
MÎ  
c

The introduction of J in the place of the J
corresponds to the introduction of anisotropic
moisture diffusion coefficient in the initial boundary
value problem Eq. (1) and the Neumann boundary
condition Eq. (2) on the crack surfaces. We solve
this initial boundary value problem for the water
movement Eq. (1) with the Neumann boundary
condition Eq. (2) on the crack surfaces by theordinary FEM with linear tetrahedral elements.
For the coupling of desiccation and deformation,
the volume shrinkage corresponding to the change inthe volumetric water content θ should be embeddedin the deformation problem. The relationship(11)

where M is the number of Delaunay blocks and Ψ isthe volume of the -th Delaunay blocks. The
displacement ui minimizing the discretized strainenergy Eq. (11) is satisfying the next equation of theforce equilibrium:NK u  f
 1





ik

k

where
257


i

(12)

SEE-Osaka, Japan, Nov. 21-23, 2016

56,597 and the number of nodes is 11,822).

M
K ik   B j cijkl
Bl  

(13)

 1

1
 1 2N ij   ( B j ui  Bi u j )
f k    ijs cijkl
Bl    .

Table 1 The model size and the parameters for thesimulation of one-dimensional crack pattern.

(14)

M

Model size
Soil dry densityρdEvaporation speed on Γ1
Evaporation speed on Γ2
Moisture shrinkage
coefficient 
Moisture diffusion
coefficient D
Poisson’s ratio
Young’s modulus
Tensile strength

(15)

 1

Here, N is the number of Volonoi blocks. Once thetraction on the boundary of Voronoi blocks reach to
the tensile strength, the interaction between theVoronoi blocks is lost. This loss of the interaction is
introduced by changing a Bi (and thus stiffness
matrix Kij).
NUMERICAL ANALYSIS OF DESICCATIONCRACKING
We perform the weak coupling analysis of finite
element analysis for the desiccation and the analysis
of PDS-FEM for the deformation and the fracture.
The FEM analysis for the desiccation process iscarried out with a constant time step t=0.1 hour.
Then, the analysis for the deformation and thefracture is performed by PDS-FEM at each time step.
When the maximum traction among all elements
reached to the 97% of the tensile strength, the time
step us reduced to t=0.01 hour to capture the effectof the fracture surfaces on the desiccation anddeformation promptly.

Fig. 1One-dimensional Crack Pattern

300 × 50 × 12 mm
2.77×103 kg/m2 hour
2.0×10-4 m/hour
1.0×10-4 m/hour
0.64
3.6×10-6 m2/hour
0.3
5.0 MPa
0.45 MPa

Simulation results of the one-dimensional
crack pattern.

The simulation result (Fig. 1) shows that the final
crack pattern formed by the simulation. The all
cracks are parallel to each other and normal to thelong side. These geometric features of the cracks andthe number of cracks formed on the top surface arecoincide with the experimental observation of Peronet al. [4].

In the case of desiccation test on bars in Peron etal. [4], the mixture of water and clayey silt is shaped
in a thin rectangular bar and the bar is dried on theplate. The bottom surface of the bar is constrained in
the long side direction only by the notches on theplate. In this test, the cracks formed on the top
surface are parallel to each other and normal to thelong side.
In this paper, we perform the simulation to
reproduce this experimental result. The model size
and the parameters for the simulations are
determined from the experiments of Peron et al. [4];see Table 1. The water evaporates from the top
surface and the sides of the model. The initial
volumetric water content is 72.1% (constant) and thedesiccation proceeds until the averaged volumetricwater content reached to the 32.4% (the averaged
volumetric water content at which the crack
propagation terminated in the desiccation test of
Peron et al. [4]). The nodal displacement of thebottom surface of the model is constrained in thelong side direction and the vertical direction. We
prepared the finite element model with the
unstructured mesh (the number of the elements is

Two-dimensional Crack Pattern
The drying tests for the comparison with simulation
results of two-dimensional crack pattern
We perform the drying tests of calcium
carbonate slurry to observe the crack patterns
corresponding to the thickness of the specimen andmeasure the parameters for the simulation of twodimensional crack pattern. The calcium carbonate
slurry was prepared at volumetric water content 72%.
The slurry was poured into the rectangular acrylic
container (100×100×50 mm). The thickness of thespecimen was set as 5 mm, 10 mm, 20 mm, and 30
mm. The slurry was dried in the air (20 °C
temperature and at 50 % relative humidity) until the258

SEE-Osaka, Japan, Nov. 21-23, 2016

specimen dried out completely.

the specimen and traverse the specimen on the initialstage of the desiccation cracking. Then, relatively
short cracks appear to tessellate the lager cells.
These cracks often branch and terminate when theymeet the existing cracks.
The simulation of two-dimensional crack patternFig. 2

Final crack pattern on the top surface of thespecimen formed in drying test. (a) 5 mm,(b) 10 mm, (c) 20 mm, and (d) 30 mm.

Fig. 3Crack propagation process of the drying testin the case of 10 mm thickness.

We perform the simulation to reproduce the twodimensional crack pattern observed in the drying testof calcium carbonate slurry. The width and height ofthe model is set as 100 mm and the depth was set as
5 mm, 10 mm, 20 mm, and 30 mm. The parameters
for the simulation of two-dimensional crack pattern
are shown in Table 2. The water evaporates from the
top surface of the model and the nodal displacementon the sides and bottom surface of the model isconstrained. The initial volumetric water content is
56.0% (constant) and the desiccation proceeds until
the averaged volumetric water content reached to the
20.4%. We prepared the finite element model withthe unstructured mesh; the mesh sizes are shown in
Table 3.
The final crack pattern on the top surface modelwith different thickness is shown in Fig.3. The
cracks have a net-like structure and form polygonalcells. The cell sizes are almost constant on eachthickness and the averaged cell size increases with
the increase of the thickness. These geometricfeatures of the crack patterns and the increase
tendency of the averaged cell size qualitatively
coincide with the observation of the drying
experiments of calcium carbonate slurry shown in
Fig.2. In the crack pattern formation process, somelong cracks extend traversing the top surface. Then,
relatively short cracks propagate to tessellate thelager cells. This hierarchical sequence of the cell
formation can be also observed in the drying tests ofcalcium carbonate slurry.

Table 2 The parameters for the simulation of twodimensional crack pattern.
Soil dry density ρdEvaporation speed on Γ1
Evaporation speed on Γ2
Moisture shrinkage
coefficient 
Moisture diffusion
coefficient D
Poisson’s ratio
Young’s modulus
Tensile strength

The excessive water layer disappeared at thevolumetric water content 56.0% and the crack
initiated at the volumetric water content 22.4%. The
crack propagation terminated at the volumetric watercontent 20.4%. Figure2 shows the final crack
patterns on the top surface of the specimen withdifferent thickness. The cracks with net-likestructure form the polygonal cells framed by thecracks and the averaged size of the cells increase
with the increase of the specimen thickness. As
shown in Fig. 3, in the crack pattern formation
process, some long cracks initiates on the edge of259

800 kg/m2 hour
8.8×10-5 m/hour
1.0×10-5 m/hour
0.69
3.6×10-6 m2/hour
0.3
5.0 MPa
1.6 MPaSEE-Osaka, Japan, Nov. 21-23, 2016

Table 3 The mesh sizes for the simulation of twodimensional crack pattern.
model size
[mm]
100×100×5
100×100×10
100×100×20
100×100×30

number of
nodes
253,930
278,337
309,509347,551

CONCLUSION
In this paper, the coupling model of desiccation,
deformation, and fracture is proposed. The
simulation for the one-dimensional crack pattern andtwo-dimensional crack pattern is performed basedon this model and the results of the simulation of thetwo-dimensional crack pattern are compared withthe results of the drying test of calcium carbonate
slurry. The simulation results show the satisfactory
agreement with the experimental observation interms of the crack pattern with net-like structure,pattern formation process, and the change in size ofthe cells framed by the cracks depending on the
thickness of the desiccation layer. This agreement
between the simulation results and the experimental
observations indicates that the coupling ofdesiccation, deformation, and fracture is afundamental mechanism of the desiccation cracking.

number ofelements
50,35551,72655,304
61,146REFERENCES

Fig. 4

The final crack pattern on the top surface ofthe specimen formed in the simulation. (a)5mm, (b) 10mm, (c) 20mm, and (d) 30mm.

Fig. 5The crack propagation process of the drying
test in the case of 10 mm thickness.

[1] A. Groisman and E. Kaplan, “An experimental
study of cracking induced by desiccation”,
Europhysics. Letters. Vol. 25, 2006, pp. 415420.
[2] H. Nahlawi and J.K. Kodikara, “Laboratory
experiments on desiccation cracking of thin soil
layers”,
GeotechnicalandGeologicalEngineering. Vol. 24, 2006, pp. 1641-1664.
[3] H.J. Vogel, H. Hoffmann, A. Leopold and K.
Roth, “Studies of crack dynamics in clay soil II.
a physically based model for crack formation”,
Geoderma. Vol.125, 2005, pp. 213-223.
[4] H. Peron, T. Hueckel, L. Laloui and L.B. Hu,“Fundamentals of desiccation cracking of finegrained soils: experimental characterization andmechanisms
identification”,
Canadian
Geotechnical Journal. Vol. 46, 2009, pp. 11771201.
[5] G. Musielak and T. Śliwa, “Fracturing of clay
during drying: modelling and numericalsimulation”, Transp Porous Med. Vol. 95, 2012,
pp. 465-481.
[6] J.Sima, M. Jiang and C. Zhou, “Numericalsimulation of desiccation cracking in thin clayey
layer using 3D discrete element modelling”,
Computers and Geotechnics. Vol. 56, 2014, pp.
168-180.
[7] R. Rodríguez, M. Sánchez, A. Ledesman and
A.L loret, “Experimental and numerical analysis
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SEE-Osaka, Japan, Nov. 21-23, 2016[8] H. Peron, J.Y. Delenne, L. Laloui and M.S. El
Youssoufi, “Discrete element modelling ofdrying shrinkage and cracking of soils”,
Computers and Geotechnics. Vol. 36, 2008, pp.
61-69.
[9] M. L. L. Wijerathne and K. Oguni and M. Hori,“Numerical analysis of growing crack problems
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discretization
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International Journal for Numerical Methods inEngineering, Vol. 80, 2009, pp. 46-73.
[10] K. Oguni, M.L.L. Wijerathne, T. Okinaka andM. Hori, “Crack propagation analysis using
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2009, pp. 1242-1252.

261

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

DEVELOPMENT OF A DYNAMIC NETWORK DEA MODEL TO
MEASURE PRODUCTION LINE'S PERFORMANCE: A CONCEPTUAL
PAPER

1

N.A.M.A.Zainal1, M.A.Mansor1 and S.N.M.Saffe1
Faculty of Engineering Technology, Universiti Malaysia Pahang,
Lebuhraya Tun Razak, 26300 Gambang, Kuantan,
Pahang, Malaysia;

ABSTRACT
Production line in manufacturing industry usually is made up of several processes and must go throughperformance measurement to determine whether they are efficient or inefficient. The extended Data
Envelopment Analysis (DEA) which is the Network Data Envelopment Analysis (NDEA) is developed to lookinside the production line and find the source of inefficiency of each sub process. However, the model can only
measure the efficiency of the production line for current time periods only without considering the past time
periods and detect any changes of performances that might occur during the time periods. In this paper, we
proposed a Dynamic Network DEA model that can be used to measure the performance of the same production
line by taking into account any changes according to time. We treat these changes as a Decision Making Units(DMUs) which is the entity that are going to be measured. This dynamic network model only considered the data
inputs from different time periods. Our goals of developing the DNDEA model on the production line are to
identify the inputs and outputs required and to consider the relationship and connection between each of theprocesses in the production line and thus measure the performance of the entire production line. The expected
outcome of this paper is to propose a conceptual model that can be used for performance measurement in
manufacturing production line dynamically.
Keywords: Dynamic Network DEA, Performance Measurement, Manufacturing Systemaiming local optimization in a single period, even if
these models can consider the time change effect [1].
Our approach, however, used the combination of
dynamic and network DEA model that canovercome the limitation above by measuring thewhole DMU, considering the inside of the DMU as
well. Thus, in this paper, we proposed a conceptual
dynamic network DEA (DNDEA) model that can be
implemented for performance measurement of the
network structured production line for different timescales in details. By using this model, each of theprocesses in the production will be measured to findthe efficiencies and thus measuring the whole
performance of the production line from one period
to one another.

INTRODUCTION
In the manufacturing industry, a production line
is quite an efficient setup for manufacturing andassembling large quantities of products. For example,
in the automotive industry, a car is composed ofthousands of components and still hundreds of cars
are being produced on the production line every
single day. If each car was to be assembled
individually rather than on a production line, it could
take months to produce just one car. Other thanquantity, the quality of the product as well as theperformance of production line must also be taken
intoconsideration
duringtheproducts
manufacturing. There are many tools that appear
great for performance measurement, which one ofthem is called Data Envelopment Analysis (DEA).
DEA deal with measurements of decision
making units (DMU) to find the relative efficiency
based on multiple inputs and outputs. The traditional
DEA treats the DMU mainly as a black box, within
which inputs are supplied to produce outputs andmeasuring the efficiency of a DMU as a whole unit
without taking into account the sub DMUs inside thestructure. It also usually neglects carry-overactivities between two consecutive terms and only
focus on the separate time period independently

LITERATURE REVIEW
Data Envelopment Analysis (DEA)
Data Envelopment Analysis (DEA), first
introduced by Charnes et al. (1978), has been proved
to be a useful tool in evaluating relative performanceof homogeneous decision-making units (DMU) in a
multiple-input multiple-output setting [2]. A few of
the characteristics that make it powerful is that it canhandle multiple input and multiple output models
262

SEE-Osaka, Japan, Nov. 21-23, 2016

and doesn't require an assumption of a functional
form relating inputs to outputs. It also estimates theefficiency index by calculating the ratio of weighted
outputs to weighted inputs, and the input and output
weights are decided according to the best interests of
the DMU being evaluated.
• DEA can handle multiple input andmultiple output models.
• It doesn't require an assumption of afunctional form relating inputs to outputs.
• DMUs are directly compared against a peer
or combination of peers.
• Inputs and outputs can have very different
units. For example, X1 could be in units oflives saved and X2 could be in units ofdollars without requiring an a priori
tradeoff between the two.
Previous Models of Dynamic Network Data
Envelopment Analysis (DNDEA)

Fig.1
Vertically integrated electric powercompany

Fare and Grosskopf (1996) introduced the
dynamic network DEA model which used theformulation of storable inputs to allow a
synchronism between the appearance of inputs andthe use of inputs in the dynamic production model[2]. These network DEA models allow the
researcher to study the “inside” of the usual black
box technology both in static and dynamic ways..
They achieve this by providing a very generalframework for specifying the inner workings of theblack box. The basic idea of the network model isthus to “connect” processes, providing a single
model framework for multi-stage production (withintermediate products, for example) or multi-period
production. This situation has typically been handled
in the DEA literature as a rather ad hoc series of
DEA problems, or through the use of multiple stages[3].
Apart from that, Tone and Tsutsui (2014) has
developed a dynamic model with network structures
within the slack-based measures. Divisions areconnected by links and consecutive periods areconnected by carry-overs. In the dynamic situation,
carry-overs appear in many enterprises. For example,
in financial institutions, non-performing loans andprofit earned forward are respectively undesirable
and desirable carry-overs [3]. Also in medical
institutions, numbers of bed and hospital bond are
non-discretionary and undesirable ones. Meanwhile,in the electric power industry, the representative
carry-overs are generation capacity, transmission
line length and distribution transformer [2]. They
apply the DNSBM model to a data set consists of 21
U.S. electric utilities over five years and compare
the results with those given by the dynamic SBM(DSBM) model. This example deals with the
production side of relevant enterprises but notfinancial side, as shown in Fig.1.

Bogetoft, Färe et al. (2009) introduced the
dynamic technology which is their basic model for
estimation of optimal private and public investment.
The dynamics of our technology are modeled as the
choice of consuming total output in the period of
production or instead diverting some current
production toward adding to the next period capitalstock [4]. To provide some intuition for their model,
assume that we have three time periods t−1; t; t + 1
and that there is a technology Pτ , τ = t−1; t; t + 1. In
addition at each τ there are some exogenous inputsxτ and final outputs fyτ . The final output is that partof total production yτ that is not allocated to privateiyτ or public gyτ investments, i.e.,yτ = 𝒇𝒇𝒇𝒇τ + 𝒊𝒊𝒊𝒊τ + 𝒈𝒈𝒈𝒈τ

Fig.2

(1)

The dynamic technology.

The bottom vertical arrows indicate theexogenous inputs into the respective technologies Pτ.
The top vertical arrows indicate the final output
from each technology. They define the objectivefunction over these final outputs, just as in the
Ramsey model. The two horizontal arrows entering
each technology represent the private and public
investment from the previous period. Thus,
decisionsconcerning
consumption
versus263

SEE-Osaka, Japan, Nov. 21-23, 2016

investment in one period have consequences in theensuing periods. One attractive feature of the
dynamic model illustrated in Fig 2 is that it can be
implemented as a dynamic activity analysis or DEA
model. Given that we have k = 1,…, K observationsof m = 1,…, M outputs (y 1 ,…, y M ) and n = 1,…, N
inputs (x 1 ,…, x N ) in each period t, the model may be
written for the three period case as;
𝑷𝑷(𝒙𝒙𝒕𝒕−𝟏𝟏 , 𝒙𝒙𝒕𝒕 , 𝒙𝒙𝒕𝒕+𝟏𝟏 , 𝒊𝒊𝒚𝒚𝒕𝒕−𝟐𝟐 , 𝒈𝒈𝒚𝒚𝒕𝒕−𝟐𝟐= {� 𝒇𝒇𝒇𝒇t -1, 𝒇𝒇𝒇𝒇t, (𝒇𝒇𝒇𝒇t +1 + 𝒊𝒊𝒊𝒊t +1

𝑲𝑲

𝒕𝒕+𝟏𝟏
≦ � 𝒛𝒛𝒕𝒕+𝟏𝟏
𝒙𝒙𝒕𝒕+𝟏𝟏𝒌𝒌
𝒌𝒌𝒌𝒌 ≦ 𝒙𝒙𝒏𝒏 , 𝒏𝒏 = 𝟏𝟏, … , 𝑵𝑵,
𝒌𝒌=𝟏𝟏
𝑲𝑲

≦ � 𝒛𝒛𝒕𝒕+𝟏𝟏
𝒊𝒊𝒊𝒊𝒕𝒕𝒌𝒌𝒌𝒌 ≦ 𝒊𝒊𝒊𝒊𝒕𝒕𝒎𝒎 , 𝒎𝒎
𝒌𝒌

(2)

𝒌𝒌=𝟏𝟏

+ 𝒈𝒈𝒚𝒚𝒕𝒕+𝟏𝟏 )�

𝒕𝒕−𝟏𝟏
𝒕𝒕−𝟏𝟏
𝒇𝒇𝒚𝒚𝒕𝒕−𝟏𝟏
𝒎𝒎 + 𝒊𝒊𝒚𝒚𝒎𝒎 + 𝒈𝒈𝒚𝒚𝒎𝒎
𝑲𝑲

𝒕𝒕−𝟏𝟏
≦ � 𝒛𝒛𝒕𝒕−𝟏𝟏
𝒌𝒌 � 𝒇𝒇𝒚𝒚𝒌𝒌𝒌𝒌

𝑲𝑲

(3)

𝒕𝒕−𝟏𝟏
+ 𝒊𝒊𝒚𝒚𝒕𝒕−𝟏𝟏
𝒌𝒌𝒌𝒌 + 𝒈𝒈𝒚𝒚𝒌𝒌𝒌𝒌 �, ∀𝒎𝒎,𝒕𝒕−𝟏𝟏
≦ � 𝒛𝒛𝒕𝒕−𝟏𝟏
𝒙𝒙𝒕𝒕−𝟏𝟏𝒌𝒌
𝒌𝒌𝒌𝒌 ≦ 𝒙𝒙𝒏𝒏 , 𝒏𝒏 = 𝟏𝟏, … , 𝑵𝑵,

𝒕𝒕−𝟐𝟐≦ � 𝒛𝒛𝒕𝒕−𝟏𝟏
𝒊𝒊𝒊𝒊𝒕𝒕−𝟐𝟐𝒌𝒌
𝒌𝒌𝒌𝒌 ≦ 𝒊𝒊𝒊𝒊𝒎𝒎 , 𝒎𝒎 = 𝟏𝟏, … , 𝑴𝑴

(5)

𝒌𝒌=𝟏𝟏
𝑲𝑲

𝒕𝒕−𝟐𝟐
≦ � 𝒛𝒛𝒕𝒕−𝟏𝟏
𝒈𝒈𝒈𝒈𝒕𝒕−𝟐𝟐𝒌𝒌
𝒌𝒌𝒌𝒌 ≦ 𝒈𝒈𝒈𝒈𝒎𝒎 , 𝒎𝒎 = 𝟏𝟏, … , 𝑴𝑴
𝒌𝒌=𝟏𝟏𝒛𝒛𝒕𝒕−𝟏𝟏≧ 𝟎𝟎, 𝒌𝒌 = 𝟏𝟏, … , 𝑲𝑲,
𝒌𝒌

𝒇𝒇𝒇𝒇𝒕𝒕𝒎𝒎 + 𝒊𝒊𝒊𝒊𝒕𝒕𝒎𝒎 + 𝒈𝒈𝒈𝒈𝒕𝒕𝒎𝒎

𝑲𝑲≦ � 𝒛𝒛𝒕𝒕𝒌𝒌 ( 𝒇𝒇𝒚𝒚𝒕𝒕𝒌𝒌𝒌𝒌 + 𝒊𝒊𝒚𝒚𝒕𝒕𝒌𝒌𝒌𝒌

(6)

(7)

(8)

𝒌𝒌=𝟏𝟏

𝑲𝑲

+ 𝒈𝒈𝒚𝒚𝒕𝒕𝒌𝒌𝒌𝒌 ), ∀𝒎𝒎,

≦ � 𝒛𝒛𝒕𝒕𝒌𝒌 𝒙𝒙𝒕𝒕𝒌𝒌𝒌𝒌 ≦ 𝒙𝒙𝒕𝒕𝒏𝒏 , 𝒏𝒏 = 𝟏𝟏, … , 𝑵𝑵,

(9)

𝒌𝒌=𝟏𝟏
𝑲𝑲

𝒕𝒕−𝟏𝟏
≦ � 𝒛𝒛𝒕𝒕𝒌𝒌 𝒊𝒊𝒊𝒊𝒕𝒕−𝟏𝟏
𝒌𝒌𝒌𝒌 ≦ 𝒊𝒊𝒊𝒊𝒎𝒎 , 𝒎𝒎 = 𝟏𝟏, … , 𝑴𝑴,

(10)

𝒌𝒌=𝟏𝟏
𝑲𝑲

𝒕𝒕−𝟏𝟏
≦ � 𝒛𝒛𝒕𝒕𝒌𝒌 𝒈𝒈𝒈𝒈𝒕𝒕−𝟏𝟏
𝒌𝒌𝒌𝒌 ≦ 𝒈𝒈𝒈𝒈𝒎𝒎 , 𝒎𝒎 = 𝟏𝟏, … , 𝑴𝑴,

(11)

𝒌𝒌=𝟏𝟏

𝒛𝒛𝒕𝒕𝒌𝒌 ≧ 𝟎𝟎, 𝒌𝒌 = 𝟏𝟏, … , 𝑲𝑲,𝑴𝑴≦ � 𝒛𝒛𝒕𝒕+𝟏𝟏
𝒈𝒈𝒈𝒈𝒕𝒕𝒌𝒌𝒌𝒌 ≦ 𝒈𝒈𝒈𝒈𝒕𝒕𝒎𝒎 , 𝒎𝒎 = 𝟏𝟏, … , 𝑴𝑴
𝒌𝒌

(16)

𝒛𝒛𝒕𝒕+𝟏𝟏≧ 𝟎𝟎, 𝒌𝒌 = 𝟏𝟏, … , 𝑲𝑲,
𝒌𝒌

(17)

are intensity variables for k =where the 𝒛𝒛𝒕𝒕+𝟏𝟏
𝒌𝒌
1,…, K, τ = t− 1,…, t + 1 in our example. The P
technology for period t−1 is modeled by the (3)-(7),where (3) is the output constraint, (4) is the input
constraint, (5)-(6) is the intertemporal investment
constraints and (7) is the constraint on the intensity
variables. Similarly, the period t technology ismodeled by (8)-(12) and the t + 1 technology by(13)-(17). Note that each period’s technology has its; τ = t−1; t; t + 1; k =own intensity variables 𝒛𝒛𝒕𝒕+𝟏𝟏
𝒌𝒌
1,…, K. Fare and Grosskopf (1996) have shown thatthe dynamic technology inherits its properties fromthe single period sub technologies, so in this case thedynamic technology exhibits constant returns toscale and strong disposability of inputs and outputs[4].
Hashimoto et al. (2013) then developed aweighted dynamic network model (WDNM) byadopting a slacks based similar to Tone and Tsutsui(2010, 2012) that focuses on the following matters.
• WDNM does not include slacks ofdivisions or sub processes in the objectivefunction of the optimization problem.
• WDNM allows for joint outputs producedby more than one division.
• WDNM incorporates ;aged variables ineach period.
As an illustration in Fig 3, they assess the
dynamic efficiency or productivity performance ofJapanese prefectures. Their framework specifies thata prefecture’s production process is expressed as atwo parallel network system that allows resources tobe reallocated between periods so that larger final
outputs can be achieved through intertemporal
optimization [5].

(4)

𝒌𝒌=𝟏𝟏
𝑲𝑲

= 𝟏𝟏

(15)

𝒌𝒌=𝟏𝟏

𝒌𝒌=𝟏𝟏

𝑲𝑲

(14)

(12)

𝒕𝒕+𝟏𝟏
𝒕𝒕+𝟏𝟏
𝒇𝒇𝒚𝒚𝒕𝒕+𝟏𝟏
𝒎𝒎 + 𝒊𝒊𝒚𝒚𝒎𝒎 + 𝒈𝒈𝒚𝒚𝒎𝒎

(13)

𝑲𝑲

264

𝒕𝒕+𝟏𝟏
≦ � 𝒛𝒛𝒕𝒕+𝟏𝟏
𝒌𝒌 � 𝒇𝒇𝒚𝒚𝒌𝒌𝒌𝒌
𝒌𝒌=𝟏𝟏

𝒕𝒕+𝟏𝟏
+ 𝒊𝒊𝒚𝒚𝒕𝒕+𝟏𝟏
𝒌𝒌𝒌𝒌 + 𝒈𝒈𝒚𝒚𝒌𝒌𝒌𝒌 �, ∀𝒎𝒎,

SEE-Osaka, Japan, Nov. 21-23, 2016

Fig.3

Dynamic Network Structure

Another research done by You and Jie (2016)
applied the dynamic network slacks-based
measurement model with free links and fixed links
to evaluate the operational performance of 31
electric power supply companies in China from 2010
to 2012. Their approach allows for the considerationof the group heterogeneity of electric powertransmission and also considers the new structuralreform in the power grid of China in the near future,i.e., the separation of the transmission division andthe distribution division [6].

or products kept at the end of the process. The
production line should not have stocks or products,
causing the production line to be inefficient that will
put the company in big losses. All of the stocks andproducts are produced based on customer’s demandand delivered straight away to the customers.
Therefore, there will be no links between the
production line in a certain period. Theoretically,
there are four inputs that literally used in the
manufacturing production line, which are the 4M;
Manpower, Money, Machine and Method [7].
However, we are going to neglect the Method
because it is not a numeric value and thus, it cannot
be measured.
There are also other possible inputs that need tobe considered in the production line which is the 2T;Time and Training [8]. Time is an index to show
how long it takes to complete a certain task where
the shorter time consumed is preferred than longer
time while training is an activity that can improve
the workers’ skill that lead to better performance of
productivity compared to the workers with less skills[7]. During this research, we might consider other
inputs and outputs consumed in the manufacturingindustry other than the 4M2T and account therelationship between each of the production line’s
processes.
Prior to conceptualizing the model, the processes
in the production line were studied for better
understanding in presenting the structures of themodel. At the end of this research, we will compare

RESEARCH APPROACH
In this paper, we implemented the DNDEA
model to a manufacturing production line in one of acompany in Malaysia. In this model, we treated the
production line as the DMU, which is the entity thatwill be measured to find the efficiency, while theprocesses in the production line is treated as the sub
DMUs. This model enables us to study the
relationship between each of the processes in the
production line, thus measuring the whole
production line in a different time scale.
This research begins by gathering the data set
required considering the past and current time
periods, which consist of the inputs consumed andthe outputs produced by the DMU and sub DMUs.
Unlike the previous dynamic models developed byother researchers, our proposed model does notconsider any carry-overs because there are no stocks
265

SEE-Osaka, Japan, Nov. 21-23, 2016

Fig.4

The DMU model for manufacturing production line.

between the DMUs from different periods to observe
the efficiencies measured.

Table 1
Items

CONCEPTUAL
MODEL
FOR
POWER
DISTRIBUTION PRODUCTION LINE

A
B
C
D
E
F
G
H

As a case study, the DNDEA model was
implemented on one of the manufacturing
production line that produced electrical parts for
power distribution. This production line does
describe a network structured model with a
combination of a series and parallel structure to form
a complex structured model, which enable us to findthe source of efficiencies in details. As illustrated in
Fig 4, there are 10 processes consist of direct andindirect processes that are denoted as the sub DMUs
inside the two production lines, which denoted as the
DMUs from two different time scales. Since thismodel does not consider any carry overs, we
illustrated this model to measure the efficiency ofthe production line, which denoted as S, from period
to period and obtain the results, whether they affecteach other in terms of the performance and compare
which of the production line are efficient orinefficient.
In this model, some of the sub DMUs are linked
to the other sub DMUs based on the inputs they
consumed and the outputs they produced.

I
J
K
L
M
N
O
P
Q
R

Inputs and outputs determined.
Inputs/Outputs
Material, Money, Machine, Manpower,
Time
Machine, Manpower, Time
Machine, TimeTime, Number of Parts Produced
Time, Number of Parts Produced
Time, Number of Parts V
Time, Number Of First Piece Sample
Time, Number of Parts W
Time, Number of Semi Finished
Product X
Time, Number of Semi Finished
Product X
Time, Number of Finished Product Z,
Number of Rejected Parts
Time, Number of Finished Product Z
Time, Number of Parts Y
Material, Money, Manpower, Time
Machine, Manpower
Machine, Manpower
Machine, Manpower
Machine, Manpower

The numbers and types of inputs and outputs

266

SEE-Osaka, Japan, Nov. 21-23, 2016[5] Hashimoto, A., Fukuyama, H., & Tone, K(2013). "Dynamic Network DEA and An
application to Japanese Prefectures."[6] You, Y. Q. and T. Jie (2016). "A study of theoperation efficiency and cost performanceindices of power-supply companies in China
based on a dynamic network slacks-based
measure model." Omega 60: 85-97.
[7] N.A.M.A.Zainal, M.A.Mansor & S.N.M.Saffe(2016). "Development of A Network DEA
Model To Measure Production Line’s
Performance: A Conceptual Paper." Manuscript
accepted for International Journal of Applied
Engineering Research (IJAER) online special
issue.
[8] M.A.Mansor, L.H.Shah, & H.Che Hussain(2012).
"Maintenanceperformanceof
Malaysia’s automotive sector: A case study."
ICoCSIM vol. 1 (2012) 271-275

used may vary according to the sub DMUs
determined, refer to Table 1.
CONCLUSION
We proposed the Dynamic Network DEA model
to look inside the DMU, allowing greater insight as
for measuring the efficiency of the production line.
In this research, the model proposed is acombination of both series and parallel structures toform a complex structure. This model applies to the
DMUs that consist of several sub DMUs, some ofwhich consume the outputs produced by other sub
DMUs and some of which produce the inputs
consumed by another sub DMUs. The relationshipbetween the sub DMUs will also be consideredduring the performance measurement of the
production line. Our Dynamic Network DEA modelallows for either an input orientation or an output
orientation, and it's the only also can used tomeasure the network structures of the DMU for adifferent time scale. The model proposed is based ona case study of manufacturing production line that
produced electrical parts power distribution andmight differ from other production line, especiallythe relationship between the processes.
To complete the research, this model will beapplied as a benchmark for different time scales.
Then the results will be computed as to acknowledge
which time scale of the production is more efficientand assist the company to appraise the production
line’s performance.
ACKNOWLEDGEMENTS
The research for this paper was financially
supported by the Ministry of Higher Education(MOHE) of Malaysia under the project amount
RDU151310 of the Research Acculturation
Collaborative Effort (RACE) research grant.
REFERENCES[1] Tone, K. and M. Tsutsui (2010). "Dynamic
DEA: A slacks-based measure approach."
Omega 38(3–4): 145-156.
[2] Chen, C.-M. (2009). "A network-DEA modelwith new efficiency measures to incorporate thedynamic effect in production networks."
European Journal of Operational Research
194(3): 687-699.
[3] Tone, K. and M. Tsutsui (2014). "Dynamic
DEA with network structure: A slacks-based
measure approach." Omega 42(1): 124-131.
[4] Bogetoft, P., Färe, R., Grosskopf, S., Hayes, K.,& Taylor, L. (2009). Dynamic network DEA:
An illustration. Journal of the Operations
Research Society of Japan, 52, 147–162.

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Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

INVESTIGATING THE RELATIONSHIP BETWEEN RAINFALL
INTENSITY, CATCHMENT VEGETATION AND DEBRIS MOBILITY

1

Rick Jaeger1 and Terry Lucke1
Stormwater Research Group, University of the Sunshine Coast, Australia

ABSTRACT
Urbanisation creates the need for engineered hydraulic structures in catchments, floodplains and watercourses.
These include piped and open-channel drainage networks, flood control systems and waterway crossings such as
culverts and bridges. During larger storm events, debris and other material located higher in the catchment canbe mobilised and transported towards these hydraulic structures creating the potential for blockages. This debris
is often trapped by the hydraulic structures, causing partial or full blockage which can reduce the flow capacityof the structure. This may cause upstream flooding during high intensity rainfall events. This study investigatedthe debris transport behaviour in a natural channel. A model of an existing catchment and culvert system inAustralia was build based on Froude similitude scaling. Different sized twigs were used to replicate naturaldebris of various sizes. The experimental results demonstrated that the mobility of debris during rainfall eventswas dependent on a range of factors including stream depth and width, the size and availability of debris, and on
the condition of the riparian vegetation within the catchment. This could have significant implications for culvert
design and maintenance procedures.
Keywords: Culvert design, catchment vegetation, flooding, debris transport, stormwater.

changes in sediment deposition patterns in channels,
as well as physical damage to the culvert andsurrounding structure caused by debris [5, 6].
Several main factors have been identified that
influence the blockage of culverts by debris. These
include:• Debris (variety, size, amount, type)• Debris availability (permanent, infrequent)• Mobility (capability of debris to be moved)• Interactions of debris with the structure itself.

INTRODUCTION
The increase in impervious surface areas
accompanying urban development has increased
both the total volume of stormwater runoff, and the
speed at which concentrated stormwater flows reachdownstream receiving waters [1, 2]. Consequently,
the management of stormwater in urban areas has
become a significant issue for those responsible forplanning and construction of new developments, andthemaintenanceofexisting
stormwater
infrastructure [3].
The installation of culverts is a traditional
approach to managing stormwater flows caused by
the runoff from storm events and they have beenshown to be a reliable method of managing floodrisk in urban areas [4]. Culverts are generally placed
within the channel of both natural and artificial
waterways and this can often result in flow
constrictions within the channel. These constrictions
can be the limiting factor during high intensity
rainfall events which might lead to flooding.
Culverts are also prone to blockage by a range ofdifferent flow conditions which can further increase
the risk of flooding. Culvert blockages can also
result in higher flood levels, changes to stream flow
patterns, changes to stream bed and bank erosion,

The type, size and amount of debris, and its
influence on blockage have been classified
previously in a report by Engineers Australia [7].
However, many of the assumptions underpinning theclassifications in this report remain untested. Thereis still much uncertainty regarding debris movementin natural channels where a variety of factors caninfluence the debris mobility. To further investigate
these uncertainties and to address this knowledge
gap, a series of laboratory experiments wasundertaken in this study. The hydraulic performanceof an existing culvert and channel in Nambour,
Australia, was modelled in the laboratory in order toimprove understanding of debris movement within
the channel, as well as the main factors influencing
this movement.
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SEE-Osaka, Japan, Nov. 21-23, 2016

banks with flat or moderate slopes. The medium
debris availability covers everything in between thefirst two categories [7].
If debris is available, it is often mobilized bywind or by flooding. Branches, and even whole trees,
can break off or fall down during strong winds andthese can end up in the channel and be washeddownstream. During flooding, more area is coveredby water and debris deposited on higher groundmight be mobilized by the expanded channel flow[16]. Once the debris is entrained in a stream, it
generally travels a random distance depending on
the length and size of the debris, the width and depthof the streambed, flow velocities and the number of
obstacles, as well as the distance between them [10,17].
A number of previous studies have investigatedthe entrainment and transportability of debris. van
Sickle and Gregory [18] developed a generalprobabilistic model for the provision of large woody
debris (LWD) from falling trees. Their model could
predict LWD’s volume and orientation in the stream
fairly well, but lacked the ability to accurately
predict the length of the LWD. This was due to a
missing function to allow for the breakage of falling
trees [18].
In an experiment by Braudrick and Grant [19],the transport and deposition of LWD wasinvestigated using a flume model. They concluded
that there is a relationship between the LWD’slength, the average channel width and the maximum
radius of the channel’s curvature. They found that incases where a large portion of the channel area wasless than the buoyant depth of the debris, once they
were entrained within the flow, the smaller LWDs
would not travel as far along the channel as larger
LWDs because of their lack of momentum [19].
Whether or not a LWD is entrained by a stream
depends on two main factors: The LWD’sorientation and the existence of root balls. LWDs
with root balls achieve more stable flow comparedto the ones without root balls [8]. The root ballcreates an unsymmetrical LWD shape and this tends
to result in a bias towards one flow orientation
which is more stable than others [8]. At the sametime, root balls often result in a greater overall draft,which could result in the LWD getting stuck inshallow depth.
Bocchiola et al. [10, 20] performed a series oflaboratory flume experiments to collate informationon the jamming behaviour of LWDs. They foundthat the travelling distance of a LWD depends on its

PREVIOUS RESEARCH
A scaled laboratory model was used toinvestigate the debris mobility of the existing
Nambour culvert. Froude similitude scaling wasused to achieve realistic flows in the model [5].
Froude similitude scaling is one of the mosttraditional methods used to scale laboratory
experiments [5, 8-10]. The Froude number is adimensionless ratio between the flow velocity andgravitational forces together with the characteristic
length [11]. This method focuses on sub- and supercritical flow conditions, as well as on the flow
velocities within the stream, rather than relying on
turbulence differences described by the Reynolds
number [9]. While there are limitations to thismethod, it has been found to be an acceptable
method of analysing open-channel flows with low
Reynold numbers in the area of interest [12].
Blockage of hydraulic structures remain
unpredictable in most cases as the process is basedon a number of highly-variable factors. The first
unknown factor is blockage of the culvert itself.
While much research has been done in this area, aprecise tool to predict blockage has yet to be
developed [13]. The likelihood of a blockage ishighly dependent on the dimension and geometry of
the culvert, as well as the debris shape, size andavailability. Whereas culvert geometry can be
determined precisely, the debris availability is highly
dependent on the upstream riparian fauna and on its
mobility [7, 14]. Riparian vegetation is not as easy toassess as culvert properties and its composition is
also likely to change over time. However, it ispossible to obtain a general assessment of upstream
conditions through local inspections or low-levelaerial photography [15]. Knowledge regarding thecondition of the upstream vegetation is an importantfactor in predicting the shape and size of the debris.
However, an element of uncertainty still remains[15].
Debris availability in Australia is generallyclassified into high, medium and low availabilities[6]. A high availability of debris can be found indense forests with thick vegetation, as well as inurban areas where a variety of loose materials areavailable. Areas with an irregular distribution of
rainfall with high rainfall intensities are also known
for their high debris availability [6]. Low debris
availability areas on the other hand are characterized
by rural lands, uniform annual rainfall and stable269

SEE-Osaka, Japan, Nov. 21-23, 2016

length, the spacing between any obstacles in theflow, and the force exerted by the current [10]. Theirresults demonstrated that the likelihood of trapping
increases with the LWD’s length and decreases withan increasing Froude number, as well as with agreater distance between one obstacle to the next
[10].
In cases where the debris reaches the culvert inlet
two possibilities may occur: 1) the debris flows
through the culvert without causing a reduction in
the hydraulic performance; or 2) it gets stuck at theculvert inlet, which can reduce the flow capacity of
the culvert and cause upstream flooding. The
likelihood for the first case was investigated inexperiments as well as in a transient 1D flow model
which was able to reproduce the experimental
measurements [21].
A review of previous literature has shown thatthe factors affecting debris mobility in channels andculvert blockage by debris are not well understood.
This paper attempts to address this knowledge gap
by investigating the mobility behaviour of debris innatural channels both with and without riparianvegetation.

b)c)

APPROACH

Figure 1: Study site; a) Existing culvert; b)
Upstream catchment characteristics; c)Study area

To increase the knowledge on LWD transport
behaviour during high intensity rainfall events thisstudy investigated debris movability of an existing
culvert by undertaking a modelling study on a scaled
laboratory testing rig. The first step involved
undertaking a detailed topographic survey of an
existing field site located in Nambour, Queensland,
Australia (Figure 1). Contour levels of the 15 ha sitewere established, mapped, and then overlayed into
AutoCAD to provide a detailed 3D digital elevation
model (DEM). The DEM was then used to constructa 1:25 scale laboratory model of the site to be usedin the study.

To scale the model and the flowrates, a Froude
similitude approach was chosen. To describe highintensity rain events, the Average Recurrence
Interval (ARI) was used, which gives a likelihood on
how often certain rainfall events happen statistically[22]. The estimated flowrates for ARI events from 2
to 100 years were modelled with a hydrologicalanalysis using the Watershed Bounded Network
Model (WBNM) [23]. The flowrates used in the
study were calculated using a Froude similitudescaling approach using Equation 1 [24].
55Qm 1  2
=L 2 = Q
 25 

(1)
where:
Q m = Model Discharge (m3/s)
Q = Real Discharge (m3/s)
L = Linear Scale Ratioa)

The flowrates calculated using Equation 1 andtested in the study are listed in Table 1.

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SEE-Osaka, Japan, Nov. 21-23, 2016

Figure 2: Laboratory Model Used in Study (looking
upstream); 20yr ARI flowlines highlighted

Table 1: ARI Flowrates using Froude similitude
ARI
Real Flow
Model Flow
(Years)(m3 / s)
(L / s)
2
14.8
4.74
5
22.0
7.04
10
26.8
8.56
20
33.0
10.5
50
37.7
12.1
100*
43.8*
14.0*

The existing Nambour culverts were designed towithstand a 1% average exceedance probability(AEP) flood event [22] and the range of flows inTable 1, calculated by Froude similitude were tested
in the study. It was found that the model overtopped
at the 100 years ARI rainfall intensity of 43.8m3/s(14.0 L/s on model) so these results were notincluded in the study findings.

*100 year flows were observed to overtop the model
culvert are not included in the paper results

To model the site topography, a custom-madeculvert test rig (Figure 2), comprised of structuralsteel frame supporting a sealed plywood surface wasconstructed for the study. The test rig has a capacity
to create slopes of up to 15% and had a surface areaof approximately 20 m2. A submersible pump placedin an underground concrete tank (maximum flowrate of 35 L/s) was used to supply any pre-definedstorm event for testing.
The site survey DEM was used to produce a 1:25
scaled model test rig. Overlain by a non-woven
geotextile and topped with washed river sand, aprecisely contoured layer of washed gravel (up to
25 mm diameter) was placed on the culvert test rig
to produce the scale model of the upstream
characteristics of the field study culvert (Figure 2).
Twigs and other natural materials were placedalong the sides of the channel model up to 2 m
upstream (50 m in real stream) to replicate existing
vegetation. No vegetation was replicated along thechannel sides between 2 m and 4 m (Figure 2) inorder to evaluate the effects of having no vegetation.
Purpose built, transparent scale models of theexisting Nambour culverts were positioned twothirds of the way along the test rig to simulate (as far
as practicable) a scale model of the existing site
conditions (Figure 2).

DEBRIS – TRANSPORT
For the debris mobility testing, scaled twigs wereused to model LWD movement within the stream.
Smaller diameter, shorter twigs were used to model
smaller LWDs and larger diameter, longer twigs
were used to model large LWDs (Table 2).
Table 2: Debris dimensions and scaling at 1:25
DebrisS
Real (m)L < 1.5
LengthReal (mm) L < 60
Real (m) 50 - 100
DiameterReal (mm) 2 - 4
Channel Real
width
Model

M
1.5 >L < 2.9
60 > L < 116
125 - 150
5-6

L
3 > L < 4.5
120 > L < 180
175 - 200
7-8

3m
120 mmTo compare the mobility between different
release areas and the influence of the vegetation, twodifferent LWD drop-in locations were chosen (D 1
and D 2 ). D 1 was approximately 4 m upstream(100 m in real channel) of the model culvert inlet
and was directly within the first curve of the stream.
D 2 was approximately 2 m upstream (50 m in realchannel) of the model culvert inlet and was in thesecond curve. Vegetation was installed along thesides of the model channel up to location D 2 to
replicate the real vegetation (Figures 3 & 4).
A set amount of various sized debris was
dropped at these locations and then monitored. Eachflowrate was tested with all three different debris
sizes. After stable flow conditions were establishedfor each ARI, 10 twigs of each debris size werereleased at points D 1 and D 2 . After 10 minutes, theflow was switched off and the number of twigs stuckin the stream bed were counted as well as thenumber that went through the culvert. Each test was
repeated five times.

D1 (4 m, 100 m)
20yr ARI
D2 (2 m, 50

Culvert271

SEE-Osaka, Japan, Nov. 21-23, 2016

trends depending on the distance the debris travelled.
When the twigs were deposited into the stream at
location D 1 (100 m), the maximum amount of debris
reaching the culvert was found to occur during thesimulated 10 year or 20 year ARI flows for all threedebris types (Fig. 5). The amount of debris reaching
the culvert was generally less for lower, or higher
simulated ARI flow conditions. Interestingly, thepercentage of debris reaching the culvert during the
50 year ARI flow was similar to that observed
during the 2 year ARI flow. It was observed that thedebris gained mobility with increasing depth andwidth of the channel.
Between the 20 year and the 50 year simulated
ARI flows, the behaviour of the channel flowchanged significantly. The main flow remained in
the channel up to the 20 year ARI. However, as theflow approached the 50 year ARI flowrate, the flow
tended to overtop the sides of the channel and spreadout over a greater area (Fig. 2). This resulted in avariety of new, shallower flow paths being
established. A significant amount of the debris wasfound to become trapped in these newly flooded
areas due to the shallower water depths, despite
having no vegetation.

50 m

100 m
CulvertDebris reaching culvert [ % ]Figure 3: Real stream debris release distances(scaled in model); streambed and 50yr ARI
flow area highlighted (hatched yellow)
The vegetation installed along the sides of thesecondcurve
would
becomesubmerged
incrementally as higher flowrates were tested. As
vegetation was only modelled in the curve (Section
B-B in Figure 4) and stream closer to the culvert, its
influence on the debris trapping could be analysedand compared to the debris mobility upstream in
Section A-A (Figure 4) as both curves had similar
shapes and profiles. Only the directions of the curves
were different.

Small (d = 100 m)
Medium (d = 100 m)
Large (d = 100 m)

100
80
60
40
20
0
2

5

10

20

50

Average Recurrence Interval [ years ]Figure 5: Percentage of debris reaching the culvert
when dropped in at location D 1 (100 m)
When the debris was dropped into the stream at
location D 2 (50 m from the culvert), the results
demonstrate very different mobility behaviour(Figure 6). Initially, the amount of debris reaching
the culvert reduced as the channel flowrate increased.
The minimum amount reaching the culvert wasobserved to occur between the simulated 10 year and20 year ARI flows for all three debris types. At

Figure 4: Debris flow in the channel (not scaled)
DEBRIS – TRANSPORT – PRELIMINARYRESULTS
The debris mobility testing identified different
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SEE-Osaka, Japan, Nov. 21-23, 2016

the water levels were relatively high and somedebris left the former streambed which led to debris
being trapped in these flooded area due to low water
depths.
The results of the experiments using drop-in
location D 2 with simulated vegetation along thechannel sides were very different. At flows above
the 2 year ARI, when the debris started to flow in
between the simulated channel vegetation at location
D 2 , a high proportion of the debris became trapped
within the vegetation. It was observed that theminimum amount of debris was trapped during thesimulated 10 year and 20 year ARI flows (Figure 6).
With further increasing flowrates, a higher
percentage of debris reached the culvert. Thisappeared to be due to higher flow velocities, andtherefore higher drag forces being exerted on thedebris. The flooded terrain had no significant
influence on the debris when it was released closer
to the culvert at location D 2 . The most direct route to
the culvert was still within the existing channel andthis led to most debris remaining in the channel andreaching the culvert.
In order to visualise the general differences
between debris dropped in to the flow at locations
D 1 and D 2 , the average of the two sets of results
were calculated. These results are shown on Figure 7.

flows of 20 years and above, the amount of debris
reaching the culvert started increasing again (Figure
6).
It was observed that the simulated vegetationnext to the streambed became more submerged as
the water levels increased with the higher ARI
flowrates. This resulted in more debris becoming
stuck within the riparian vegetation zones while
trying to establish a stable position within the flow.
The minimum amount of debris reached the culvert
during the simulated 10 year ARI flow event for thesmall and medium sized debris. However, theminimum amount of large debris was observed
during the 20 year ARI event. With higher flowrates
during the 20 and 50 year ARI the flow velocities
increased, which lead to higher dragging forces that
tended to move the debris further downstream.
Small (d = 50 m)
Medium (d = 50 m)
Large (d < 50 m)

Debris reaching culvert [ % ]

100
80
60
40
20
0
5

10

20

50

Debris reaching culvert [ % ]2Average Recurrence Interval [ years ]Figure 6: Percentage of debris reaching the culvert
when dropped in at location D 2 (50 m)
DISCUSSION
During the drop-in location D 1 experiments, it
was found that most of the debris would try to alignitself with the stream flow and then travel
downstream to reach the culvert. As there was novegetation next to the stream between locations D 1
and D 2 , the debris had more time to align itself withthe flow in the stream without being hindered byriparian vegetation. It was observed that once thedebris found a stable position within the flow, it
tended to maintain this position and travel all theway to the culvert entrance.
However, for the 2 year and 50 year ARI
flowrates, a higher amount of the debris became
lodged in the channel due to lower water depth andsmaller channel width. During the 50 year ARI flow,

100

Release Distance to culvert = 100 m
Release Distance to culvert = 50 m

80
60
40
20
0

2
5
10
20
50
Average Recurrence Interval [ years ]Figure 7: Average amount of debris reaching theculvert from both locations (50 m and100 m)
Figure 7 shows that the maximum amount ofdebris reached the culvert during the 10 year ARI
flowrate in non-vegetated channels. Conversely,
Figure 7 shows that the 10 year ARI flowrate also
resulted in the minimum amount of debris reaching
the culvert in vegetated channels.
273

SEE-Osaka, Japan, Nov. 21-23, 2016

The study results suggest that the increased
stream depth and width (and the rate of this change)that occur during rainfall events, as well as the size
and availability of debris, may be the main drivers
that influence culvert blockage and potential
flooding. However, more research is needed toverify this.

These results suggest that the potential for
culvert blockage could be highly dependent on thecondition of the riparian vegetation in the catchment.
This could have significant implications for culvert
design and maintenance procedures. However,further research would be required to investigate thisin more detail.
CONCLUSIONREFERENCES
This study investigated debris mobility in naturalchannels during high intensity rainfall events. The
Although the study was undertaken on a 1:25 scaled
laboratory model. Due to the extremely variablecharacteristics of natural (and simulated) rainfall
events [25], and the associated risk of flooding,results observed during testing of the culvert rig
were also found to be highly variable. The study
findings have resulted in a better understanding of
the factors that affect debris transportability andmobility in natural streams and channels. The main
findings of the study were:• Smaller debris is more likely to move
downstream - the ratio between debris
length and shape to channel width was foundto be an important predictor of debris
mobility.
• Low water depth can hinder debris mobility- greater water depth and a greater channel
width promote debris transportability.
• Obstacles within the stream increase thelikelihood of debris becoming trapped.
• Higher flow velocities were generally found
to reduce debris trapping within the main
channel due to increased drag forces.

[1]

[2]

[3]

[4]

[5]

[6]

The variable nature of the results of this study
suggest that further research is required to develop
an accurate model to predict debris transport. The
experiments showed that the debris transportability
is not only highly dependent on the flowrate and thesize of the debris, but also on the point of entrance
into the stream and on any obstacles along thestream bed.
The results of this study may have implications
for culvert cleaning and maintenance schedules.
They also suggest that it may be important for
designers to take the amount and size of existing,and future, upstream catchment vegetation, as wellas the local site environmental conditions into
account during the culvert design stage.

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P. W. Nichols, R. White, and T. Lucke, “Do
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S. Arthur, “Analysis of the performance ofdebris screens at culverts,” Proceedings ofthe Institution of Civil Engineers: Water
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W. Weeks, G. Witheridge, E. Rigby, A.
Barthelmess, and G. O'Loughlin, “Australien
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Engineers Australia, Barton ACT 2600,
Australia, 2009. Accessed on: May 10 2016.
W. Weeks, G. Witheridge, E. Rigby, A.
Barthelmess, and G. O'Loughlin, “Australien
Rainfall & Runoff - Project 11: Blockage of
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C. A. Braudrick and G. E. Grant, “When dologs move in rivers?,” (en), Water Resources
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99WR900290/pdf, 2000.
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76, no. 1-2, pp. 166–178, 2006.
H. Chanson, The Hydraulics of OpenChannel Flow: An Introduction; Basic
Principles, Sediment Motion, Hydraulic
Modelling, Design of Hydraulic Structures.
Amsterdam: Butterworth-Heinemann, 2004.
H. Chanson, “Turbulent air–water flows in
hydraulic structures: Dynamic similarity andscale effects,” Environ Fluid Mech, vol. 9, no.
2, pp. 125–142, 2009.
J. B. Bradley, D. L. Richards, and C. C.
Bahner, Debris control structures:
Evaluation and countermeasures, 3rd ed.
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Administration, 2005.
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pp. 601–619, 2002.
C. J. Gippel, B. L. Finlayson, and I. C.
O'Neill, “Distribution and hydraulicsignificance of large woody debris in alowland Australian river,” (en),Hydrobiologia, vol. 318, no. 3, pp. 179–194,
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recruitment, and geomorphic significance oflarge woody debris in an alluvial forest
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J. van Sickle and S. V. Gregory, “Modelinginputs of large woody debris to streams fromfalling trees,” Can. J. For. Res, vol. 20, no.
10, pp. 1593–1601, 1990.
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Australian rainfall and runoff: A guide toflood estimation, 3rd ed, 1987.
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Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

MECHANICAL PROPERTIES OF FIBER REINFORCED CONCRETE
USING PINEAPPLE LEAF FIBER TREATED IN SODIUMHYDROXIDE (NaOH)

1

Joseph Berlin P. Juanzon1, James Emerson de Leon2, Patrick Robert Divina2 and Mark Fernan Tividad2
Faculty, Malayan Colleges Laguna; 2 Civil Engineering Department, Malayan Colleges Laguna Philippines

ABSTRACTThe objective of this study is to evaluate the mechanical properties of Fiber Reinforced Concrete (FRC)
utilizing Pineapple leaf fiber (PALF) treated in sodium hydroxide and an untreated PALF. Four types ofconcrete mixes are made with varying percentages of the treated and the untreated PLF. Concrete specimens
with PALF of varying volume percentages of 0%, 2%, 4%, and 6% were tested according to ASTM standards oncompressive, flexural and split-tensile strength analysis. Six samples of each type of mix and control mix of 0%
were tested. The test results is analyze using Two-Way Analysis of Variance (ANOVA) with a 5% level ofconfidence. Test results show a decrease in compressive and split-tensile strength for all test specimens.
However, for the flexural strength, the 2% volume replacement of PALF treated in sodium hydroxide exhibitedthe largest amount of flexural strength of 5.87MPa as compared to the control mix of 4.27MPa, these signifies anincrease in flexural strength by 37.47%. It is therefore concluded that PLF treated in sodium hydroxide hassignificantly increased the flexural strength of concrete which will eventually reduce the volume of concrete instructures.
.
Keywords: Fiber Reinforced Concrete, Leaf Fiber, Flexural, Compressive, Direct Tensilethat was used in this experiment was obtained from
Lumil, Purok 1, Silang Cavite. The study made usedof plain concrete and concrete with PALF that was
cut into 40-millimeters as additional reinforcement
for the concrete cylinders and beams. The
mechanical properties that were determined in the
study includes the compressive, flexural and split
tensile strength of the plain and PALF-reinforced
concrete. Mainly, comparison of the strengths
between PALF-reinforced and plain concrete
cylinders and beams was included through agraphical analysis in 28th day strength basis. The
Analysis of Variance (ANOVA) was used in thisstudy to compare the relationship of the properties ofthe plain and PALF-reinforced concrete withvarying percentages of volume fraction. Lastly, cost
analysis was neglected in this study since this wasfor experimentation purposes only.

INTRODUCTION
Fiber reinforced concrete is a concrete composite
with strands of fibers from plants, animals, or evensynthetic materials. These fibers can minimize
cracking and shrinkage, increase the toughness andreduce the permeability of concrete [1]. Fibers areoften considered mainly as replacement for
reinforcement for concrete because it is organic, anatural fiber. The quantity of replacement of fibers
in a concrete mix is acquired by considering apercentage of the total volume of the specimen,
called the volume fraction. These fibers are usually
cut into 2-inch size (51 millimeters) and added to themix evenly.
Although natural fibers are good substitute as
reinforcement for composites, its exposure to thealkali environment of the cement tends to deteriorate
the fibers, thus rendering it useless. That is whytreatments, commonly chemical, are introduced to
improve the properties of fibers for better
reinforcement in the composites [2].
The main objective of the study was to be able toevaluate the effect of untreated and treated pineapple
leaf fiber (PALF) with 2%, 4% and 6% volume
fraction to the mechanical properties (compressive,
flexural and split tensile strength) of plain concrete.
The scope of this study focused on testing themechanical properties of PALF-reinforced concretewith volume fraction of 2%, 4% and 6%. The PALF

LITERATURE REVIEWNatural fibers are renewable resources, where theproduction of these fibers require little energy, plus
the fact that it is ecological, although some of thedisadvantages of natural (plant) fibers is their nonuniformity, variety of dimensions, and theirmechanical properties (even between individual
natural (plant) fibers in the same cultivation. For thisreason, high performances of natural reinforcing
276

SEE-Osaka, Japan, Nov. 21-23, 2016

with a multicellular lignocellulose material. The
denomination was derived from its conical shapeakin to a pine tree. The plant grows to a height ofone meter and the first crop is ready for harvesting
approximately 18 months after planting. Its fruit iscommercially manufactured for food and drug
industry and is widely known to be processed forbeverage or refreshment. The flesh and juice areused in cuisines around the world. The leaves, on theother hand, are used in making textile by extracting
its fibers. Pineapple comes in different varieties like
Red Spanish, Hilo, Smooth Cayene, St. Michael,
Kona Sugarloaf, Natal Queen of Formosa, andPernambuco [3].
According to Food and Agriculture Organizationof the United Nations, Costa Rica is the leading
producer of pineapple with 2,685,131 metric tons.
The Philippines on the other hand, ranked third witha quantity of 2,458,420 metric tons of pineapple
annually. Other leading producers are Brazil,
Thailand, and Indonesia. Table 1 shows thetabulated leading global producers of pineapple in
the world.

fibers are developed in order to gain its acceptanceof use [3].
Natural fibers are classified hair-like material
that are perpetual filaments or are in discrete
elongated pieces, similar to pieces of thread. Thesefibers can be kindred to pieces of thread, or it can be
spun into filaments, either thread or rope [4].
Also, these fibers can be used as a component ofcomposite materials. These fibers can also be matted
into sheets to make products such as paper or felt.
Fibers are of two types: natural fiber and man-madefiber or synthetic fiber.
Treated Natural Fibers
Although natural fibers are renewable resource
and inexpensive [5], the biodegradable characteristicof the natural fibers can present problems in its
durability, this can cause reduction in its strengthand toughness if these fibers were not treated [6].
Chemical treatments have been introduced toprevent or resist chemical attacks in fibers present incementitious composites. These treatment methods
improve the adhesion between fiber surfaces andcement matrix, hence improving the surface
roughness for better anchorage or interlocking
between matrix and fiber, tensile strength, andreduce its moisture absorption [7].
Various chemical treatments have been presented
in a study by [8] with regards to natural fibers as
reinforcements for composites. Treatments such asalkali, silane, acetylation, benzoylation, acrylation,
maleated
coupling
agents,isocyanates,
permanganate, and others are discussed.
Alkaline treatment, or mercerization, is one of
the most common methods of treating fibers
chemically. This treatment is typically used whenfibers are used as reinforcements for thermoplastics
and thermosets. Addition of aqueous sodiumhydroxide (NaOH) to fibers stimulates the ionizationof the hydroxyl group to the alkoxide [9]. In alkaline
treatment, fibers are immersed in a sodiumhydroxide (NaOH) solution for a brief period of time.
The treatment that yielded the highest tensile
strength with the required roughness was obtainedby treating the fibers for duration of twenty-four(24) hours in a solution of 4% sodium hydroxide.
Using higher concentrations and longer treatment
durations only caused the fiber to deteriorate, thus
reducing the tensile strength of the fibers itself [2].

Table 1 Leading Global producers of Pineapple
Country
Costa Rica
BrazilPhilippines
ThailandIndonesia

Quantity(metric tons)
2,685,131
2,483,831
2,458,420
2,209,351
1,837,155

Piña, Ananas comosus (Linn), also known as the
Pineapple Leaf Fiber (PALF), comes from strong
flowery leaves that are commonly used in thePhilippines. Usually mixed with polyester or silk tocreate a textile fabric, it is used to make thetraditional formal wear of the Filipinos, the Barong
Tagalog. Other applications of which are hand
woven bags, linens, and mats, which are of export
quality and it is being shipped to China, South Korea,
Japan, Middle East, Qatar, Canada, Russia, Germany,
Guam, New Zealand, and Hong Kong.
Fiber Reinforced Concrete
Fiber reinforced concrete (FRC) is cementing
concrete reinforced mixture with more or lessrandomly distributed small fibers. In the FRC, anumber of small fibers are dispersed and distributed
randomly in the concrete at the time of mixing, andthus improve concrete properties in all directions[10]. These fibers contributed in the improvement of
flexural-tensile strength, resistance to spitting,
impact resistance, excellent permeability and frost
resistance [11]. It also increases the toughness,shock resistance and resistance to plastic shrinkage

History of Pineapple Fibers
Pineapple, also known as Ananas comosus, is anatural plant from the family of Bromeliaceae
Family. It is the leading edible member of its kin
277

SEE-Osaka, Japan, Nov. 21-23, 2016of the mortar. Existing studies of these fibers include
steel, glass, polymer, natural fiber and synthetic
fibers [10].
In a study conducted by [1] with regards tofibers as a construction material, it has been statedthat the maximum length of the fiber and the
optimum volume fraction of the composite is 4
centimeters in length and 3% in volume fraction as
replacement for the whole quantity of the composite
or partial quantity of cement or aggregates.
Fig 2
Samples
PALF
Chemical Treatment of PALF

METHODOLOGYThis study analyzed the compressive and split
tensile strength of the concrete cylinders and theflexural strength of concrete beams all reinforced
with chemically treated and untreated PALF.
Standard cylindrical steel and rectangular molds that
conform to ASTM specifications for testing
purposes were used. A total of forty-two (42)concrete specimens comprising twenty-eight (28)concrete cylinders and fourteen (14) concrete cubes
were to be made with 0%, 2%, 4% and 6%
percentage replacement of fiber by volume.

of

extracted

A solution of water and sodium hydroxide at 4%
concentration was prepared in a water basin with aroom temperature. The pineapple leaf fibers were
soaked in the solution for 24 hours. After that, thefibers were immersed in a distilled water bath forone hour to remove residual sodium hydroxide.
Finally, the fibers were air-dried (Fig. 3) and stored
in a sealed plastic bag to prevent any exposure tomoisture.

Preparation of Pineapple Leaf Fibers (PALF)
Figure 1 shows the pineapple leaves that wereobtained from the pineapple farm in Lumil, Purok 1,
Silang Cavite. The leaves were cut from the stalk of
the plant as shown.

Fig 3 Air dried treated PALF
Batching and Designing of Concrete Mix

Fig. 1

The concrete mix used in this experiment was
patterned according to ACI specifications. An
ASTM standard mold for concrete cylinders andconcrete cubes was used in pouring the concrete mix.
Four batches were prepared sequentially, a batch forthe concrete with 0% fiber, another with 2%, 4% and
6% fiber content of volume by mass. The PALF hasa density of 1001.3 kilogram per cubic meter [12].
Multiplying the density of the pineapple leaf fiber tothe volume of the concrete per batch gives thevolume replacement of fiber by weight in theconcrete specimens.
Two sub-batches were prepared for each batch,
one sub-batch for the untreated fibers and the otherfor the concrete mix with treated fibers. Cement,
sand and fibers were first prepared.

Freshly collected PALF samples

In the sampling process, 8 kg of pineapple leaf
were collected for the extraction of its fibers using aceramic plate. Samples of the extracted fibers arepresented in Figure 2. The extracted fibers were thencut into 40 millimeters segments/pieces.

Materials Testing278

SEE-Osaka, Japan, Nov. 21-23, 2016

The equipment used for the different tests was
the Universal Testing Machine (UTM), which iscapable of conducting the Compressive, Flexuraland Split Tensile Tests. Two (2) specimens eachwere prepared for the plain concrete, for the concrete
composite with 2%,4% and 6% volume of fiber bymass of the concrete specimen.
Compression Test. The test for compressive
strength of the concrete specimens was patterned
according to ASTM C39 “Standard Test Method forCompressive Strength of Concrete Specimens”
where a concrete cylinder with dimensions of one
hundred (100) millimeter by diameter and two
hundred (200) millimeter by height was placed in
the UTM in a vertical position. The compressive
strength of concrete cylinders was computed using
the equation:

𝜎𝜎 =

𝑃𝑃

construction materials were gathered and are shownin Table 3.
Table 3 Summary of Concrete-Mix Parameters from
Material Testing

3𝑃𝑃𝑃𝑃

2𝑏𝑏𝑑𝑑 22P

πdL

Specific
Gravity
(SSD)

-

3.10

-

-

1,696.72(Bulk)

2.75

8.5

-

1,696.72(Bulk)

2.5

3.54

2.6

9,810

1

-

-

Absorption
(%)

Fine
Modulus

Design of Concrete Mix
Based on the “Class A” mixture (1:2:3) withdesign strength of 3000 Psi. The mass of the fibers
was added based on its density, multiplied to thetotal volume of the batch, and then multiplied to thepercent volume to be replaced. The equivalent massof the PALF were added to the concrete mix with
2%, 4% and 6% volume replacement.
In accordance with the total volume obtained
from the concrete specimens, a total of 4 concrete
mixes was prepared. The first mix was prepared forthe control sample, plain concrete without fibers.
The second, third and fourth concrete mix was
prepared with 2%, 4% and 6% volume replacementof treated and untreated fibers. The summary of thequantity of cement, sand, gravel, water, and PALF
for each mix is shown in Table 4.

(2)

Split Tensile Test. The Split Tensile Strength
for the concrete specimens was patterned according
to ASTM C496. The split tensile strength of
concrete cylinders was computed by the equation:

T=

CementFine
Aggregates
Water

Flexural Test. The test for the flexural strengthof the concrete specimens was patterned according
to ASTM C78. The flexural strength of a concretebeams was computed using the equation:

𝑅𝑅 =

Unit
Weight(kg/m3)

3/4“ Coarse
Aggregates

(1)

𝐴𝐴

Kinds ofMaterials(3)

Table 4. Quantity of Cement, Sand, Gravel andWater by Weight for Concrete with PALF
Replacement

Data Analysis
Two specimens each for the compressive,
flexural and splitting tensile strength for twentyeight (28) day strength were tested and the results
were averaged. Two parameters, namely the volume
fraction and the chemically treated and untreatedfiber, were considered and the significant
interactions between the two parameters were
determined.

Percent
Replacement
0%
2%
4%
6%

Cement
(kg)
8.52
8.35
8.18
8.02

Gravel
Water
Sand
(kg)
(kg)
(kg)
17.31
25.79
4.26
16.96
25.27
4.17
16.62
24.76
4.09
16.29
24.26
4.01

PALF
(kg)
0
0.40050.801
1.202

Compressive Strength Test
A tabulated summary of the compressive
strength of the plain concrete, treated and untreated
PALF-reinforced concrete with varying percentage
of total replacement by volume of fibers is shown in
Table 5.

RESULTS AND DISCUSSIONSThe unit weight of the course and fine aggregates
adhered to the required specifications presented by
ASTM C29, which ranges from 1,450 kg/m3 to
1,750 kg/m3. The specific gravity of the course andfine aggregates also conformed to the ASTM C127
and ASTM C128 specifications.
Prior to the design of concrete mix as per ASTM
standards, information for the experimentation of

Table 5. Summary of Compressive Strength ofConcrete Cylinders
Percent
Replacement of279

Untreated
Pineapple Leaf

TreatedPineapple Leaf

SEE-Osaka, Japan, Nov. 21-23, 2016

Fiber (%)

Fiber

Fiber
Percent
Replacementof Fiber (%)

Mean Strength at 28th day (MPa)

0
2
4
6

22.35
14.76
7.58
8.62

22.35
22.17
13.18
14.06

0
2
4
6

2
4
PALF Content (%)

Ave. Compressive Strength
(MPa)

4.27
3.49
3.34
3.05

4.27
5.87
5.21
4.99

Figure 6 shows that the flexural strength of theconcrete cylinders with the untreated PALF
decreases as the volume percentage replacement offibers increase. The largest strength documented was
3.49 MPa, which was still smaller as compared tothe control mix. A decrease of 18.27% in its flexuralstrength is recorded and it continues to decrease as
the volume fraction of the concrete specimen
increases. A decrease of 21.78% and 28.57% werealso recorded when the concrete specimens with 4%
and 6% volume fraction of untreated PALF was
compared to the control mix, respectively.
Ave. Compressive Strength
(MPa)

0

TreatedPineapple Leaf
Fiber

Mean Strength at 28th day (MPa)As shown in Figure 5, the compressive strengthof the concrete cylinders decreases as the volume
percentage replacement of fibers, treated or
untreated, increases. For the concrete specimens
with untreated PALF, a decrease from 22.35 MPa to
14.76 MPa, with a percentage decrease of 33.96%,
was observed when the concrete cylinder with 2%
volume fraction was compared to the control
specimen. A decrease from 22.35 MPa to 7.58 MPa
and 8.62 MPa, with 66.09% and 61.43% decrease inpercentage, were also observed when the control
specimen was compared to the concrete specimens
with 4% and 6% volume fraction of untreated PALF,
respectively.
24
22
20
18
16
14
12
10
8
6
4
2
0

Untreated
Pineapple Leaf
Fiber

6

6

4

2

0

Fig. 5. Compressive strength comparison ofdifferent volume percentage of PALF

02
4
PALF Content (%)

6

Fig. 6 Flexural strength comparison of different
volume percentage of PALF

The results from the compressive strength of
concrete cylinders validate the study of [13] that
adding fibers to the concrete specimens decrease thevalue of its compressive strength.
PALF provides an increase in the compressive
strength of the concrete cylinders. When comparing
the concrete cylinders with 2% volume fraction of
untreated to the treated PALF, there was an increase
from 14.76 MPa to 22.17 MPa. Also, an increase of
73.88% and 63.11% was observed when comparing
the specimens with 4% and 6%.

The flexural strength of the concrete specimens
with PALF treated in sodium hydroxide decreased as
the volume fraction increases. However, thespecimens with treated fiber exhibited an increase
when compared to the control specimen. An increase
from 4.27 MPa to 5.87 MPa, with a percentage
increase of 37.47% was observed when the concrete
specimen with 2% volume fraction of treated PALF
was compared to the control specimen, the same
trend continues as it was compared to 4% and 6%
volume fraction with an increased strength of
22.01% and 16.86% respectively.

Flexural Strength Test
Table 6 shows the results of the flexuralstrength of the plain concrete, treated and untreated
PALF-reinforced concrete with varying percentage
of total replacement.

Direct Tensile Strength Test
A tabulated summary of the direct tensile
strength of the plain concrete, concrete with treatedfibers and concrete with untreated fibers with

Table 6. Summary of Flexural Strength of Concrete
Beams
280

SEE-Osaka, Japan, Nov. 21-23, 2016

varying percentage of total replacement by volume
of fibers is shown in Table 7.

tested in flexure increased by 37.47% when the 2%of treated PALF were added. Furthermore, in split
tensile test, the treated PALF enhanced the concretewith a strength of 1.89 MPa compared to theuntreated PALF with a strength of 1.87 MPa.
However, the split tensile strength of control mix
which is 1.94 MPa did not improve when treated or
untreated pineapple leaf fibers were mixed.
..

Table 7. Summary of Direct Tensile Strength ofConcrete Samples
Percent
Replacementof Fiber

Untreated
Pineapple
Leaf Fiber

TreatedPineapple
Leaf Fiber

Mean Strength at 28th day (MPa)

0%
2%
4%
6%

1.94
1.87
1.44
1.24

ACKNOWLEDGEMENTS

1.94
1.89
1.60
1.65

The authors would like to express its gratitude to
Malayan Colleges Laguna for the support given inusing its facilities and equipment. To the Divine
Almighty, who gave us the strength, courage, andwisdom to fulfil this achievement, this work is
humbly offered to HIM.

As shown in Fig. 7, the direct tensile strengthof the concrete cylinder decreases as the volume
percentage replacement of fibers, treated or
untreated, increases. For the concrete specimens
with untreated PALF, a decrease from 1.94 MPa to
1.87 MPa, with a percentage decrease of 3.61%, wasobserved when the concrete cylinder with 2%
volume fraction is compared to the control specimen.

REFERENCES[1] Ali, M. (2012) Natural Fibers as Construction
Materials. Journal of Civil Engineering andConstruction Technology, 80-89.
[2] Machaka, M., Basha, H., Chakra, H., & Elkordi,
A. (2014). Alkali Treatment of Fan Palm
Natural Fibers For Use in Fiber Reinforced
Concrete. European Scientific Journal.
[3] Asim, M., Abdan, K., Jawald, M., Nasir, M.,
Dashtizadeh, Z., Ishal, M.R., Hoque, M.E.
(2015). A Review on Pineapple Leaves Fibreand Its Composites.
[4] Chandramohan, D., & Marimithu, K. (2011). A
Review on Natural Fibers. IJRRAS, 196-198.
[5] Oladele, I., Omotoyinbo & Adewara, J. (2010).
Investigating the Effect of Chemical Treatment
on the Constituents and Tensile Properties of
Sisal Fiber. Journal of Minerals and Materials
Characterization & Engineering, 569–582.
[6] Filho, R.D, Ghavami, K., England, G. &Scrivener, K. (2003). Development of
Vegetable Fibre–Mortar Composites of
Improved Durability. Cement & Concrete
Composites.
[7] Hashim, M, Amin, M.R.A., Zaidi, A., & Ariffin,
S. (2012). Mercerization Treatment Parameter
Effect on Natural Fiber Reinforced Polymer
Matrix Composite: A Brief Review.
[8] Li, X., Tabil, L. G., & , S. (2007). Chemical
Treatments of Natural Fiber for Use in Natural
Fiber Reinforced Composites. J Polym Environ,25-33.
[9] Agrawal R, Saxena NS, Sharma KB, Thomas S,
Sreekala MS (2000). Material Science
Engineering: A 277:77.
[10] Amit, R., & Joshi, Y. (2014). Applications andProperties of Fibre Reinforced Concrete.Journalof Engineering Research and Applications, 121131.

Ave. Compressive Strength(MPa)

A decrease from 1.94 MPa to 1.44 MPa and1.24 MPa, with 25.77% and 36.08% decrease inpercentage, were also observed when the control
specimen was compared to the concrete specimens
with 4% and 6% volume fraction of untreated PALF,
respectively.
2

1.5
1

0.5
0

0

2
4
PALF Content (%)

6

Fig. 7. Direct tensile strength comparison ofdifferent volume percentage of PALF
CONCLUSION
Based on the results of the test and thestatistical treatment comparing the effect of treatedand untreated fibers reinforcement, the PALF treatedwith sodium hydroxide gave a greater strength(22.17 MPa) compared to the untreated pineapple
leaf fibers (14.76 MPa) when subjected tocompression test. Similarly, the treated PALF
subjected to flexural test presented a higher value of
5.87 MPa compared to the untreated PALF with
only 3.49 MPa. Also, the strength of the control mix
281

SEE-Osaka, Japan, Nov. 21-23, 2016[11] Uzomaka, O.J. (1976). Characteristics of
Akwara as a Reinforcing Fibre. Magazine ofConcrete Research, 28(96), 162-167.
[12] De Aro, E., Fajardo, B. H., & Perez, M. (2012).
Properties of Pineapple Leaf Fiber Reinforced
Concrete Beams.

[13] Elsaid, A., Dawood, M., Seracino, R., Bobko, C.
(2010). Mechanical Properties of Kenaf Fiber
Reinforced Concrete.

282

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

STEEL FIBRE REINFORCED CONCRETE:FROM X-RAY IMAGING OBSERVATION TO MODELLING
Trevor NS Htut1, Tian Sing Ng1 and Stephen J Foster2
Department of Civil Engineering, Curtin University, Australia;
2
School of Civil & Environmental Engineering, University of New South Wales, Australia
1

ABSTRACTIn developing the constitutive model for steel fibre reinforced concrete, insight of fibre behaviour in tension
is vital. The steel fibres in the concrete are randomly distributed and orientated. Not all fibres are aligned in the
direction of the applied load; instead, fibres lie at various angles to the loading direction. This paper reports on
the observation of the behavior of steel fibre reinforced concrete in tension using X-ray imaging. It is observedthat crack paths find ways of minimum resistance; (i) through a section with poor fibre dispersion and/or (ii)divert around fibre ends, where possible. The results of digital imaging analysis are reviewed and statisticalmodels for fibre dispersion are presented. A model is also proposed to determine the limiting maximum fibre
volume percentage for which, beyond the limit, additional fibre content does not further improve the tensile
performance due to the weaker cementitious matrix and crack paths are likely to divert around fibre ends.

Keywords: Steel Fibre, Tension, Dispersion, Distribution, X-Ray, Fibre-Matrix Interaction
fibre reinforced concrete composites. The model isdeveloped by assuming that (i) the matrix remains
intact during the fibre pull-out in the SFRC
composite, and (ii) fibres are uniformly dispersed in
the SFRC. However, in reality, a weak cementitious
matrix is prone to spalling and local damage due tolocalised stress concentrations. This can beparticularly apparent for fibres where a high degreeof mechanical anchorage is generated within thematrix and without fracturing. In addition, based on
the observations from studies by the authors [13, 15]
and others [16, 17], the tensile fracture of SFRC do
not always occur at the narrowest part of the dog
bone shaped specimens. This is believed to becaused by the variability of dispersion anddistribution of fibres within the matrix and may be
due to the methods of mixing, placing andcompaction.
In this study, X-ray imaging was used to viewthe internal mechanism that evolves in the randomly
distributed SFRC in tension. The results of digital
imaging analysis are reviewed and statistical models
for fibre dispersion are presented. Finally, a limiting
maximum fibre volume percentage model isintroduced for which, beyond the limit, additional
fibre content does not further improve the tensile
performance due to the loss of efficiency in bond
between fibres and the matrix, where the matrix
spalls and cracks before the fibres are engaged.

INTRODUCTION
In the early 1960's, Romualdi and Batson [1]demonstrated that the tensile strength and crack
resistance of concrete can be improved by providing
suitablyarranged,closely
spaced,wire
reinforcement. By adding fibres to a concrete mix
the objective is to bridge discrete cracks providing
for some control to the fracture process and increase
the fracture energy. To-date, after more than 50
years of research in the development and placementof steel fibre reinforced concrete (SFRC), theconcept has matured to the stage where it is finding
increasing use in practice.
Insight of fibre behaviour during pullout is vitalfor developing a constitutive model for fibre reinforced concrete. However, there is no easy method
to determine the fibre-matrix interfacial mechanics
and fibre pullout micromechanics other thanundertaking experimental discrete fibre pullout test.
Discrete fibre pullout tests allow observation andunderstanding of all stages of pullout process
starting from the initial elastic deformation of thefibre been pulled-out or fractured. Space in thispaper prohibits an extensive review of the literatureon the discrete fibre behaviour during pullout but
more information on the topic can be found instudies by the authors [2], including the study using
X-ray imaging technique [3], and by otherresearchers such as [4-12].
Based on the discrete fibre pullout data, theauthors developed the Unified Variable Engagement
Model (UVEM) [13-15] that is capable of predicting
the stress versus crack opening response of steel

EXPERIMENTAL PROGRAM
Eleven 30 mm thick dog-bone shaped specimens
were cast with 40 MPa cement mortar reinforced
283

SEE-Osaka, Japan, Nov. 21-23, 2016

with end hooked, cold drawn, 25 mm long, 0.5 mm
diameter, 2300 MPa high strength fibre and volume
percentages of between 0.5% and 2%.
Fig. 1 shows the specimen size and test setup
details adopted in this study. All the specimens were
X-ray imaged prior to the uniaxial tension testing.
The displacements were measured using two linear
variable differential transducers (LVDTs), oneplaced on each side of the specimen to allow for the
X-ray film to be attached. The displacement plotted
is taken as the average of the LVDT readings.
Loading was conducted using displacement control
at a rate of 0.12 mm per minute up to the crack
opening displacement of 2 mm and then increased toa minimum of 0.1 mm per minute. Of the eleven
specimens, seven were loaded and tested under Xray observations.

dispersion factor (F fd ) defined as the ratio of whitearea to the total sample area. The sampling sizes of
25 mm × 25 mm and 12.5 mm × 12.5 mm werecompared and only a limited improvement(approximately 2%) was observed when thesampling size was reduced much below the length of
the fibres. The dispersion results are presented in
Fig 5.
For a sample of statistical significance, themedian value of F fd for samples taken within one
dog-bone specimen represents the average fibre
volume fraction, ρ f . This data is plotted in Fig. 6 forthe dog-bone shaped specimens for the different,
known, fibre volumetric ratios (ρ f from 0.5% to2.0%). With the relationship F fd and ρ f established,
for the given fibre type and specimen thickness, (Fig.
6), the volume fraction as a function of F fd isdetermined as:P𝜌𝜌𝑓𝑓 = 𝐹𝐹𝑓𝑓𝑓𝑓 ⁄�126 − 136𝐹𝐹𝑓𝑓𝑓𝑓 �R1
45

chemicalanchors

35

LVDT

0.5%

2.0
1.5

Tensile Stress (MPa)

3.0

2.5

Epoxy

Tensile Stress (MPa)

200

35

3.0

(1)

UT-Hom-0.5% (3)UT-Hom-1.0% (2)UT-Hom-1.5% (3)UT-Hom-2.0% (3)

2.5
2.0

1.5%

1.5
0.5%

1.0

1.0%

0.5

2.0%

0.0

Note: Number of specimens averaged in ( )
0.0

0.5
1.0
1.5
Crack Opening Displacement (mm)

2.0

1.25
2.50
3.75
5.00
6.25
Crack Opening Displacement (mm)

7.50

1.0
1.0%
0.5

1.5%
2.0%

0.0

Epoxy
0.00

P
200

Fig. 1

Fig 2

Plot of average tensile stress versus crack
opening response for unixial tension test.

Fig. 3Sampling locations and grids for fibre
dispersion analysis: 12.5 mm × 12.5 mm
and 25 mm × 25 mm.

Test arrangement for uniaxial tension test

TEST RESULTS & ANALYSISThe average load versus displacement results arepresented in Fig. 2 and it shows that for the 25 mmlong high yield strength fibres used in this study,
there was no improvement in the post cracking
behaviour from a 0.5% fibre volume to a 2.0% fibre
volume.
The X-ray images taken prior to testing wereanalysed for fibre concentration over various regions(Fig. 3); to avoid the wall effect in the analyses, theregion near the side walls was excluded.
The digital image analysis was undertaken using
IMAQTM Vision Builder software. Each sample
image was filtered to distinguish the fibres from thebackground image (Fig. 4). An image analysis wasthen undertaken to determine the area of fibres in theimage (white area in Fig. 4b) with the fibre

(a)

284

SEE-Osaka, Japan, Nov. 21-23, 2016

With the fitting Eq. (1) established, variations in
the fibre volume fraction within one specimen canthen be determined.
From the fibre dispersion data, the standard
deviation for the test series was σ = 0.27ρ f , and,considering the fibres to be normally distributed, the75th and 90th percentiles are ρ′ 75 = 0.82ρ f andρ′ 90 = 0.65ρ f , respectively.
It is important to note that, in this study, thespecimen thickness was 30 mm or 100 times thediameter of a single fibre. Fibres are more likely tooverlap one another in the digital image analysis as
the specimen thickness increases. Consequently, inthe digital image analysis, specimen thickness is asignificant component in determining of the fibre
dispersion factor. For the hypothetical case of a fibre
diameter thick specimen, there is no possibility offibre being overlapped and the fibre dispersion
factor is linearly proportional to the fibre volumeconcentration. Probability of fibre overlapping is afunction of the specimen thickness, and,
consequently, a nonlinear relationship is observed.

(b)
Fig 4

Relative Frequency (%)

35

Digital X-ray image along the crack path:(a) before; and (b) after, the image analysis
ρf = 0.005

30
25
20
15
10
5
0
0.000

0.002

0.004

0.006

Variation of ρf

0.008

0.010

(a)
ρf = 0.010

15

10

0.025
5

0.020

0
0.003

0.006

0.009

0.012

0.015

0.018

0.021

0.015

Variation of ρf(b)
20

Relative Frequency (%)

Mean Fibre Dispersion Factor, Eq. (1)90th percentile characteristic value
75th percentile characteristic value

Fibre Volume Concentration , ρf

Relative Frequency (%)

20

0.010

ρf = 0.015

0.005

15

0.000
10

0.0

0.1

0.2

0.3

0.4

0.5

0.6

0.7

Fibre Dispersion Factor, Ffd

Figure 6: Fibre volume concentration ratio versus
average fibre dispersion along the crack
path.

5

0
0.004

0.008

0.012

0.016

0.020

0.024

0.028

Variation of ρf

Influence of Fibre Dispersion(c)Relative Frequency (%)

15

It was observed that the crack initiation is likely
to commence at the location at which least numberof fibres are located; that is, cracks initiate fromareas with poor fibre dispersion rather than at thenarrowest part of the dog-bone specimen. Thus, fibre
dispersion plays a significant role in crack initiation
and, consequently, on the tensile strength.
The digitised X-ray images taken during thetension test of the dog-bone specimens show theimportance of fibre dispersion on the crack
formation/initiation and propagation processes. To
validate the findings presented above, further digital
image analysis was undertaken to determine thefibre dispersion along the crack path of thespecimens containing fibre volume concentrations of
0.5%, 1.0% and 1.5%. A typical X-ray image aroundρf = 0.020

10

5

0
0.005

0.010

0.015

0.020

0.025

Variation of ρf

0.030

0.035

(d)
Figure 5: Distribution of fibres for fibre volume
percentage (ρ f ) of 0.5, 1, 1.5 and 2.
285

SEE-Osaka, Japan, Nov. 21-23, 2016

the crack path is shown in Fig 4a. Digital image
analysis was undertaken on a sample size of 12.5mm square (Fig. 4b) and the fibre volume ratio
versus fibre dispersion ratio is plotted in Fig 6.
The results show that the cracks are likely toform or propagate along the path of least resistance.
The fibre volume concentration along the crack path
was found to average through the 75th percentile
characteristic value (Fig 6). This confirms theconclusion that fibre dispersion contributes
significantly to the fracture process in uniaxial
tension and this observation needs to be taken into
consideration during the development of behaviouralmodels. In the context of this study and Amin [16],the proposed statistical fibre dispersion factor, K fd ,can be taken as 0.8.

observed in the case of specimen with 0.5% fibre
volume. Increase in fibre volume percentages also
results in in- and/or out- of plane rotations of thefracture planes (Figs. 8(b), 8(c) & 8(d)).
In order to investigate this phenomena, the endhooked fibres across the fracture planes werecounted after the tests were conducted and thenumbers of fibres that had, and had not, straightened
through the end hook were noted. A total of eight
dog-bone shaped specimens were studied and theresults are presented in Fig. 9. The results support
the observation that the proportion of straightened
end-hooked fibres is inversely proportional to thefibre volume percentages.
Fig. 9 shows that for the specimen containing
0.5% of fibre volume percentages, approximately
45% of fibres were deformed during the uniaxial
tension tests, which is in agreement with the findingsof Markovic et al. [17]. As the fibre volume
percentage increases, more energy is required to
fully deform the end-hooks sufficiently to pullthrough the fibre tunnel. It was observed that due tothe higher energy required to fully deform the endhooked fibres, cracks propagate around or near theend of the end-hooked fibres, which results in an
uneven crack surface (Figs. 8(b) to 8(c)). The
additional energy in the matrix cracks going aroundthe fibre ends is more than offset by the loss of
efficiency of the fibres being pulled through thefibre tunnel.
The importance of the inter-relationship between
the mechanical properties of fibres and themechanical properties of the matrix can be used to
optimize the performance of SFRC.

Influence of Fibre and Matrix Relationship on
fracture process
It is a common assumption that the improvementin tensile performance of a fibre composite can beachieved by incorporating a high fibre volume
content, especially in the case of steel fibres [18].
In this study, however, it was noted that
increases in fibre volume percentage can have an
adverse effect on the tensile performance. In
addition to the dominant crack forms where the local
fibre concentration is at its lowest across a section,in this study and Markovic et al. [17], it was also
observed that the crack path follows the easiest
propagation route and is often near the end of fibres
or around them (Fig. 7). Consequently, many of theend-hooked fibres fail to engage and do not deform
during the fracture process.

(a)
Fig. 7

Crack propagation during a uniaxial tension
test

Fig. 8 shows the fracture (or failure) plane of the
dog-bone shaped specimens with various fibre
volume percentages. Based on visual observation, ahigher proportion of the end hooked fibres were
deformed (i.e. straightened) in the case of specimens
with fibre volume of 0.5%. Increase in fibre volume
percentages, however, leads to a decreased inproportion of end-hooked fibres being straightened
through the end-hook (Fig. 8). Rather, failure of thematrix surrounding the hook significantly influenced
the behaviour. Similarly, it is observed that theshape and contour of the failure plane is dependent
on the fibre volume percentages. Fig. 8(a) showsthat relatively flat and even fracture plane was

(b)

(c)

286

SEE-Osaka, Japan, Nov. 21-23, 2016

through the concrete, failure will occur through theconcrete, which is undesirable. Based on thishypothesis, fibres will pull out from the matrix
without cracks being propagating around the ends offibres provided that:(d)N

Fig. 860

Fully and/or Partially Deformed
End-Hooked Fibres (%)τ b π d f ∑ la ≤ k0 fct Db

Fracture plane of dog-boned shaped
specimens for fibre volume percentages of(a) 0.5%, (b) 1.0%, (c) 1.5% and (d) 2.0%

i =1

The average length of initial embedment across acrack is given by Marti et al. [19] as

End-Hooked Fibres
lf = 25 mm
df = 0.3 mm
fy = 2300 MPa
Cement Mortar
fcm.ave = 41 MPa

50
40

(5)

la.ave =

lf

(6)

4

30

Aveston and Kelly [20] showed that for a crack
plane with a cross-sectional area of A c , the total
number of randomly distributed fibres in the threedimensional space crossing the plane is:

20
10
0
0.0

0.5
1.0
1.5
Fibre Volume Concentration (%)

2.0

N
=

Figure 9: Plot of fibre volume concentration versus
surveyed fully and/or partially deformed
end-hooked fibres after the tests

fct ≥τb α f ρ f

ρ f .optimum ≤

(3)

i =1

2k0 fct

τb α f(9)where ρ f is the fibre volume friction and α f is thefibre aspect ratio (l f / d f ).
The average bond stress (τ b ) is calculated fromdiscrete fibre pullout tests as

where N is the number of fibres crossing thecracking plane, τ b is the average fibre bond stress, l a
is initial fibre embedment length and d f is fibre
diameter.
On the other hand, the matrix tensile capacity
may be calculated as

Pc = k0 fct bD

(8)

2 k0

and, similarly, an upper limit of fibre volume (oroptimum fibre volume) to ensure that a failure plane
passes through the fibres, and not around the fibreends can be determined as

N

∑ la

(7)

(2)

For multi-fibres composite like SFRC, thestrength assuming failure is by fibre pullout is

P =τ b π d f∑

Substituting Eqs. (6) and (7) into Eq. (5) gives
the minimum tensile strength of the matrix, f ct , toensure fibre pullout action as

The pullout load, P f , of an individual fibre can be
determined from
Pf =τ b la π d f

Ac n ρ fi ρ f Ac=
2 i =1 A fi 2 A fτb =Pf .max

π d f la(10)

(4)
where P f.max is the maximum force in the fibre andl a is the embedded length of the fibre at the point ofengagement. In the development of the UVEM
model [13-15], the point of engagement is taken as
the crack (or separation plane) opening displacement
corresponding to a force in the fibre of 0.5P f.max .
Thus, in Eq. (10), l a = l f /2-w e , where w e is theseparation plane displacement at the point ofengagement. While the model has also been

where k 0 is a factor to account for the energy
required to deflect the crack around the fibre ends,
bD is the cross-sectional area of a crack plane, andf ct is tensile strength of matrix. For argument weshall conservatively assume k 0 as unity.
It is hypothesised that fibre pullout will occur
when the matrix strength, P c is greater than the fibre
pullout load, P f . If the tensile resistance provided by
the fibre is greater than that provided in a path287

SEE-Osaka, Japan, Nov. 21-23, 2016

developed based on the observation from this study,
no test data is yet available to test its performance inthis regard.

of Materials Science, Vol. 19, May 1984, pp.
1680-1691.
[5] Gopalaratnam VS and Shah SP, “Tensile failureof steel fibre-reinforced mortar”, Journal ofEngineering Mechanics, Vol. 113, Jan. 1987, pp.
635-652.
[6] Mandel JA, Wei S and Said S, “Studies of theproperties of the fibre-matrix interfaced in steel
fibre reinforced mortar”, ACI Materials Journal,
Vol. 84, Mar. 1987, pp. 101-109.
[7] Namur GG and Naaman AE, “A bond stressmodel for fiber reinforced concrete based onbond stress slip relationship”, ACI Materials
Journal, Vol. 86, Jan. 1989, pp. 45-57.
[8] Wang Y, Li CV and Backer S, “Experimental
determination of tensile behavior of fiber
reinforced concrete”, ACI Materials Journal, Vol.
87, Sep. 1990, pp. 461-468.
[9] Banthia N and Trottier JF, “Deformed steel
fiber-cementitious matrix bond under impact”,
Cement and Concrete Research, Vol. 21, Jan.
1991, pp. 158-168.
[10] Banthia N and Trottier JF, “Effects of curing
temperature and early freezing on the pullout
behaviour of steel fibres”, Cement and Concrete
Research, Vol. 19, May 1989, pp. 400-410.
[11] Gray RJ and Johnston CD, “Effect of matrix
composition on fibre/matrix interfacial bondshear strength in fibre-reinforced mortar”,
Cement and Concrete Research, Vol. 14, Mar.
1984, pp. 285-296.
[12] Guerrero P and Namman AE, “Effect of mortar
fineness and adhesive agents on pullout
response of steel fibres”, ACI Materials Journal,
Vol. 97, Jan. 2000, pp. 12-20.
[13] Htut TNS, “Fracture Processes in Steel Fibre
Reinforced Concrete”, PhD Thesis, School of
Civil & Environmental Engineering, theUniversity of New South Wales, 2010, pp. 389.
[14] Ng TS, Htut TNS and Foster SJ, “Fracture of
Steel Fibre Reinforced Concrete – The Unified
Variable Engagement Model”, Report No.
UNICIV R-460, School of Civil &Environmental Engineering, the University of
New South Wales, 2012.
[15] Ng TS, “An Investigation into the Developmentof High Performance Geopolymer Concrete”,
PhD Thesis, School of Civil & Environmental
Engineering, the University of New South Wales,
2011, pp. 579.
[16] Amin A, “Post Cracking Behaviour of Steel
Fibre Reinforced Concrete: From Material to
Structure”, PhD Thesis, School of Civil &Environmental Engineering, the University of
New South Wales, 2015, pp. 400.
[17] Markovic I, Walraven JC and Van Mier JGM,
“Tensile Behaviour of High Performance Hybrid
Fibre Concrete”, in Proc. of the 5th International

CONCLUSION
While the tensile and fracture behaviour of
SFRC have been researched for more than five
decades, their use in structures has been limited by alack of design models and standardization. With
design rules for SFRC introduced in some national
concrete structures standards, it could be expectedthat more use will be made of this higher
performance material in building and bridge
structures for the carrying of tensile stresses. Ideally,
design models should be based on a physicalunderstanding of fracture processes and physicalmechanical models adopted as the model basis,
rather than empirically based modelling approaches.
Through X-ray imaging of tensile tests, preloading and under load, the effect of fibre
distribution, dispersion and influence of fibre-matrix
relationship on the fracture processes is quantified.
Based on this X-ray observation in this study, theproposed statistical fibre dispersion factor, K fd , canbe taken as 0.8.
A weak cementitious matrix is prone to spalling
and local damage due to localised stressconcentrations. Crack path follows the easiest
propagation route and is often near the end of fibres
or around them. A limiting maximum fibre volume
percentage model is introduced for which, beyond
the limit, additional fibre content does not further
improve the tensile performance due to the loss of
efficiency in bond between fibres and the matrix,
where the matrix spalls and cracks before the fibre isengaged.
REFERENCES[1] Romualdi JP and Batson GB, “Behaviour ofreinforced concrete beams with closely spaced
reinforcement”, ACI Journal, Vol. 60, June 1963,
pp. 775-789.
[2] Ng TS, Htut TNS and Foster SJ, "Mode I and II
Fracture Behaviour of Steel Fibre Reinforced
High Strength Geopolymer Concrete: An
Experimental Investigation", in Proc. of the 7th
Int. Fracture Mechanics of Concrete andConcrete, May 2010.
[3] Htut TNS and Foster SJ, “X-Ray Imaging for theObservation of Mode I Fracture in Fibre
Reinforced Concrete”, in Proc. of the 5thAustralasian Congress on Applied Mechanics,
December 2007.
[4] Gray RJ, “Analysis of effect of embedded fibre
length on fibre debonding and pull-out from anelastic matrix. Part 2 - application to steel fibrecementitious matrix composite system”, Journal
288

SEE-Osaka, Japan, Nov. 21-23, 2016

Conference on Fracture Mechanic of Concrete &Concrete Structure, 2004, pp 1113-1120.
[18] Li Z, Li F, Chang TYP and Mai YW, "Uniaxial
tensile behaviour of concrete reinforced withrandomly distributed short fibres", ACI Materials
Journal, Vol. 95, Sep. 1998, pp. 564-574.
[19] Marti P, Pfyl T, Sigrist V and Vlaga T,“Harmonized test procedures for steel fibre-

reinforced concrete”, ACI Materials Journal,
Vol. 96, Nov. 1999, pp. 676-685.
[20] Aveston J and Kelly A, "Theory of multiple
fracture of fibrous composites", Journal of
Materials Science, Vol. 8, Mar. 1973, pp. 352362.

289

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

PERFORMANCE OF BAMBUSA BLUEMANA LAMINATED BAMBOO
BOARDS (LBB) IN TERMS OF MECHANICAL AND PHYSICALPROPERTIES UTILIZING POLYVINYL ACETATE GLUE AS
ADHESIVE
Hermie M. del Pilar1, Azel Ronn L. Barera1, Dylan C. Gavino1, Juvy Lee D. Gomez,11
Department of Civil Engineering Malayan Colleges Laguna
Pulo-Diezmo Road, Cabuyao City, 4025 Laguna, Philippines
ABSTRACT
Utilization of Bambusa Bluemana as alternative material for hardwood products was explored in thisstudy. Three types of Laminated Bamboo Boards (LBBs) with different configurations: parallel, perpendicularand alternate type were produced. Treated bamboo culms of bambusa blumeana were fabricated, measuring
200mm x 20mm x 5mm, double-laminated by Polyvinyl Acetate (PVA) glue under 200 psi cold-pressed to
produce 200mm x 200mm x 10mm board. The Water Absorption (WA), Thickness Swelling (TS) andDelamination Test (DT) evaluated the physical properties of the boards, while Modulus of Rupture (MOR) andHardness Test (HT) had shown their mechanical properties. Each test subjected 12 specimens both for thephysical and mechanical performance of the product. Physical tests showed no significant difference on meansof all specimens, while the MOR of alternate type LBB demonstrated highest mean value at 150.99 MPa
significantly higher than the perpendicular type at 53.66 MPa. Hardness Test showed highest mean on
perpendicular type at 5.22 kN, significantly higher than the parallel and alternate type LBBs with 2.83 kN and2.74 kN, respectively. Based on these results, the perpendicular type LBB exhibited highly satisfactory
performance on hardness, while the alternate type provides high flexural strength. The flexural strengths of thealternate and parallel type are better than those of previous studies, which has an MOR value ranging from 68128 MPa, and are comparable to that of a commercial laminated wood with mean MOR of 140.6 MPa. Bambusa
Bluemeana glued with PVA, produces a high quality flooring or tile construction material.
Keywords: Laminated Bamboo Board, Bambusa Blumeana, Bamboo Culms, Laminae,

environmental friendliness (Nguyen et al., 2010; Liet al., 2013). Attempts have been made to study themechanical strength of bamboo in order to explore
its capability, in lieu of wood, as a construction andstructural material (Verma et al., 2014).
The Forest Products Research andDevelopment Institute (FPRDI) based at Los Baños,
Laguna, is at the center of the country’s bambooprocessing
technology.
Increasing
researchdemonstrates a growing industry and demand forsustainable building products. As detailed by Belloand Espiloy (1995), many bamboo-based products
have been manufactured in the country, such asbamboo mat, boards, bamboo slivers laminatedboards, bamboo strip ply boards, fiberboards,
cement-bonded particleboards and resin-bonded
particleboards. Laminated bamboo boards (LBBs),
similar to glue-laminated timber products, are ofparticular interest due to the standardization of shapeand the relatively low variability in material
properties (Sharma et al., 2015). Test results andcomparisons from early studies clearly show that
LBBs can be used as alternative for wood-based
composites for building construction.
The fabrication of LBBs requires the bamboo culms
to be disassembled into thin flat laminae. These

INTRODUCTION
With the rapid growth of the global
economy and constant upsurge in population, theoverall demand for wood and wood-based
composites is rising while the sources of wood fromnatural forest continue to decrease due to thebiomass demands for green energy generation(Chaowana, 2013). Deforestation of wood causes
serious local environmental problem and possibly
relates to the climate change in the world (Vermaand Chariar, 2012). Consequently, to meet the future
demand, a sustainable, cost-effective, ecologically
responsible and fast-growing material that offers
alternatives to traditional wood products must be
considered. A suitable raw material should havecomparable strength and physical properties to thatof the wood and should also be compatible with theexisting processing technologies (Chaowana, 2013).
Bamboo could be such this alternative raw material.
Worldwide, there is a growing interestin bamboo as an environmentally acceptablebuilding material for construction projects becauseof its superior properties like high strength-to-weightratio, high tensile strength and other factors like low
cost,
easy
availability,
sustainabilityand290

SEE-Osaka, Japan, Nov. 21-23, 2016a white, tan or yellow color, but when applied forbonding, it possesses a colorless bond line. The highdry strength of PVA and its low resistance tomoisture make it workable for laminated composites(Forest Products Laboratory, 1999).

laminae are then laminated together with prevailingbinding material such as adhesives. The adhesive is
not only a significant cost factor in wood composite
production but also the key factor for some of the
product properties (Chaowana, 2013). The Polyvinyl
Acetate (PVA) glue was selected as adhesive in thisstudy which is in liquid form and ready to use. In
this study, three types of laminated bamboo board
specimens with three different lamina configurations
were fabricated utilizing PVA as adhesive.
The mechanical and physical propertiesof the LBBs were thoroughly investigated todetermine which lamina configuration will
maximize its strength and durability.

Auxiliary materials for the board such as
nails, sand paper, and brushes are purchased fromthe local home depot and hardware stores.
Bamboo Laminae Production
Treated and dried bamboo culms prepared
for the production of the bamboo laminae are sliced
longitudinally producing six pieces of slenderbamboo slats. Depending on the diameter of theculms, some may produce a total of eight slats, stillenough to be shaped into the desired dimensions.
The outer skins of the slats are carefully removed
with minimal reduction to the overall thickness ofthe slats.
Bamboo slats will undergo three phases ofmachine process, shaping them into bamboo laminae.

METHODOLOGY
Materials and Equipment
Bamboo culms and the Polyvinyl Acetate (PVA)
glue are the main materials used in this paper.
HEADINGS
Use at most three levels of headings that
correspond to chapters, sections and subsections.
The first level headings for chapter titles should bein 10pt, bold, justified, and upper case font. Leave
one-blank line before and after the first level
headings, respectively.

Trimming
Trimming the thickness of the bamboo slats
is the first of the three phases in producing thebamboo laminae. The thickness planer is used toflatten the slats for consistency of the dimension.
Two people are necessary to operate the machine:
one insert slats on one side and the other receives thetrimmed slats. Before using the planer, the slats must
be examined and rid of the outer skin and hard nodal
parts since they may cause damage to the machine.
Slats are repeatedly inserted until a thickness of
5mm is achieved.

The Second Level Headings
The second level headings should be in 10pt,
bold, justified, and First Characters of Each Word
are in Capital font. Leave one blank line both before
and after the heading, respectively.

Cutting
Bambusa Bluemana Bamboo Culms
The next phase involves cutting the lengthof the slats using the table saw. Like the thickness
planer machine, the table saw requires two operators,
one inserting and the other receiving. Each slenderbamboo slat can be cut into three pieces with alength of 200mm with small allowance.

Treated and dried bamboo culms ofbambusa bluemana or the kawayan tinik specie arepurchased from a bamboo dealer located at Brgy.
Dita,, Santa Rosa City, Laguna. The culms were cut
at a length suitable for the production of the laminae
in which, 1m is said to be the minimum. Culms inthe best condition and with the thickest internodes
were chosen to maximize the specifications of the
product.

Calibrating
The third phase of shaping them intolaminae is calibrating the width and length of eachslat to 20mm and 200mm respectively, using thetable saw. Each bamboo slats should have the final
dimension 200mm x 20mm x 5mm and can now bejustifiably classified as lamina.

Polyvinyl Acetate(PVA) glue
In this study, Polyvinyl Acetate glue withbrand Rakoll was used. The glue enhances theboards property due to its water resisting quality.
The PVA glue was purchased at Maquiling
Hardware Lumber and Construction Supply Inc.
located at Brgy. Batong Malake, Los Baños, Laguna.
The liquid PVA can be applied directly or pressed atroom temperature using machine press. The glue has

Double Lamination
291

SEE-Osaka, Japan, Nov. 21-23, 2016

The laminae were glued together using double
lamination. This process involves the firstlamination which is applying glue on the side ofeach lamina (side pressing), and the second
lamination which is applying glue on the face ofeach board (cold pressing) produced on the firstlamination. In the first lamination process, thelaminae are oriented in a way that the inner part ofthe bamboo is on the top. Glue is applied on the sideof each lamina and are pressed using the bar clamp.
Taking into account the lamina configuration
shown in Figure 1, each layer of the parallel andperpendicular type are the same with the first layerof the alternate type. However, the second layer of
the alternate type has one lamina sliced length-wiseat the center and placed at the opposite ends of theboard.

TestingLaminated bamboo boards are tested for its
performance in terms of physical properties
including the water absorption, thickness swellingand delamination test, and mechanical properties
including hardness, and modulus of rupture test.
Water Absorption (WA) and Thickness Swelling (TS)Twelve 50mm x 50mm samples were cut, 4 fromeach configuration for the physical performance test.
Initially, the weight and thickness of each sample
were measured and recorded using digital balanceand caliper respectively. The samples were soaked
in tap water for 24 hours. The final weight andthickness were re-measured to determine theabsorbed water and the apparent increase inthickness. Equations 1 & 2 determine the water
absorption and thickness swelling respectively:

200 mm(a)Parallel(b)

Perpendicular

WA(%) =

20mm

(c)

Alternate

TS (%) =Fig.1 Lamina Configuration

Wet Weight − Dry Weight
Dry Weightx 100%

Final Thickness − Initial Thickness
Initial Thickness

Delamination Test (DT)
Bamboo boards with dimension 200mm x
200mm x 5mm were produced, stored and cured forat least 10mins.
Inter-face bonding between boards
which is classified as the second lamination uses thehydraulic pressing machine at a constant pressure of
200psi (1.38MPa) in room temperature. Adequate
amount of glue is evenly spread on the face of eachbamboo boards with the correct orientation of thelaminae as joined together. Boards are stacked
according to their lamina configuration. After
pressing, the boards are left for 24 hours to cure. The
final laminated bamboo board products possess the
final dimension 200mm x 200mm x 10mm and are
sand-grinded to achieve smooth surface.

(1)

x 100% (2)Another twelve samples, 4 from eachconfiguration with dimensions 127.5mm x 50mm
were tested for delamination test in accordance with
PNS 196:2000, the standard test for delamination
using hot and cold soaking test. The specimens were
soaked in water for 6 hours and oven-dried foranother 6 hours, under a temperature of 49°C. This
cycle has been repeated for three consecutive times
during the process of Delamination Test. The
delamination ratio formula is given by equation 3.
𝐷𝐷𝐷𝐷𝐷𝐷𝐷𝐷𝐷𝐷𝐷𝐷𝐷𝐷𝐷𝐷𝐷𝐷𝐷𝐷𝐷𝐷𝐷𝐷 𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟 =𝑠𝑠𝑠𝑠𝑠𝑠 𝑜𝑜𝑜𝑜 𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑 𝑙𝑙𝑙𝑙𝑙𝑙𝑙𝑙𝑙𝑙ℎ 𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑠𝑠𝑠𝑠−𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠
𝑠𝑠𝑠𝑠𝑠𝑠 𝑜𝑜𝑜𝑜 𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔 𝑙𝑙𝑙𝑙𝑙𝑙𝑙𝑙𝑙𝑙ℎ 𝑜𝑜𝑜𝑜 𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐−𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑥𝑥 100% (3)Hardness Test (HT)Hardness of the laminated bamboo boards were
tested in accordance with ASTM D143-94 Standard
method of testing for small clear specimens oftimber. Twelve 100mm x 100 mm were subjected to
the Janka Hardness Test to determine the resistanceto indentation, where the force required to embed an
11.28 mm steel ball to half of its diameter wasmeasured.
Modulus of Rupture (MOR)

Fig. 2: The finished LBB product in (a) parallel, (b)perpendicular, and (c) alternate type lamina
configuration.

Modulus of Rupture (MOR) test was doneusing the three-point bending test in accordance with
the ASTM D3043-87 Standard for Methods ofTesting Structural Panels in Flexure. Four pieces of292

SEE-Osaka, Japan, Nov. 21-23, 2016

200mm x 50mm were cut in each LBBs for the
MOR mechanical test. MOR was calculated using
equation 4 as:

Cutting Pattern

𝑀𝑀𝑀𝑀𝑀𝑀 =3𝑃𝑃𝑃𝑃

2𝑏𝑏𝑑𝑑 2Modulus of Rupture
The MOR means as shown in Table 2 shows that
the LBBs which yield the highest and lowest MOR
were the alternate type and the perpendicular,
respectively. The one-way Analysis of Variance(ANOVA) with 5% significance level records a pvalue less than 0.05 thus implying a significant
difference between the means of the MOR derived
from the three-point bending (flexural) test.
Further analysis using Tukey’s HSD testshows that the MOR of the LBB with perpendicularlamina configuration is significantly lower than thatof the parallel and alternate type. Since p-values arelower than 0.05, the MOR of the other two lamina
configurations far exceeds that of the perpendicular
type LBB. This test also shows that there is no
significant difference between the means of the
MOR of the parallel and alternate type laminatedbamboo boards.

(4)

Figure 3 shows the cutting pattern forthe physical and mechanical property tests.
127.5 mm

200 mm

DT

WA &
TS

50 mm

DT

WA
&

50 mm

DT

WA
&

DT

WA
&

50 mm

50 mm

HT

HT

MOR
EXCESS

50 mm

50 mm

(a)

MOR
MOR
HT

HT

MOR

(b)

(c)

Fig.3 Cutting pattern for delamination, modulus ofrupture,hardness test, water absorption andthickness sweelling

Hardness Test
From each type of boards, four pieces of 100mm x
100mm were tested using ASTM D143-94 Standard
method of testing small clear specimen of timber. Test
results in Table 2 show that perpendicular type LBB yields
the highest mean of 5.22 kN, while alternate type LBB
yields the lowest mean of 2.74 kN. The difference on themeans for hardness of the LBBs produced is significant
according to the one-way ANOVA test.
The Tukey’s HSD test shows that, while the means of
the parallel and alternate type displays no significant
difference, the mean of the perpendicular-type LBB far
exceeds that of the other two bamboo boards for the
hardness test. The results from hardness test shows that theperpendicular type has good resistance to plastic
deformation caused by penetration.

Statistical Tool
Utilizing the Analysis of variance (ANOVA),differences in means on the properties of the laminatedbamboo boards with different lamina configuration were
determined at α = 0.05. The simple user interface Statplus was used for the analysis. Tukey’s Honestly
Significant Difference (HSD Test is used for post-hoc
analysis to determine which means are different to thelevel of significance. A post-hoc analysis is performed
only if the ANOVA test shows a p-value less than thesignificance level.

RESULTS AND DISCUSSION

Table 1
Summarized test results for physical properties of LBBs
with different lamina configuration

Water Absorption and Thickness Swelling
Based on the results shown in Table 1, the LBBs,
regardless of the lamina configuration, exhibit slightchanges on their weight and thickness. Using oneway Analysis of Variance (ANOVA) with 5%
significance level for the three lamina configurationsof the LBBs, it shows that there was no significant
difference between the means of the boards in Water
Absorption and Thickness Swelling tests.

Board
Type

Qty.

Water
Absorbed(g)

Thickness
Swelling(mm)

Parallel

Mean
SD
Mean
SD
Mean
SD

7.60
0.92
8.90
1.09
7.83
0.15

0.72
0.19
0.90
0.14
0.89
0.16

Perpendicular
AlternateDelamination Test

Based on the results shown in Table 1, 0%
delamination is observed for all three lamina
configurations. The laminated bamboo boards,
regardless of the lamina configuration, exhibit highadhesive bond performance and were able to resist
delamination during accelerated exposure to waterand heat.

Table 2

293

Delaminated
Board
Cycle
Cycle
1
2
0
0
0
0
0
0

0
0
0
0
0
0

SEE-Osaka, Japan, Nov. 21-23, 2016

Summarized test results for mechanical properties of
LBBs with different lamina configuration
Board TypeQty.
MOR (MPa)
HT (KNf)
Parallel
Perpendicular

Alternate
Commercial
Board

Mean
SD
Mean
SD
Mean
SD
Mean
SD

149.02
12.58
53.66
4.89
150.9918.75
140.60
14.23

Table 3
Summary for the test for significance on means of
the 3LBBs
Property
P valueSignificanceWA
0.46>0.05
NSaTS0.06>0.05
NS
MOR
0.00<0.05
SbHT
0.00<0.05
S

2.83
0.35
5.22
0.42
2.74
0.54
5.74
0.38

aNS – Not Significant(all means are equal); bS – Significant (not all means are equal)

Table 4 shows the summary of the of theTurkey’s HSD Test for the Modulus of Rupture andthe Hardness of the LBB specimens

Figure 4 shows theMOR of the 3 LBBs andthe commercial board. The graph shows that theperpendicular configuration is the weakest at 53.6
MPa in terms of bending, which is obvious due tothe useless effect of one layer. The alternate
configuration exceeds the commercial laminatedboard.

Table 4
Turkey’s HSD test results on MOR and HT
PAIRMOR
Hardness Test
Parallelvs
Sa
S
Perpendicular
Parallel vs.
NSb
NS
Alternate
PerpendicularS
S
vs. Alternate

Modulus Of Rupture (Mpa)
160
140
120
100
80
60
40
20
0

149.02150.99140.6

ParallelaS-Significant (not all means are equal)

Perpendicular

53.6

Results, shown in Table 4, depicted that,since p-values were lower than 0.05, the MOR of thealternate and parallel type LBBs far exceeded that ofthe perpendicular type LBB. The hardness testshows that the mean of the perpendicular type LBB
was significantly higher than that of the other two
bamboo boards. The Tukey’s HSD test also showsthat the means of the parallel and alternate type
LBBs were statistically the same for both the
MOR and hardness test.

Alternate
Commercial

Fig.4 MOR values of the 3LBBs and the commercial
board
The hardness test shows that the commercial
board has the highest value, while the parallel
configuration demonstrates lowest in terms of
hardness.

CONCLUSION
Based on the results on Physical andMechanical properties of the Laminated Bamboo
Boards, the following conclusions were drawn:

Hardness Test (KNf)
8
6
4
2
0

5.74

5.22
2.83

bNS – Not Significant (all means are equal)

2.74

1.

Parallel
Perpendicular
Alternate
Commercial

2.

Fig.5 Hardness of the 3LLBs and the commercial
board
Statistical Analysis
Table 3 shows the summary on the test forsignificance in means of the 3 LBBs for the different
properties
294

All
laminatedbamboospecimens
demonstrated slight change in weight andthickness, but not significantly, on WA andTS tests. Regardless of the lamina
configuration, all LBBs had shown
excellent quality against delamination
during accelerated exposure to water andheat.
The mechanical test of the LBBs withparallel and alternate type lamina
configuration exhibit good performance inresisting bending or flexure (149 MPa and150 MPa), far exceeding that of theperpendicular type LBB with 53 MPa.
Their flexural strength are even better thanthat of the laminated bamboo composite

SEE-Osaka, Japan, Nov. 21-23, 2016

3.

4.

from a previous study (68-128 MPa), andare comparable to the flexural strength of anormal laminated wood (140.6MPa). Hence,these two types of LBBs have goodpotential for engineering applications.
The perpendicular type LBB yielded thehighest load of 5.22 kN in the Hardness test.
This is nearly 50% greater than that of theparallel and alternate type (2.83 kN and2.74 kN ). Thus, perpendicular type LBB isthe best laminate to be used for flooring interms of hardness.
The mechanical properties of the parallel
and alternate type LBBs, both for MOR and
Hardness, had shown no significant
difference.

Bamboo Research in the Philippines (pp.
15–21). Canada: International Development
Research Centre.
Verma, C.S. & Chariar, V.M. (2012). Developmentof layered laminate bamboo composite andtheir mechanical properties. Composites
Part B Engineering, 43, 1063-1069.
Verma, C. S., Sharma, N. K., Chariar, V. M.,
Maheshwari, S., & Hada, M. K. (2014).
Comparative
studyofmechanicalproperties of bamboo laminae and theirlaminates with woods and wood based
composites. Composites Part B Engineering,60, 523–530.

REFERENCES

Virtucio, F.D. (2009). Silvicultural management ofbamboo in the Philippines and Australia forshoots and timber: General overview ofbamboo in the Philippines. Proceedings of aworkshop held in Los Baños, thePhilippines, 22–23 November 2006.
ACIAR Proceedings No. 129 – Midmore(ed.), 18-23.

Bello, E.D. & Espiloy, Z.B. (1995). New products
and applications of bamboo. Paper
presented at the ‘National Symposium on
the Sustainability of the Bamboo Industry,
College, Laguna, 20–21 December 1995’.
Ecosystems Research and Development
Bureau: College, Laguna.
Chaowana, P. (2013). Bamboo: an alternative raw
material for wood and wood-based
composites. Journal of Materials Science
Research, 2(2), 90-102.
ForestProducts Laboratory. (1999). Wood
handbook—Wood as an engineering
material. Gen. Tech. Rep. FPL–GTR–113.
Madison, WI: U.S. Department ofAgriculture, Forest Service, Forest Products
Laboratory. 463.

Li, H.-t., Zhang, Q.-s., Huang, D.-s. & Deeks, A.J.
(2013). Compressive performance oflaminated bamboo. Composites Part B
Engineering, 54, 319-328.
Nguyen, T.H., Shehab T. & Nowroozi, A. (2010).
Use of bamboo composites as structuralmembersinbuilding
construction.
Challenges, Opportunities and Solutions in
Structural Engineering and Construction –Ghafoori (ed.), 605-608.
Sharma, B., Gatóo, A., Bock, M. & Ramage, M.
(2015). Engineered bamboo for structural
applications. Construction and Building
Materials, 81, 66–73.
Tesoro, F. O., & Espiloy, Z. B. (1990). Bamboos
Current Research. In I. V. Ramanuja Rao,R. Gnanaharan, & C. Sastry (Eds.),295

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

A COMPARISON OF PARALLEL BRANCH AND BOUND
ALGORITHMS FOR LOCATION-TRANSPORTATION PROBLEMSIN HUMANITARIAN RELIEF

1Chansiri Singhtaun1 and Suriya Natsupakpong2
Department of Industrial Engineering, Faculty of Engineering, Kasetsart University, Bangkok, Thailand
2
Institute of Field Robotics, King Mongkut's University of Technology Thonburi, Bangkok, Thailand
ABSTRACTThis paper studies the effect of branching rules (BR) and heuristic algorithms (HA) to find feasible solutions
for a branch and bound (BB) algorithm used to solve sub-problems in a parallel two-phase branch and bound(PTBB) approach. The nine PTBB algorithms, which are developed by varying 32 combinations of BR and HA
strategies, are tested on the facility location-transportation problem for disaster response (FLTDR). The
mathematical model for the problem determines the number and location of distribution centers in a relief
network, the amount of relief supplies to be stocked at each distribution center and the vehicles to take thesupplies in order to maximize the percentage of needs coverage of disaster victims under capacity restriction,transportation and budgetary constraints. To examine the performance of the algorithms, computational
experiments are conducted on the various sizes of generated problems. Three strategies of BR and HA provided
in the “intlinprog” function of MATLAB were applied for these problems. The objective function values and thecomputational times of all algorithms were collected and analyzed. The results showed that all PTBB algorithms
can solve problem sizes of four candidate locations with fifteen demand points without premature termination bytime. The PTBB algorithm using “maxfun” branching rules and “rss” heuristic to find a feasible solution isrecommended for FLTDR because of the least computational time usage.
Keywords: Disaster Response, Facility Location, Transportation, Humanitarian Relief

studied under the following topics: facility location
problems, inventory problems, transportation/routing
problems and scheduling problems. Both individual
analyses and the integration of these four problems
have been researched. Moreover, most research
topics have emphasized designing a disastermanagement framework, such as the study appearing
in [4]. Few research papers have focused on
constructing a disaster response operation
framework and application, which aims to determine
a solution based on numerical data by using amathematical method.
The facility location-transportation problem fordisaster response (FLTDR) relates to solving both
location and transportation problems simultaneously.
The location problem requires determining thenumber, the position and the mission of ahumanitarian aid distribution centre within thedisaster region. The transportation problem deals
with the distribution of humanitarian aid from the
distribution centre to demand points [5]. Most of themathematical models for FLTDR are Mixed Integer
linear Programming (MIP) problems with complex
constraint structures [6]. The traditional Branch andBound (BB) algorithm is currently the only general
tool available for finding optimal solutions to these
difficult formulations [7]. However, finding an
optimal solution for a complex and large size
FLTDR using a BB takes excessive computing time.

INTRODUCTION
Disaster operations management has been a
popular issue for decades because of the increase in
the number and severity of natural disasters. During
2007-2011, natural disasters killed 23.64% more
people and there was a 59.21% increase in economic
damage when compared with 2002-2006 [1]. The
life cycle of disaster operations management
comprises four phases, which are the mitigation
phase, the preparedness phase, the response phase,and the recovery phase [2]. The first two phases are
pre-positioning phases that need to be performed
prior to the onset of a disaster. The other two are
post-disaster phases. The period of time of eachphase depends on the type of disaster (a quick-onset
or a slow-onset disaster). The disaster response is a
crucial phase. The objective of disaster response in
the humanitarian relief chain is to rapidly provide
relief (emergency food, water, medicine, shelter, andsupplies) to areas affected by large-scale
emergencies, so as to minimize human suffering anddeath. Relief logistics play an important role in thisphase. The scope of relief logistics relates to ten
subsystems, which are planning, inventory
distribution,transportation,
procurement,
maintenance, control, human resources, informationand communication, and administration subsystems[3]. The first three subsystems have been intensively
296

SEE-Osaka, Japan, Nov. 21-23, 2016

Parallel computing is one of the most efficient
alternatives that has been used since the beginningof the twenty-first century. The use of parallelism tospeed up the execution of a typical (sequential) BB
algorithm is widely known as a Parallel Branch andBound (PBB) algorithm. There are three main
approaches of PBB algorithms according to thedegree of parallelism of the search tree. Parallelismof type 1 introduces parallelism when performing
the operations on generated sub-problems (e.g.,bounding computations). In the type 2 approach, thesearch tree is built in parallel by performing
operations on several sub-problems simultaneously.
In the parallelism of type 3, several trees are
explored concurrently [8]. Both the selection ofcomputer architectures and PBB approaches for aparticular MIP problem affect the computational
performance. Much of the research in the PBB
approach area has emphasized developing new or
improving the existing computer architectures suchas [9, 10, 11]. Little research has focused on
developing new or improving PBB approaches suchas [12]. However, the various strategies of the BB
algorithm, which are used in sub-problem solving in
the PBB algorithm and affect the branchingsequence of the PBB algorithm, have not beenstudied. Therefore, this research intends todetermine the impact of these strategies, which are
BR and HA, on computational time and quality ofsolutions (in the case of premature termination).
The goal of this research is to determine the best
strategy for the PBB algorithms.

centres, while distribution centre location andassignment decisions are affected by the quantity ofrelief items to be stocked at each distribution centre.
Each distribution candidate site has a global and aper product capacity that fixes the maximum
quantity to be stored within the site. The location
candidates and the capacity of distribution centres
are considered in the pre-disaster phase based on the
demand locations and quantities. Both location andstock decisions are limited by pre-disaster budgetary
restrictions.
The vehicles available at candidate sites are ofvarious types and there are different numbers ofavailable vehicles. The different docking times ofeach vehicle type at each site and the time needed
for loading and unloading one unit of each productfor each vehicle type are considered. The travelingtime from a distribution centre to a demand location
is determined corresponding to distance and vehicle
type. There are also some restrictions on the total
weight and the total volume of vehicles. A
maximum daily work time for each vehicle type is
imposed. A given vehicle can perform as many trips
as needed during a day as long as the corresponding
work time limit is respected. Each vehicle trip isassumed to visit only one demand point at a time.
One demand point may be visited many times.
However, because of the maximum daily work time,
the number of trips to a specific delivery point by aparticular vehicle will be limited to a maximum
value, which is set at two. Finally, shipping costs
from distribution centres to demand points are
restricted by post-disaster budgetary restrictions.
The mathematical model formulation of thisproblem refers to [12].

RESEARCH METHODOLOGY
Problem Description

Parallel Branch and Bound Algorithms
The FLTDR in this study focuses on calculating
the number of distribution centres to be constructed;
determining the locations of distribution centres (y l );identifying the quantity of relief items to be stored(p jl ) and determining the assignment of vehicles(X ilhkv ) and quantities of the humanitarian aid (Q ilhkv )to serve demand points in order to maximize therelief item coverage under the following
assumptions. Each particular house or building
within the affected area could require humanitarian
aid and is thus a potential demand point. The
demand quantities are estimated by a homeland
security organisation or experts. The demand
quantities can only be satisfied by the distribution
centre, which is assumed to stock and distributemultiple types of relief item. The relief items are
divided with respect to their response time
criticalities and target response time intervals.
The amount of stock to be held at the distribution
centre depends on the number and location of
distribution centres in the network as well as theassignment of demand locations to the distribution

In order to analyse the effect of BR and HA on
the performance of the PTBB1 algorithm, which isan PBB approach that was proposed in [12], forvarious sizes of FLTDR, a 34 full factorial design
with single replication is used to carry out thenumerical experiments. Two following hypotheses
are tested. The first hypothesis is to test whether
treatments, which are the parameter of the problem(the number of demand points n and the number ofcandidate locations of distribution centres u) and theoptions of the BB algorithm (BR and HA), affect the
responses. The other hypothesis is to test whether atreatment interaction affects the responses. Three
generated problems are tested in each combinationof treatments. The response is the averagecomputational time. Each treatment is composed ofthree levels, which are shown in Table 1. The levelsof BR and HA are options of BB that are provided in
the “intlinprog” function in MATLAB. For BR, therules that choose the fractional component with amaximal corresponding component in the absolute
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SEE-Osaka, Japan, Nov. 21-23, 2016

value of the objective function (maxfun); thefractional component with maximum pseudocost(maxpscost); and the component whose fractional

Table 1 The Levels of all Treatments
Treatment
Low level
Intermediate level
High level

n
5
10
15

u
1
2
3

Branching rules
maxfunmaxpscostmostfractional

Heuristic for finding feasible solutions
none
rss
round

Step 8: Set Pat cur = Pat cur +1. If Pat cur ≤NumPat cur go to step 9. Otherwise, go to step 10.
Step 9: Select the set of decision variables y lrelating to a new Pat cur . Solve the LP relaxation
problem of the transportation sub-problem using aninterior point algorithm. If Z > Z cur , go to step 6.
Otherwise, go to step 8.
Step 10: Set NumDC cur = NumDC cur +1. If
NumDC cur ≤ ub NumDC go to step 3. Otherwise, stop
the iterative process.

part is closest to 0.5 (mostfractional) to be branched
are carried out. Three levels of HA are used toenhance bound tightening as follows. For the firstlevel or strategy (none), there is no search for afeasible point. Any feasible point that is encounteredin the BB search is taken. The second strategy takes
the linear programming (LP) solution to the relaxed
problem at a node. It rounds the integer components
in a way that attempts to maintain feasibility. The
last strategy applies a hybrid procedure thatcombines searching the neighbourhood of thecurrent best integer feasible solution point (ifavailable) and local branching to find a new andbetter solution. Therefore, the nine PTBB algorithms
are developed by applying 32 combinations of BR
and HA strategies for the PTBB1 algorithm. Thesealgorithms are tested on nine problem cases.
The PTBB1 proposed in [12] is composed of 10
steps as follows. Parallel computing is applied insteps 2 to 10 using the “parfor” function in
MATLAB. The nine strategies of the BB algorithm
are implemented in step 6.
Step 1: Calculate the upper bound of thenumber of distribution centers to be located(ub NumDC ) using the budgetary constraint. Let theset of current solutions (y l , X ilhkv, p jl and Q ilhkv ) be an
empty set and the current objective function (Z cur ) iszero.
Step 2: Set the current number of distribution
centers to be located (NumDC cur ) at 1.
Step 3: Find all possible patterns of selecting
NumDC cur locations out of u candidate locations.
Now all possible sets of decision variables y lcorresponding to NumDC cur are created. Let the
number of all possible patterns corresponding to
NumDC cur be NumPat cur .
Step 4: Set the current pattern (Pat cur ) at 1.
Step 5: Select the set of decision variables y lrelating to NumDC cur and Pat cur .
Step 6: Solve a transportation sub-problem
relating to y l using a BB algorithm. At this step thesolutions for variables X ilhkv , Q ilhkv , and p jl are foundand the objective function (Z) corresponding to y l is
known.
Step 7: Update the set of current solutions andZ cur by employing a new solution and a new Z
obtained from step 6 if the Z is better (more) thanZ cur . Otherwise, go to step 8.

All PTBB algorithms are coded with MATLAB.
The numerical experiments are implemented on an
asynchronous shared memory system, which isconstructed from a workstation with a CPU Intel
Core i7-5820K 3.30 GHz 6-core processor with 16
GB RAM. The data sets of nine problem cases withthe specific n and u in [12] are used. All algorithms
are set to be prematurely terminated at 28,800 sec or
8 h in order to limit the computational time forlarge-size problems. The percentage of weight
demand coverage, computational time and thesolutions of the decision variables are recorded. The
results of the experiments are statistically analysedby using analysis of variance (ANOVA) at a level ofsignificance α = 0.10 with MINITAB.
RESULTS
Since there is no premature termination by time;
only the average computational time of all
combinations or algorithms is shown in Table 2. All
nine strategies of BR and HA give the optimum
solution. To statistically analyse the effect of four
factors (n, u, BR, and HA) on the averagecomputational time, ANOVA is carried out using
MINITAB. Four-factor interaction effects are
ignored. The ANOVA table is shown in Table 3.
Before drawing any conclusions from the ANOVA
table, the assumption of experimental or residual
error, which is normally and independently
distributed, should be examined by analysing theresidual plots illustrated in Fig. 1. From Fig. 1, theNormal Probability Plot shows that the residuals arein linear form. It can be concluded that the data
distribution is a normal distribution. Likewise, theHistogram shape also shows that the data
distribution is normal. The other two graphs show
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SEE-Osaka, Japan, Nov. 21-23, 2016that the residual is independently distributed because
the plotted data is distributed randomly. Thus, it canbe concluded that the residual is normal andindependently
distributed.

Table 2 Average computational time of all treatment combinations
n
5

10

15

maxfunmaxpscostmostfractional
maxfunmaxpscostmostfractional
maxfunmaxpscostmostfractional

Fig. 1none
2.75
905.52
1.42
902.783689.562879.675190.743050.823410.38

u=1
rss
2.74
883.691.42
906.633875.152987.35
5720.61
2080.043060.36round
2.74
878.36
1.41
1962.30
4138.40
3170.60
4840.172610.83
3100.21none
2195.403723.50
3322.205097.00
5396.705201.04
7319.203456.108001.49

u=2
rss
2166.103733.80
3346.60
3159.505394.905178.257008.91
2437.207013.41round
2156.703733.403332.203148.205371.105124.907201.00
2640.707201.00

none
23110.90
12415.10
15800.35
5450.40
11921.00
8970.8726730.17
27192.78
27610.90

u=4
rss13099.10
12991.80
15817.50
5431.5013998.00
8991.50
24711.03
24920.1023450.00

round
13098.70
12975.10
15849.50
5410.50
12092.00
8931.00
23548.00
28801.68
25548.00

Residual plots for computational time data

From Table 3, the factors n, u, HA, the n*uinteraction and n*BR interaction, the u*BRinteraction, and the n*u*BR interaction significantly
affect the response because the p-values are less thanthe level of significance α = 0.10. According toTable 3, factor u has a greater effect on thecomputational time than n because it has a higher Fvalue. Moreover, the combination of these two
factors, which leads the numerous decision variables
and problem size, shows a nonlinear impact on thecomputational time. Because the n*u*BR interaction
has a significant effect, only the three-factor
interaction plots of n, u and BR (shown in Fig. 2) areused and the main effect plots of n, u and BR are
ignored to interpret the results and to set the levelsof these factors. To set the appropriate HA strategy,
the main effect plot of HA (shown in Fig. 2) is
considered. According to the main effect plot of HA,
the efficient option of HA is the “rss” option because
it gives the least computational time. The top-leftgraph of the interaction plots indicate that BR should
be set at the “maxfun” option. The bottom-left graphand the bottom-right graph of the interaction plotsshow that the least values of n and u (the smallest
size problem) use the least computational time.

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SEE-Osaka, Japan, Nov. 21-23, 2016

Table 3 ANOVA for the computational time data
Source of
Variation
n
u
BR
HA
n*u
n*BR
n*HA
u*BR
u*HA
BR*HA
n*u*BRn*u*HAn*BR*HAu*BR*HA
Error
Total

Degrees ofFreedom
2
2
2
2
4
4
4
4
4
4
8
8
8
8
16
80

Adjusted
Sum of Squares
643906702
3230007029
68899079088131753671742
74963016
5580682
18863426
8259167
8213325
77731263
12449772
13052877
16062604
24093874
4902833518(a)Fig. 2Adjusted Mean
Square321953351
1615003515
34449544544065188417935
18740754
139517047158562064792
20533319716408
15562221631610
2007825
1505867

F-Value

P-Value

213.801072.47
2.29
3.02
125.12
12.45
0.93
3.13
1.37
1.36
6.45
1.03
1.08
1.33

0.000
0.000
0.134
0.077
0.000
0.000
0.473
0.044
0.288
0.290
0.001
0.452
0.422
0.296

(b)

Main effect plot of HA (a) and three-factor interactions of n, u and BR for computational time (b)These two options may help to reduce the number ofbranches to be visited, but this advantage cannot be
observed in this study. The “rss” option, which uses
a hybrid procedure to find a new and better solution,is more efficient than the “round” option, which justrounds the integer components in a way that
attempts to maintain feasibility. This result showsthat it is worthwhile to take time to find the best
quality feasible solution and tightening bound. Thisis because it can help PTBB algorithms to fathom anumber of inferior branches to be visited. Therefore,
the PTBB algorithm using “maxfun” branching rulesand “rss” heuristic to find a feasible solution isrecommended for FLTDR because it can deliver the
optimum solution with the least computational time.
For future research, other strategies of BR and HAor other factors such as node selection rules should
be investigated. Moreover, to extend the

CONCLUSION AND RECOMMENDATIONSBoth BR and HA impact the computational timeof PTBB algorithms. The selection of BR options
affect the computational time of PTBB1 in anonlinear relation corresponding to n and u. The
most efficient BR and HA for the PTBB algorithms
to solve the generated FLTDR are the “maxfun” and“rss” options, respectively. This is because the“maxfun” option just looks for and picks up thefractional
componentwiththemaximalcorresponding component in the absolute value ofthe objective function without much calculation.
Unlike the “maxfun” option, the “maxpscost” option
takes time to calculate the pseudocost in selecting
the component to be branched while the“mostfractional function” option needs to search andcompare the values of all possible pairs of variables.
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SEE-Osaka, Japan, Nov. 21-23, 2016

performance of the PTBB algorithms and computerarchitecture to develop a parallel computing
machine should also be considered.

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Models and Applications on Multicores andManycores, 2014, pp. 111-119.
[12] Singhtaun
CandNatsupakpong
S,“Applications of Parallel Computing for Facility
Location-Transportation Problems for Disaster
Response”, Journal of Computer Science,
Vol.11, No.4, 2015, pp. 612-620.

ACKNOWLEDGEMENTS
This study was supported by Kasetsart
University Research and Development of Thailand
under Grant No. 36.51.
REFERENCES[1] UNISDR. (January 2012). The Economic andHuman Impact of Disasters in the last 12 years.
United Nations Office for Disaster Risk
Reduction. Available: http://www.unisdr.org/files/ 25831_20120318disaster20002011v3.pdf[2] Altay N and Green WG, “OR/MS research indisaster operations management”, European
Journal of Operational Research, Vol. 175, No.
1, 2006, pp. 475–493.
[3] Balcik B and Beamon BM, “Facility location inhumanitarian relief”, International Journal of
Logistics Research and Applications, Vol. 11,
No. 2, 2008, pp. 101–112.
[4] Aslanzadeh M, Rostami EA, and Kardar L,“Logistics Management and SCM in Disasters”,
Supply Chain and Logistics in National,International and Governmental Environment,
Farahani RZ, Asgari N and Davarzani H, Ed.
Physica-Verlag, Heidelberg, New York:
Springer-Verlag, 2009, ch.10, pp. 221-252.
[5] Abounacer R, Rekik M, and Renaud J, “Anexact solution approach for multi-objective
location-transportation problem for disaster301

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

FLOW CONTROL THROUGH VORTEX SHEDDING INTERACTION OF ONE CYLINDERDOWNSTREAM OF ANOTHER
Jonathan Payton and Sam M Dakka
Department of Engineering and Mathematics, Sheffield Hallam University, United Kingdom

ABSTRACTThis study investigates the vortices produced between two 2d cylinders, and the relationship between the
structures of the vortices produced at both cylinders when one is placed in the wake flow of another. CFD
simulations using ANSYS Fluent were used to determine the coefficients of lift and drag, as well as thefrequency of vortex shedding and size of vortices at three separate Reynolds numbers of 16000, 32000 and
65000 in different arrangements. Each arrangement of cylinders was compared against controls, which consistedof a single cylinder to determine the alteration of forces produced. Two trip wires at 7 different angles of 40, 45,
50, 55, 60, 65, and 70 degrees were then investigated at a Reynolds number of 65000 which was compared to thesmooth cylinder control forces and frequency of vortex shedding. The most optimum angle of trip wires wasthen combined with linear cylinder arrangements also at a Reynolds number of 65000 for comparison with only
the upstream cylinder utilizing the trip wires.
Keywords: Vortex, Shedding, Flow, Control, Strouhal

one is being generated by the air flow from eitherside of the bluff body.
The flow instability is caused by the Kelvin–
Helmholtz instability [4], which is formed when two
flows of different velocities interact, Fig. 2. The
turbulence experienced in both of these separate
flows over both sides of the cylinder causes varying
velocities, which generates the formation of thisinstability when these velocities interact in the wakeflow [4].

INTRODUCTION
Vortex shedding is a phenomenon that occurs
with non-aerodynamic bodies at specific Reynolds
numbers. The vortex shedding of the air in thisperiodic system can occur because the air flow sticks
to the surface of the cylinder due to the Coanda
effect [1], whereby the entrainment, thetransportation of a fluid between two separate bodies
of fluid by a shear induced turbulent imbalance [2],is reduced, due to the restriction caused by theinterference by the surface of the cylinder. A
pressure difference occurs between the surface andthe fluid jet or flow, from the uneven distribution of
momentum, and the change in acceleration that
results from it to reach equilibrium [1]. This pressurechange deflects the fluid jet towards the surface,causing the air to attach to, and follow the curvatureof the surface. The separation of the boundary layer
causes a large pressure difference forming the wakeflow of the cylinder, and forms vortices generated bythis pressure difference.
A vortex or Eddy is a circulating flow of air
around an axis. The acceleration of this air increases
with the reduction in diameter closer to the central
axis in irrotational vortices. Using Helmholtz’s
vortex theorems relating to inviscid flows, negating
any influence from shear stresses, the theoreticalbehavior of these vortices can be explained, whereby
the strength of a vortex remains equal along its
entire length, the vortex lines of the path traveled by
the air in the vortex remains on that same line and isconstant; and irrotational vortices remain irrotational
providing there are no rotational forces external tothe vortex [3]. In Karman vortex streets, the rotation
direction about these axes of the vortices alternateswith each successive vortex produced, because each

The trip wires, control rods, or some form of aroughness element body can be used to reduce thevortex shedding produced by the cylinders [5]. The
angle at which the rods are placed in front of thecylinder influences the airflow around the cylinder.
A trip wire reduces the drag by accelerating thetransition of the boundary layer separation from thelaminar stage to the turbulent [6]. This allows for the
air to reattach to the surface of the bluff body at an
earlier stage across the bluff body, because thekinetic energy is increased. This effect of reducing
the drag only occurs at certain Reynolds numbersthat are above subcritical. Subcritical flow means thetransition from laminar to turbulent occurs in thewake of the cylinder [7].
NUMERICAL METHODANSYS Fluent software was used for
simulations with an incompressible flow regime
implemented. A no slip condition was placed on thecylinder walls. Walls of the domain parallel to theflow were set as symmetry to ensure no influence of
the wake flow was introduced. A pressure outlet was
generated to accommodate the returning flow of the
Von Karman Streets into the computational domain.
302

SEE-Osaka, Japan, Nov. 21-23, 2016

The model used to simulate the vortices was the
Detached Eddy Simulation SST k-Omega withdouble precision to accurately model the flow in atransient state with hybrid initialization. One twodimensional, theoretically infinite cylinder ofdiameter 0.0127m was generated, and separate
Reynolds numbers were simulated at 16000, 32000
and 65000. Higher Reynolds numbers required
lower time steps, with 16000 being simulated at time
steps of 0.0005, 32000 being simulated at 0.0001,
and 65000 being simulated at 0.00005 time step
intervals. Monitors were placed on each cylinder, acoefficient of drag monitor parallel to the flow of thefluid and a coefficient of lift perpendicular to theflow direction. Arrangements of the two cylinders
used can be seen in Fig 1.

Table 2 Inlet Velocity
NumberRe.
No.
103

Density(kg/ m3)

16
32
65

1.225
1.225
1.225

For each Reynolds number, the boundary layer
thickness was determined using the following
Equations; Eq. 2 was used due to the boundary layer
becoming turbulent as the rolling motion of theboundary layer occurs across the cylinder with 10
inflation layers used at inflation sizing 0.0002.
(1)

*  (0.382 * d ) / Re

(2)

0.2

Table 1 Boundary Layer Thickness
Reynolds
Number
16000
32000
65000

LaminarBoundary Layer
Thickness (m)0.000490.000350.00025

Turbulent
Boundary Layer
Thickness (m)0.00070.000610.00053

The inlet velocity was calculated based onequation 3, Re- Reynolds number, p- density,  dynamic viscosity. This can be seen in Table 2.

Re  ( p * d *U ) / 

Reynolds

Diameter
(m)

Inlet
Vel.
(m/s)

0.01270.01270.012718.4
36.80674.76(4)

Simulations were run for a minimum of fivecoefficients of lift oscillations, to be able to record
the average value when calculating the frequency for
the Strouhal number. Each graph was magnified toreduce the margin of error with the pixel ruler being
used for each measurement taken. A mean average
was taken of the coefficient of lift oscillations toensure that any minor variations that could generate
errors were reduced. These were taken by the
distances between crests, and between troughs. The
frequency was scaled - dependent to the time step
used - to 1 second, to meet the metric standard
constraints to calculate the Strouhal number, anddivided by the average distance between oscillations.
A similar method was also used finding the average
maximum coefficient of lift with a zero origin lineon the y axis to be able to calculate this distancevertically to the y axis scale.
The size of the control rods used was one tenth
the size of the diameter of the cylinder. For thisspecific cylinder the diameter of the control rods
were 1.27mm. In order to prevent the meshbecoming highly skewed from tangent circles andinfluencing the simulation, fillets were placed
between the tangent contact points, which wereequal to the radius of the control rods (Fig. 2).
Reference values for total circumference in fluent
was calculated accordingly.

Smooth cylinder arrangements.

  (0.491 * d ) / Re

Dynamic
Viscosity(kg/m/s)
10-5
1.7894
1.7894
1.7894toEquation 4: St- Strouhal number, w- vortex
frequency, i- vortex length.

St  (w * i) / U

Fig. 1

Relating

Fig. 2(3)
303

Example of a dual control rod arrangement

SEE-Osaka, Japan, Nov. 21-23, 2016

RESULTS
Averaged results were obtained and plotted to
identify trends.

Fig. 4

Fig. 3

Coefficient of Drag of the upstream
cylinder in each arrangement

Strouhal number Reynolds number 65000
in each arrangement

The same frequencies of shedding was
experienced on the upstream cylinder and thedownstream cylinder. The length of the vortices
produced had little change with each arrangement.
Table 3 Strouhal Number
Arrangement
Re.
No.
16000
16000
16000
16000
32000
32000
32000
32000
65000
65000
65000
65000

Pitch/
Diam
Ratio
0
2
3
4
0
2
3
4
0
2
3
4

StrouhalNumber
[5]
0.197
0.17
0.156
0.19
0.198
0.158
0.149
0.195
0.195
0.149
0.141
0.187

Comparison

StrouhalNumber
Simulated
0.177
0.159
0.161
0.166
0.168
0.164
0.143
0.161
0.187
0.139
0.160
0.186

LinearFig. 5 Coefficient of Drag of the downstream
cylinder in each arrangement

%
Diff.

The drag force exerted by the cylinders, varywith the arrangement. The formation at a 90 degree
angle results in a lower coefficient of drag with anincreasing pitch to diameter ratio (Fig. 4, 5).
When compared to the downstream cylinder(Fig. 4, 5), the linear formation shows a significant
drop in coefficient of drag compared to the upstream
cylinder, which is caused by the cylinder locateddirectly in the wake flow of the upstream cylinder.
Since the arrangement of the downstream cylinder at
45 and 90 degrees is not directly in the wake flow at
any pitch to diameter ratio, the coefficient of drag ofthe downstream cylinder in this arrangement ishigher than the linear formation downstream
cylinder.
The coefficient of drag generally decreases withan increasing pitch to diameter ratio, which is thesame relationship for the coefficient of drag at 90
degrees for the downstream cylinder. At 90 degrees,
both the upstream and downstream cylinder sharethe same coefficient of drag due to the arrangement
being perpendicular to the flow, meaning thedownstream cylinder is not influenced by the wakeflow of the upstream cylinder (Fig. 4, 5).

10.15
6.47
3.21
12.63
15.15
3.80
4.03
17.40
3.50
6.71
13.48
0.53

The Strouhal number relative to eacharrangement was close to that expected (Table 3).
To obtain a more accurate result with the simulated
graphs, the time step could be reduced to an evensmaller iteration to allow for a graph that contains
wider oscillations for more accurate measurements
since will reduce the error obtained from pixel
variations from the measurements taken with moredefinitive crests and troughs. The longer thesimulations were left to run, the more compressed
the graphs became, making the margin of error
larger.

When Fig. 6 and 7 are compared, a slightasymmetry exists between the 90 arrangement thatwas not experienced at Reynolds numbers 16,000
and 32,000 which could mean that the issue is meshbased in that it is potentially too coarse locally. Both304

SEE-Osaka, Japan, Nov. 21-23, 2016

increase with an increasing pitch to diameter ratio,
but in a linear formation the downstream cylinder
experiences the same maximum coefficient of lift at
all three ratios at 2.25 (Fig. 7) and an increasing
coefficient in the upstream cylinder with increasing
pitch to diameter ratios (Fig. 6).

Fig. 6

downstream cylinder (Fig. 7).
The structure of the flow in the linear formation
parallel to the freestream velocity, changed withchanging pitch to diameter ratios. The flow structure
seen in Fig. 8 is similar to that documented by Alam
MM. At a pitch to diameter ratio of 2, front side
reattachment of the flow is visible at a Reynolds
number 65000, which fits in Alam’s flow structure
range at a pitch to diameter of 1.5 to 2.2. At a pitch
to diameter ratio of 3, the same type of flow is seen
as before, which matches the flow structure
described by Alam’s in the range of a pitch todiameter ratio of 2.7 to 3.9. At a pitch to diameter
ratio of 4 both the forms of the bi-stable flow wasseen at Reynolds number 65000 (Fig. 8).
Table 4 shows a reduction in the sum of the
upstream and downstream cylinders coefficient ofdrag, averaged across the three angles simulated.
The drag reduces with an increased pitch to diameter
ratio, and also with an increase of the three Reynolds
numbers simulated.

Maximum Coefficient of lift reached –upstream cylinder

Table 4 Cumulative Mean Average Coefficient ofDrag Comparison that includes all 3 Angles
of Arrangements
Re.
No.
16000
32000
65000
Fig. 7

Maximum Coefficient of Lift reached –downstream cylinder

Pitch/
Diam. Ratio
of 2
2.46
2.43
2.21

Pitch/
Diam.
Ratio of 3
2.43
2.08
1.93

Pitch/
Diam. Ratio
of 4
2.42
1.98
1.79

The frequency of shedding increased whencompared to a cylinder without control rods present
for control rod arrangements simulated at angles 40,
45 and 70 degrees (Fig. 10). It is expected theStrouhal number would increase further after 70
degrees.
The
Strouhalnumberdecreasedsignificantly up to an angle of control rod
arrangement of 55 degrees.

Fig. 8 Vorticity cut plot at different pitch todiameter ratios with two shown at a ratio of 4
Fig. 10 Strouhal number of Trip wire angles
compared to smooth cylinder – Reynolds
number 65000

The 45 degree arrangement results in a sheddingthat is interrupted towards the downstream cylinder
at lower ratios of pitch to diameter (Fig. 6) and some
reduction in low pitch to diameter ratios of the305

SEE-Osaka, Japan, Nov. 21-23, 2016

The control rods reduce the overall coefficient ofdrag produced by the cylinder, with all coefficientsof drag lower than that of the control (Fig. 11). Withan increasing angle of the arrangement of the control
rods, the coefficient of drag increases. It is expectedthat the coefficient of drag will increase until a 90
degree formation, since this will generate the highest
profile drag.

control, to close to 870 when the trip wires are
introduced at a 55 degree angle.

Fig. 11 Coefficient of Drag of Trip wire angles
compared to smooth cylinder control –Reynolds number 65000
Similar to the coefficient of drag, the maximum
coefficient of lift (Fig. 12) generally increases withan increasing angle arrangement. The maximum
coefficient of lift produced (Fig. 12) is lower thanthe coefficient of lift produced by the control. The
coefficient of drag is lowest at an angle of 40
degrees (Fig. 11) - and is expected to be even lower
at lower angles since it separates the boundary layer
at an earlier stage of the cylinder.

Fig. 13 Vorticity cut plot of Trip wire 55 degrees
compared to smooth cylinder

Fig. 14 Strouhal number of Trip wire 55 degrees
within arrangement –Reynolds number
65000
Fig. 12 Coefficient of Lift of Trip wire angles
compared to smooth cylinder control
Reynolds number 65000
Figure 12 shows the reduction of the coefficientof lift when control rods are introduced. The
coefficient gradually increases with an increase inangle of trip wire placement.
The vorticity cut plot comparison (Fig. 13)
shows the decreased frequency of the vortex
shedding when control rods are used at a 55 degree
angle placement. The vorticity of the vortices
produced later in the wake of the cylinder when thecontrol rods are used are consequently less than thatof the control cylinder. The frequency of theshedding per second is close to 1100 with theFig. 15 Strouhal number of the downstream smoothcylinder within the trip arrangement against
the Strouhal of a control smooth cylinder –Reynolds number 65000
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SEE-Osaka, Japan, Nov. 21-23, 2016

When Fig. 14, 15 are compared, different
Strouhal numbers are experienced on each cylinder
theoretically unlike dual smooth cylinders. The
vortices experienced in a linear arrangement aft of
the arrangement is that of the downstream cylinder,
since this bluff body interrupts the upstream vortex
production.

90 degree formation since little interaction occurs
between the cylinders. Due to the increased
difference of drag at increasing Reynold numbers,
the importance of the arrangement is high.
The trip wire arrangement showed a reduced
coefficient of drag at a Reynolds number of 65000;
and a reduced maximum coefficient of lift which
gradually increased with an increasing angle ofcontrol rod placement. The most optimum angle forflow control was 55 degrees.
The arrangement with the presence of a trip on
the upstream cylinder resulted in a reduced
coefficient of lift on both the upstream anddownstream cylinder when compared to the same
non-trip arrangement. The coefficient of drag of thedownstream cylinder arrangement with a trip is also
lower than the non-trip arranged downstream
cylinder. The upstream cylinder also has a reduced
coefficient of drag, making it the lowest overall
coefficient of drag with two cylinders.

Fig. 16 Comparison between the trip upstream
cylinder and the smooth downstream
cylinder average coefficient of drag against
each of the original control values

ACKNOWLEDGEMENT
The work is part of dissertation submitted by
Jonathan Payton in partial fulfillment ofBachelor Degree in engineering at Engineering andMath Department, Sheffield Hallam University, UK

The results of the downstream cylinder linear
arrangement with changing pitch to diameter ratios
increasing, with the most optimum control rod angle
placement of 55 degrees on the upstream cylinder
showed an increase in the coefficient of drag greaterthan the trip control, a similar relationship to Fig. 4, .
This increase from the control in Fig. 16 is reducedin comparison to Fig. 4. The coefficient of dragdecreases towards the value of the control with anincreasing pitch to diameter ratio (Fig 14). The
downstream cylinder showed a mirrored relationshipwhereby the coefficient of drag increased with anincrease in pitch to diameter ratio (Fig. 16). WhenFig 4, 5 and Fig. 16 are compared, the reduction
between the cumulative coefficients of drag with thelinear arrangement is 0.775 at a pitch to diameter
ratio of 2, 0.85 at a pitch to diameter ratio of 3 and0.68 at a pitch to diameter ratio of 4.

REFERENCES[1] S. &. C. Thermofluids, "Coanda Effect," 2014.
[Online].Available:
http://www.thermofluids.co.uk/effect.php[2] Turner J S, Buoyancy Effects in Fuids,
Cambridge University Press,1973.
[3] Yang J, "Vorticity Theorems," 2012.
[4] Laroussi M et al. "Triggering vortex shedding
for flow past circular cylinder by acting on initialconditions: A numerical study," Computers &Fluids, Vol. 10, 2014, pp. 194–207.
[5] Alam MM, "Suppression of fluid forces on two
staggered cylinders," Procedia Engineering, Vol.
56, 2013, pp. 173-178.
[6] S. Behara, "Transition of the boundary layer on acircular cylinder in the presence of a trip,"
Journal of Fluids and Structure, Vol. 27(5),2011, pp.702-715.
[7] Doolan CJ, "Large eddy simulation of the nearwake of a circular cylinder at sub-critical
Reynolds number", Enginnering applications of
fluid mechanis, Vol. 4 (4), 2010, pp. 496-510.
[8] [Online].
Available:
http://www.thermofluids.co.uk/effect.php.

CONCLUSIONSTo reduce the frequency of the shedding, andalso to reduce the overall drag produced if multiple
cylinders in close proximity are used, a linear
arrangement with a pitch to diameter ratio of 2
would be used with no trip. More investigation isneeded into pitch to diameter ratios lower than thispoint in order to find the most optimum performancefor shedding frequency. It would be expected thatreverse flow reattachment would be seen in the
structure of the flow, with an even lower coefficientof drag from the downstream cylinder. The highest
drag produced by the downstream cylinder is in the307Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

CHALLENGES OF HACCP IMPLEMENTATION IN AGRICULTURAL
FOOD PRODUCTS IN THAILAND
Kanokwan Kingphadung and Woraruthai ChoothianFaculty of Engineering and Industrial Technology, Silpakorn University, Thailand
ABSTRACTAgricultural food industry in Thailand could generate incomes about 10.5% gross domestic product (GDP) of
the country in 2015. The demands of trend of agricultural food products around the world has been increased.
However, agricultural food products from Thailand could not be exported as many as the market growth. Analysis
and Critical Control Points (HACCP) is a minimal requirement for companies to export food products. Not allcompanies in agricultural food industry have HACCP certificates. There might be some challenges that have been
obstructed the implementation of HACCP in food industry in Thailand. This objective of this research is identify
challenges faced by companies in Thailand when implementing HACCP plans. An online survey was conductedto collect data from companies in food industry. Twenty companies completed the survey. identify challenges
which obstructed the HACCP implementation in agricultural food industry in Thailand. All twelve challenges
proposed in the research survey were experienced by participating companies during the HACCP implementation.
The challenges, identified as barriers to implementing HACCP, were a lack of employee engagement in HACCP
implementation, a lack of employees who understand the HACCP system, and a lack of advanced statisticalknowledge. The results suggest companies to developing effective plans for communications and trainings tohandle those challenges faced in the HACCP implementation.
Keywords: Hazard Analysis and Critical Control Points, HACCP, Challenges, Food Safety Management,
Agricultural Food Products
INTRODUCTION

not succeed. Companies might face common
challenges during the implementation of HACCP.
Knowing these challenges could allow companies tocreate plans to respond with challenges, and allow
government sectors, such as universities or foodagents, to assist companies in achieving HACCP
implementation, especially small and medium-sizedcompanies that do not have a lot of resources to invest
for the purpose of establishing a food safety
management system. This research aimed to identify
the challenges that companies face in implementing
HACCP in Thailand.

The food industry is one of the most important
industries influencing the economy of Thailand.
Agricultural food products are one of the main typesof exported products. In 2015, the agricultural foodindustry in Thailand generated a revenue of about
10.5% of Thai gross domestic product (GDP). The
demand for exported agricultural food products has
increased. However, agricultural food products fromThailand could not be exported as many as the market
growth. Exporting food products to other countries
requires food safety certification, such as Hazard
Analysis and Critical Control Points (HACCP) andISO 22000, to ensure that food products do notcontain any hazards and are safe to consume,
especially in Europe or North America.
HACCP is a food safety management system thatis accepted by many countries and can be
implemented in companies of all sizes. The
implementation of HACCP can result in better
product quality and the opportunity to penetrate the
new market, especially exporting markets [1].
Complying with HACCP could be a minimal
requirement for exporting food companies to becertified. Although food is the main industry inThailand, not all companies that produce foodproducts have food safety certificates. Meanwhile,
many companies tried to implement HACCP but did

LITERATURE REVIEW
Hazard Analysis and Critical Control Points(HACCP)HACCP is a system that is used to identify,
evaluate, and control food safety. HACCP can becompatible with other quality management systems,
such as ISO 9000, that focus on the quality of
products. The application of HACCP is considered
for promoting food safety, which is considered one of
the aspects of food quality [2]. It is a systematic
approach to the identification, evaluation, and control
of food safety hazards based on the seven principles
presented [2, 3]:308

SEE-Osaka, Japan, Nov. 21-23, 2016

1) Top Management Support

Principle 1: Conduct a hazard analysis.
Principle 2: Determine the critical control points(CCPs).
Principle 3: Establish critical limits.
Principle 4: Establish monitoring procedures.
Principle 4: Establish monitoring procedures.
Principle 5: Establish corrective actions.
Principle 6: Establish verification procedures.
Principle 7: Establish record-keeping anddocumentation procedures.
To approach these seven principles, the following
12 steps are recommended [2, 3]:(1) Set up an HACCP team to develop plans that
contain tasks, activities, and responsible
persons.
(2) Describe products, including all food safety
information, such as packaging, containers,
storageconditions,durability,
anddistribution methods.
(3) Identify how the user consumes or uses
products.
(4) Construct flow diagrams of all of theoperations in food production processes.
(5) Confirm the flow diagrams created in theprevious step via onsite checking against theactual production processes.
(6) List all potential hazards associated with each
step, conduct a hazard analysis, and consider
any measures for controlling the identified
hazards.
(7) Determine the CCPs used as a control
measure for food safety.
(8) Establish critical limits for each CCP.
(9) Establish a monitoring system for each CCP.
(10) Establish corrective actions.
(11) Establish verification procedures.
(12) Establish documentation and record keeping.

Top management agreement is needed to ensurethat the HACCP implementation will have strong
support since it requires an investment, humanresources, and policy supports [1]. Top management
can be key in the implementation process because
they can ask all employees to be involved andconcerned with HACCP. Authorizations on any
investments on equipment, tools, and trainings can bedone by the top management. Top management canhelp the HACCP team in develop company policy.
All departments or functions will voluntarily
cooperate with the HACCP team. Without top
management support, the implementation of HACCP
might not be achieved [4].
2) Consultants and Auditing of HACCP
Companies mostly hire consultants who have arich knowledge of HACCP and expertise in the foodindustry field to help in planning and establishing
HACCP knowledge for companies [5]. For many
countries that have just started using the HACCP
system for mandatory food safety certification
purposes, it might be difficult to find consultants who
have expertise with HACCP. Companies might invite
consultants from overseas. In addition to consultants,
companies have to connect with auditors or HACCP
certification companies to certify their HACCP
systems. Unfortunately, it can take a long time toproceed with HACCP auditing when a limited
number of auditors exist.
3) Employee Engagement
Companies have to control all productions andoperations to meet HACCP requirements. In addition,
all employees who operate in those processes have to
pay attention to all standards and procedures [6].
Employees who work in technical areas specificallyshould have sufficient knowledge to test or run
experiments on detecting hazards and controlling
food safety. Thus, the HACCP implementation
requires collaborations and involvements from all
employees. Many employees might perceive that the
HACCP system make more workloads andcomplicated on their job. This leads to negative
attitudes on the HACCP system. Employees might
not be motivated to contribute in the HACCP
implementation [7]. Without employee engagement,
it might be challenging to successfully implement
HACCP [4].

The Challenges of HACCP
Many changes take place during the transition to
the HACCP system. Some companies can endure thistransformation, while other companies were unable tosuccessfully implement HACCP. Successful HACCP
implementation requires the involvement of all levelsin the companies, from top management to workfloor employees. Much new knowledge is necessary
to comply with HACCP principles. A few studies on
the challenges of HACCP implementations were
published. Previous studies on both HACCP andother food safety management systems were used toinvestigated what makes food safety management
systems difficult. Five aspects were considered to bechallenges.

309

SEE-Osaka, Japan, Nov. 21-23, 2016

4) Insufficient Knowledgeorganizations face when implementing HACCP. The
list of challenges included on the survey was based ona review of the literature and on experts in the foodindustry. Participants were asked to rate the extent towhich a challenge was a barrier to HACCP
implementation. A five-point Likert scale, withresponses ranging from 1 (not at all) to 5 (to a verylarge extent), was used.

In production processes, companies must set up
the control measures for critical control points (CCPs)
in the HACCP system. The control measures might
require new techniques or knowledge for testing foodsafety and monitoring systems or processes [8, 9].
Specific knowledge might be required, such as risk
assessments and advanced statistical knowledge, toidentify and assess the risks that might occur in thesystem and to control processes under CCPs [3, 7]. If
employees do not have sufficient knowledge, it could
challenge companies during HACCP implementation[6].

RESULTS AND DISCUSSIONS
Participants and Companies
Targeted companies for this research study werecompanies that produced agricultural food productsin Thailand. Twenty companies completed the survey.
Of the 20 responding companies, 17 companies had
implemented HACCP. The targeted participants forcompleting the survey included business owners,
managers, supervisors, and staffs who worked in thetargeted organizations.
Participant positions and company sizes are
summarized in Table 1 and Fig. 1, respectively.
Participants’positions
includedproduction
supervisors, general managers, research anddevelopment (R&D) staffs, quality assurance (QA)
staffs, owners, QA managers, production managers,
and others. This enabled the researchers to see thewide range of view on HACCP systems. The highest
number of participants identified themselves as
supervisors and managers.

5) Suppliers
The HACCP system concerns all processes
related to products, from the time they are with
suppliers until their delivery to customers. Suppliers
should have adequate knowledge about food safety[3]. Companies must develop systems for controlling
suppliers in following the standards. If companies do
not have collaborations with or involvement fromsuppliers, the implementation of HACCP might not
be successful.
6) Facilities and Equipment
All processes have to be under control. Facilities
are required to be adjusted or added when needed. If
companies have appropriate building structures andfacilities, they might not need adjusting. When
structures and facilities need to be rebuilt or changed,
this might be difficult to accomplish due tolimitations, such as the size of an area and the current
building structure [10].
When all CCPs are defined, control measures aredesigned to test and find hazards or risks associatedwith each CCP. New tools and equipment might beneeded [8]. Some equipment is expensive, however,or needs to be imported. Employees who use newtools and equipment also require training to operatethem. This can result in more interment costs and intaking a longer time to receive the equipment needed
for implementing HACCP.

Table 1 Participant position

RESEARCH METHODOLOGY

Position

No. of Participants

Production Supervisors
General Managers
R&D Staffs
QA Staffs
OwnersQA Managers
Production Managers
OthersR&D Managers
Total

7
3
2
2
2
1
1
1
1
20

According to the Ministry of Industry Thailand,
company sizes are defined by capital investments into
three groups. The first group includes small
businesses with less than 50 million baht in capital.
The second group includes medium-sized businesswith between 50 and 200 million baht in capital. The
third group includes large business with more than
200 million baht in capital. Most participatingcompanies were large businesses. The sizes of theparticipating companies are summarized in Fig. 1.

An online survey was conducted to identify thechallenges that companies faced during theimplementation of HACCP. The survey link was
posted on websites, blogs, and webpages related to
the food industry. The survey developed for thisresearch included two sections.
The first section asked for participant andcompany information, such as participant position,company size, and products. The second section
included a list of 12 potential challenges that310

SEE-Osaka, Japan, Nov. 21-23, 2016

from companies that had experienced theimplementation of HACCP for more than 10 years,
while the shortest time of implementation reported
was three years. On average, companies would takeabout a year for preparation until getting the HACCP
certification.
Challenges in Implementing HACCP in Thailand
All twelve challenges proposed in the survey wereexperienced by participating companies during the
HACCP implementation. Eight of 12 proposed
challenges were rated as the moderate extent to whichchallenge was a barrier to HACCP implementation.
Hierarchical cluster analysis was used to divide
challenges into groups, based on perceived barriers
while implementing HACCP. The results ofhierarchical cluster analysis are shown in the
agglomeration schedule in Table 2 and in thedendrogram in Fig. 2. The difference between thecoefficients in the agglomeration schedule and in the
distances of linkage points in the dendrogram suggestthat there are two clusters of challenges, based on
perceived as barriers in the HACCP implementation.
Cluster 1 included challenges that were more often
perceived as HACCP barriers. Cluster 2 included
challenges that were less often perceived as HACCP
barriers. A summary of the clusters of challenges isshown in Table 3.

Fig. 1 Company sizes
HACCP Implementation in Thailand
Eighty percent of the participants thought that
HACCP is very important to the agricultural foodindustry of Thailand. Participating companies had
implemented HACCP for a range of three years tomore than 10 years. Fifty percent of the responding
companies had implemented HACCP for more than
10 years. Thus, the majority of the responses wereTable 2 Agglomeration schedule
Stage
1
2
3
4
5
6
7
8
9
10
11

Cluster Combined
Cluster 1
Cluster 2
6
7
2
12
6
11
5
6
1
10
4
8
1
5
2
3
1
4
1
9
1
2

Coefficients
.000
1.500
3.500
6.250
9.250
12.25017.33322.50030.29245.33368.667

311

Stage Cluster First Appears
Cluster 1
Cluster 2
0
0
0
0
1
0
0
3
0
0
0
0
5
4
2
0
7
6
9
0
10
8

Next Stage
3
8
4
7
7
9
9
11
10
11
0

CasesSEE-Osaka, Japan, Nov. 21-23, 2016

Rescaled Squared Euclidean Distances between Cases
Fig 2 Dendrogram of perceived barriers

Table 3 Clusters of challenges based on perceived barriers during HACCP implementation
Code

Items

C3 Lack of employee engagement on the HACCP implementation
C2 Lack of employees who understand the HACCP system
C12 Lack of advanced statistical knowledge
C5 The need for building modification and facility adjustment to suit HACCP
requirements
C10 Difficulties of suppliers or vendors with proceeding under HACCP standards
C11 Lack of knowledge about risk assessment in food production processes
C6 The need to acquire new equipment and tools for testing food hazards
C7 Lack of knowledge or techniques for testing food hazards to meet HACCP
requirements
C1 The complication of HACCP certifying processes
C8 Insufficient number of HACCP consultants in Thailand
C4 Lack of management support
C9 The limitation of auditing companies or auditors who can audit and certify
HACCP in Thailand

312

Mean

S.D.

3.43
3.36
3.29
2.93

1.60
1.15
0.91
1.49

2.86
2.86
2.79
2.79

0.86
1.10
1.25
1.25

2.43
2.43
2.29
1.71

1.02
1.34
1.49
0.73

Cluster
1

2

SEE-Osaka, Japan, Nov. 21-23, 2016

Cluster 1 which are challenges that wereperceived more often as a barrier includes a lack of
employee engagement in HACCP implementation, alack of employees who understand the HACCP
system, and a lack of advanced statistical knowledge.
Lack of employee engagement is the mostconcerned as barrier in the HACCP implementationof agricultural food companies in Thailand.
According to HAPPC requirements, companies must
develop guidelines and work standards for allprocesses. The developed guidelines might change
the way that employees used to work before, ormight add more tasks on their jobs, such as, recordand report data. Inflexible work and additional tasks
could result in the resistance of employees on the
HACCP implementation and the negative attitude on
HACCP system [6, 7]. This finding is importantbecause it emphasizes how important it is forcompanies to develop effective plans for the HACCP
implementation including communication plans andimplementing plan. Companies should communicate
the goals and plans of implementing HACCP to
employees at all levels. Sufficient information
related to the changes of work tasks, the supports bycompanies, and the trainings should be welltransferred to employees. When employees know thebenefit of the HACCP implementation and the
supports by companies during the HACCP
implementation, they might be motivated andcooperate with the company.
Lack of employees who understand the HACCP
system and lack of advanced statistical knowledge
were also perceived as a large barrier. This result
implies that employees might not have insufficientknowledge to work in the HACCP system. Without
fully understanding in HACCP and required
knowledge, it is difficult to successfully implement
Although employees put efforts on the HACCP
implementation. Although most technical employees
in food companies have back grounds in foodscience or food technology, they might needadditional specific knowledge that can help inanalysis data, such as statistics. This finding suggeststhat companies should create effective training plansto ensure that employees have sufficient knowledge
to work on their jobs in the HACCP system.
It is interesting that the limitation of auditing
companies and auditors was perceived as a small
barrier. This finding suggests that companies easily
access to auditing companies and auditors althoughthe HACCP system has been well-known for a
decade. The trend of implementing HACCP in Thaicompanies was increased because of the government
policy in agricultural food product exports, the foodsafety control regulations, and the competition in themarket. Thus, the numbers of auditing companies
and auditors, supported by both government or
private sectors, are also increased to meet thedemands.

In addition, the cost of the HACCP
implementation is a main challenge faced bycompanies in many countries [8]. Many participantsalso agree that the implementation of HACCP arevast investments which is a challenge that can bebarriers in the HACCP implementation. Most
companies spend much money on consultants,
equipment, and modifying facilities [8]. Thus,
companies should have a good financial plan when
implementing HACCP as well.
CONCLUSION
There are many changes and adaptations required
in implementing HACCP. Many companies wereunable to successfully navigate this transformation.
Knowing challenges that companies might faceduring the HACCP implementation could assist
companies in developing plans to handle challenges.
The challenges found in this research are similar tothe previous research HACCP barrier in othercountries and in other products [1, 8].
Challenges that were perceived often as barriersin Thailand were a lack of employee engagement in
HACCP implementation, a lack of employees who
understand the HACCP system, and a lack ofadvancedstatisticalknowledge.
Effective
communications can help in engaging employees
involve in the HACCP implementation. Technicaltrainings and working with universities andresearchers can fulfill in the lacking knowledge andthe HACCP implementation. In addition to threechallenges mentioned above, companies should also
consider other nine challenges. Many companies
experienced these nine challenges during the
HACCP implementation. This implies that thesechallenges could occur and obstruct the HACCP
implementation.
The limitation of this research was the number ofparticipants. It is difficult to see significant
differences in challenges based on perceived barriers.
A larger number of companies could provide
additional understanding into potential differences inchallenges.
REFERENCES[1] Macheka, L., et al., "Barriers, benefits andmotivation factors for the implementation offood safety management system in the foodsector in Harare Province, Zimbabwe," FoodControl, vol. 34, 2013, pp. 126-131.
[2] Commission, C.A. (1997, 6/1/2015). Basic textsonfoodhygiene.
Available:
http://www.fao.org/docrep/005/Y1579E/y1579
e03.htm[3] Dahiya, S., Khar, R.K., and Chikara, A.,"Opportunities, challenges and benefits of using
HACCP as a quality risk management tool in thepharmaceuticalindustry,"
The
Quality313

SEE-Osaka, Japan, Nov. 21-23, 2016

Assurance Journal, vol. 12, 2009, pp. 95-104.
[4] Ramı́rez Vela, A. and Martı́n Fernández, J.,"Barriersforthedeveloping
andimplementation of HACCP plans: Results froma Spanish regional survey," Food Control, vol.
14, 2003, pp. 333-337.
[5] Kokkinakis, E., et al., "HACCP implementation
in local food industry: A survey in Crete,
Greece," Procedia Food Science, vol. 1, 2011,
pp. 1079-1083.
[6] Toropilová, J. and Bystrický, P., "Why HACCP
might sometimes become weak or even fail,"Procedia Food Science, vol. 5, 2015, pp. 296299.
[7] Azanza, M.P.V. and Zamora-Luna, M.B.V.,"Barriers of HACCP team members to guideline
adherence," Food Control, vol. 16, 2005, pp. 1522.
[8] Maldonado-Siman, E., et al., "Comparison of
implementing HACCP systems of exporter
Mexican and Chinese meat enterprises," FoodControl, vol. 38, 2014, pp. 109-115.
[9] Lu, J., et al., "The implementation of HACCP
management system in a chocolate ice creamplant," Journal of Food and Drug Analysis, vol.
22, 2014, pp. 391-398.
[10] Hasnan, N.Z.N., et al., "Food factory design:
Reality and challenges faced by Malaysian
SMEs," Agriculture and Agricultural Science
Procedia, vol. 2, 2014, pp. 328-336.

314

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

TREATMENT EFFICIENCY AND COMPRESSIBILITY BEHAVIOR OF
SOIL MODIFIED WITH POWDERED ACTIVATED CARBON
Mohd Yuhyi Mohd Tadza1, and Fauzi Baharudin2
Faculty of Civil Engineering and Earth Resources, Universiti Malaysia Pahang, Malaysia 2Faculty of Civil
Engineering, Universiti Teknologi MARA, Malaysia

1

ABSTRACTRiverbank filtration (RBF) systems are often used to treat surface water near rivers. The effectiveness of such
systems depends heavily on the properties of the riverbank material that is used for filtering and treating thewater. To improve the system’s treatment efficiency, modifications may be conducted to the riverbank soil.
Altering the properties of the soil might, however, affect the stability of the riverbank. In this study, soil andwater samples near Lake Chini were collected and characterized. Filtration test was conducted to evaluate theefficiency of the soil in treating the water. The soil was modified by mixing it with powdered activated carbon(PAC) at varying percentage of 5 and 10%. In addition, compressibility test was carried out using a standard
oedometer. Test results indicated that the soil alone was insufficient to treat the water to drinking water quality
standards. Modification with activated carbon improved the water quality from Class II to Class I. However,compressibility test revealed that there were some changes to the pressure - void ratio relationship, indicatingthat the alteration of soil properties with the addition of activated carbon filters might affect the stability of theriverbank.
Keywords: Riverbank Filtration, Water Treatment, Compressibility, Actived Carbon, Oedometer, Lake Chiniused successfully in treating surface water nearby
rivers [8][9]. The system utilizes riverbanks asfiltration media for the removal of contaminants andsuspended solids in order to improve the quality ofsurface water [10][11]. Thus, RBF would be a viable
alternative solution for supplying sustainable fresh
water within the vicinity. However, the efficiency of
the RBF system depends on the type, as well as thefiltration and absorption capacity of the riverbank
material [12]. In some cases, modification of theriverbank with other filtration material (i.e. sand,activated carbon, zeolite) or the construction of
artificial barriers may be required to increase theriverbank’s treatment efficiency to produce water ofdrinking water standards [13][14].

1.0 INTRODUCTION
Lake Chini is the second largest natural riverine
lake in Peninsular Malaysia [1]. The area with its
diverse flora and fauna has been declared as Man
and Biosphere Reserve by UNESCO in 2008 [2].
Despite being isolated, the lake is also home to theindigenous Jakun tribe [3]. For decades, thesustainability of the tribe is highly dependent on
Chini’s ecosystems for economic activities such as
fishing, hunting and herb gathering. The Lake also
provides fresh water for the tribe. In recent years
however, Lake Chini has been developed for
agricultural and tourism purposes, which have led tothe deterioration of the lake [2][4]. Highconcentrations of contaminants from development
activities resulted in the decrease in biodiversity as
well as increased sedimentation in the lake [1].
Furthermore, chemical influx from the use ofpesticides and fertilizers from nearby agriculturalactivities increased the chemical concentration inboth water and sediment [5][6]. The construction ofa small barrage downstream of Chini River to form arecreational lake has caused the water to becomestagnant, resulting in higher pollution [1].

Both granular activated carbon (GAC) andpowdered activated carbon (PAC) have been
extensively and successfully used in water treatment
applications [15][16][17]. They have been proven tobe effective adsorbing agents for the removal of awide range of organic and inorganic pollutants fromwater bodies. They are also capable of removing
taste and odor from wastewater [18]. Modificationof the riverbank with activated carbon filters
however, may affect the stability of the riverbank.
Malusis et al., [19] reported that soil modified withactivated carbon up to 10% by weight would resultindecreased
permeability
andincreased
compressibility. Thus, in constructing a RBF, thebalance between water treatment efficiency and thecompressibility should be taken into consideration.

Studies have revealed that limited movement in alake would severely affect its water quality [7].
Although the water quality of the lake has
deteriorated over the years, communities of the
Jakun tribe still rely on it as their sole source of fresh
water. Due to the isolated nature of the lake, theconstruction of a water treatment plant would bechallenging. Riverbank filtration (RBF) has been

To tackle the aforementioned issues, this study315

SEE-Osaka, Japan, Nov. 21-23, 2016

investigated the treatment efficiency of natural soil
from Lake Chini as well as soil that has been
modified with PAC in laboratory column tests. The
compressibility behaviors (pressure-void ratio
relationships) of both natural and modified soils
were also evaluated using the double oedometer
technique.

were carried out on soil specimens that have been
mixed with PAC (Sigma-Aldrich) (at 5 and 10% by
weight). . The PAC used in this study has a particle
distribution finer than 142 µm and a specific surface
area of about 900 m2/g. Turbidity improvement was
the only parameter evaluated in this test. The above
tests were conducted to determine (i) the optimum
hydraulic retention time (HRT) and (ii) the optimum
mixture of soil and activated carbon. Once theoptimum conditions have been determined, column
filtration was carried out using a standard fallinghead apparatus. The water samples were retained in
the column in accordance with the optimum HRT
that has been determined in the adsorption tests.

2.0 MATERIAL AND METHODS
2.1 Sampling
Soil sampling was carried out at selected sites at
Kuala Brang around the Lake Chini area. Using ahand auger, undisturbed soil samples were collected
to a depth of 1 meter below the ground surface. The
samples were placed in sealed bags prior to being
tested in the laboratory. Water samples were alsocollected from the lake. The samples were stored inplastic containers and chilled at 4 ± 1°C.

2.4 Compressibility Behavior
The volume change behaviors of both
unmodified and PAC-modified soils were carriedout simultaneously using the standard oedometer
method [19]. It is anticipated that changes in thepore fluid ionic concentrations would affect theengineering behavior of soils [22][23][24].
Estabragh et al. [25] noted that the magnitude of soil
deformation is affected by the water quality. In orderto replicate the on-site interaction between waterfrom the lake and the soil in terms of volume change
behavior, the distilled water in the standard
oedometer method was replaced with the water
samples obtained from Lake Chini. Soil specimens
were initially prepared by thoroughly mixing withwater samples from the lake to slightly greater thanliquid limit before being carefully placed inside theoedometer rings. A total of 8 specimens of each soil
were tested at varying pressures of 0.125, 0.25, 0.50,
1.02, 2.03, 4.06, 8.13 and 16.26 MPa. Duplicate
specimens were prepared at different applied verticalpressures.

2.2 Determination of Soil Geotechnical Properties
and Water Quality Parameters
The geotechnical properties namely, specificgravity, particle size distribution, liquid and plastic
limits and organic content of both unmodified andPAC-modified soils were determined according toBS1377 standard laboratory procedures. The six
main water quality parameters namely dissolved
oxygen (DO), biological oxygen demand (BOD),
chemical oxygen demand (COD), ammonia nitrogen(AN), suspended solids (SS) and pH were
determined in accordance with AHPA standard
method procedures [20]. The water quality
parameters were then used to calculate the
Malaysian water quality index (WQI) as describedby Norhayati et al. [21] using the following
equation:

3.0 RESULTS AND DISCUSSIONWQI =0.22( SI DO) + 0.19( SI BOD) + 0.16( SI COD) +015( SI AN ) + 0.16( SI SS ) + 0.12 ( SI pH ) (1)

3.1 Soil Geotechnical Properties and Water
Quality Parameters

where SI is the sub-index function of each given
parameter. The water quality was later classified
according to the Interim Water Quality Standards(INWQS). The apparent water quality, namely
turbidity, was also measured. Each test was
conducted in triplicates to ensure the reliability of
the readings.

The geotechnical properties and mean initialwater quality parameters are presented in Table 1. It
was found out that the soil contained a high amountof fine-grained fractions. The soil was also found tohave low plasticity characteristics with a plasticity
index of 12.46. Under the INWQS, the water wasclassified as Class II, which is suitable forrecreational activities and direct contact with thehuman body. Based on this classification, the waterin the lake is not suitable for direct consumption andhence, some treatment would be required to improve
the water quality to Class I (i.e. drinkable level).

2.3 Adsorption and Filtration Tests
A simple adsorption test was conducted before
the column filtration test was carried out. The
adsorption tests were carried out at varying intervalsof 5, 15, 30, 60 and 120 minutes on soil specimens
which were slowly agitated (i.e. 100 rpm) in 500 ml
conical flasks on an orbital shaker. Similar tests
316

SEE-Osaka, Japan, Nov. 21-23, 2016

Interestingly, in the absence of PAC, the soil alone
was found to be ineffective in reducing the turbidity
to Class I (i.e. NTU <50). Thus, constructing RBF in
the area would require some modifications to theexisting riverbank.
Based on the adsorption test results (see Fig. 1),
the filtration test was subsequently conducted only
on the unmodified soil and soil mixed with 10%
PAC. The filtration test results are presented inTable. 2. Some improvements on the water quality(i.e. water quality improved to Class I) wereobserved after the filtration test for both soils withand without the presence of PAC. However, no
reduction in BOD, COD and DO concentrations
were obtained following the filtration tests (i.e.
water remained as Class II). In other words, notreatment is required for the water filtered using soil
and 10% PAC mixture. Slight increase in the pH
was observed due to the presence of PAC. Similarfindings were also reported i.e. increased in pH withthe presence of activated carbon [26][27].

Table 1 Geotechnical properties and mean initialwater quality parameters
Geotechnical properties
Specific gravity, Gs
Liquid limit, wl (%)
Plastic limit, wp (%)
Particle size distribution% Passing (< 2 mm)

2.67
39.38
26.92
63

Mean initial water quality
parameters*
8.04
BOD (mg/l)
16.43
COD (mg/l)
5.20
DO (mg/l)
0.08
AN (mg/l)
12.74
SS (mg/l)
6.57
pH
181.1
Turbidity (NTU)*INWQS – Class I => 92.7 (no treatment required);Class II = 76.5-92.7 (conventional treatment
required), Class III = 51.9-76.5 (extensive treatment
required); Class IV = 31.0-51.9 (suitable for
irrigation only); Class V =< 31.0 (heavily
contaminated - not suitable for daily use).

Table 2 Improvement in water quality after filtration
test
Water quality
parameters*
BOD (mg/l)
COD (mg/l)
DO (mg/l)
AN (mg/l)
SS (mg/l)
pH
Turbidity (NTU)*ND – non detected

3.2 Adsorption and Filtration Test Results
Figure 1 shows the changes in turbidity withelapsed time for unmodified soil and soil mixed with
PAC. Adsorption test results indicated that, theturbidity of the water decreased with increasing
agitation time. A period of approximately 30
minutes was found to be sufficient for the turbidity
readings to be equilibrated. Figure 1 also shows that,the turbidity decreased as the percentage of PAC
increased.

Soil
7.98
16.45
5.31
0.03
10.59
6.57
55

Soil + 10%
PAC
6.57
16.1
6.83
ND*
0.06
7.14
0.18

3.2 Compressibility behavior – pressure-void
ratio relationships
The effect of PAC on the geotechnical propertiesof the soil is shown in Table 3. Test results showedthat the addition of PAC caused the specific gravityof the soil mixture to go down. However, the larger
specific surface area resulted in increases in theliquid limit and plastic limit for the soil mixture.
Table 3 Effect of 10% PAC on the geotechnicalproperties of the soil studied
Geotechnical properties
Specific gravity, Gs
Liquid limit, wl (%)
Plastic limit, wp (%)

2.64
42.13
27.56

Fig. 1 Changes in turbidity with agitation time
The compression results from the oedometer
tests are plotted in terms of void ratio, e and appliedvertical pressures, P as shown in Fig. 2. A decreasein the void ratios was noted with an increase in the

Soil mixed with 10% PAC was found to have thehighest reduction in turbidity as compared tounmodified soil and soil mixed with 5% PAC.
317

SEE-Osaka, Japan, Nov. 21-23, 2016

applied vertical pressures. Test results revealed thatat the same applied pressures, there were differencesin the void ratios between the unmodified soil andthe soil with 10% PAC. Addition of PAC would
result in some decrease in the void ratio, irrespectiveoftheLake Chini deserves a supply of clean water. The
Lake has also grown to be a popular tourist
destination. The need for water treatment to improve
its water quality is becoming more imperative. The
viability of modifying the Lake Chini riverbank
material with PAC was investigated and evaluated interms of treatment efficiency and compressibility
behavior. Results of this study showed that theexisting riverbank material was ineffective in
improving the water from Class II to Class I.
Modification of the riverbank material is therefore
necessary. The addition of PAC improved several
water quality parameters except BOD, COD and DO,from Class II to Class I. However, the addition of
PAC up to 10% resulted in the reduction of the void
ratios which might lead to instability of the banks.
An alternative option to RBF would be theconstruction of artificial barriers on Lake Chiniriverbanks to improve its water quality so as to be fit
for drinking and other consumption purposes.

Fig. 2. Pressure – void ratio relationships
applied pressure. Similar observation on the
behavior of soil modified with GAC and PAC was
reported by Malusis et al. [19]. Calculation of thecompression index was carried out using Eq. 1
following Herrero [28].

  2 γ
Cc 0.185 Gs  w   − 0.144=
  γ d  

ACKNOWLEDGEMENTS
The authors would like to express their gratitude
to Universiti Malaysia Pahang for providing
financial support under RDU 130384.
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[5] Ebrahimpour, M., and Mushrifah, I. “Heavy
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Environmental monitoring and assessment, Vol.
141, No.1-3. 2008. pp. 297-307.

where Cc is the compression index, Gs is the
specific gravity of soil solids, γ w is unit weight ofwater in kN/m3 and γ d is dry unit weight of soil in
kN/m3. The Cc values calculated were found to be
0.24 and 0.27 for unmodified soil and soil-PAC
mixture, respectively. Addition of PAC is expected
to cause slight reduction in the microstructural
rigidity of the soil skeleton [19]. Furthermore, since
the compressive strength of PAC is lower than soil,
rearrangement in the microstructure is expected tooccur.
These results also suggest that, the stability of ariverbank may be affected when modified with PAC,
even though some improvements in the water quality
were obtained (see Tables 1 and 2). The results alsosuggest that determination of appropriate percentage
of PAC is crucial in maintaining the stability of theriverbank without jeopardizing the water quality.
Construction of artificial barriers could therefore beconsidered as an alternative option to RBF in areas
where instability and volume change issues could
arise with riverbanks that are modified for RBF
purposes.
5.0 CONCLUSION
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319

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

STRENGTH OF SOFT CLAY REINFORCED WITH SQUARE AND
TRIANGULAR PATTERN ENCAPSULATED BOTTOM ASH
COLUMNS
Muzamir Hasan1,2, Nurul Aina Husaini2 and Norhayani Pangee2
Centre for Earth Resources Research & Management, Universiti Malaysia Pahang, Malaysia;
2
Faculty of Civil Engineering & Earth Resources, Universiti Malaysia Pahang, Malaysia

1

ABSTRACTSoft clay is known as problematic soil that consists of low shear strength, low permeability and highcompressibility where the existing soil on the given site is unable to carry the load of proposed structure by itself,
so the use of ground improvement is necessary. The stone columns are increasingly being used as ground
improvement technique for supporting a wide variety of structures including buildings and flexible structures. In
practice, the bearing capacity on soft clay can be improved by a layer of compacted sand or gravel. Bottom ash
as by product of coal burning that has similar properties to granular material can be applied as one of thestabilizing method to the existing soil. Hence, by using bottom ash as substitute, the cost of construction can be
reduced and make great progress of a growing awareness of the environmental consideration. This research
discusses the results of the improvement in the shear strength of soft clay after being reinforced with a group ofsquare and triangular encapsulated bottom ash columns. The physical and mechanical properties of the materials
used such as kaolin and bottom ash were determined first. The results show that kaolin can be classified ad
clayey soil and bottom ash has similarities of characteristic with granular material. A total of 52 unconfinedcompression tests had been conducted on kaolin specimens to determine the shear strength. The diameter for
specimen is 50 mm and 100 mm in height. The diameter of bottom ash columns are 10 mm and 16 mm
respectively and the height of the column are 60 mm, 80 mm and 100 mm. The group columns have beenarranged in square and triangular pattern. It can be concluded that the shear strength parameters were improved
based on the different diameter and the height of the column.
Keywords: Soft clay, Encapsulated, Bottom Ash, Columns

significant aspect is to protect environment sincemore solid waste are produced from day to day. The
selection of the correct ground improvement
technique can have significant effect on foundation
choice and can often lead to more economicalsolutions when compared to traditional approaches.
It is noted that by nature, the existing soil on thegiven site unable to carry the load of proposed
structure by itself, so the use of ground improvement
is necessary. Considering for instance soft clay withrelatively low shear strength, two kinds of column
reinforcement techniques might be envisaged. Oneof the techniques is stone column technique which
consists in introducing within the soft clay a vibrocompacted stone or ballast material.
The soil improvement directly depends on the
stress distribution between soil and column. Stone
columns act mainly as rigid inclusions with a higher
stiffness, shear strength and permeability than thenatural soil and the effects or improvements causedby these three properties were independently studied
by different solutions (Castro et al. [6]).The soil
types need to be enhanced in order to allow building
and other heavy construction, so it is necessary tocreate stiff reinforcing elements in the soil mass
(Zahmatkesh and Choobbasti [7]). The stone column

INTRODUCTION
The stone column technique, also known asvibro-replacement or vibro-displacement, is aground improvement process where vertical columnsof compacted aggregate are formed through the soils
to be improved. Pivarc [1] stated that the stone
column technique has adopted in European countries
in the early 1960s. The stone columns technique is
one of the most used techniques for ground
improvement processes all over the world among
various methods of soft soil improvement. In
practice, the bearing capacity on soft clay can be
improved by a layer of compacted sand or gravel.
Many researchers have developed theoreticalsolutions for estimating the bearing capacity andsettlement of foundations reinforced with stone
columns. On the research done by Hughes [2], it isfound that bulging is the one of the mode to show
the characteristic of stone column. The experimental
and numerical analysis on singles and group stone
column were conducted by Ambily and Gandhi [3],Black et al. [4] and Hasan et al. [5].
Ground improvement techniques continue tomake great progress of a growing awareness of theenvironmental and economic consideration. The
320

SEE-Osaka, Japan, Nov. 21-23, 2016

consists of granular material such as crushed
aggregates or sand.
Coal is being one of the main sources of energy
in our country fuelling about 40% of the total. Twokinds of coal waste products consist of fly ash andbottom ash. Based on the findings by Singh andSiddique [8], bottom ash forms up to 25% of thetotal ash and fly ash forms the remaining 75%.
Muhardi et al. [9] has reported that the Tanjung Bin
power station is one of the four coal power plant in
Malaysia, producing 180 tons/day of bottom ash and1620 tons/day of fly ash from 18000 tons/day of coalburning As well known, coal bottom ash is formedin coal furnaces. Bottom ash by product of coalburning as stone column can be apply as one of thestabilizing method to the existing soft soil before
construction to reduce the unacceptable settlement
and improve the load bearing capacity of thefoundations.
Soft clay is known as a problematic soil and thedesign of foundation on soft clay has been theconcern of engineers since the beginning of soil
engineering. Soft soil foundations can cause
excessive settlement, initiating undrained failure of
the infrastructure if proper ground improvement is
not carried out (Indraratna et al. [10]). The
substitution of granular material such as coal bottom
ash could lead to significant effect on soft clay
improvement. According to Marto et al. [11]), coalis one of natural resources that existed due to thechemical and geological alteration of materials
formed by plants over tens or hundreds of millionsof year in the past.
The utilization of waste material is one of thebest techniques to achieved sustainable development(Hasan et al. [5]). Most of the waste disposals arebeing dumped near the factory. Hence, it will
increase the expenses as there need to obtain large
areas of dump yard. In construction industry, theutilization of coal ash which needs large quantity ofmaterial shows the problem of coal ash disposal.
Other than that, the power industry need to takeresponsibility of disposal unused coal ash and finallyplaces a concern to the electricity consumer. It has
been reported that the Tanjung Bin power plantneeds about 18,000 tons/day of coal to generate
electricity (Marto et al., [11]).
However, the large quantity disposal of coal ash
in landfills will be considerable concern to an
environmental issues and creating to the increase
requirement for disposal space. The disposal of coalash becomes an environmental issues due to coalbottom ash is simply disposed of on open land.
Environment concerns are increasing day by day
because the disposal of bottom ash is risk to humanhealth and the environment. The method of burning
the residues create the fuss of environmental
problem which it generates air pollution.
Previously, stated that there is strongly

possibility of coal bottom ash being as substitute as
granular material for ground improvement technique.
The using of bottom ash as an alternative to replace
the natural sand in produced concrete. Bottom ash
use in concrete is important to show the fact thatsources of natural sand are getting depleted
gradually. The methods of burning the residues often
become environmental issues which generates air
pollution. But, if in the positive side, it is analternative method that has provided to optimize theusage of waste as product in construction industry.
METHODS
Preparation of Samples
The soft clay was prepared using customized
compaction method and bottom ash columns (BAC)
had been installed in the soft clay using the
replacement method. Every kaolin specimen was
created with 50 mm in diameter and 100 mm inheight. The kaolin was air dried and then mixed with
20% of water which is the optimum moisture
content of the kaolin. After uniform mixing of kaolin
and distilled water, the 341 g of wet kaolin was
required to fill into the customized mould to create
one test specimen. The kaolin was poured into thecustomized mould in 3 layers. Every layer wascompacted with 5 free fall blows by customized
steel extruder. The customized mould was designed
so that the amount of clay using inside it will becompressed into a 50 mm diameter and 100 mm
high of specimen. By this uniformity, the dimension
and volume of each specimen could be maintainedsince the mass and volume of the mould were almost
same.
Installation of Bottom Ash Column
One batch of kaolin specimen had 52 samples
with 50 mm in diameter and 100 mm in height. Eachbatch of kaolin specimen contains the same
penetration ratio which is 0, 0.6, 0.8 and 1.0, butdifferent size diameter of columns and area
replacement ratio. The sample without any
reinforcement of bottom ash which is 0 penetration
ratio was used as the ‘controlled sample’ todetermine the shear strength of unreinforced sample.
Unconfined compression test was applied to test
every same penetration ratio for four times to obtainan average value. For installation of bottom ash, theholes were drilled in square and triangular fordifferent sizes with 10 mm and 16 mm in different
height of 60 mm, 80 mm and 100 mm. The raining
method was used through the process of installationand densification of bottom ash. The, the nonwoven geotextile with 6 different holes has been321

SEE-Osaka, Japan, Nov. 21-23, 2016

Table 4. Based on the tests done kaolin clay, it canbe observed that kaolin clay had the similarity
characteristic with the soft clay. Meanwhile, bottom
ash was proven that are relatively similar to the
granular material such as sand and fine gravel.
Therefore, bottom ash has the potential to be used as
substitute for granular column.

encased for each sample.
There were four different batches of specimens
installed with geotextile tested as tabulated in Table
1. The replacement method was selected to remove
clay and created holes for the bottom ash column to
be installed. Fig. 1 and 2 show the detailed
arrangement of the columns with different area
replacement ratio.

Table 2 Summary of kaolin clay properties
Table 1 Sample with Variables of Bottom Ash
Installation
SampleNo. ofColumns3

DiameterofColumns
(mm)
10

Area
Ratio,
A c /A s
(%)
12.0

A
B

3

16

30.72

C

4

10

16

D

4

16

40.96

Properties
Liquid Limit
Plastic Limit
Plasticity Index
Specific Gravity
Falling Head Permeability
Standard Compaction
Characteristic:-Maximum dry density, ρ d max-Optimum moisture content ,w opt
Soil Classification-(AASHTO)-USCS (Plasticity Chart)

Height ofPenetration Ratio(H c /H s )0, 0.6, 0.8 ,1.00, 0.6, 0.8 ,1.00, 0.6, 0.8 ,1.00, 0.6, 0.8 ,1.0Result41.3%
31.25%
10.05%
2.62
1.124 x 10-9 m/sec
1.58 kg/m3
20%
A-7-6bML

Table 3 Summary of bottom ash properties

Fig. 1 Detailed Columns Arrangement for 12%
and 16% Area Replacement Ratio

Properties

ResultParticle Size Range

2 mm to 0.6 mm

Relative Density Test

98%

Specific Gravity

2.33

Constant Head
Permeability
Standard Compaction
Characteristic:-Maximum dry density, ρ d1.57 x 10-3 m/sec

1.34kg/m3

max- Optimum moisture
content , w opt
Shear Strength
Shear Test)- Cohesion- Friction Angle
Fig. 2 Detailed Columns Arrangement for 30.72%
and 40.96% Area Replacement Ratio

21.75%(Direct
89.71 kPa23.93oTable 4 SummaryofPolysterNon-woven
Geotextile Needle punched properties (MTS 130)

RESULTS
Properties (Typical)

Unit

MTS 130

Summary of Main Materials
Material
Table 2 and 3 show the summary of theproperties of kaolin clay and bottom ash. A
summary of non-woven geotextile was tabulated in

Unit Weight, ɣ

322

Polyster
g/m2

130

SEE-Osaka, Japan, Nov. 21-23, 2016

Thickness

mm

1.08

Mechanical Properties

Unit

MTS 130

Max. Tensile Strength,
MDMax. Tensile Strength,
MD
Elongation at Max.
Tensile Strength, MD
Elongation at Max.
Tensile Strength, CD
CBR puncture
strength
Trapezoid Tearing
Strength, MD
Trapezoid Tearing
Strength, CD
Index puncture
Strength, MD
Apparent opening size

kN/m

10.0

kN/m

9.3

%

56.0

%

84.0

kN/m

2.2

µm

140

Vertical permeability

cm/s

0.27

Grab Tensile Strength,
MD
Grab Tensile Strength,
MD

N

620.2

N

350

N

280

N

310.3

N

axial stiffness of the specimens increase after being
reinforced by triangular bottom ash column. Similar
behavior was obtained in 16% and 40.96% area
replacement ratio with different penetration ratio (0,0.6, 0.8 and 1.0) and the graph were plotted asshown in Fig. 5 and 6 respectively. Both triangularand square pattern of bottom ash columns
reinforcement increase the stiffness of the specimens.
Table 5 Average stress and average axial strain atdifferent replacement ratio and different penetration
ratio
Area replacement
ratio, A c /A s (%)

Height ofpenetration
ratio,
H c /H s

Average
Stress(kPa)

Average
Axial
Strain
(%)

0

0

18.88

1.79

0.6

19.45

1.37

0.8

28.23

1.82

1.0

22.11

1.35

0.6

24.12

1.86

0.8

27.54

1.93

1.0

25.25

1.78

0.6

22.12

1.3

0.8

19.62

1.23

1.0

19.07

1.43

0.6

21.48

2.26

0.8

19.68

1.55

1.0

20.82

1.45

12%

16%

668..030.72%

Unconfined Compression Test
Stress-Strain Behaviour under Axial Load
A total of 52 unconfined compression test (UCT)
had been conducted on kaolin specimens todetermine the shear strength of soft clay reinforced
with bottom ash column. Each batch of kaolin
specimen contains the same penetration ratio, which
is 0, 0.6, 0.8, and 1.0, but different size diameter ofcolumns and area replacement ratio. Unconfinedcompression test was applied to test every same
penetration ratio for four times to obtain an averagevalue. The sample without any reinforcement ofbottom ash, which is of 0 penetration ratio, was usedas the ‘controlled sample’ to determine the shear
strength of unreinforced sample. The non-woven
geotextile with 6 different sizes as same as thedrifted holes has been encased for each samples.
The values of average stress and average axial strainfor ‘controlled sample’ and specimens reinforced
with triangular and square pattern of bottom ash
columns had been tested under UnconfinedCompression Test were tabulate in the Table 5. The
stress-strain responses of 12% and 30.72% area
replacement ratio at different penetration ratio (0,0.6, 0.8 and 1.0) were plotted in Fig. 3 and Fig. 4,
respectively. From the graph, the shear strength and40.96%

Fig. 3 Average Stress versus Axial Strain for 12%
area replacement ratio323

SEE-Osaka, Japan, Nov. 21-23, 201640.96% area replacement ratio
Effect of Bottom Ash Columns on Shear Strength
Table 6 shows the result of shear strength for‘controlled sample’ and samples reinforced withdifferent diameters for both triangular and square
pattern of bottom ash at different column penetration
under Unconfined Compression Test (UCT).
For triangular bottom ash column reinforcementwith 12% area replacement ratio, the increase inimprovement shear strength are 3.05%, 49.54% and17.09% at sample penetration ratio, Hc/Hs of 0.6,0.8
and 1.0 respectively. As for 30.72% area
replacement ratio, the improvement shear strengths
are 17.16%, 3.9% and 1.03% for 0.6, 0.8 and 1.0 ofsample penetration ratio respectively.
Meanwhile, for square bottom ash column
reinforcement with 16% area replacement ratio, theincrease in improvement shear strength are
27.74%,45.88% and 33.75% at sample penetration
ratio, Hc/Hs of 0.6,0.8 and 1.0 respectively. Whilefor 40.96% area replacement ratio, the increasing of
improvement shear strength are 13.78%, 4.24% and10.25% at 0.6, 0.8 and 1.0 sample penetration ratio
respectively. The shear strength of triangular andsquare pattern reinforced with bottom ash column
was increased significantly compared to the samples
without reinforcement.

Fig. 4 Average Stress versus Axial Strain for
30.72% area replacement ratio

Fig. 5: Average Stress versus Axial Strain for 16%
area replacement ratio

Table 6 Result of Unconfined Compression Test

Fig. 6

Average Stress versus Axial Strain for324

SEE-Osaka, Japan, Nov. 21-23, 2016

Sample

No ofColumns

ColumnDiameter
(mm)

C

0

0

Batch 1

3
3
3

10
10
10

Batch 2

3
3
3

16
16
16

Batch 3

4
4
4

10
10
10

Batch 4

4
4
4

16
16
16

Area Ratio,
A c /A s (%)

ColumnColumn Height
HeightPenetration(mm)
Ratio, H c /H s
Controlled Sample
000Triangular Column (10 mm)
60
0.6
12
80
0.8
100
1.0
Triangular Column (16 mm)
60
0.6
30.72
80
0.8
100
1.0
Square Column (10 mm)
60
0.6
16
80
0.8
100
1.0
Square Column (10 mm)
60
0.6
40.96
80
0.8
100
1.0

Shear
Strength(kPa)

Improvement
Shear Strength
(%)

18.88

0

19.46
28.23
22.11

3.05
49.54
17.09

22.12
19.62
19.07

17.16
3.9
1.03

24.12
27.54
25.25

27.74
45.88
33.75

21.48
19.68
20.82

13.78
4.24
10.25

Effect of Height Penetration Ratio
Effect of Bottom Ash Columns on Shear Strength
Fig. 8 shows the increment of improvement shear
strength at different height penetration ratio (0.6, 0.8
and 1.0) for triangular and square patternencapsulated bottom ash column respectively. The
percentage of improvement shear strength increased
as the column penetration of bottom ash is increased.
This is due to where the amounts of soil replaced bystiffer material which is bottom ash that help
increase the strength improvement of the specimens.
The result is in line with the previous research which
done by Hasan et al. [5], who explained the shear
strength of soft clay was increased as the height ofthe column increased. The improvement of shear
strength for group column is in line with the increaseof height of the bottom ash column.

Improvement shear strength versus area
replacement ratio is shown in Fig. 7, Ac/As oftriangular and square pattern for area 12%, 30.72%,
16% and 40.96% with sample penetration ratio at
0.6, 0.8 and 1.0 respectively. For triangular
encapsulated bottom ash column, the performance of
12% area replacement ratio contribute the greater
increment in improvement shear strength compare to
30.72% area replacement ratio. While, the squareencapsulated bottom ash column with area
replacement of 16% has the greater value in
improvement shear strength compare to area 40.96%.
This is due to the area replacement of column is too
big. As reported by Malarvizhi and Ilamparuthi [12],when the encased stone column is subjected tovertical load, the column material tends to dilate andinduces lateral pressure.

Fig. 8 Improvement Shear Strength versus Height
Penetration Ratio
Fig. 7 Improvement Shear Strength versus Area
Replacement Ratio

Based on figure above, it shows that the samples
triangular partially reinforced with bottom ash
column at 0.8 penetration ratio with area penetration
12%, the improvement shear strength is much higher
compared to partially at 0.6 and fully-reinforced at
1.0 with area 30.72%. Similar to triangular column,
the square partially penetrating column at 0.8 witharea penetration ratio of 16% gives high increment
in improvement shear strength compared to partially

The results show that as the shear strength
decrease as the diameter of the bottom ash columns
increase. The results are in contradicted with theresults done by Maakaroun et al. [13]. They
explained that as the reinforcement area ratio
increased, both the stiffness and shear strength of thespecimens increased.

325

SEE-Osaka, Japan, Nov. 21-23, 2016

RDU150112, respectively. The cooperation given by
all parties involved in this research is greatly
acknowledged.

at 0.6 and fully-reinforced at 1.0 with area 40.96%.
It proves that the improvement shear strength does
not depend on area penetration only, but the heightpenetration ratio of bottom ash column as well.
The result from this study is in line with the‘critical column length’ idea proposed by McKelvey
et al. [14], Maakaroun et al. [13] and Hasan et al. [5]where there is no improvement in shear strength
beyond the ‘critical column length’. Results of theexperimental investigations indicate that ‘criticalcolumn length’ occurred particularly in the top 4 to 5
diameter of the column. The column length greaterthan five diameters may no longer participate inincreasing the load carrying capacity of softcohesive clays attributed to the brittleness of bottom
ash; the risk of the column to fail is higher beyond
this critical length.

REFERENCES[1] Pivarc J, “Stone Columns-Determination of theSoil Improvement Factor”, Slovak Journal of
Civil Engineering. Vol. XIX, No. 3, 2011, pp.
17-21.
[2] Hughes JM, “Reinforcing of soft cohesive soil
with stone columns”, Ground Engineering. 7 (3),1974, pp. 42-49.
[3] Ambily AP & Gandhi SR “Behavior of Stone
Columns Based on Experimental and FEM
Analysis”, Journal of Geotechnical andGeoenvironmental Engineering, American
Society of Civil Engineers (ASCE), 2007.
[4] Black J, Sivakumar V & McKinley JD,“Performance of Clay Samples Reinforced with
VerticalGranular
Columns”,
Canadian
Geotechnical Journal”, 44, 2007, pp. 89-95.
[5] Hasan M, Marto A, Hyodo M. & Makhtar AM,“The Strength of Soft Clay Reinforced with
Singular and Group Bottom Ash Columns”,
Electronic Journal of Geotechnical Engineering.
Vol. 16 (M), 2011, pp. 1215-1227.
[6] Castro J, Cimentada A, Costa AD, Canizal J, &Sagaseta C, “Consolidation and Deformation
around Stone Columns: Comparison ofTheoreticalandLaboratory
Results”,
Computers and Geotechnics. Vol. 68, 2012, pp.
326-337.
[7] Zahmatkesh A, & Choobasti AJ, “Settlement
Evaluation of Soft Clay Reinforced By Stone
Columns”, Department of Civil Engineering,
Babol University of Technology, Babol, Iran,
2010.
[8] Singh M & Siddique R, “Compressive Strength,
Drying Shrinkage and Chemical Resistance ofConcrete Incorporating Coal Bottom Ash as
Partial or Total Replacement of Sand”,
Construction and Building Material, Vol. 68,
2014, pp. 39-48.
[9] Muhardi, Marto A, Kassim KA, Makhtar AM,
Wei LF, & Lim YS, “Engineering Characteristicof Tanjung Bin Coal Ash”, Electronic Journal of
Geotechnical Engineering, (EJGE), 2010.
[10] Indraratna B, Rujikiatkamjorn C, & Sloan SW,“Coupled Discrete Element-Finite Difference
Method for Analyzing the Load-Deformation
Behavior of a Single Stone Column in SoftSoil”, Computers and Geotechnics. Vol. 63,
2015, pp. 267-278.
[11] Marto A, Hasan M, Makhtar AM, & Othman
BA “Shear Strength Improvement of Soft Clay
Mixed with Tanjung Bin Coal Ash”, APCBEE
Procedia, 2013, pp. 116-122.

CONCLUSIONS
The improvement of shear strength for grouptriangular and square column is in line with theincrease of the height of the bottom ash column. It
proves that the improvement shear strength does notdepend on area penetration only, but the heightpenetration ratio of bottom ash column as well. The
samples triangular partially reinforced with bottom
ash column at 0.8 penetration ratio with area
penetration 12%, the improvement shear strength ismuch higher compared to partially at 0.6 and fullyreinforced at 1.0 with area 30.72%. Similar to
triangular column, the square partially penetratingcolumn at 0.8 with area penetration ratio of 16%
gives high increment in improvement shear strengthcompared to partially at 0.6 and fully-reinforced at
1.0 with area 40.96%.
The results proved there is no improvement inshear strength beyond the ‘critical column length’.
The column length greater than five diameters may
no longer participate in increasing the load carrying
capacity of soft cohesive clays due to the brittlenessof bottom ash, the risk of the column to fail is higher
beyond the critical length. The results show that in
the area ratio of 12%, shows more significant
improvement at penetration 0.8 of bottom ash
column. Hence, it can be concluded that both area
replacement ratio and height penetration ratio
possessed an important role in improving the shear
strength of the sample.
ACKNOWLEDGEMENTS
The authors would like to acknowledge theUniversiti Malaysia Pahang (UMP) and Ministry ofHigher Education Malaysia for financing thisresearch through the UMP Short Term Grant RDU
140373 and Fundamental Research Grant
326

SEE-Osaka, Japan, Nov. 21-23, 2016[12] Malarvizhi & Ilamparuthi, “Comparative Studyon the Behavior of Encased Stone Column andConventional Stone Column”, Soils andFoundations, Japanese Geotechnical Society,Vol.47, No. 5, 2007, pp. 873-885.
[13] Maakaroun T, Najjar SS, & Sadek S, “Effect ofSand Columns on the Load Response of Soft
Clays”, International Foundation Congress andEquipment Expo, American Society of Civil
Engineers (ASCE), 2009, pp. 217-214.

[14] McKelvey D, Sivakumar V, Bell A, & GrahamJ, “Modelling Vibrated Stone Columns in SoftClay”, Geotechnical Engineering, 127, 2004, pp.
137-149.

327

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

MODEL TEST AND NUMERICAL ANALYSIS ON THE EFFECT OF
THE LENGTH AND INTERVAL OF THE FACE BOLT IN SANDYTUNNEL
Yoshifumi Taguchi 1
1

Department of Comprehensive Engineering, Urban Environment Course, Kindai University TechnicalCollege, Japan

ABSTRACTIn the tunnel excavating unconsolidated sand layer of urban areas, it is important to stabilize the tunnel
cutting face and to prevent the surface settlement. Therefore, the long face bolts are used by this purpose. As theeffect of the face bolts for the cutting face stability and the surface settlement control, it is thought thatreinforcing effects are different according to length and the interval. In this study, we changed the length and theinterval of the face bolts by the two-dimensional model test used Toyoura-sand and examined the influence levelon the effect of the face stability and the surface settlement. As a result, when the length of the face bolt is longer
than 0.3H（H: cutting face height）, the reinforcing effect of the cutting face becomes higher. It is small in
length 0.2H. For the surface settlement, when the length of the face bolt is longer than 0.5H, the reinforcing
effect becomes higher. Moreover the face stabilizing effect is higher better installation interval of the face bolt issmall. In bolt’s installation interval 0.2H, face stabilizing effect and surface settlement control effect is high, butbolt’s installation interval 0.5H is small. In addition, we examined the reinforcing effect and the mechanism of
the face bolts by a numerical analysis using the finite element method.
Keywords: Tunnel, Face bolt, Numerical analysis, Model test, Unconsolidated sandy soil

INTRODUCTION

and 15cm in depth. As shown in Fig. 3, Tunnel partof the model is the two-dimensional cross section of
the longitudinal direction taken along the center of
the actual tunnel cross section, a rectangular crosssection of the cutting face model is 15cm in heightand 15cm in width. In this test, a cutting face bolt
modeled with a thin Kent paper thicknesses 0.12mm
of a flat plate shape, was placed at a predeterminedinterval in cutting face, as shown in Fig. 3.

In the tunnel excavating unconsolidated sandy
layer in NATM as shown in Fig.1, it is important tostabilize the tunnel cutting face and to prevent thesurface settlement. Therefore, the various auxiliary
methods of tunnel construction are used by thispurpose, and it becomes the effective method todrive the long face bolts recently [1]-[2]. As theeffect of the face bolts for the cutting face stability
and the surface settlement control, it is thought thatreinforcing effects are different according to lengthand the interval [3]-[8].
In this study, we changed the length and theinterval of the face bolts by the two-dimensionalmodel test used Toyoura-sand and examined theinfluence level on the effect of the face stability andthe surface settlement[9]-[11]. In addition, we
evaluated the reinforcing effect and thereinforcement mechanism of the face bolts by anumerical analysis using the finite element method.

Building
House

Ground Surface

Sandy

soil

Shotcrete andsteel support

OUTLINE OF MODEL TEST
TunnelModel Test Equipment
A model test equipment shown in Fig. 2. The
size of the soil tank is 65cm in height, 80cm in width,

Cutting faceLong face bolt

Fig.1 MATM tunnel in unconsolidated ground(face bolt combination)
328

SEE-Osaka, Japan, Nov. 21-23, 2016

length of the face bolt model (Kent paper) waschanged 15cm (1.0H, H: cutting face height ofmodel tunnel), 7.5cm (0.5H) and 3cm (0.2H).
Further, the installation interval was changed 7.5cm(1-stage), 5cm (3-stage) and 3cm (5 -stage), it was
examined the influence.

The model test reproduced the excavation bypulling out the tunnel cutting face model by a screw
jack. Upon reaching a predetermined pull-out
amount was measured the load acting on the tunnel
cutting face and the surface settlement. The load
acting on the tunnel cutting face sets the load-cell on
the back side of the tunnel cutting face, wasmeasured change of the load in accordance with thepull-out.

Test case1234Model ground was used Toyoura-sand of the airdried state. The model sand was free-fall from theoutlet of a fixed size at the position of the height
60cm, and the model ground was introduced tooverburden thickness 30cm (2.0H). The density ofthe sand is 1.54g/cm3.
The pull out of the tunnel, one by 0.2mm up to 0～2mm, one by 0.5mm up to 2～10mm, one by
1mm up to 10 ～ 15mm was carried out. The
measurement of the surface settlement used a
displacement gauge. It was placed in five locationsin the 10cm interval.

Fig.2 (a) Model test equipment (Photo)

Front

Side
view

view

Table 1 Case of model test
length（ℓ）
Installation interval
Non-reinforced
15.0cm (1.0H)
1,3,5-stage
7.5cm (0.5H)
1,3,5-stage
3.0cm (0.2H)
5-stage

Overview of the Model Test Results
Surface settlement (non-face bolt)

Displacementgauge

Figure 4 shows the change in surface settlement
due to tunnel cutting face pull-out when there is noface bolt. The measurement point just above the face,
and front 10cm, 20cm, 30cm and 40cm from thecutting face just above. It is the point of the rear
10cm from the cutting face just above. The surface
settlement of the point of the cutting face
immediately above and the front 10cm is large. With
the pull-out amount of the cutting face increases, thesurface settlement is increasing linearly.

Sand

Sand
Cutting face

Load cell

Fig.2 (b) Model test equipment (unit mm)

Pull-out amount (mm)Face bolt model (Kent-paper)

Surface settlement (mm)Packing

Face
Pull-outby jack

Supportplate

Load cell

Face backward 10cm
Face just above
Face forward 10cm
Face forword 20cm
Face forword 30cm
Face forword 40cm

Fig.3 Cutting face part enlarged view (unit mm)
Fig.4 Surface settlement due to the pull-out(non-reinforced)

Table 1 shows the case of the model test. The
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The reason for this surface settlement has
increased because its position is within the range ofthe sliding surface of the ground. The surface
settlement amount at the position of the cutting facebehind 10cm and face forward 20cm~40cm is small
and the surface settlement is not significantly
increased even if the pull-out amount of the cutting
face is increased. The reason is because the surface
settlement is not significantly increased in order tothat position the outside than the range of the sliding
surface.

Surface settlement (mm)Distance from tunnel cutting face (cm)□ Non-reinforced△ L=7.5cm, 1-stage○ L=7.5cm, 3-stage◇ L=7.5cm, 5-stage

Fig.6 Surface settlement curve(Longitudinal direction, on 15mm pull-out)
the face bolt length 15cm (1.0H), 7.5cm (0.5H) and3cm (0.2H) in installation interval 5-stages.It shows
the surface settlement when pulled out 15mm (0.1H)
the cutting face. In the case of non-reinforcement areabout 7～8mm settlement at the point of the facefront 10cm. Although the settlement amounts of thesame degree in the face bolt length 15cm and length
7.5cm are about 2mm settlement, the control effectof settlement is high. On the other hand, in the facebolt length 3cm (0.2H), settlement amount has been
increased to about 4mm just above tunnel face, thecontrol effect of the settlement is small.

Surface settlement (using face bolts)
Figure 5 shows the change in surface settlement
due to cutting face pull-out in the case of the facebolt installed 5-stage at the installation interval 3cm
and length 15cm. The settlement measurement
points are the same as described above the non-facebolt case. The surface settlement amount of point of
the face above and face the front 10cm is slightly
larger. The maximum surface settlement at the timeof pull-out 15mm of tunnel face is about 2 mm, thesurface settlement than non-face bolt is considerably
suppressed.

Distance from tunnel cutting face (cm)Face backward 10cm
Face just above
Face forward 10cm

Surface settlement (mm)Surface settlement (mm)Pull-out amount (mm)□ Non-reinforced△ L=15cm, 5-stage○ L=7.5cm, 5-stage◇ L=3.0cm, 5-stage

Face forword 20cm
Face forword 30cm

Fig.7 Surface settlement curve(Longitudinal direction, on 15mm pull-out)

Face forword 40cm

Fig.5 Surface settlement due to pull-out(Bolt length 15cm, 5- stage)

Among the model test results, Table 2 shows acomparison of the surface settlement of each case.
The comparison position of the surface settlement isthe value of the position of the front 10cm from thecutting face just above. It is shown in detail inreference [4].

Surface settlement of the tunnel longitudinal
direction
Figure 6 shows the surface settlement of thetunnel longitudinal direction of the case changing
the installation interval in the case of face bolt length
7.5cm (0.5H). It shows the surface settlement whenpulled out 15mm (0.1H) of the cutting face. In thecase of non-reinforcement are about 6 ～ 7mm
settlement at the point of the face front 10cm. On theother hand, in the installation interval 5-stage and 3stage is a settlement of about 2mm, a settlement of
about 3mm in the 1- stage.
Similarly, Fig.7 show the surface settlement oftunnel longitudinal direction of the case changing

Table 2 Experimental results(Comparison of surface settlement)

330№

Test case１
２
３
４

Non-reinforced
length15cm, 5stage
length15cm, 3stage
Length7.5cm, 3stage

Surface settlement (mm)Pull-out
Pull-out
Pull-out
1.5mm
4.5mm
15mm
0.7
2.0
6.6
0.1
0.2
1.1
0.1
0.2
2.0
0.3
0.8
2.4

SEE-Osaka, Japan, Nov. 21-23, 2016

NUMERICAL ANALYSIS

Non-face bolts

Analysis Method and Model

The displacement mode diagram and contour
diagram of the horizontal displacement of theanalysis results are shown in Fig. 9 to 10. Figure 9 isdeformation diagram in the case where there is noface bolt, and Fig.10 is a contour diagram of thehorizontal displacement.
From the figure, the cutting face has swelledlarge, if ground strength is low, is expected to leadto face collapse. In addition, from the contour
diagram of the horizontal displacement, it has spreada large area of the horizontal displacement toward
the surface in the direction of the obliquely upward
45 °.

The analysis used the two-dimensional planestrain elastic analysis by the finite element method.
The analysis model is shown in Fig.8. Although theanalysis of the tunnel face portion is inherently
three-dimensional, used a two-dimensional crosssection in order to correspond to the model tests
described above.
The materials properties used in the analysis areshown in Table 3. The model ground used aquadrilateral element of the 4-node, the face bolt
used a beam element. The bending rigidity of thebeam element was a small value that can not be
resistance to bending due to the use of Kent paper
model test.
In accordance with the above-mentioned model
test, the tunnel excavation was simulated in a waythat extracting the elements of the shaded portion of
Fig.8. The stress release ratio as 100% was carriedout excavation analysis of the tunnel. For boundary
conditions, the soil tank’s bottom is a fixed bothvertical and horizontal directions, tunnel crown was
fixed condition in accordance with the model test.

Fig.9 Deformation mode diagram (non-face bolt)

Cutting face bolt

Fig.8 Analysis model and boundary conditions
Fig.10 Contour diagram of the horizontal
displacement (non-face bolt)

Table 3 Material properties

GroundFace bolt

Deformation
Modulus

Poisson's
ratio

moment ofinertia of area

1.0ＭＰa1.0×104MPa

0.3
－

－
1.0×10-7cm4Using face bolts
Figure 11 is a displacement mode diagram of theface bolt’s length 15cm (1.0H) in installationinterval 3-stages. Figure 12 is a contour diagram of
the horizontal displacement. From this figure, in theface bolt installation position have been suppressedswelling of the cutting face, the amount of horizontal
displacement is smaller. Moreover, the contour
diagram, a large area of deformation does not extend
toward the ground surface, the cutting face is stable,
it is expected that the surface settlement is reduced.
Figure 13 shows the axial force diagram of theAnalysis Results
Analysis was varied with the length of the facebolts 15cm (1.0H, H: face height) and 7.5cm (0.5H)
in correspondence with model test case of Table 2.
Moreover, was changed the face bolt’s installationinterval in the 3-stages and 5-stages.

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SEE-Osaka, Japan, Nov. 21-23, 2016

face bolt. From the axial force distribution, the axial
force is the largest is near the center of the face bolt,
the face bolts are functioning well as the role of theground anchor. The face bolt does not function as aground anchor, if the face bolt is pulled out, the axial

force distribution dose not become indicating amaximum near the center as shown in the figure, thedistribution shape becomes the largest near the
cutting face.
Comparison of the Model Test

Fig.11 Deformation mode diagram(Bolt’s length 1.0H, installation interval 3-stage)

Fig.12 Contour diagram of horizontal displacement(Bolt’s length 1.0H, installation interval 3-stage)

Table 4 is a comparison of the surface settlement
and the cutting face’s swelling amount to the model
test and numerical analysis results. Comparing theposition of the surface settlement is the position of
the face front 0cm ~ 15cm, was using the maximum
value. In the table is also shown the ratio of the caseof no face bolt in parentheses. Because it is elastic
analysis the amount of deformation of the ground is
proportional to the deformation modulus E.
Therefore, hereafter we described using the ratio of
the no face bolt’s case.
From this table, when inserting the face bolts andthe tunnel pull-out amount is small in 1.5mm or
4.5mm, which is an elastic state, the analysis resultof the settlement become larger. The poll-out
amount becomes large as 15 mm, the ground is
expected to become a plastic state, as compared tothe model test, the degree of deformation is well
reproducible.
Paying attention to the swelling amount of the
cutting face, in the case that the length of the facebolt is short and installation interval is large, it islarger than the trend of surface settlement. However,
the tendency of the reinforcing effect of the lengthand spacing of the face bolt is able to reproduce.
From these results, the numerical analysis of the facebolt using the elastic analysis can obtain an analysis
result of the safety side with respect to thereinforcing effect of the cutting face bolt.
CONCLUSION

Fig.13 Axial force mode of face bolts(Bolt’s length 1.0H, installation interval 3-stage)

The two-dimensional longitudinal direction of
the model tests using Toyoura -sand, was examined
influence of the surface settlement by changing the
installation interval and the length of the cutting facebolts. Moreover, we examine the reinforcing effectand the reinforcement mechanism of the cutting facebolt using a numerical analysis method by the finite
element method. As a result, it was found that thefollowing.

Table4 Comparison of numerical analysis and model test results
№
１
２
３
４

Test caseNon-reinforced
length15cm, 5stage
length15cm, 3stage
Length7.5cm, 3stage

Surface settlement of model test (mm)Pull-out
Pull-out
Pull-out
1.5mm
4.5mm
15mm
0.7(1.0)
2.0(1.0)
6.6(1.0)
0.1(0.1)
0.2(0.1)
1.1(0.2)
0.1(0.1)
0.2(0.1)
2.0(0.3)
0.3(0.4)
0.8(0.4)
2.4(0.4)
332

Result of numerical analysis
Settlement
Swelling offace
2.8(1.0)
3.3(1.0)
0.8(0.3)
1.1(0.3)
1.2(0.4)
2.0(0.6)
1.9(0.7)
2.6(0.8)

SEE-Osaka, Japan, Nov. 21-23, 2016

Compared to the model test results, in theregion where the tunnel pull-out amount is small andthe natural ground seems to be within the elastic
range, an elastic analysis result has a bigger ratio of
the settlement. When the pull-out amount of the
cutting face is as large as 15mm, and the groundbecomes the plastic state, the elastic analysis results
show the same tendency as the model test results.
For the elastic analysis, the swelling amount of the
cutting face is larger in the case that the length of theface bolt is short and installation interval is large.
However, the tendency of the surface settlement
control effect is consistent. The numerical analysisof the face bolt using the elastic analysis canobtained of the safety side analysis results withrespect to reinforcing effect of the natural grounddeformation by the cutting face bolt.

[5]Mitarasi Y, Matsuo T,Tezuka T,Okamoto
T,Nisimura S,Matsui T,”Evaluation of effect oflong face reinforcement method in tunneling”,
Japan Society of Civil Engineers, No.743,Ⅲ-64，
SEP.2003,pp.213-222.(in Japanese)[6]Miyanomae
S,Morita
A,Sakai
T,MatsuiM,Nasimoto Y,Okubo S, “A proposal of thesimplified model to evaluate the effect of long
bolting”, Journal of Japan Society of Civil
Engineers, Ser. F,vol.62,No. 2,APR.2006,pp258267(in Japanese)[7]Domon T, Seo K, Nishimura K, ”Simplified
design method for face bolting based on thereinforcing effect”, Journal of Japan Society of
Civil Engineers, Ser. F1,Tunnel Engineering, vol.
66, No. 1,NOV.2010,pp.29-39.(in Japanese)[8]Yokota Y,Yamamoto T,Date K, ”Evaluation ofreinforcing effects on new face bolts using steal
checker pipes by centrifuge model tests and 3Dnumerical analysis”, Journal of Japan Society of
Civil Engineers, Ser. F1,Tunnel Engineering, vol.
67, No. 3,2011 ,pp.67-79.(in Japanese)[9] Tanaka T, Taguchi Y, ” Model Test on
reinforcing effect of the long face bolt in
unconsolidated sand”, Chubu branch Japan
Society of Civil Engineering,Mar.2010, pp 297298. (in Japanese)[10] Taguchi Y, Tanaka T,” Model test on the effectof reinforcing the face bolt in unconsolidated
sand tunnel”, Kindai University TechnicalCollege Research Reports, vol.4, JAN.2011,
pp.79-84. (in Japanese)[11] Taguchi Y, Tabira T, ”Model test on tunnel facestabilizing effect of the face bolt”, Kindai
University Technical College Research Reports,
vol.6, MAR.2013,pp.71-76.(in Japanese)

REFERENCES[1]The Japan Geotechnical Society, “Toconstruction from the design of the mountaintunnel construction method”, 2007, pp.140-141.
(in Japanese)[2] Japan Society of Civil Engineers,”Practice ofmodel experiments and numerical analysis in themountain tunnel”, 2006,pp.22-59. (in Japanese)[3]Fukusima S, Mochizuki Y,Kagawa K, Yokoyama
A, “Model test on pre-reinforcement of shallow
tunnel in sandy ground”, Japan Society of Civil
Engineers, No.406, Ⅲ -11 ， JUN.1989,pp.7986.(in Japanese)[4] Taguchi Y, Kagawa K, Sagara M, Yoshikawa K,“ Reinforcing effects of thin flexible prelining”, Japan Society of Civil Engineers, No.
645,Ⅲ-50,Mar.2000, pp.125-135. (in Japanese)333

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

INTEGRAL FRAMEWORK FOR SUSTAINABILITY MANAGEMENTIN CIVIL ENGINEERING WORK
Vanissorn Vimonsatit1, Chandana Kulasuriya1, Priyan Dias2
Department of Civil Engineering, Curtin University, Perth, Western Australia
2
Department of Civil Engineering, University of Moratuwa, Sri Lanka

1

ABSTRACTWith the need to maintain global sustainability, achievements in a civil engineering project are not just to meet
the typical triple goals (time, cost, and quality), but also other sustainability goals and requirements. This paper
presents an overview of an integral framework created to achieve sustainability objectives in civil engineering
related works. This research focusses on devising an innovative tool by incorporating the context of quality
management system according to ISO9001 requirements. The tool is based on the Integral Sustainability
Framework, called All Octants All Levels (AOAL) Framework, which has been expanded from the eminent Ken
Wilber’s All Quadrants All Levels (AQAL) Framework. The developed tool provides a generic framework forassessing sustainability quadrants, which are ‘objective’, ‘inter-objective’, ‘subjective’, and ‘inter-subjective’entities, as well as the expanded octants which highlight the need to consider the certainty and uncertainty
aspects of the assessments. An example is provided to demonstrate how to use the tool to consider integral
sustainability of a civil engineering project. The results show that sustainability management can be facilitatedby using the tool to reduce the risks and to meet the targeted outcomes.
Keywords: integral theory, civil engineering, integral sustainability, ISO 9001, sustainability management

other words, a research of this nature demands a
critical paradigm, which uses a reflective dialogic
method [3].
The integral theory introduced by an eminent
philosopher, Ken Wilber, in the late 1990s is
considered one of the major philosophical paradigm
shifts in the post-post-modern era. The theory
integrates four types of realities, namely, subjective,
inter-subjective, objective and inter-objective
realities. De Kay [4] applied integral theory forsustainable design of architecture by considering thefour realities in a form of All Quadrants All Levels(AQAL). However, not until the work by Kulasuriya
and Vimonsatit [5] had the integral theory been
adopted for sustainability in Civil Engineering.
Further, Kulasuriya et al [6], [7] has extended the
AQAL framework to distinguish the certainty anduncertainty aspects when investigating the four
realities.
This paper presents an integrated framework for
managing sustainability in civil engineering work.
An integrated framework is created to incorporate
the quality management system framework outlinedin ISO9001-2015 [8]. Then, based on recent
research into an Integral Sustainability Framework
for Alkali Pozzolan Cement, the developed Octaoctant framework [7] is adopted to create an
integrated sustainability management framework.
The new framework is outlined generically for aconstruction project, which is typical of civilengineering work. An example is also provided to

INTRODUCTION
It is commonly accepted that the three spheres economics, environment and society - are to beconsidered when managing sustainability. However,
the term sustainability itself is still unclear despitemuch research that has been conducted to address allthese three aspects of sustainability [1], [2]. In acommercial world, sustainability would be taken
more seriously towards the economic performance.
In construction projects, the environmental matters
are accounted for in the pre-construction phase
whereby an environmental impact assessment is tobe conducted and approved prior to construction.
Then, any procedures required to meet theenvironmental sustainability requirements are to be
implemented.
With the existing sustainability
indicators, design and construction using renewableenergy are also encouraged if not compulsory.
Hence, the two aspects of the sustainability(economics and environment) are reasonably dealt
with, but the third aspect, the social consideration, is
usually taken lightly, except for the matters directly
relevant to the stakeholders of a particular project.
In that background, the concept of ‘integral
sustainability’ has emerged as a critique toconventional concept of sustainability, highlighting
the non-integration of all the aspects related tosustainability. It implies the necessity of a criticaldebate with society, regarding shared meanings andvalues related to the concept of sustainability. In
334

SEE-Osaka, Japan, Nov. 21-23, 2016

demonstrate how to use the framework for managing
sustainability in a construction project.

results.” The PDCA (Plan-Do-Check-Act) cycle canbe applied to all processes and to the quality
management system. Adopting the PDCA cycle
and the process based approach; an integral
framework for sustainability management can beformulated generically as shown in Figure 1. Thissystem is similar to a Corporate Sustainability
Management System proposed by Azapagic [13],who suggested the system to consist of five stages,
policy development, planning, implementation,communication, and review and corrective action.
The proposed system shown in Figure 1 is however
divided into four stages, as provided in ISO90012015.
The sustainability aims and requirements can be
described based on the requirements, needs andexpectations of the client and stakeholders of the
project. Then, through the organisation policy, theproject organisation and its context, and thesustainability policy and regulation, planning can bemade accordingly. Therefore the main task is to
identify those requirements, needs and expectationsof the client and stakeholders. The client usually has
a definitive set of specifications and requirements,
but the stakeholders’ needs and expectations are noteasily identified and collated.
It is therefore
proposed to use an integral theory framework [4],[5] whereby all realities, both objective andsubjective, can be assessed within the framework of
the sustainability aims and requirements. Figure 2
demonstrates the integral theory framework which
will be adopted to create an integrated frameworkfor sustainability management.
The front four octants, subjective (S), intersubjective (IS), objective (O)and inter-objective (IO)
are known as the AQAL framework [4], and has
been extended to account for certainty anduncertainty by introducing additional four octants[7] as shown in Figure 2.

A BRIEF REVIEW OF SUSTAINABILITYFRAMEWORK IN CONSTRUCTION
There are several theoretical frameworks fordetermining the relationship of the performance
between the three aspects of sustainability. A
comprehensive review on the business case forcorporate sustainability can be found in Salzmann,
Ionescu-Somers and Steger [9]. They pointed out
how a sustainability culture has been developed overthe past few decades.
In construction, Rodríguez and Fernández [10]pointed out that the new goals and requirements for
integrated project management are not just toachieve the time, cost and quality of construction
projects, but also to achieve sustainability objectives
and requirements. Several techniques and tools havebeen developed for sustainability assessment in thebuilding sector but these tools are mainly in the formof a rating system, by providing an indicator to give
rank, or certification, to the project. These systems
may not represent the variability of engineering
projects therefore classification of opportunities interm of the project outcomes, promoter requirements,and sustainability requirements is needed [10].
A conceptual framework has been developed forsustainable design principles and strategies [11].
Methods for the framework were distinguished into
three domains of sustainable development, namely,
resource management, life cycle design and designfor human. Culture resources such as historicalbuildings and urban context were considered in thedesign for human. It was highlighted that an
integrated and holistic process for creating
environmentally conscious and healthy spaces thatprovide human contact to the natural environment,
while supporting the local economy and culture [11].
An example of a highway construction project
designed under a framework for developing
construction sustainability items was reported [12].
Sixty sustainability items were indicated, however,they could only be considered as objective and interobjective aspects according to the definitions in
integral theory. Therefore, there is still a lack in
considering subjective aspects if one is to adopt
integral theory approach for sustainability
management.

AN
EXAMPLEOFSUSTAINABILITYMANAGEMENT OF A CONSTRUCTION
PROJECT
This example is provided to demonstrate how the
PDCA cycle (Fig. 1) and the integral theory octant
framework (Fig. 2) can be used for sustainability
management of a construction project. The process
is divided into four steps as follows:
Step 1: The sustainability aims and requirements
are to be defined. In this example, the aims andrequirements are set generically as: time, cost,quality and energy.
Step 2: Each aim/requirement shall be analysedbased on Integral Theory Octant Framework to
account for the subjective and objective aspects of
the aim/requirement from the individuals andcollective individuals. To further demonstrate this

PDCA
CYCLE
FOR
INTEGRATEDSUSTAINABILITY MANAGEMENT
A process-based approach is defined in
ISO9001-2015 as an approach that involves“systematic definition and management of processes
and their interactions, so as to achieve the intended
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SEE-Osaka, Japan, Nov. 21-23, 2016

Support andOperateRequirements,
needs andexpectations ofclient &stakeholders
Organisation
policyProject
organisationand its context
Sustainability
policy andregulations

Sustainability
Aims andRequirements

Plan

Performance
Evaluation

Clientsatisfaction
Sustainability
outcomesMeetrequirements,
needs andexpectations ofallstakeholders

Improve

Figure 1 PDCA Cycle for Sustainability Management (adapted after ISO9001-2015)
such as, the cultural beliefs, values and practices.
Similarly, the analysis of cost, quality, andenergy can be carried out in the same manner. The
details of the analysis are not presented in this paper
as they are in the scope of an on-going research.
With the analysis based on this framework, it canbe seen that the project is not necessarily a success if
the shortest time for completion is achieved. Other
factors such as inter-objective requirements, alsoneed to be considered. Also, just because a project isdelayed, it needs not be considered a failure, if theinter-subjective value on time is low. Similarly, thesubjective attitude regarding time of various
stakeholders could guide the actual allocation of thecontract time.
Step 3: The outcome of the analysis in Step 2
will be collated to provide an overview of what need
to be considered to achieve a particular aim, or tofulfil a particular requirement. In this step, thePDCA cycle for sustainability management asshown in Fig. 1 can be used.

Step 4: The key to the project management is to
identify and manage uncertainties which will resultin the deviation from the aim of the project. For
example, the uncertainties that could affect the time
aim are such as materials delivery problem, machine
breakdown, poor weather condition, personal illness,
accident, etc. These uncertainties can be consideredas risks to the project success, thus, the project
management team will need to make plans toeliminate these risks which may cause any delay tothe project. This aspect is reflected by the certainty
and uncertainty domains in the Octant Framework as
shown in Fig. 2. An example of an integration ofcertainty and uncertainty of subjective, intersubjective, objective and inter-objective aspects ofrealities for a building material can be found in [7].
In civil engineering work such as a construction
project, it is not deniable that there are uncertainty
elements in every activity.
As mentioned

Uncertainty
Certainty
IndividualCollective

Uncertainty
Certainty

Subjective

Objective

(S)

(O)

Intersubjective(IS)Interobjective(IO)

Figure 2 Integral Theory Octant Framework336

SEE-Osaka, Japan, Nov. 21-23, 2016

O: contracted time,
activities duration,
efficiency of personnels

S: personal perspectives,
values, beliefs, norms, andsubjective requirements
Time
IS: team dependency,
community perspective, culture
beliefs, values and practices

IO: critical path, time benefit
ratio, time-cost efficiency, timequality benefit

Figure 3 Integral theory framework for considering all aspects of Timepreviously, the benefit of the Octa/Octant framework
is to identify the certainty and uncertainty elements.
Certainty elements can be managed without muchattention by the project management team as they
are without risks, for example, quality assurance ofmaterials and equipment used. On the other hand,the uncertainty elements need much more attention.
For example, the critical path in the projectscheduling needs to be managed very carefully as
any uncertainties affecting one activity will affectthe dependent activities and result in a delay of thewhole project. If the project timeline is plannedwith more independent (parallel) activities or withtime lapse (float), i.e., the following activity is notcritically dependent of the precedent activity, any
uncertainties causing a delay in one activity will not
be critical to the project timeline. In this case, theuncertainty in these activities will not need muchattention by the management.

depicted by the AQAL, which is represented by the
S, O, IS, IO arrows on the diagram. Step 3 is the
PDCA cycle, and Step 4 is depicted by theidentification of certainty and uncertainty in AQAL.
It can be seen that there is interplay between
Octa/Octant and PDCA at every stage. The twohead arrows indicate that the outcome of Steps 1 and
2 contributes directly to all PDCA stages, startingfrom Plan; then to be managed in Support andOperate; checked in Performance Evaluation; and to
take action for any improvement in the Improvestage.
Effectively, the integral sustainability
framework shows that all aspects of realities fromthe four quadrants (AQAL) and the certainty anduncertainty domains are to be considered in the
PDCA cycle. The performance evaluation can bebenchmarked against the set target, which should be
detailed in the plan.
With the proposed framework, any sustainability
assessment systems such as those cited in [10] canalso be used to measure the outcomes. It should beemphasised though that the goal here is not just toachieve a high score in a sustainability index system,
but to achieve the sustainability goal whereby all
aspects of realities according to the integral theory
are evidently considered.

INTEGRAL FRAMEWORK FOR
SUSTAINABILITY MANAGEMENT
Incorporating the PDCA framework and theintegral theory framework, the integral frameworkfor sustainability management of this project can beillustrated as seen in Fig. 4. The outcome of Step 1
is shown at the centre of the diagram, Step 2 isS
Certainty/
Uncertainty

Plan

Certainty/
Uncertainty

Support andOperateTime
Cost
Quality
EnergyImproveIS

O
Certainty/
Uncertainty

Performance
Evaluation

Certainty/
Uncertainty

IO

Figure 4 Integral framework for sustainability management of a construction project337

SEE-Osaka, Japan, Nov. 21-23, 2016

A classic example is seen in Le Corbusier’s
Chandigarh in 1950s for the design attributes to thesurrounding nature, neighbourhood grids, andhierarchical circulation pattern [14]. The city setting
is so functional, designed with an extensive controlof the built environment, and recognised as a perfectcity of the world in terms of architecture, cultural
growth and modernisation [14]. However, theperception, need and expectation of individuals andof the local community on the design were notmentioned and it was not clear whether these aspects
were considered and assessed. Using the integrated
framework presented in Figure 4 will enable adesigner to incorporate these aspects to optimise therequirements relating to subjectivity of individuals
and society.

[5] Kulasuriya,
Chandana
andVanissorn
Vimonsatit, Integral Research Framework for
Sustainable Structures for Future, Proceedingsof Australian Structural Engineering Conference
2012. Perth, Australia, 2012, 740-747,
at http://search.informit.com.au/documentSumm
ary;dn=003971378892872;res=IELENG[6] Kulasuriya, Chandana, Priyan Dias, Vimonsatit,
Vanissorn, Developing an Approach to Assess‘Integral Sustainability’ of Alkali Pozzolan
Cement, Proceedings of the 3rd Biennial
Integral Theory Conference, California, USA,2013,
available
at https://foundation.metaintegral.org/sites/defa
ult/files/Kulasuriya_ITC2013.pdf[7] Kulasuriya, Chandana, Priyan Dias, andVanissorn Vimonsatit, "Integral Sustainabilityof Alkali Pozzolan Cement." Journal of Integral
Theory & Practice 9(1), 2014, 74-87.
[8] ISO 9001:2015, Quality management systems –Requirements, accessed via SAI Global,
Australia.
[9] Oliver Salzmann, Aileen Ionescu-Somers,
Ulrich Steger, The Business Case for Corporate
Sustainability: Literature Review and Research
Options European Management Journal Vol. 23,
No. 1, 2015, 27–36.
[10] Fernando Rodríguez, Gonzalo Fernández,
Sustainable engineering: new objectives forconstruction projects, Revista Ingeniería deConstrucción Vol. 25 No2, 147-160, Agosto de2010 www.ing.puc.cl/ric, accessed on 8 March
2016.
[11] Aysin Sev, How Can the Construction Industry
Contribute to Sustainable Development? A
Conceptual
Framework,
Sustainable
Development, Sust. Dev. 17, 2009, 161–173[12] Calista Y. Tsai, Andrew S. Chang, Frameworkfor developing construction sustainability items:
the example of highway design, Journal of
Cleaner Production 20, 2012, 127 - 136[13] A. Azapagic, Systems Approach To Corporate
Sustainability
A
GeneralManagement
Framework Trans IChemE, Vol 81, Part B,
September 2003, 303-316.
[14] Chandigarh, "BBC Names Chandigarh as aperfect city of the world" by Ajay Deep, "Is
this the perfect city?", www.bbc.com, cited in
https://en.wikipedia.org/wiki/Chandigarh,
accessed on 3 May 2016.

CONCLUSION
This paper presents a new integrated frameworkfor sustainability management in civil engineering
work based on the PDCA cycle and the integral
theory framework. An example is provided todemonstrate how to use the new developed
framework for sustainability management of aconstruction project. The main idea is to ensure all
aspects of realities are considered, and byidentifying all these aspects, sustainability outcomescan be achieved.
The developed framework can also be used to
implement with existing sustainability assessment
systems by recognising the objective, inter-objective,
subjective and inter-subjective aspects of thesystems.

REFERENCES[1] Oscar Ortiz, Francesc Castells, Guido
Sonnemann, Sustainability in the constructionindustry: A review of recent developments
based on LCA, Construction and Building
Materials 23, 2009, 28–39.
[2] Gonzalo
Fernández-Sánchez,
Fernando
Rodríguez-López, A methodology to identify
sustainability indicators in construction project
management—Application to infrastructure
projects in Spain, Ecological Indicators 10,
2010, 1193–1201[3] Chandana Kulasuriya, Alkali Pozzolan Cement
for Integral Sustainability, Thesis submitted tofulfil a Doctor of Philosophy at Curtin
University, Bentley, Western Australia, 2016.
[4] DeKay M, Integral Sustainable Design,
Transformative
Perspectives,
London:Earthscan, 2011.

338

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

DEEP BASEMENT EXCAVATION IN SOFT BANGKOK CLAY
CLOSED TO PALACES
Wanchai Teparaksa
Department of Civil Engineering, Chulalongkorn University, Thailand

ABSTRACTThe Bank of Thailand (BOT) head office is a large building constructed in the inner Ratanakosin Island of
Bangkok along Chao Phraya River, a main river of Bangkok, where high-rise building construction with morethan three stories is not permitted. The BOT building consists of five basements with excavation depth of 15.8
meters and only three stories of super structure. The soil condition consists of 15 m. thick soft to medium clay
followed by stiff silty clay and sand layer. The basement construction was constructed only five meters awayfrom Tewavej Palace and ten meters away from Bangkhunphrom Palace. The damage assessment by means ofFinite Element Method (FEM) with simulation of basement construction method was carried out to predict the
influence on both palaces. Finally, the top-down construction method was selected for basement construction
with one meter thick and 20 meters long of diaphragm wall which was designed together with the 50 meters longbored pile to support the whole building. The full set of instrumentation was installed at the palaces, diaphragmwall and ground surface for monitoring the field performances and effect to the palaces during and after
basement construction. The field measurement and FEM prediction is compared and the time dependent oflateral wall movement is discussed. The construction was completed without any damage or effect to both palace.
Keywords: Deep Basement; FEM Analysis; Deep Excavation; Historical Building; Palace

BOT is planned along Chao Phraya riverbank andclosed to two historical palaces; Tewavej Palace and
Bangkhunphrom Palace as shown in Fig. 1.

INTRODUCTION
The demand for deep underground basement
construction is increasing in Bangkok city especiallyin the inner zone due to the optimized land use forunderground car park and retail of the department
store. The design and construction of deep basementin the large city have to take the impact of the
nearby structure as well as public utilities into
account. Even though there are a large number oftheoretical methods that studied the stability ofbraced excavation [1-3] and ground movement
induced from excavations [4-6], the study on an
actual construction work is still slight. The designsof the deep basement in Bangkok subsoil done by
the author are the Bai Yok II tower with 12 m. deep
(Teparaksa [7]), Library of Thammasat University
with 14 m. deep (Teparaksa, [8]), Central World
with 9 - 14 m. deep (Teparaksa, [9]), Millennium
Sukhumvit hotel next to Bangkok Mass Rapid
Transit (MRT) Tunnel with 14 m. deep (Teparaksa[10]), the impact assessments of deep basement
construction in the MRT Protection Zone (Teparaksa
et al. [11]), the deep basement construction in Soft
Bangkok clay next to British Embassy (Teparaksa[12]), and the deep excavation in safety zone of
subway (Teparaksa [13-14]).
The head office, Bank of Thailand (BOT) is
located in the inner Ratanakosin Island where highrise building construction more than three stories is
not allowed. The location of the new head office ofFig. 1 The location of new head office, Bank ofThailand (BOT) and the surrounding palaces
The design and construction of the deep
basement for head office of the BOT consists of fivebasements for underground car park with 15.8 m
deep excavation and three floors of head office
above ground surface.
The analysis and the diaphragm wall design aswell as the impacted assessment of two palaces werecarried out by Finite Element Method (FEM)
analysis by simulating the full method of excavationand construction in the model. The instrumentation
339

SEE-Osaka, Japan, Nov. 21-23, 2016

was installed in both diaphragm wall and at thepalaces to monitor the safety and stability of thepalaces. The behavior of diaphragm wall movement
is also discussed and compared with FEM prediction.

The diaphragm wall (D-Wall) of 1.0 m. thick and20 m. deep was designed as the temporary wall for
15.8 m. deep excavation and used as permanent wallat the final stage. Five basement floors consist of
F1 ,P1 ,P2 ,P3 and P4 floor at -1.20 m., -4.70 m., 7.70 m., -10.70 m., and -13.70 m. deep respectively
as illustrated in Fig 3.
The top-down construction method was started
by casting the first basement F1 at -1.20 m. thenmoving to third basement floor (P2) at -7.70 m. andconstructing the fifth basement floor and mat
foundation at -13.70 m. deep as shown in Fig 3.
Loading of the permanent basement floor during
construction was transferred through the stanchion at
the centerline of the column which was installed into
the bored pile during construction of the bored pile.

SOIL CONDITIONSThe soil conditions at BOT site based on nine
boreholes soil investigation consists of 12.5 m. thicksoft dark grey clay and followed by medium stiffclay and stiff to hard clay until reached the first
dense sand layer at about 28.5 m. deep. The second
very dense sand where the pile tip of the building isseated is found at about 46 m. deep below groundsurface. Table 1 presents the soil condition and theengineering properties.

Table 1 Summary of soil conditions and properties
Depth
(m.)

Soil
Description

γt

Su

N

Eu

E’

0 - 12.5

Soft Clay

16

15

-

8,750

-

12.5 15.0

Medium Stiff
Clay

16.5

40

-

18,000-15.0 20.0

Stiff to Very
Stiff Silty Clay

19

-

12

85,000-20.0 28.5

Hard Clay

20

-

35

300,000-

28.5 –
39.0

Dense Silty
Sand

20

-

40

39.0 –
46.0

Hard Silty Clay

20

-

45

-

-

46.0 –
65.0

Very Dense
Silty Sand

20

-

>50

-

-

80,000Fig. 2 The BOT project plan view

Note: γt = Total Unit Weight (kN/m3)
Su = Undrained Shear Strength (kN/m2)
N = SPT N-Value (Blows/ft)
Eu, E’ = Undrained and Drained Young’s Modulus (kN/m2)

INSTRUMENTATIONPROJECT DESCRIPTION

The head office of BOT was constructed in thelarge area of more than 10790 m2; therefore, theexcavation area for top-down construction was
divided into 13 zones as presented in Fig 2. Twolarge opening zones were provided for excavation
work. The excavation at the deeper basement
required to excavate step by step from far corner tothe opening zone where the excavated soil was
moved out of the project area. For safety reason andto monitor basement wall behavior, the full schemeof instrumentation was installed at the palaces on the
ground surface and in the diaphragm wall as shownin Fig 2 and Table 2.

The basement design and construction of the newhead office of bank of Thailand aims to solve theproblem of car park from both staff as well as
visitors. The surface area of excavation isapproximately 10790 m2 with 5 m. and 10 m. awayfrom Tewavej Palace and Bangkhumphrom Palace
accordingly as shown in Fig 2. The Tewavej Palaceand Bangkhunphrom Palace is the historical palaceconstructed by brick and bearing wall seated onshallow foundation. In order to minimize theinfluence on these two palaces, the basement of
BOT was designed to be constructed by top-down
construction method which has been used only in
Bangkok city restricted area such as the subway
station of MRT project.

ANALYSIS AND DESIGN OF DIAPHRAGM

340

SEE-Osaka, Japan, Nov. 21-23, 2016

proposed by Mair [15] as shown in Fig. 5. The
relationship of the Eu/Su and strain level presented
in Fig. 6 is the modulus of soft and stiff Bangkok
clay based on the results of self-boringpressuremeter test during construction of MRT
Subway Blue Line in Bangkok city. Fig. 7 presents
deformed mesh of the FEM analysis at the final
stage of excavation at 15.6 m deep.
The result of FEM analysis presents the envelopeof lateral movement of D-wall at final stage of
excavation in the order of 28.2 mm. and maximum
ground surface settlement of 23.7 mm. Thismaximum ground surface settlement behind the Dwall and lateral movement of the D-wall was set as
the trigger level to control the method of excavation
as well as the stability of Tewavej Palace.

WALL
The analysis and design of the diaphragm wall
was carried out by means of the FEM [16]. The
construction sequence was simulated in the FEM
analysis. The sequence of basement construction
consists of 8 steps as follows:
1. Excavating to -1.75 m. deep and casting leanconcrete.
2. Casting the first permanent basement floor at 1.20 m. (thickness 0.45 m.)
3. Excavating to the third basement floor at -8.10
m. deep and casting lean concrete.
4. Casting the third permanent basement floor at-7.70 m. (thickness 0.30 m.)
5. Excavating to the fifth basement floor (baseslab) at -15.60 m. deep and casting lean concrete.
6. Casting the fifth basement floor (base slab) at 13.70 m. (thickness 1.30 m.)
7. Casting the permanent fourth basement floor
at -10.70 m. (thickness 0.30 m.)
8. Casting the permanent second basement floor
at -4.70 m. (thickness 0.30 m.)
The detail of construction sequence is presented
in Fig. 4.
The analysis and design of the diaphragm wallfor 15.6 m. deep excavation were carried out by
FEM. As the basement constructed in soft clay layer,
the undrained concept based on bi-linear MohrCoulomb failure theory was used for FEM analysis.
The Young’s modulus (Eu) was used in terms of an
undrained shear strength (Su) of Eu/Su = 500 and1000 for soft clay and stiff clay respectively(Teparaksa [10]). The value of Young’s modulus isalso presented in Table 1.
The Young’s modulus or shear modulus (G) of
clay depends on the shear strain of the system as+/- 0.00
1.75

2W350@4m
Strut TF1

TF1

2W350@4m

TP1-1.20m-4.70mStrut TP1
2W400@4m
D-Wall

0.45

0.3
TP2

-7.70m0.3

RemoveStrut TP2
TP3-10.70m
0.3-13.70m

P4

1.3

Lean0.15m-19.925m

1.0

Fig. 3 Typical section of underground basement

Fig. 4 Detail of construction sequences341

SEE-Osaka, Japan, Nov. 21-23, 2016

INSTRUMENTATION AND PERFORMANCEOF DIAPHRAGM WALL
The full set of the instrumentation was proposed
to monitor the behavior of the diaphragm wall andsurrounding palaces as presented in Table 2 and Fig.
2. The results of the piezometer monitoring by
pneumatic type in soft clay was constant withhydrostatic pore water pressure of ground surface
water at 1.00 m. below ground surface.

Table 2 Instrumentation at the Palaces andDiaphragm Wall
Fig. 5 The relationship between modulus and shear
strain level (Mair [15])Instrumentation
Vibration Sensor

Tiltmeter

Location
At Tewavej Palaceand Bangkhunphrom
PalaceAt Tewavej Palaceand Bangkhunphrom
PalaceGround Surface
Settlement point

Ground Surface

InclinometerIn the Diaphragm
WallPiezometer

Outside the D-Wall

PurposeVibration at thepalaceTilt of the palaces
Ground Surface
Settlement
Lateral D-Wallmovement
Ground waterlevel

The measurement of the lateral diaphragm wall
movement at all steps of excavation and basement
floor casting at inclinometer no. I-3 next to Tewavej
Palace is shown in Fig. 8 together with the predictedmaximum envelope of diaphragm wall movement
estimated by FEM.
It can be seen that the predicted wall movement
by FEM agrees well with field performance. The
tiltmeter measured at the Tewavej Palace is also lessthan the trigger level. Figs. 9 and 10 present thephotograph during excavation closed to Tewavej
Palace. The basement construction of the new head
office of Bank of Thailand was completed without
any disturbance to both Bangkhunphrom Palace andTewavej Palace.

Fig. 6 The relationship between modulus and shear
strain level of soft and stiff Bangkok clay
(Teparaksa [10])Fig. 7 Deformed mesh of FEM analysis at the final
stage excavation at -15.6m.

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SEE-Osaka, Japan, Nov. 21-23, 2016

Fig. 10 Basement construction during excavation to
the final depth

CONCLUSIONSThis paper presents the cause of uplift at theThe basement of 15.6 m. deep excavation wasconstructed at the new head office of Bank ofThailand. The deep basement consists of 5 basement
floors at -1.20 m., -4.70 m., -7.70 m., -10.70 m. and-13.70 m. depth. The basement constructed area isclosed to two palaces; Bangkhunphrom Palace andTewavej Palace, which are the historical buildings
and also located close to the Chao Phraya river bank.
The top down construction method was used forbasement construction. The prediction of diaphragmwall movement and its effect to the palaces werecarried out by FEM analysis. The instrumentation
was installed in D-wall, ground surface and thepalaces in order to measure the wall behavior andtheir effect. The lateral movement of D-wall bymeans of inclinometer at all stages of construction iscompared with FEM prediction. The FEM prediction
agrees well with measured values. The deep
basement was completed without any disturbance toboth palaces.

Fig. 8 The inclinometer I-3 monitoring results withthe predicted maximum movement by FEM analysis.

Tewavej
PalaceREFERENCES[1] Bjerrum L., and Eide O., “Stability of strutted
excavations in clay”, Geotechnique, Vol. 6, pp.
115–128, 1956.
[2] Ukritchon B., Whittle A.J., and Sloan S.W.,“Undrained stability of braced excavation inclay”, ASCE J. Geotech. Geoenviron. Eng. Vol.
129, No. 8, pp. 738-755, 2003.
[3] Khatri V.N. and Kumar J., “Stability of an
unsupported vertical circular excavation in clays
under undrained condition”, Comput. Geotech.
Vol. 37, pp.419–424, 2010.

Fig. 9 Photograph during excavation closed to
Tewavej Palace343

SEE-Osaka, Japan, Nov. 21-23, 2016

Mechanics and Geotechnical Engineering,
Decrmber, Kalkate, India, 2007.
[11] Teparaksa W., Sontiprasart P., Prachayaset N.,
and Keawsawasvong S, “Impact Assessments of
the Deep Basement Construction in the MRT
Protection Zone”, The 28th KKHTCNN
Symposium. Civil Engineering, Bangkok,
Thailand, 2015.
[12] Teparaksa W., “Recent Development on Deep
Basement Construction in Soft Bangkok Clay
next to British Embassy”, Proc. of the 15th
Asian Regional Conference on Soil Mechanics
and Geotechnical Engineering, Fukuoka, Japan,
2015.
[13] Teparaksa W., “Deformation of Subway Tunnel
Induced by Deep Excavation in MRT Protection
Zone”, the 6th Regional Symposium on
Infrastructure Development (RSID), Bangkok.,
2008.
[14] Teparaksa W., “Diaphragm Wall for Deep
Excavation in Safety Zone of Subway”, the 21stKKCNN Symposium in Civil Engineering,
October, Singapore, 2008.
[15] Mair R.J., “Unwin Memorial Lecture 1992
Developments in geotechnical engineeringresearch: application to tunnels and deep
excavations”, Proceeding of the Institution of
Civil Engineers. Civil Engineering. Vol. 97, No.
1, pp. 1993, 27-41.
[16] Brinkgreve, R.B.J., PLAXIS 2D Version 8
Manual, A.A. Balkema Publishers, 2002.

[4] Terzaghi K., Theoretical soil mechanics. Wiley,
New York, USA, 1943.
[5] Eide O., Aas G., and Josang T., “Special
application of cast-in-place walls for tunnels insoft clay”, Proceeding of 5th European
Conference on Soil Mechanics and Foundation
Engineering, Madrid, Spain, pp. 485–498, 1972.
[6] O’Rourke T.D., “Base stability and groundmovement prediction for excavations in softclay”, Retaining structures, Thomas Telford,
London, pp. 131–139, 1993.
[7] Teparaksa W., “Deep basement construction in
Bangkok soft clay by sheet pile braced cut
system”, Journal of Engineering of Thailand,
1992. (in Thai)[8] Teparaksa W., Thassananipan N. and Tanseng P.
“Analysis of lateral movement for deep braced
excavation in Bangkok subsoil”, Civil andEnvironmental Engineering Conference-New
Frontier & Challengers, AIT, Bangkok, 1999.
[9] Teparaksa W., “Principal and application of
instrument for the first MRTA Subway Projectin Bangkok”, The 5th Int. Symposium on Field
Measurement in Geomechanics. Singapore,1999.
[10] Teparaksa W., “Deformation of subway tunnel
induced by deep basement excavation in MRT
Protection Zone, Bangkok”, Theme Speaker.
13th Asian Regional Conference in Soil

344

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

A NEW QUEUING TECHNIQUE IN ADAPTIVE MULTIPATH
ROUTING FOR CONGESTION CONTROL WITH PACKET PRIORITY
IN WIRED DATA NETWORKS
1

N.Krishna Chaitanya1, S.Varadarajan2
Research Scholar, ECE Department, JNT University College of Engineering, Kakinada, INDIA;
2
Professor, ECE Department, S V University College of Engineering, Tirupati, INDIA

ABSTRACTThis paper proposes an Adaptive Multi-Path routing based on packet priority. Simultaneous Multi-Pathrouting is used to improve the data performance over a congested network. The traditional method oftransmitting the data is done by using Simultaneous Multi Path Communication (SMPC). Two types of SMPCs
are proposed, in which SMPC-I, which uses multiple paths independently and SMPC-P, which uses path priority
control algorithm in conjunction with SMPC. SMPC-I and SMPC-P maintains throughput regardless of path
length and priority control. In addition to available SMPC methods, proposed method provides better solution to
improve the performance of communication network. A theoretical approach of AMPC-PP proposed here basedon packet priority for important data over normal data on a congestion network with route adaptability.
Keywords: Multi-path communication, Path priority, Independent paths, Packet priority.

INTRODUCTION
LITERATURE REVIEWA Network comprises a number of nodes andlinks for processing of data from source todestination. The process of transmitting the datafrom source to destination is called routing and it isdone by making use of the best path through the
network. Data packet can be routed either by using
single or multipath routing techniques [1]. Single
path routing is the traditional method of transmitting
the data through the network. But, the major
problems here with this scenario are: less network
bandwidth utilization, more delay; if any node orlink fails entire data will be lost, less throughput andleads to scope for congestion. These problems canbe minimized by using multipath routing. Here inthis method, a number of hosts are connected byusing a number of nodes and links. All node and link
capacities differ in the network. Data packets aretransmitted from source to destination through anumber of paths. Best paths are selected based on
shortest path and it is computed in the network basedon traffic. Paths are selected by the type of service
requested by the user in the network. For different
applications, multiple paths may be used to meettheir requirements [2].

Although, multi-path routing is used toreduce congestion by splitting the data over several
potential paths without knowing the path capacity.
This problem can be minimized by using loadbalancing technique. In load balancing, load over apath is decided by available resources and traffic inthat particular path [1]. A number of multipath
routing techniques have been proposed. The basic
techniqueisSimultaneousMulti-PathCommunication (SMPC) [3]. First method in SMPC
is SMPC-I based on independent paths. This method
is based on bandwidth control. Second method is
SMPC-P, which is based on path priority. These
techniques does not support for packet priority. The
major drawbacks in these methods are greater delay
and reduced network performance [4].
A method proposed by Peter Key et al. [5] foravoiding congestion in multi path routing using loadbalancing, but this method is unable to route the data
packets if there are more link failures.
There after a number of multi path routing
techniques proposed with load balancing [1], [6-9],
but these methods requires more control messages,
does not support for route recovery, as well as
supports only for single link failures.
Paganini proposed Multi Protocol Label
Switching (MPLS). This method provides betterrouting and capable of interfacing to existing routing
protocols, but it requires additional layer between
data link and network layer and also router requires
knowledge about MPLS [10].

Multipath transmission is realized in source andhop-by-hop routing, multi-topology routing,
Software-Defined Networks, Multi-Protocol Label
Switching, Flow-Aware Multi-Topology Adaptive
Routing that interconnects a number of links in
network virtualization, and Multipath TCP [2]. The
major advantage of choosing multi-path routing is
reduced delay.

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ADAPTIVE MULTIPATH ROUTING FOR
CONGESTION WITH PACKET PRIORITY:
Major disadvantage in multipath routing isthat, if any link or router fails, source chooses
alternate path based on the available routing table
information. This process takes more delay, thereby increases the data transmission delay, reduces
the network performance. This drawback can beeliminated by using adaptive multipath routing. If alink fail or router fails, then the nearest router sends
a request to another neighbouring router. If any oneof the router responds then the data packets will be
forwarded to that router. By using this technique
the source routing can be avoided, thereby reducing
the delay and improves the network performance.

••

The packet priority is verified at the routerusing additional block called packet priority
verifier. It will verify the packet with highest
priority, if the condition satisfies, then thepacket will be directly forwarded to routing
decision and switch allocator unit. This method
will eliminate the unnecessary queuing delay.
This will reduce the overall delay in the
network, thereby increasing the system
performance.

In addition with adaptive multi path routing,importance is also given for urgent data packets byindicating the packet priority. Here we have tested
the performance by using only two packet priorities.
The priority will be verified at the router based on
the following technique.

Routing
decision andswitchallocator

Input line 1

Input line 2

If there is any congestion at a router or any
other important data is being transmitting
through the router, a check point is createdat the router to identify whether the data
packet is having a priority or not.
If the data packet is not having highest
priority then it is passed to the queue.
If the data is having highest priority, thenit is directly transmitted to output side
without passing through the queue.

Output line 1

Switch

Output line 2

.
.

.
.

Output line n

Input line n

Input Queue

Fig.1: Traditional router functionality

Input line 1

Priority
verifier

Input line 2

Priority
verifier.
.
Input line n

Routing
decision andswitchallocator

Output line 1

SwitchPriority
verifier

Output line 2.
.

Output line n

Input Queue

Fig.2: Proposed packet priority based router functionality346

SEE-Osaka, Japan, Nov. 21-23, 2016

The simplest and most popularly used
queuing technique in the internet is tail drop ordrop tail. In this queuing technique, each packet istreated as same without concerning the packet
priority. This queuing technique is based on FIFO
(First In First Out), means whichever packet comes
first into the queue will be transmitted first to
output. If the queue length reached to its maximum
capacity, then newly arrived packets are dropped
until there is a space in the buffer.

packet priority. This drawback is eliminated byusing our proposed method at the router. The
diagram for packet priority based routerfunctionality is shown in Fig.2.
Fig.3 shows the flow diagram for the
proposed method. It is very much clear that,prioritised packets transmitted first and the priority
is based on their importance or type of service.
SIMULATIONRESULTSANDDISCUSSIONS:
The results are tested by using Network
Simulator-2 for data transmission through wired
data networks. Simulation results are tested forvarious scenarios such as single path routing,multipath routing and adaptive multipath routing
with and without packet priority.

New packet received

Verify packet priority

if
Packet has
highestpriority

Send it to queue

Send it torouting decisionand switch
allocator

Fig.4: Single path routing
Processed
For the entire routing simulation a simple
network environment is considered in which, itconsists of 7 routers and two stations. “0” isdesignated as sender and “8” is designated as
destination.

Fig.3: Flow diagram for proposed technique

In Fig.4, single path routing is simulated andverified the end-to-end delay for with and without
priority. The same procedure was repeated for
multipath routing as well as adaptive multipath
routing techniques. Multipath routing simulation
result is shown in Fig.5. Fig.6 shows the adaptive
multipath routing which provides an alternate pathwhenever a link failure occurs in the network.

Fig.1 shows the basic functionality of arouter, where the packets are received at the input
line of the router. Then the packets enter into queue,
there after the packet is passed through routing
decision unit. In routing decision unit, the packet
output line is decided based on source address anddestination address and then the packet is switchedthrough a switch by switch allocator. It takes moreamount of time for processing the packets by therouter. The amount of time taken at the routerdepends upon the number of input lines and the
maximum queue length. In conventional method all
the packets are processed without considering any
347

SEE-Osaka, Japan, Nov. 21-23, 2016end-to-end delay

Traditional method(msec)
Proposed(msec)

2000
delay (msec)

1500
1000
500
0

100 200 300 400 500
Number of packets
Fig.7: End-to end delay in single path routing withand without packet priority

end-to-end delay

Fig.5: Multipath routing

Traditional method(msec)
Proposed(msec)

delay(msec)

1200
1000
800
600
400
200
0

100

200

300

400

500

Number of packets
Fig.8: End-to end delay in multi path routing withand without packet priority

end-to-end delay

delay(msec)

Fig.6: Adaptive Multipath routing
From Fig.6, it is evident that, link between 4
and 5 is failed; in traditional methods alternate path
is chosen from source router. But here router4
sends a request to adjacent router and re-routes thedata packets to destination. The end-to-end delay
for single path, multipath and adaptive multipath
routing with and without packet priority is shownin Fig.7, Fig.8 and Fig.9. Fig.10 shows packet
delivery ratio by using packet priority fortransmitting a video stream, which we have tested
our method for various link capacities.

1200
1000
800
600
400
200
0

Traditional method(msec)
rerouting using source routing(msec)
Proposed(msec)

100

200 300 400
Number of packets

500

Fig.9: End-to end delay in adaptive multi pathrouting with and without packet priority348

SEE-Osaka, Japan, Nov. 21-23, 2016

Paket Received /Second(kbps)

Pakcet Delivery Ratio for Prioritized Packets
400
375
350
325
300
275
250
225
200
175
150
125
100
75
50
25

Without Priority

1

2

3

4

5

REFERENCES

With Priority

6

7

8

9

10

Link Cabacity(Mbps)

Fig.10: Packet delivery ratio with and without
packet priority for various link capacities

CONCLUSIONS:
Here in this paper, we have shown adaptive
multipath routing technique in addition with packet
priority at router. Simulation results are carried out
by using NS-2. It is evident that, proposed method
has less end-to-end delay for packet transmission in
the network. Simulation results will alter if wechange link capacities, queue length and packet
length. Here we considered link capacity of
1024Kbps, packet size of 1000 bits, queue length of1000 packets. If any change in parameters, delay
also changes. Now in the current internet research,routing plays a vital role especially in wired data
networks. There are a number of multipath routing
techniques available, but the proposed method
gives a better performance compared to existing
methods. Whenever there is a link failure orcongestion, there is a necessity for traffic rerouting.
This method not only provides adaptability inmultipath routing it also provides the priority forimportant data to be sent without passing the data
packets through queue.

349[1]. Chaitanya, N. Krishna, and S. Varadarajan.
"Load Distribution using Multipath-Routing
In Data Networks: A Comparative
Study." Perspectives in Science (2016).
[2]. Domżał, Jerzy, et al. "A survey on methods toprovide multipath transmission in wired
packet networks." Computer Networks 77(2015): 18-41.
[3]. Tanaka, Akiji. "Effects of length and numberof paths on simultaneous multi-pathcommunication." Applications
andtheInternet (SAINT), 2011 IEEE/IPSJ 11th
International Symposium on. IEEE, 2011.
[4]. Chaitanya, N. Krishna, and S. Varadarajan.
"An Implementation of Adaptive Multipath
Routing
Algorithm
forcongestion
control." International Journal of Computer
Science and Network Security (IJCSNS),volume no.16, issue no.2, 2016, pp.6-9.
[5]. Peter Key, Laurent Massoulie, Don Towley,2007, “Multipath Routing, Congestion
Control and Dynamic Load balancing” IEEE
Network, Vol.4, pp. 1341-1344.
[6]. He Jiayue, Rexford Jennifer, 2008, Toward
Internet-Wide Multipath Routing, IEEE
Network, Vol.22,pp. 16-21[7]. Palomar D. P., Mung Chiang, 2007,
Alternative Distributed Algorithms for
Network Utility Maximization: Framework
and Applications, IEEE Transactions on
Automatic Control, Vol.52, pp.2254-2269.
[8]. Theodore
Elhourani,
Srinivasan
Ramasubramanian, Amund Kvalbein, 2011,“Enhancing Shortest Path Routing for
Resilience and Load Balancing” IEEE
Communication, pp. 1-6.
[9]. Sumet Prabhavat, Hiroki Nishiyama, Nirwan
Ansari, Nei Kato, 2011, “On Load
Distributionover Multipath Networks”, IEEE
Communications, Vol.99, pp 1-19.
[10]. Paganini F. Congestion control with adaptive
multipath routing based on optimization, In
Information Sciences and Systems, 2006 40th
Annual Conference on 2006 Mar 22 (pp. 333338). IEEE.

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

EFFECT OF PARTICLE SHAPE ON THE PACKING AND FLOW
BEHAVIOUR OF GRANULAR MATERIALS
Jieqing Gan, Sida Liu, Aibing Yu, and Zongyan Zhou
Laboratory for Simulation and Modeling of Particulate Systems, Department of Chemical
Engineering, Monash University, VIC 3800, Australia
Zongyan.zhou@monash.edu
ABSTRACT
Particle shape is one of the most important properties of particles, and it affects the packing and flow
structures that are critical to transport properties such as permeability related to pore connection and thermal
conductivity related to particle connection. Particle shape can be regular or irregular. To be more quantitative,
recent studies are focused on particles of well-defined shapes. In particular, ellipsoids attract a lot of attention inrecent years as it can represent a large number of shapes, e.g. from platy to elongated. In this paper, we give a
brief review of studies of ellipsoidal particles on the basis of discrete element method, and examine the effects ofparticle shapes in some typical particulate systems, including: (1) particle packing, focusing on how aspect ratio
affects packing density and structure for coarse and fine ellipsoids; (2) hopper flow, demonstrating thedependence of discharging rate of hopper flow on particle shapes; (3) sandpile formation, focusing on how
aspect ratio affects the angle of repose and stress dip distribution; and (4) fluidization, illustrating how particle
shape affects the bed permeability, orientation, and bed flow/force structures. The results show that discreteelement method for ellipsoids provides a useful approach to investigate shape effect on the behavior of granularmaterials.
Keywords: DEM, ellipsoids, particle packing, hopper flow, sandpile, fluidization

majority limited to simple regular shapes and not
systematic. In recent years, efforts have also been
made to develop the DEM approach further to study
the packing and flow dynamics of ellipsoidal
particles [5-9].
In this paper, we give a brief review of our recent
studies of ellipsoidal particles on the basis ofdiscrete element method, and examine the effects ofparticle shapes in some typical particulate systems,
including particle packing, hopper flow, sandpile
formation, and fluidization. The results show that
discrete element method for ellipsoids provides auseful approach to investigate shape effect on the
behavior of granular materials in particulate systems.

INTRODUCTION
Particulate science and technology is a rapidly
developing interdisciplinary research area with its
core being the understanding of the relationships
between micro- and macro-scopic properties ofparticulate matter. In particular, discrete particle
simulation (e.g., typically DEM or coupled withdifferent fluid flow modelling approach such as CFD,
DNS, LBM) has been widely used to tackle
fundamental problems in particle research [1, 2].
However, so far, most of the simulation studies deal
with spherical particles. The resulting findings areuseful, but may have limitation in addressing
practical problems. In reality, most particles are nonspherical, of either regular or irregular shapes.
Particle shape is identified as one of the mostimportant particle properties, and significantly
affects the packing/flow structures of particles which
are critical to transport properties such aspermeability related to pore connection and thermal
conductivity related to particle connection. For
example, studies on how particle shape affects
porosity have been done by some researchers [3, 4].
Correspondingly, this will affect the bed
permeability significantly, as reflected by the wellknown Ergun equation. However, because of the
difficulty in representing irregular shapes and heavy
computational requirement, relatively few studies
are concerned with non-spherical particles, with

MODEL DESCRIPTIONS
A particle can have two types of motions:translational and rotational. Such motions obey
Newton’s second law of motion. DEM for ellipsoids
has been reported in the literature [5-9]. Comparing
with spheres, the key features for ellipsoids are
summarized below:• The normal force can generate a toque to makethe particle rotate when the normal force does
not pass through the particle centre;• Equations used to calculate the interaction forces
and torques for spheres are applied to ellipsoids;350

SEE-Osaka, Japan, Nov. 21-23, 2016

• Calculation of radius R* to determine the contact
forces where R* is closely related to radii of thecurvature at a contact point;• Geometric potential algorithm used to detect thecontacts between ellipsoids, the most timeconsuming part for DEM simulation of nonspherical particles;• Particle orientation is described by three Euler
angles (φ,θ,ψ) based on quaternion method;• Fluid drag force for spheres needs to be modified
to consider the effect of particle shape; and• Aspect ratio is less than 1.0 for oblate spheroids,
equal to 1.0 for spherical, and larger than 1.0 for
prolate spheroids.

curve. Ellipsoidal particles can pack more densely
than spheres in a certain range of aspect ratios, e.g.
from ~0.25 to ~4.0. If particles are too platy or
elongated, the packing becomes looser than spheres.

Packing fraction

0.72
0.70

+++
+ +

0.68

+

0.66

+
+

0.64

∗

∗
+∗
∗+

(b)

∗
∗
∗

0.62

0.54

+

∗
0

1

Oblate, DEM
Prolate, DEM
Oblate, Donev et al. (2004)
Prolate, Donev et al. (2004)

2

3
4
Aspect ratio

5

6

7

Fig. 2 Variation of packing fraction with aspect ratio
under poured packing conditions. Reprinted from [5]with permission from ACS.

Particle packing is the simplest particulate
system, where all particles involved are static and intheir stable positions. Proper description of packingof particles is fundamental to many industrial
processes ranging from raw material preparation toadvanced material manufacturing in many industries.
It has been an important research topic inengineering and physics fields for many years. One
significant research area is the effect of particle
shape on packing properties. For example, thehighest densities obtained are 0.70 for
spherocylinders with aspect ratio about 0.4 [10] and0.74 for ellipsoids with aspect ratio around 1.25 [3].
Furthermore, local alignment was found in packingof ellipsoids bean [5], nail and cylinder shaped
particles [11]. In our work, we have addressed how
particle shape (ellipsoids here) affect porosity andsome microscopic structures [5]. A packing of
ellipsoids is formed by the so-called poured packing
method. Figure 1 shows the packings for threedifferent aspect ratios of spheroids.

(a)

∗

0.60

0.56

Particle Packing [5]

∗

+

0.58

RESULTS AND DISCUSSION

∗∗

(a)

(b)

(c)
Fig. 3 Ordered packing structures for (a), spheres;(b), oblate spheroids when aspect ratio=0.4; and (c),prolate spheroids when aspect ratio=3.0. Reprinted
from [5] with permission from ACS.
Radial distribution function (RDF) is often used
to describe the structure of a packing, and is definedas the probability of finding one particle centre at agiven distance from the centre of a given particle.
The results illustrated that the typical features forspheres can be observed, with a split second peak(the first peak at √𝟑𝟑𝒅𝒅 and the second one at 2d). Thisis correspond to the well-established structures in theliterature, e.g., edge-sharing in-plane equilateraltriangles and three spheres along a line (Fig. 3(a)).
For platy particles, the split second peak cannot be
observed, and also the first peak decreases
significantly. The possible structures are shown in
Fig. 3(b). For elongated particles, the first peakexists at the distance of 1.0, which means that(c)Fig. 1 Final packings of 25,000 ellipsoids withaspect ratio of: (a), 0.2; (b), 2.0; and (c), 4.0.
Reprinted from [5] with permission from ACS.
The relationship of packing fraction vs aspectratio is shown in Fig. 2, and compared with those of
Donev et al. [3]. It can be observed that they are
qualitatively comparable. The relationship between
packing fraction and aspect ratio gives an M-shaped
351

SEE-Osaka, Japan, Nov. 21-23, 2016

particles prefer contacting at the equator plane(shown by d 1 in Fig. 3(c)). The RDFs illustrated that
ellipsoids have preferred orientation, which should
be fully investigated further in the future.

Fig. 4 Snapshots for different aspect ratios at thesteady state: (a) 0.3, (b) 0.5, (c) 1.0, (d) 2.0, and (e)3.0. Reprinted from [6] with permission from
Elsevier.

Hopper flow [6]One particular aspect for the stress distribution is
the wall stress, a major concern in plant applicationsof hoppers. Figure 5 shows the wall stress
distribution with hopper height for various shapes.
For spheres, wall stress increases significantly firstly
with the distance increasing from the top till theheight of 0.4 m, then the increase slows down. For
ellipsoids excluding the case of aspect ratio 3.0, wallstress reaches the first peak at height 0.3 m, thendecrease significantly. Further, wall stress increases
again sharply, then may reach the second peak.
Moreover, spheres experience the largest wall stress.

Hoppers are widely used in many industries suchas mining, metallurgy, and food industries. As
summarized by Zhu et al. [2], the studies of hopper
flow by DEM mainly include wall stress/pressure,discharge rate and internal properties. Many
attempts have been made to examine the effect ofparticle shape on the discharge rate using DEM. For
example, Cleary [12] indicated a linear decrease inmass flow rate with increasing particle elongation,
while Langston et al. [13] found that ellipticalparticles of aspect ratio 5 are discharged 40% fasterthan circles. There are also controversies on whether
inter-particle friction has little effect on the flow rate
for non-spherical particles [14. 15]. In this work,
steady-state granular flow in a cylindrical hopperwith a flat bottom is investigated by DEM. Fourtypical flow zones are identified, consisting of plug
flow zone where particles descend relatively
uniformly at the top part, converging flow zone
where particles move toward outlet with highvelocities, stagnant zone where particles stay
motionless at hopper corners, and transition flowzone between plug flow zone and converging flowzone. Such general flow characteristics can beobserved for ellipsoids with different aspect ratios,
as shown in Fig. 4. The effect of aspect ratio on
these flow zones is summarized as follows: (i)Mixed region near the side wall. For spheres, thewall effect is relatively significant, causing large
mixed region extending up to 6 particles diameterfrom side wall into the bulk flow. Interestingly, suchnear-wall mixed regions are not observed for
ellipsoids. (ii) Shapes of particle layers. As in
Figures 4(a) and (b), oblate particles form a Vshaped layer as spheres (Fig. 4(c)) at the upper part,while layers of prolate particles remain relatively flat.
(iii) The size of the stagnant zone. The stagnant zone
for ellipsoids is significantly enlarged comparedwith spheres, with a “rat-hole” formed with highparticle velocities in the central core (Figs. 4(a) and
(e)).

0.8

0.3
0.5
1.0
2.0
3.0

0.7

Height (m)

0.6
0.5
0.4
0.3
0.2
0.1
0.0
0

1000

2000

3000

4000

5000

Wall pressure (pa)Fig. 5 Variation of wall pressure with hopper heightfrom DEM for different aspect ratios. Reprinted
from [6] with permission from Elsevier.
24

Orifice diameter
0.10m
0.11m
0.12m
0.13m
0.14m
0.15m
0.16m

Discharge rate (kg/s)

22
20
18
16
14
12
10
8
6
4
0.0

0.5

1.0

1.5

2.0

2.5

3.0

3.5

Aspect ratio
Fig. 6: Hopper discharge rate for different aspectratios and orifice diameters. Reprinted from [6] withpermission from Elsevier.

(a)

(b)

(c)

(d)

The prediction of discharge rate from storage
hoppers is of primary importance in industrial
processes which involve bulk solids handling andtransportation. One of the most popular prediction
correlations of discharge rate is the Beverloo

(e)

352

SEE-Osaka, Japan, Nov. 21-23, 2016

equation [16]. However, it is required to modify forthe prediction of the flow rate of non-sphericalparticles, e.g., ellipsoids. Figure 6 shows thedischarge rate of ellipsoids with various aspect ratiosand different orifice sizes. Clearly, there is no
significant change of discharge rate at aspect ratio
close to 1. Spherical particles obtain the highest
discharge rate at large orifices. An interesting trend
observed here is that under the simulated conditions,the discharge rate of oblate particles varies little
from spheres when the orifice is relatively small; butwhen the orifice size exceeds a certain value (e.g.,
0.13 m), spheres exhibit noticeably higher discharge
rates. Based on this, the Beverloo equation [16] ismodified for ellipsoids.

35
X

X

Angle of repose (degree)

30

X
X
X X

X

X

X

25
X

20

X
X
X

15
X

0

0.5

1

1.5

2.5

3

Fig. 8 Angle of repose for different aspect ratios.
Reprinted from [7] with permission from Springer.

Sandpile Formation [7]Figure 8 shows the variation of angle of repose
with aspect ratio, revealing that spheres have thelowest angle of repose. For oblate spheroids, theangle of repose increases first with aspect ratio, thenreaches a maximum at aspect ratio 0.5, finallydecreases. For prolate spheroids, the angle of repose
increases, then maintains a constant value after
aspect ratio 1.8. Thus, prolate and oblate particles
follow different variation trends of angle of repose
with aspect ratio. A prediction equation for angle ofrepose is established, and given in [7].

A sandpile is one of the most typical particulate
systems which are widely encountered in nature andmany industries. It has two important properties,
angle of repose and stress distribution, which havebeen investigated extensively and stimulated
granular research significantly. It has been well
documented that these two important properties areclosely related to particle shape. For example, theangle of repose increases with sphericity decreasing[17, 18]. As to the stress distribution, Matuttis et al.
[18] used polygons to study the effect of particle
shape and found that the more eccentric thepolygons are, the more pronounced the dip isobserved in the vertical stress under the apex of thesandpile. DEM has been used to study the effect of
aspect ratios on these two important properties ofsandpiles. A comparison has been made between themeasured and DEM simulated results of sandpiles,
as shown in Fig. 7. It can be observed that theobtained profiles of sandpiles are quite comparable,
confirming that the proposed DEM model can
produce reliable results.

1
0.9

1

AR=0.25

NormalTangential

0.9

0.7
0.6
0.5
0.4
0.3
0.2

0.7
0.6
0.5
0.4
0.3
0.2
0.1

0.1
0
-1

-0.75 -0.5 -0.25

0

0.25

0.5

0.75

0
-1

1

-0.75 -0.5 -0.25

(a)

0.25

0.5

0.75

1

(b)

1

1

NormalTangential

0.9
0.8

0.9

Normalized Pressure (-)

Normalised pressure (-)

0Distance from the centre (r/R)

Distance from the centre (r/R)

0.7
0.6
0.5
0.4
0.3
0.2

0
-1

NormalTangential

AR=0.50.8

Normal pressure (-)

Normal pressure (-)

0.8

0.1

NormalTangential

AR=2.5

0.8
0.7
0.6
0.5
0.4
0.3
0.2
0.1

-0.75 -0.5 -0.25

0

0.25

0.5

Distance from the centre (r/R)(a)

2

Aspect ratio

0.75

1

0
-1

-0.75 -0.5 -0.25

0

0.25

0.5

0.75

1

Distance from the centre (r/R)(c)(d)
Fig. 9 Pressure underneath sandpiles with aspectratios: (a) 0.25; (b) 0.5; (c) 1.0; and (d) 2.5.
Reprinted from [7] with permission from Springer.

(b)Fig. 7 Comparison of the observed (top) andsimulated (bottom) sandpiles. Reprinted from [7]with permission from Springer.

A stress dip is often observed underneath a sandpile,which is affected by various factors. Here, toillustrate the stress dip distribution, the nondimensional vertical and horizontal pressure areused. Figure 9 shows the normal and shear pressure
distributions for various aspect ratios. For spheres(Fig. 9(c)), clearly, there is a normal pressure dip in
the middle, which is generally consistent with thatreported in the literature [16]. But the pressure dip
353

SEE-Osaka, Japan, Nov. 21-23, 2016

predicted in our simulation is not so significant. The
key feature is that the normal pressure in the central
region distributes more evenly or relatively uniform.
The stress dip in the centre is not obvious. For
ellipsoids, the pressure dip region still exists, and thefeature is similar to spheres. For oblate particles,with aspect ratio of 0.25 or 0.5, the stress dip region
becomes wider, suggesting an enhancement in thenormal pressure dip.

2.1
Minimum fluidization velocity (m/s)

2.0
Simulated

1.9

Experiment(Liu et al., 2008)

1.8
1.7
1.6
1.5
1.4
1.3
1.2

Gas fluidization [8, 9]

1.1
0.0

0.9
0.8
0.7
0.25
0.50
0.75
1.00
1.00 (Ergun)

0.6
0.5
0.4
0.3
0.2
0.1
0.0
0.0

1.0

1.0 1.5 2.0 2.5 3.0 3.5
Gas superficial velocity (m/s)

4.0

Number of particles

Number of particles

#
#

#
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# ##
# #

##
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#### # ###
#
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#
#
#
# #

##

#

t=0.0 st=0.502 s
t=1.002 s
t=2.001 s
t=3.002 s
t=4.002 s
t=5.505 s
t=7.927 s

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90 135 180 225 270 315
45
Longitude at the vertical X-O-Z plane

360

0

45
90 135 180 225 270 315
Longitude at the vertical X-O-Z plane

360

(a)
(b)
Fig. 12 Distributions of particle orientations for (a)aspect ratio of 0.25; and (b) aspect ratio of 3.5.
Reprinted from [8] with permission from Elsevier.
Orientation is one most important property for
non-spherical particles. For example, one vector OA
of ellipsoids can indicate particle orientation (moredetails can be seen in [8]). Figure 12 shows suchinformation of orientation. It indicates oblate
particles in fixed beds prefer facing upward or
downward, forming an ordered structure to somedegree (Fig. 12 (a)). This is consistent with thegeneral understanding that such a structure is stablefor platy particles, with a minimum potential energyof the system. But in fluidized beds, the degree of
non-uniformity is reduced. This is because of strong
particle-particle collisions which will affect theparticle orientation. Similarly, prolate particles
prefer oriented horizontally (Fig. 12 (b)). This isbecause prolate particles at high aspect ratios, e.g.
3.5, can obtain the stable structure for such an

0.3
0.2

1.0 1.5 2.0 2.5 3.0 3.5
Gas superficial velocity (m/s)

4.0

100

0

1.00 (Ergun)
1.00
1.50
2.50
3.00
3.50

0.5

#

#
#

0.7

0.0
0.0

3.5

#

#
## ##

400
#

0.1
0.5

3.0

500

#

# ####
#

0.8

0.4

#

t=0.0 st=0.502 s
t=1.002 s
t=2.001 s
t=3.002 s
t=4.002 s
t=5.505 s
t=7.927 s

600

200

Bed weight

0.5

2.5

600

800

0.9

0.6

2.0

1000

1.1
Dimensionless pressure drop

Dimensionless pressure drop

1.0

Bed weight

1.5

Figure 11 shows the effect of aspect ratio on theminimum fluidization velocity. Clearly, with aspectratio decreasing from 1.0, the minimum fluidization
velocity decreases. This is qualitatively consistent
with the reported in the literature. With aspect ratio
increasing from 1.0, the minimum fluidization
velocity deceases first and then increases. The
lowest minimum fluidization velocity occurs ataround 1.75, which indicates the highest bed
permeability.

1.2

1.1

1.0

Fig. 11 Effect of aspect ratio on the minimum
fluidization velocity. Reprinted from [8] withpermission from Elsevier.

Figure 10 shows the relationship between
pressure drop and gas superficial velocity,
illustrating the consistent results with the Ergun
equation for spheres. For oblate particles with aspectratios varying from 0.25 to 0.75, the bed withspheres has the lowest pressure drop, indicating thehighest bed permeability. In fluidized beds, thepressure drops for all cases are similar, fluctuatingaround the bed weight. Figure 11(b) shows cases forprolate particles. One interesting finding is that therelationships are similar when aspect ratios arelarger than 1.5. They have the similar bed
permeability, but much less than spherical particles.
1.2

0.5

Aspect ratio

Fluidization is widely used in industries and as a
typical gas-solid two-phase flow system, has been
extensively studied both experimentally andtheoretically in the past. Gan et al. [9] and Liu et al.
[20] showed that non-spherical particles give poor
fluidizing quality as compared to spherical particles
in terms of pressure drop, minimum fluidization
velocity, etc. Hilton et al. [21] also demonstrated
that particle shape has a significant effect on the
dynamics of the fluidized bed, including increased
pressure gradients within the bed and lower
fluidization velocities when compared to beds ofspherical particles. Various correlations have been
proposed to determine the fluid drag coefficient in
CFD-DEM. As the correlation of Holzer andSommerfeld [22] considers the effects of both shapeand orientation, and is hence more preferable for thesimulations.

4.0

(a)
(b)
Fig. 10 The relationship between pressure drop andgas velocities: (a) oblate; and (b) prolate spheroids.
Reprinted from [8] with permission from Elsevier.

354

SEE-Osaka, Japan, Nov. 21-23, 2016

orientation. This is particularly true for particles
which are not fluidized.

[4] Zou, R.P. and Yu, A.B., "Evaluation of thepacking characteristics of mono-sized nonspherical particles". Powder Technology. Vol.
88, 1996, pp. 71-79.
[5] Zhou, Z.Y. Zou, R.P. Pinson, D. and Yu, A.B.,"Dynamic simulation of packing of ellipsoidal
particles", Ind. Eng. Chem. Res. Vol. 50, 2011,
pp. 9787-9798.
[6] Liu, S.D., Zhou, Z.Y., Pinson D. and Yu, A.B.
"Flow characteristics and discharge rate ofellipsoidal particles in a flat bottom hopper".
Powder Technology. Vol. 253, 2014, pp. 70-79.
[7] Zhou, Z.Y., Zou, R.P., Pinson, D. and Yu, A.B.
"Angle of repose and stress distribution of
sandpiles formed with ellipsoidal particles".
Granular Matter. Vol. 16, 2014, pp. 695-709.
[8] Zhou, Z.Y., Pinson, D., Zou, R.P. and Yu, A.B.
"Discrete particle simulation of gas fluidizationof ellipsoidal particles". Chem. Eng. Sci. Vol.
66, 2011, pp. 6128-6145.
[9] Gan, J.Q., Z.Y. Zhou, and A.B. Yu, "CFD–
DEM modeling of gas fluidization of fineellipsoidal particles". AIChE J. Vol. 62, 2016,
pp. 62-77.
[10] Williams, S.R., and Philipse, A.P., “Random
packings of spheres and spherocylinders
simulated by mechanical contraction”. PhysicalReview E. Vol. 67, 2003, pp. 051301-051309.
[11] Nolan, G.T., and Kavanagh, P.E., “Random
packing of nonspherical particles”. Powder
Technology. Vol. 84, 1995, pp.199-205.
[12] Cleary, P.W. and Sawley, M.L. “DEM
Modelling of Industrial Granular Flows: 3D
Case Studies and the Effect of Particle Shapeon Hopper Discharge”, Applied Mathematical
Modelling. Vol. 26, 2002, pp. 89-111.
[13] Langston, P.A. Al-Awamleh, M.A. Fraige, F.Y.
and Asmar, B.N. “Distinct Element Modellingof Non-spherical Frictionless Particle Flow”,
Chem. Eng. Sci. Vol. 59, 2004, pp. 425-435.
[14] Li, J.T. Langston, P.A. Webba, C. Dyakowskia,
D. “Flow of Sphero-disc Particles in
Rectangular
Hoppers—aDEM
andExperimental Comparison in 3D”, Chem. Eng.
Sci. Vol. 59, 2004, pp. 5917-5929.
[15] Campbell C.S., “Elastic Flows of Ellipsoidal
Particles”, in: M. Nakagawa, S. Luding (Eds.)
Powders and Grains 2009. 2009, pp. 591-594.
[16] Beverloo, W.A., H.A. Leniger, and J. van de
Velde, "The flow of granular solids throughorifices". Chem. Eng. Sci. Vol. 15, 1961, pp.
260-269.
[17] Yong, R.W. and Warkentin, B.P. “Soilproperties and behavior". Elsevier Scientific.
New York. 1975.
[18] Matuttis, H.G. Luding, S. and Herrmann, H.J.
“Discrete element simulations of dense
packings and heaps made of spherical and non-

CONCLUSIONS
DEM and CFD-DEM are used to study thepacking, hopper flow, and sandpile formation,
fluidization of ellipsoids. The effect of particle shape
can be summarized as follows:• Particle packing: The relationship between
packing fraction and aspect ratio shows an Mshaped curve. RDF indicates that ellipsoids tend
to have local ordered structures.
• Hopper flow: The four flow zones, such as plugflow, converging flow, stagnant and transition
flow zone, exist for both spheres and ellipsoids.
However, quantitatively flow characteristics andwall stress vary with aspect ratio. The Beverloo
equation is modified for ellipsoids.
• Sandpile formation: The relationship between
angle of repose and aspect ratio shows an Mshaped curve. Two equations are formulated
between the angle of repose and aspect ratio.
Non-spherical particles have a more pronounced
stress dip than spherical particles.
• Fluidization: The bed permeability becomesworse for oblate particles, but is not affectedmuch for prolate particles. The minimum
fluidization velocity decreases with aspect ratio
decreasing from 1.0, but for prolate particles, it
decreases first then increases. The orientation
analysis shows that oblate particles prefer facing
upward/ downward while prolate particles preferhorizontal orientation.
ACKNOWLEDGEMENTS
The authors are grateful to the Australian ResearchCouncil (ARC) and BlueScope Steel Research forthe financial support of this work, and NCI (National
Computational Infrastructure) in Computation.
REFERENCES[1] Zhu, H.P., Zhou, Z.Y. Yang, R.Y. and Yu, A.B.
"Discrete particle simulation of particulate
systems: Theoretical developments". Chem.
Eng. Sci. Vol. 62, 2007, pp. 3378-3396.
[2] Zhu, H.P., Zhou, Z.Y. Yang, R.Y., and Yu,
A.B.
“Discrete particle simulation ofparticulate systems: a review of major
applications and findings”. Chem. Eng. Sci.
Vol. 63, 2008 5728-5770[3] Donev, A., Cisse, I., Sachs, D., Variano, E.,
Stillinger, F.H., Connelly, R., Torquato, S.,
Chaikin, P.M. "Improving the density of
jammed disordered packings using ellipsoids".
Science. Vol. 303, 2004, pp. 990-993.

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spherical particles”, Powder Technology. Vol
109, 2000, pp. 278-292.
[19] Zuriguel, I., T. Mullin, and J.M. Rotter, "Effectof particle shape on stress dip under a sandpile".
Phys. Rev. Lett. Vol. 98, 2007, pp. 028001.
[20] Liu B, Zhang X, Wang L, Hong H.
“Fluidization of non-spherical particles:
Sphericity, Zingg factor and other fluidization
parameters”. Particuology. Vol 6, 2008, pp.
125-129.

[21] Hilton J.E, Mason L.R, and Cleary P.W.
“Dynamics of gas–solid fluidised beds with
non-spherical particle geometry”. Chem. Eng.
Sci. Vol 65, 2010, pp. 1584-1596.
[22] Hölzer, A. and M. Sommerfeld, "New simple
correlation formula for the drag coefficient of
non-spherical particles". Powder Technology.
Vol.
184,
2008,
pp.
361-36356

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

EFFECTS OF BEND-TWIST COUPLING DEFORMATION ON THE
AERODYNAMIC PERFORMANCE OF A WIND TURBINE BLADE
Nawapon Sompong and Pongtorn Prombut*
Department of Mechanical Engineering, Faculty of Engineering, Kasetsart University, Thailand*pongtorn.p@ku.ac.th
ABSTRACT
Comprehensive research exists on passive pitch control of wind turbines using bend-twist coupling property
of composite materials. Blades with bend-twist coupling deformation can increase energy capture, improve
dynamic stability, or reduce aerodynamic loads.
The objectives of this work are to apply bend-twist coupling into an existing blade design and to investigate
the resulting aerodynamic performance. The 41.25-meter blade was based on GE 1.5 GLX wind turbine.
Aerodynamic loads were calculated using Blade Element Momentum (BEM) theory and Computational Fluid
Dynamics (CFD) simulation. The resultant thrust and torque from both methods agree well. However, only the
CFD can provide details of pressure distribution over the complex blade surface.
Three levels of bend-twist coupling were designed for the Glass/Epoxy blade skins i.e. no coupling, low
coupling, and high coupling. From Finite Element Analysis, the deflections of the three blades were slightly
different while the twist angles were considerably different. The deformed geometries of the blades were thenused to produce new three dimensional (3D) models for the prediction of the power coefficient (CP) by CFD.
The results show that the proper bend-twist coupling laminate can improve the performance of the blade. At low
wind speed, the CP is higher than the baseline blade. At wind speed greater than rated speed, the CP decreases
together with the wind load. Simulation of 3D blade models can help in the design of a bend-twist coupling levelsuitable to the blade shape and wind speed. Since this is an aeroelastic problem, deformed geometries should be
used to calculate the blade performance.
Keywords: Wind Turbine, Bend-Twist Coupling, Composite Materials, Simulation
the aerodynamic performance have not beenaddressed.
Aerodynamic-structureinteraction
simulation using Blade Element Momentum theory
for power prediction and Finite Element (FE)-based
code for blade deformation has been studied [4]. The
FE part modeled a wind turbine blade as a beam
made by orthotropic materials and optimized it with
Genetic Algorithm-based tools to achieve optimum
power production. Mirror layups of the blade shells
produced an induced twist toward stall and improvedin the energy capture by 15.5%. Another FluidStructure Interaction approach used BEM tocalculate the aerodynamic loads and used 3D FEA topredict the deformation of the blade [5]. This
iterative analysis showed that the deflection of theblade reduces the power output. However, blade
twist was not considered.
Passive pitch control by bend-twist coupling ofwind turbine blades involves aerodynamic analysis,
structural analysis, and composite structural design.
Limited work has been done in all three aspects,
especially on 3D blade geometries. The present
work aims to produce bend-twist coupling
deformation in an existing blade geometry. Full 3D
blade models are used for CFD and FEA analyses.
The coupling properties of composite materials

INTRODUCTIONWind turbines operate in uncertain windconditions both in terms of speed and direction.
Yawing mechanism is used to maintain the rotor
plane normal to the wind direction. Pitch adjustment
is used to achieve optimum angle of attack of theblade in varying wind speed. Comprehensive
research exists on passive pitch control of windturbines using bend-twist coupling property ofcomposite materials. Blades with bend-twist
coupling deformation can increase energy capture,
improve dynamic stability, or reduce aerodynamic
loads. Lobitz et al. [1] found that, for a blade thattwists 2 degrees toward stall, the annual energy
production can increase by 10-15%. The twist
behavior was created as a function and wasprescribed into the blade geometry. An investigationof bend-twist coupling in composite box-beams
showed that induced twist can be produced by tiploading on the beams [2]. Full blade Finite Element
Analysis (FEA) with bend-twist coupling produced
from the off-axis carbon spar cabs has been studied[3]. Twisting deformation was obtained whenconcentrated loads were applied at 4 stations along
the blade span. However, the effects of the twist on
357

SEE-Osaka, Japan, Nov. 21-23, 2016

produce twisting deformation as the blades bend
under wind loads. The deformed geometries from
FEA are assumed to be the blade shapes in operation.
The second round of CFD simulation is performed
to predict and compare the power coefficient of theblades with different level of bend-twist coupling.

Station
9
10
11
12
13
14
15
16
17
18
19
20

BEND-TWIST COUPLING OF COMPOSITES
The relationship between stresses and strains incomposite laminates can be described by theclassical lamination theory [6] N  A
 N  A  
 N  A 
 M  B
 M  B  M   B
x

11

y

12

xy

16

x

11

y

12

xy

16

A
A
A

12
22

26

B
B
B

12
22
26

A
A
A

16
26

66

B
B
B

16
26

66

B
B
B

11

12
16

D
D
D

11

12
16

B
B
B

12
22
26

D
D
D

12
22
26

B   B    B    D   D    D   
0

16

x

26

y

0

0

66

xy

16

x

26

y

66

xy

(1)

Span (m)19.59375
21.65625
23.71875
25.7812527.84375
29.90625
31.96875
34.0312536.09375
38.15625
40.21875
41.25000Chord(m)
2.52702.38052.23372.08811.9146
1.79851.65991.52791.39631.26471.33311.0000Twist(deg.)
5.00
4.00
4.15
3.85
3.25
2.75
1.25
0.75
0.85
0.55
0.05
0.00

Airfoil

S825

S826

The airfoils are created at the specified span asshown in Fig. 1.

[A]: Extensional stiffness matrix[B]: Bending-extension coupling stiffness matrix[D]: Bending stiffness matrix
The bend-twist coupling occurs when D16 andD26 are non-zero. These parameters relate bending
moments (Mx, My) to twisting deformation (xy) andtwisting moment (Mxy) to bending deformations (x,y). The dimensionless parameter used to indicate
the level of coupling is [7]

B
t

D
D

Fig. 1 Airfoils distribution along the blade span.

(2)

16
11

The blade geometry is then created using 3D
surface features in a CAD program to produce theblade surfaces between the airfoils (Fig. 2).

BLADE GEOMETRY
Geometry used for the construction of blade
model is based on the technical specifications of GE
1.5 XLE wind turbine. This 41.25 m blade produces
1.5 MW in the wind speed of 10 m/s. Three airfoils
are used in 20 blade stations [8] as shown in Table 1.
Table 1 Distribution of chord, twist, and shape
Station
1
2
3
4
5
6
7
8

Span (m)3.09375
5.15625
7.21875
9.28125
11.34375
13.40625
15.46875
17.53125Chord(m)
2.53282.81573.07403.21013.11152.96512.81822.6726

Twist(deg.)
42.00
32.00
23.00
15.00
11.50
8.20
7.00
6.00

Fig. 2 Blade geometry.

Airfoil

AERODYNAMICS ANALYSIS
Determination of aerodynamic forces acting on
the blade is carried out using two methods. An
analytical method uses Blade Element Momentum
theory and a numerical method use Computational
Fluid Dynamics simulation.

S818

Blade Element Momentum (BEM) Theory
The BEM theory consists of Momentum theory358

SEE-Osaka, Japan, Nov. 21-23, 2016

and Blade Element theory. For the Momentum
theory, energy conservation of air stream passing
through the wind turbine yields an equation for thenormal force (thrust, Fx) and conservation of angularmomentum yields an equation for the torque (T) ofan annular element of airstream [9].
= 4 (1 − )= 4 ′(1 − )

(3)

Ω

(4)

The Blade Element theory uses force equilibriumin each blade section to produce equations for thethrust and torque.
(

=

)

(

)

+

(5)
(6)

Fig. 3 CFD Model of blade, domain, and boundary.

The thrust and torque equations from Momentum
theory and Blade Element theory can be matched to
produce equations for the axial induction factor (a)and angular induction factor (a’).

The aerodynamic loads on the undeformed blade
under the wind speed of 10 m/s are presented inTable 2. The results from the BEM and CFD
methods agree well. Hence, both methods can beused with confidence.

=

(

=
1−
4
′
=
1− ′ 4

∅

)

(

′

′

)

(

(

)

+
(

)

+

+

(7)
)

Table 2 Thrust and torque on rigid blade at 10 m/s(8)Aero. Load
Thrust (N)Torque (kN-m)

Equation (7) and (8) can be solved iteratively fora and a’. The lift and drag coefficients (CL and CD)
are from JavaFoil [10].
The aerodynamic thrust force and torque canthen be obtained by integrating Eq. (5) and (6)respectively. Additionally, the power coefficient(CP) of the blade can be calculated with thefollowing equation [9].
=8(1 − )

BEM
104,805
2,574

CFD
115,624
2,614

Diff (%)
10.32
1.55

BLADE STRUCTURAL ANALYSIS
Blade Internal Structure
A blade section has a shape of an airfoil. The
blade skin is divided by the chord line into upperand lower shells. A spar is used to provide bending
resistance which reduces the blade deflection. The
present work adopts the blade construction from
Zuteck [11]. The spar caps cover from 15% to 45%of the chord. The spar web is placed at 30% of thechord as shown in Fig. 4.

(9)Computational Fluid Dynamics (CFD)
The CFD simulation is performed on the full
blade model shown in Fig. 2. To reduce thecomputing resource, only one blade in a 120°
domain section is modeled as shown in Fig. 3.
Periodic boundary condition is used to keep thesimulation equivalent to three blades in a circularsection domain. The inlet radius is 3 times the blade
length and 2.5 times upstream from the blade. The
outlet radius is 6 times the blade length and the
distance is 4.5 times downstream from the blade.
The simulation is performed using SST k-ω
turbulence model. The mesh contains about 970,000
tetrahedron elements which give the nondimensional parameter Y+ equals 220 or the wall
distance 0.01 m.

Fig. 4 Internal structure of a wind turbine blade [11].
The blade skin is modeled with E-Glass/Epoxy
unidirectional (UD) composite while Carbon/Epoxy
is used for the spar caps. The spar web is modeledwith steel to simplify the model construction. Table
2 shows properties of the composites [12].
359SEE-Osaka, Japan, Nov. 21-23, 2016

twist coupling parameter Bt for the layups B1, B2,
and B3 are 0.0000, 0.2274, and 0.2587 respectively.
The layups are expected to cause different twisting
deformation, thus different power production
efficiency.
Figure 5 shows the thickness variation of theblade skin. The blade length is divided into 5
sections with the thickness of 30 mm, 26 mm, 22mm, 18 mm, and 14 mm from root to tip. The EGlass/Epoxy has the thickness of 0.2 mm/ply,
therefore the Section 1 can be produced with thelayup [20/-70/-70/-70/20]30, for example. The spar
cap is made from Carbon/Epoxy with the layup of[0/0/0/90/90/90/90/0/0/0]3. Its thickness is 6 mm
throughout the blade length. An example of thelaminate in the Section 1 using layup B2 is shown in
Fig. 6.

Table 3 Properties of UD laminae (Vf = 60%)
Material

E-Glass/Epoxy
Carbon/Epoxy

E1
(GPa)
40
135

E2
(GPa)
8
10

G12
(GPa)
4
5

ν12

0.25
0.30

Three sets of layups are used for the blade skin.
Layup B1 is for [0/90/0/90/0]X, B2 for [20/-70/-70/-70/20]X, and B3 for [205]X , where X is the numberof sets needed to attain a desired thickness. The
layups are selected to produce different level ofcoupling. From existing literature, layup B1 does nothave coupling property, layup B2 produces highextension-twist coupling [13], while layup B3 yields
better bend-twist coupling [3], [4]. Using Eq. (1) and(2) with the properties of E-Glass/Epoxy, the bend-

Fig. 5 Blade skin thickness along the span.

Fig. 6 Layup B2 and spar caps of blade section 1.

360

SEE-Osaka, Japan, Nov. 21-23, 2016

results are probably due to external forces andmoments acting on the blade. The blade with layup
B3 twists more than the blade B2, which can be
expected from the values of parameter Bt. The
average twist angle of the blade B3 at all windvelocities is 1.77 times that of the blade B2.

Finite Element Analysis (FEA)
The finite element model uses the blade
geometry and construction details of the preceding
sections and represents the blade with 120,000
quadrilateral elements. The aerodynamic load, takenfrom the CFD analysis, is applied as pressure on theelements. The present work is focused on the
deformation of the blade. Bending and twisting
results are used to create deformed blade geometries.
These new geometries assume that there is nodeformation of the airfoils, the blade deflection canbe represented by the displacement of the leadingedge, and the twist can be represented by therotation about the leading edge. A deformed blade
geometries is shown in Fig. 7. The aerodynamic
loads at the wind speed of 3.5, 8, 12.5, and 16 m/s
were obtained from the CFD simulation.

Fig. 9 Blade tip twist.
BLADE EFFICIENCY
Deformed blade geometries are reproduced foreach layup type at each wind speed. In total, 12
blade geometries are obtained from the FEA results.
New CFD simulations are then performed on theseblades to determine the power coefficients. The
deformed geometries should resemble the real blade
shapes in operation and thus should be used for
efficiency evaluation. The original blade geometry is
also retained for power coefficient evaluation. It istreated as a rigid blade that does not deform in any
wind speed. The results serve as a baseline for otherblades.
Figure 10 presents the power coefficient of the 4
blades. At wind speed 3.5 m/s, the CP of all blades
are comparable. The deformable blades still havevery small difference at 8 m/s but their CP values are
noticeably higher than that of the baseline. The
blades perform differently at wind speed 12.5 m/s.
The CP of blade B1 does not change much. The CPof the blade B2 keeps increasing while that of theblade B3 decreases considerably. Since the blades
twist toward stall, small twist angles can increase thelift force and efficiency. However, the twist angle ofthe blade B3 could become too large thus induce
flow separation which spoils the lift force anddecreases efficiency. At wind speed 16 m/s, theblade B1 does not twist much further and the CP ispractically the same as that of lower speeds. The
blades B2 and B3 become noticeably less efficient,likely because of too large twist angles.
From the efficiency standpoint, the blade withlayup B2 is suitable for the designed wind speeds.
The twist angles are 1.91° at 8 m/s and 4.79° at 12.5
m/s. However, other structural design constraints
such as maximum tip deflection, allowable stresses
and strains, weight etc must be considered before theblade configuration can be serviceable.

Fig. 7 Deformed blade geometry.
The tip deflection of the blades with 3 types ofskin layups is presented in Fig. 8. The deflections
resulting from layups B2 and B3 closely match eachother. The maximum different of 5.68% occurs at
the wind speed of 16 m/s. The blade with layup B1
is more rigid because it contains higher proportionof 0 layers.

Fig. 8 Blade tip deflection.
The twist angle of the blade tip at various windvelocities is shown in Fig. 9. The blade with layup
B1 does not have bent-twist coupling. The twist
361

SEE-Osaka, Japan, Nov. 21-23, 2016

horizontal axis wind turbines", Sandia National
Laboratory, SAND2001-1303, 2001, 84 p.
[2] de Goeij WC, van Tooren MJL, and Beukers A,"Implementation of bending-torsion coupling in
the design of a wind-turbine rotor-blade",
Applied Energy, Vol. 63, 1999, pp. 191-207.
[3] Locke J and Valencia U, "Design studies for
twist-coupled wind turbine blades", Wichita
State University, SAND2004-0522, 2004, 127p.
[4] Maheri A, Noroozi S, and Vinney J,"Application of combined analytical/FEA
coupled aero-structure simulation in design ofwind turbine adaptive blades", Renewable
Energy, Vol. 32, 2007 , pp. 2011–2018.
[5] Rafiee R, Tahani M, and Moradi M,"Simulation of aeroelastic behavior in acomposite wind turbine blade", Journal of Wind
Engineering and Industrial Aerodynamics, Vol.
151, 2016, pp.60-69.
[6] Jones RM, “Mechanics of composite materials”.
Pennsylvania, USA: Taylor & Francis, Inc.,
1999, 519 p.
[7] Sun CT and Zheng S, "Delamination
characteristics of double-cantilever beam andend-notched flexure composite specimens",
Composites Science and Technology, Vol. 56,
1996, pp. 451-459.
[8] Phelps C and Singleton J, "Wind turbine blade
design", Cornell University, M.Eng. Report,
2011, 35 p.
[9] Ingram G, "Wind Turbine Blade Analysis using
the Blade Element Momentum Method",
Durham University, Note, 2011, 21 p.
[10] Hepperle
M,“Java
Foil”,
www.mhaerotools.de/airfoils/javafoil.htm, accessed on
17/6/2015.
[11] Zuteck M, "Adaptive Blade Concept
Assessment: Curved Planform Induced Twist
Investigation", Sandia National Laboratory,
SAND2002-2996, 2002, 24 p.
[12] Performance Composite Ltd., "Mechanical
Properties of Carbon Fibre Composite
Materials, Fibre / Epoxy resin (120°C Cure)",www.performance-composites.org, accessed on
17/6/2015.
[13] Yeo H, Truong KV, and Ormiston RA,"Assessment of 1-D Versus 3-D Methods for
Modeling Rotor Blade Structural Dynamics", inProc. 51st Structures, Structural Dynamics, andMaterials Conf, AIAA/ASME/ASCE/AHS/
ASC, 2010, 19 p.

Fig. 10 Coefficient of Power (CP).
CONCLUSION
Coupling deformation is a particular property ofcomposite laminates. Three levels of bend-twist
coupling were implemented into a 41.25-meter blade
geometry based on GE 1.5 GLX wind turbine. The
coupling was produced from the E-Glass/Epoxy
blade skins to twist toward stall under bending loads.
Aerodynamic loads were obtained from CFD
simulation and cross-checked with the analytical
BEM theory. The blade structural configuration andthe aerodynamic loads were then modeled for finite
element analysis. Finally, the deformed geometriesof the blades were used to produce new 3D models
for the prediction of the coefficient of power (CP) by
CFD.
The blades made from 3 types of layups have
similar deflection, vastly different twist, and notably
different efficiency. The results show that the
deflection has little influence on the power
coefficient. On the other hand, the blade twist has
strong influence on the power coefficient. Small
twist toward stall helps increasing efficiency while
too large twist produces flow separation anddecrease efficiency.
Simulation of 3D blade models can help
designing for a bend-twist coupling suitable to theblade shape and wind speed. Since this is anaeroelastic problem, deformed geometries are
assumed to be the blade shapes in operation andshould be used to calculate the blade performance.
Other structural design constraints must be
considered before the blade configuration can beserviceable.
REFERENCES[1] Lobitz DW, Veers PS, Eisler GR, Laino DJ,
Migliore PG, and Bir G, "The use of twistcoupled blades to enhance the performance of362

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

NUMERICAL INVESTIGATION FOR THE ENHANCEMENT OF THE AERODYNAMIC
CHARACTERISTICS OF NACA 0012 AEROFOIL BY USING A GURNEY FLAP

Julanda Al-Mawali and Sam M Dakka
Department of Engineering and Mathematics, Sheffield Hallam University, United Kingdom

ABSTRACT
Numerical investigation was carried out to determine the effect of a Gurney Flap on NACA 0012 aerofoil
performance with emphasis on Unmanned Air Vehicles applications. The study examined different
configurations of Gurney Flaps at high Reynolds number of 𝑅𝑒 = 3.6 × 105 in order to determine the optimal
configuration. The Gurney flap was tested at different heights, locations and mounting angles. Compared to theclean aerofoil, the study found that adding the Gurney Flap increased the maximum lift coefficient by19%, 22%,28%, 40% and 45% for the Gurney Flap height of 1%C, 1.5%C, 2%C, 3%C and 4%C respectively, C represents
the chord of the aerofoil. However, it was also found that increasing the height of the gurney beyond 2%C leads
to a decrease in the overall performance of the aerofoil due to the significant increase in drag penalty. Thus, theoptimal height of the Gurney flap for the NACA 0012 aerofoil was found to be 2%C as it improves the overall
performance of the aerofoil by 21%. As for the location, it was found that the lifting-enhanced effect of thegurney flap decreases as it is shifted towards the leading edge. Thus the optimal location of the Gurney Flap
mounting was found to be at the trailing edge or at distances smaller than 10%C. The Gurney flap was also
tested at different mounting angles of -45, 90 and +45 degrees and it was found that the Gurney flap at +45
mounting angle leads to the optimal performance of the aerofoil.
Keywords: Gurney flap, Aerodynamic simulation, NACA0012 Airofoil, FLUENT

drag penalty. Gurney flap can be simply defined as aflat plate fitted vertically to the trailing edge of thewing. This kind of flap is used to change the lifting
characteristics of the aerofoil.
Many researchers conducted different studies on
the effect of the Gurney flap on aerofoil
performance. These studies cover a wide range ofapplications. The outcome [1] of a comprehensive
literature review indicated, optimal size of the
Gurney flap is equal or slightly bigger than the
thickness of the boundary layer at the trailing edge.
The boundary layer thickness at the trailing edge
depends mainly on the Reynolds number; however
the typical thickness at the trailing edge is between
1% to 2% of the chord length. At this length, thegurney flap increased the lift generation with a slightincrease in the drag penalty. This review also foundthat adding the Gurney Flap at the trailing edge doesdelay the flow separation on the suction surface of
the aerofoil.
The first study on the gurney flap was carried out
experimentally in 1978 [2] aimed to find to what
extent the gurney flap affects the aerofoil
performance. The study used a symmetric Newman
aerofoil with a Gurney flap of 1.25% of chord length.
The data obtained from the experiment showed that
adding 1.25%c gurney flap resulted in an increase in
the lift coefficient and a slight decrease in both
aerofoil drag as well as the zero lift angle-of-attack.
The study also tested a Newman aerofoil with larger
gurney flap and it was found that Gurney flap with

INTRODUCTION
High lift devices have a significant effect on theperformance of the aircraft. Having an effective andefficient high lift system enables the aircraft to takeoff and land at lower speed and it also allows theaircraft to have higher payload capacity and higher
range. All high lift devices are designed to keep thedrag at lowest during take-off phase in order for theaircraft to reach its cruising speed faster and toincrease the drag at approaching phase so it can land
at lower speed and shorter runway.
All the advantages resulting from the high lift
system improve the performance of the aircraft andmake the aircraft more fuel-efficient. However, highlift systems such as flaps and slats are considered tobe complex devices and this is due to the behaviourof the flow around the surface of the flap where
several types of flow travel over the flap's surfaces
such as, the wake resulting from the wing, boundary
layer as well as the flow travelling through the flaps
slot and all these flows generate a circulatingboundary layer over the flap's surface. This unstableflow around high lift device makes the design of theflap very difficult and also increases the cost of
manufacturing and maintenance. Therefore, a simple
mechanical device is required to reduce the cost of
manufacturing as well as to make the aircraft more
profitable.
Gurney flap is a very simple mechanical device
that is able to increase the lift coefficient with low
363

SEE-Osaka, Japan, Nov. 21-23, 2016

dramatic increase in the drag penalty. This wascorroborated [9] by investigation Gurney flap of
5%C on NACA0012 at low Reynolds number of
2×105. The effect of wing seep on Gurney flap
performance was investigated experimentally; theresults showed sweep attenuates the Gurney flap liftenhancement [10]. Another study was focused on
reduction of the drag penalty associated with Gurney
flap deployment based on adjoint shape optimizationof aerofoils [11].

2%c or larger resulted in a significant increase in thelift coefficient with a noticeable increase in the dragpenalty. Another study was carried out by Wadcock[3] on NACA 4412 aerofoil tested at Reynolds
number 1.64 x 106 in the wind tunnel. The findingsof the study showed an effective increase in the total
lift generated by the aerofoil with the gurney flap,
moving the lift curve up by a magnitude of 0.3 for
NACA 4412 with Gurney flap of 1.25%c. The
addition of this Gurney flap to the trailing edge did
not cause any significant increase in the drag penalty.
An experimental investigation was made on a
racing car wing with Gurney flap by Katz andLargman [4]. The Gurney flap was installed at thetrailing edge; the results showed that adding Gurney
flap of 5% of chord length caused a high increase in
the lift coefficient of about 50% compared to a clean
baseline wing. However, this size of Gurney flap
also caused a very significant drag penalty which inturns, decreased the lift-to-drag coefficient.
A numerical investigation [5] carried out on
different sizes of Gurney flaps ranging from 0.5% to
3% chord length. These different flaps were tested
on NACA 23018 aerofoil. The study concluded that
increase in the size of the Gurney flap leads to anincrease in the lift coefficient for the sizes tested,also, it was noticed from the obtained data that therelationship between flap size and lift-curve shift
does not seem to be linear. As an example, theincrease in the lift coefficient between 0% and 0.5%
chord length of the Gurney flap is higher than theincrease in the lift coefficient due to changing thesize of the Gurney flap from 1.5% and 2% chord
length [6]. Adding a Gurney flap to the trailing edgeof the wing not only increase the lift, but it also has apositive effect on delaying the separation on thesuction surface. Some studies concentrated on theeffect of delay separation of the upper surface at
certain values of angle of attack, utilising of a
Gurney flap in order to control flow separation at
low Reynolds number. The results showed that
adding such flap has effectively eliminated theseparation region. Thus, confirming the benefit ofthe delayed separation by a Gurney flap [7].
The Gurney flap was also found to have someeffects on the boundary layer. A study was
conducted [8] aimed to find a scaling for the optimal
size of the Gurney flap that would result in the
maximum Lift-to-Drag ratio. LA203A Aerofoil was
utilized in this study at Reynolds number of 2.5×10 5.
The findings of this study indicated that the optimal
size of the Gurney flap is the same as the thicknessof the boundary layer at the trailing edge. Overall,
for most aerofoils, the studies revealed that Gurney
flap with sizes ranging between 1% to 2% of thechord length had generated the optimal lift-to-dragperformance.
Increasing the Gurney flap size beyond thethickness of the boundary layer will result in a

AIM AND OBJECTIVES
The goal of this study is to conduct a thoroughinvestigation in order to enhance the aerodynamic
characteristics of a thin symmetric aerofoil NACA
0012 at low Reynolds number. This investigation
includes testing this aerofoil with different
configurations of the Gurney Flap. These
configurations are: Different heights of the Gurney
flap, different locations of the Gurney flap from theleading edge. Different deflection angles of the
Gurney flap and T-strip configuration.
NUMERICAL APPROACH
The study used a Numerical method to analyse
the effect of addition of Gurney flap on the
behaviour of the airflow around the aerofoil. An
overview of the numerical simulation will be
introduced followed by mesh generation andimplementation.
The aim of the study is to determine the optimal
configuration for a thin symmetric NACA 0012
aerofoil. Four different configurations of the Gurney
flap were tested for this investigation. These
configurations are related to the height, location,
mounting angle and T-strip of the Gurney Flap.
These tested configurations can be seen from thetable below.
Table 1 GF-Gurney Flap Configuration Tested
No

Configuration
1

GF Height

2

GF Location

3

GF T-strip

4

GF Mount
Angle

Tested Values
0%C,1%C,2%C,3%C
and 4%C
S=0%C,5%C,10%C and
20%C
1%C T-strip and 2%C
T-strip-45, +90 and +45
degrees

The followed procedure for the selection of the
optimal configuration started with testing different
heights of the Gurney flap and then analysing thesedata in order to select the optimal height. After
364

SEE-Osaka, Japan, Nov. 21-23, 2016that was used in the computational test (Re=3×105)
which is based on the chord length (152mm) and thiscan be seen from Fig. 1.

selecting the optimal height, this Gurney Flap then
was tested as T-strip in order to determine whether it
would be more efficient than the normal
configuration. The optimal Gurney height then wastested at different locations from the trailing edge todetermine the optimal location for this device. After
determining the optimal location, the gurney flap
was then tested at different mounting angle in order
to select the best angle by which the flap will
improve the overall performance of the NACA0012.
Computational Fluid Dynamics (CFD) used forsolving set of equations in order to model the flowfield. FLUENT 15 was utilized in order to solve setof equations called Reynolds-averaged NavierStokes equations (RANS). RANS equations are
based on the basic physics of energy, mass andmomentum conservation [12]. Two of the turbulencemodels were used to determine which one would
give better results in modelling the flow of interest.
These two models are K-ω SST and K-ε Realizable,
the latter was used for the testing as it has thecapability to enhance the wall treatment. The second
order was also selected for the upwind discretization
to solve all equations. As for the pressure-velocity
coupling, the SIMPLE scheme was selected.
Enhanced wall functions with K-ε were used forthe wall boundary conditions. These were applied
for the aerofoil surface as well as the two walls of
the wind tunnel. Inlet velocity was applied for the‘velocity-inlet’ condition with the speed of 29 m/s.
A ‘pressure-outlet’ condition was applied for theoutlet pressure surface. As for the turbulence of the
inflow, the turbulent intensity and turbulent viscosity
ratio were specified as 5% and 10% respectively.
After creating the geometry (aerofoil), a flow
domain was created around the aerofoil. C-meshtechnique was used in this test, as it is a very popular
technique when it comes to generating a mesharound the aerofoil. Therefore, the number of meshelements increases as the elements goes towards theedges of the aerofoil. The triangles mesh method
was used for this study as it creates a better mesh
quality and more refined compared to the
Quadrilateral method. Sphere of influence was also
used during the mesh process as it allows us tocontrol the size of the mesh around the aerofoil wall.
Y+ value was also considered and the distance
between the aerofoil wall and the first node wascalculated to be 1.1 mm. this value was then used in
the Inflation as the first layer thickness. As for themesh quality, the maximum skewness of the mesh
was found to be 0.54 which means that the generated
mesh is high quality according to ANSYS
measurements.

Fig.1 Computational versus experimental [13]results, for clean airofoil and 2%c Gurney Flap.
It can be seen that the CFD results agree wellwith the measured results up to α = 12°. It appears
that beyond the stall angle of attack, the CFD dataslightly over predicted the experimental data. Thisshows a very slight difference between theexperimental and the numerical result for high angleof attack which indicates the highly refined and agood mesh method used for the numerical test. This
comparison between the CFD results and theExperimental results was made to prove that themethod used in the computation was satisfactory.
Figure 2 shows the lift coefficient for
NACA0012 aerofoil equipped with 0%,1%,2% and
4%C at angles of attack from 0° to 16°. It can beclearly seen from the same Fig. 2 that Gurney flap
effect is to increase the lift coefficient of the aerofoil.
Comparison of the maximum lift coefficient of theclean NACA0012 illustrates that the maximum lift
coefficient of the Gurney Flap of 1%c,2%c and 4%c
is increased about 19%,28% and 45%, respectively.
Adding a Gurney flap does not only have an effecton the lift coefficient but it also has a significant
effect on the stall angle of the aerofoil. It can be seenfrom the Fig. 2 that the stall angle decreased from
14° for the clean aerofoil to 12° for the aerofoil witha Gurney flap. It also can be noticed from the Fig. 2that the zero lift angle of attack becomes morenegative as the size of the Gurney flap increases.
Therefore, increasing the size of the Gurney flap
was found to increase the lift generated by the
aerofoil. This significant increase in lift is mainly
due to the increase in the effective camber of theaerofoil. In summary, the lift coefficient curves ofGurney flaps were shifted upwards and to the left.

RESULTS AND DISCUSSION
CFD results were compared to the experimental
results for the clean aerofoil The Reynolds number
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SEE-Osaka, Japan, Nov. 21-23, 2016attack between 0° to 6°. Beyond this angle of attack,these flaps generate less lift-to-drag ratio due to thehigh generation of drag. Compared to the clean
aerofoil performance, the aerofoil with 1%c and
2%c seems to improve the overall performance of
the aerofoil. However, the latter was selected as the
optimum size as it was found to improve theperformance of the NACA 0012 aerofoil by 21%
which is considered to be high for the small size ofthe flap.

However, the slope of the curves seems to remain
constant. These results demonstrate that the effect of
the Gurney flap is mainly to increase the effective
camber of the aerofoil.

Fig. 2

Lift coefficients for different GF heights.

The effect of the Gurney flap on the dragcoefficient can be seen from Fig. 3, the dragcoefficient of the aerofoil increases as the height of
The Gurney flap increases. As for 1%c and 2%c,
compared to the clean aerofoil, the increase in thedrag penalty was noticed to be very small at angle ofattacks between 0° to 8° and as the angle of attack
increases beyond 8° the drag penalty started toincrease significantly. However, for a gurney flap
above 2%, the drag penalty was noticed to be highcompared to the clean aerofoil.

Fig. 3Fig. 4

Lift to Drag ratio for different GF heights.

Gurney flaps with different sizes were tested andthe optimal flap that enhances the overall
performance of the aerofoil was found to be 2%C.
This specific aerofoil was also tested to determine
whether the deflection of the gurney flap about thechord line would affect the performance of theaerofoil. The aerofoil was already tested earlier at 90
degrees and then it was tested at +45 and -45
degrees at the same boundary conditions. They were
all tested at different angles of attack from 0 to 16
degrees. Fig. 5 and 6 shows the lift and dragcoefficient as a function of angle of attack
respectively.

Lift coefficients for different GF heights.

Figure 4 shows the lift-to-drag ratio as a functionof angle of attack α. The L/D ratio increases with theincrease of the angle of attack. However, thisincrease is not linear. As for the Gurney flap withthe size of 1%C and 2%C, the lift-to-drag ratio
increased up to the stall angle 14°.

Fig. 5 Lift coefficient vs angle of attack for
different deflection angle 90, +45 and -45 degrees of
the Gurney flap.
From the lift coefficient plot it can be clearlyseen that the Gurney flap with +45 degrees
deflection generates the same lift as the flap with 90
degrees for the low to moderate angle of attacks

It also can be noticed that the aerofoil with aGurney flap higher than 2%c generates higher lift-to
drag ratio than the clean aerofoil for the angle of366

SEE-Osaka, Japan, Nov. 21-23, 2016

The effect of the T-strip flap on the performanceof the clean aerofoil can be seen from the Fig. 8 and
9. It can be seen that the T-strip increases the
maximum lift coefficient by 8% compared to theclean aerofoil. However, it produces 6% less of
maximum lift coefficient as that of normal gurney
flap with the same size. It was also noticed that the
T-strip flap does not produce any lift at zero angle ofattack due to the flow field around the aerofoil being
symmetric as the lower half of the T-strip cancels
the effect of the upper half effect resulting in zero
effect at zero angle of attack. From Fig. 8 the T-strip
seems to produce more drag compared to clean
aerofoil with normal gurney flap which in turns,
makes the T-strip less efficient as it produces lower
lift-to-drag ratio compared to the normal gurney flap
with the same size. Thus, the T-strip does notproduce better performance compared to the gurney
flap with the same size for the NACA 0012 aerofoil.

Fig. 6 Drag coefficient vs angle of attack for
different deflection angle 90, +45 and -45 degrees of
the Gurney flap.
As the angle of attack increases beyond 8
degrees, the former flap started to generate higher
lift than the latter. As for the gurney flap with thedeflection of -45, there was a significant decrease in
the lift coefficient at all tested angles of attack.
As for the drag coefficient, it was noticed from
Fig. 6 that deflecting the flap does not affects thedrag generated by the aerofoil before the stall angleof attack. After the stall angle of attack, the flap with90 degrees deflection generated higher dragcoefficient where the aerofoil with -45 deflections
generated the least drag coefficient.
The lift-to-drag ratio plot of the aerofoil withgurney flap with different deflection angles is shownin the Fig. 7 as a function of angle of attack.

The lift-to-drag ratio plot can be seen from Fig
10. It can be seen that as the location of the gurney
flap shifted forward toward the leading edge, lift-todrag ratio curve also shifted down due to thesignificant increase in the drag coefficient. It wasalso found that mounting the gurney flap between
0%c to 10%c improve the aerofoil performance
beyond 10% and the lift-enhancement effects drops
significantly. Overall, mounting the gurney flap at
the trailing edge provides the optimum performanceof the aerofoil.

Fig. 8 Lift coefficient vs angle of attack T-strip
Gurney flap shape.
Fig. 7 Lift to Drag ratio vs angle of attack for
different deflection angle 90, +45 and -45 degrees of
the Gurney flap.

CONCLUSION
Adding the Gurney flap resulted in a significant
increase in the maximum lift coefficient. Compared
to clean aerofoil, the maximum lift coefficientincreased by 19%, 28% and 45% for the Gurney flap
height of 1%c, 2%c and 4%c respectively. Optimum
height for the Gurney flap was found to be 2%c.
This height increased the maximum lift coefficientwith small drag penalty.

It can be seen that deflecting the aerofoil with 45 degrees generates the least lift-to-drag ratio.
However, compared to the flap with 90 degrees
deflection, the gurney flap with +45 deflections
seems to enhance the performance of the aerofoil at
low to moderate angle of attack. Thus, the optimum
size of the aerofoil is 2%c with the deflection angleof +45.

367

SEE-Osaka, Japan, Nov. 21-23, 2016

[1] Cavanaugh MA, Robertson P. and Mason WH,“Wind tunnel tests of Gurney flaps and T-strips
on an NACA 23012 wing”, 2007, accessed
online:http://www.dept.aoe.vt.edu/~mason/Mason_f/A
IAA2007-4175.pdf[2] Liebeck R H. ''Design of subsonic airfoils forhigh lift''. Journal of Aircraft, Vol.15, 1978
pp.547-561.
[3] Wadcock AJ, (1987) '' Investigation of lowspeed turbulent separated flow around airfoils''
NASA-CR-177450[4] Largman R, Katz J, '' Effect of 90 degrees flap
on the aerodynamic of a two element airfoil''. J.
Fluids Engineering, Vol. 111, 1989, pp.93-94[5] Nouri M, Sayehvand H and Mekanik A,''Numerical investigation of aerodynamic
characteristics of NACA 23018 airfoil with aGurney flap'', International Journal of
Mechanical Engineering and Robotics ResearchVol. 1 (3), Oct. 2012, pp.341-349.
[6] Altmann, GF, “An investigation study ofGurney flaps on a NACA0036 airfoil”. Ph.D.
Thesis, Cal poly Uni. , 2011, accessed online
http://digitalcommons.calpoly.edu/cgi/viewcont
ent.cgi?article=1554&context=theses[7] Salcedo S, Monge F, Palacios F, Gandia F,
Rodrigues A and Barcala M, “Gurney flaps andtrailing edge devices for wind turbines” inPoceedings of European wind energy
conference, EWEC 2006, Athens, Greece.
[8] Giguere P, Dumas G and Lemay J, “Gurney flap
Scaling for Optimum Lift-to-Drag ratio” AIAA
Journal, Vol. 35, 1997, pp.1888-1890.
[9] Gai SL, Palfrey R “Influence of Trailing-Edge
Flow Control on Airfoil Performance” Journalof Aircraft , Vol 40(2), 2003, pp.332-337[10] Traub L and Chandrachekar SM, “ experimental
study on the effect of wing sweep on Gurney
flap performance” Aero Sci & Tech, 55, 2016,
pp. 57-63[11] Amini Y, Emdad H and Farid H, “Adjoint shape
optimization of airfoils with attached gurneyflap”, Aero Sci & Tech 41, 2015, pp. 216-228[12] Temam P, NAVIER-STOKES EQUATIONS.
accessed online:
http://math.univ-lille1.fr/~calgaro/ENS/bibliom2ma/T.pdf[13] Windi IS, Faris MA and Kareem H,"Experimental and numerical investigation of
the improvement of aerodynamic characteristicof NACA 0012 airfoil”, IJMMME, Vol.2, 2014,
pp. 11-15

Fig. 9 Drag coefficient vs angle of attack T-strip
Gurney flap shape

Fig. 10 Lift to drag ratio with Gurney flap mounted
at different position as a percentage of the chord.
Overall, this specific height enhanced theoverall performance (lift-to-drag ratio) of the clean
aerofoil NACA0012 by 21%. Adding a T-strip
Gurney flap of 2%c increased the drag coefficientand reduced the lift coefficient compared to the 2%c
Gurney flap. As for the location of the Gurney flap,
as the gurney flap shifted towards the leading edge,
the lifting-enhancement effect of the flap decreased.
The optimum location for the gurney flap was foundto be exactly at the trailing edge. However, theperformance of the gurney flap was not reduced
when it is placed within 10%c distance from thetrailing edge. The flap deflection of +45 degrees
enhanced the overall performance of the aerofoil
compared to the normal 2%c Gurney flap. Future
work will be focused on innovative ways
incorporating this technology into unmanned air
vehicles.
ACKNOWLEGMENTS
This work is part of dissertation submitted by
Julanda Al-Mawali in partial fulfillment of thedegree of Bachelor of Engineering

REFRENCES

368

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

ORGANIC SOLVENT-RESISTANT PROPERTIES OF PROTEINSADSORBED ONTO BIOMASS CHARCOAL POWDER
Hidetaka Noritomi1, Jumpei Nishigami1, Nobuyuki Endo2, Satoru Kato1 and Katsumi Uchiyama1
1
Department of Applied Chemistry, Tokyo Metropolitan University, Japan; 2EEN Co., Ltd., Japan
ABSTRACT
We have found out that biomass charcoal powder (BCP), which is prepared from plant biomass wastes bypyrolysis at low temperatures under nitrogen atmosphere, imparts organic solvent resistance to proteins by using
BCP as a protein carrier. α-Chymotrypsin (α-CT), which was used as a model protein, was sufficiently adsorbed
onto the surface of BCP. When free α-CT and BCP-adsorbed α-CT were immersed in acetonitrile containing
5%(v/v) water, they catalyzed the transesterification of N-acetyl-L-tyrosine ethyl ester (N-Ac-Tyr-OEt) with nbutanol (BuOH) to produce N-acetyl-L-tyrosine butyl ester (N-Ac-Tyr-OBu), which did not proceed in an
aqueous solution, where α-CT worked as a hydrolase. The initial rate of transesterification catalyzed by BCPadsorbed α-CT was strongly dependent upon the kind of BCP, and was about fifty times higher than thatcatalyzed by free α-CT when bamboo charcoal powder was used as a carrier.
Keywords: Biomass Charcoal Powder, Protein, Adsorption, Organic Solvent Resistance, α-Chymotrypsinorganic solvents. However, the enzyme tends toshow the low activity in organic solvents, comparedwith that in water, since an organic solvent ingeneral works as a denaturant of proteins [9]. In
order to improve the performance of enzymes inorganic solvents, there have been some modes of
enzyme preparation such as entrapped enzymes,
lyophilized enzyme powders, lipid-coated enzymes,
cross-linked enzyme crystals, and so on [10]-[15].
However, those preparation modes need expensive
reagents, fine techniques, or a special apparatus. On
the other hand, the adsorption of proteins onto
various carriers has been widely used from thelaboratory scale to the industrial scale because of thesimplest and most economical method of stabilizing
proteins [16], [17]. The physical and chemical
surface properties of carriers strongly affect theperformances of adsorbed proteins such as activity,
specificity, and stability. Accordingly, it is possiblethat the suitable selection of carriers makes enzymes
exhibit their desired performances in organic
solvents. However, there have been few reports
regarding the performances of adsorbed enzymes inorganic solvents.
In order to investigate the high value-addedfunction of biomass charcoal powder (BCP) derived
from plant biomass wastes by pyrolysis at low
temperatures, we have so far examined theusefulness of BCP as a protein carrier in an aqueous
solution. We have found out that proteins are
effectively adsorbed onto BCP [18],[19], and BCPadsorbed proteins exhibit the enhanced storage
stability and the high heat stress resistance in an
aqueous solution, compared to free proteins [20][23].
In our present work, we have assessed

INTRODUCTION
There has been a growing interest in using
biomass as energies and functional materials toestablish a recycling society [1]-[4]. However,enormous amount of plant biomass wastes, which
are exhausted in the world, have hardly been taken
advantage of, although they are renewable resources
and carbon neutral. Consequently, the developmentin the higher value-added function of plant biomass
wastes has been promoted all over the world toprovide the multiple effective utilization system ofplant biomass wastes.
On the other hand, the application of proteinsto environmentally benign processes such as
biotransformation, biosensor, biofuel cell, and so on
in aqueous and non-aqueous media has recently
attracted much attention, since proteins exhibit theiroutstanding biological activities and specificities
under mild conditions [5]-[7]. Especially, thebiotransformation catalyzed by an enzyme, which isa kind of proteins, in non-aqueous media has been
applied to numerous synthetic processes because of
the following benefits [8]: 1. The solubility of nonpolar reactants and products is improved. 2.
Synthetic reactions can take place by use of aconventional hydrolase without an expensive energy
substance such as adenosine triphosphate (ATP). 3.
The stereoselectivity of enzymes is markedly altered.
4. The thermal stability of enzymes is highly
improved. 5. Enzymes are easily recycled byrecovering them with the filtration or thecentrifugation. 6. The product is easily recovered
with the evaporation when using the volatile organic
solvent as a reaction medium. 7. The contamination
due to the growth of microorganisms is inhibited by369

SEE-Osaka, Japan, Nov. 21-23, 2016

whether BCP can effectively enhance the organic
solvent resistance of proteins by using BCP as acarrier of proteins to improve the activity of proteinsin an organic solvent. We have employed bovinepancreas α-chymotrypsin as a model protein, since itis well investigated regarding its structure, functions,and properties [24].

phosphate buffer solution at pH 7 containing 300
μM α-CT and 3 g/L BCP was placed in a 10-mL test
tube with a screw cup, and was incubated at 25 ℃
and 120 rpm for 24 h. After adsorption, the mixture
was filtrated with a membrane filter (pore size: 0.1

2. MATERIALS AND METHODS
2.1. Materials
α-Chymotrypsin (EC 3.4.21.1 from bovinepancreas)(type II, 52 units/mg solid)(α-CT) was
purchased from Sigma-Aldrich Co. (St. Louis, USA).
N-Acetyl-L-tyrosine ethyl ester (N-Ac-Tyr-OEt) andN-acetyl-L-tyrosine (N-Ac-Tyr-OH) were also from
Sigma-Aldrich Co. (St. Louis, USA). All solventsused were of guaranteed grade, commerciallyavailable, and were used without further purification.
Before acetonitrile was used as a reaction solvent, it
was dried by storing it over dry 0.3 nm molecularsieves (Wako Chemical Co.) for at least 24 h.

Fig. 1 SEM images of (A) adzuki bean
charcoal, (B) bamboo charcoal, and (C) wood
charcoal.
μm, Millipore Co. Ltd.). The amount of α-CT
adsorbed onto BCP was calculated by subtracting
the amount of α-CT included in the supernatantliquid after adsorption from the amount of α-CT in
the aqueous solution before adsorption. The amountof α-CT was measured at 280 nm by UV/vis
spectrophotometer (UV-1800, Shimadzu Co. Ltd.).

2.2. Preparation of Biomass Charcoal Powder(BCP)
Under nitrogen atmosphere, dumped bamboos
were dried at 180 ℃ for 2 hr, were pyrolyzed at
450 ℃ for 2 hr, were carbonized at 350 ℃ for 3 hr,
and then were cooled at 100 ℃ for 1 hr by pyrolyzer(EE21 Pyrolyzer, EEN Co. Ltd., Japan). Bamboo
charcoal powder was obtained by grinding theresultant bamboo charcoal with jet mill (100AS, Fuji
Sangyo Co. Ltd., Japan). Adzuki bean charcoal
powder and wood charcoal powder were prepared by
the same method.
2.3. Characterization
PowderofBiomass

2.4. Measurement of Activity of Free and BCPAdsorbed α-Chymotrypsin
The standard reaction for transesterification
was carried out as follows: Three milliliter ofacetonitrile containing 5%(v/v) water, 10 mM N-AcTyr-OEt, 1000 mM n-butanol, 1 mM acetanilide,and free or BCP-adsorbed α-CT (30 μM) was placedin a 4 mL screw-cap vial, and was incubated at 120
rpm and 25 oC. The amounts of the reaction
components were periodically determined with
HPLC (Shimadzu LC-10A) ( Shimadzu Co., Kyoto,
Japan) using a TSK-GEL ODS-80TM column(Tosoh Co., Tokyo, Japan) eluted with wateracetonitrile (6:4 by volume) at 0.5 mL/min with
detection at 270 nm. Acetanilide was used as aninternal standard.

Charcoal

The SEM micrograph was obtained using ascanning electron microscope (JSM-7500FA, JEOL,Japan) operating at 15 kV. The sample for SEM was
prepared on a carbon tape without vapor deposition.
All samples were outgassed at 300oC for 8 hprior to the nitrogen adsorption measurements.
The specific surface area of BCP was calculatedwith the use of the Brunauer-Emmett-Teller (BET)method using a micropore system (BELSORP-mini
II, BEL JAPAN, INC.).
The surface of BCP was analyzed by X-ray
photoelectron spectroscopy (XPS) (Quantum-2000,
ULVAC-PHI Co. Ltd.) operating at an x-ray beam
size of 100 μm.

2.5. Measurement of Fourier Transform Infrared
Spectroscopy (FTIR)
FTIR measurements of free and BCPadsorbed α-CT were carried out using a Jasco
FT/IR spectrometer model FT/IR-4100. A KBrpellet containing 0.5 mg of free or BCP-adsorbed
α-CT powder per 100 mg of KBr was prepared, andthe measurements were performed using 512 scans
under 4.0 cm-1 resolution.

2.3. Adsorption of α-Chymotrypsin onto Biomass
Charcoal Powder

3. RESULTS AND DISCUSSION

As a typical procedure, 5 mL of 0.01 M
370

SEE-Osaka, Japan, Nov. 21-23, 2016

due to functional groups containing oxygen atoms,
Table 1 Specific surface area of BCP andadsorption property of α-CT onto BCP.
SampleSpecific surface area

Amount adsorbed

Coating rate (%)

Coating rate (%)(m2/g)(μmol/g)

end-onside-onAdzuki bean charcoal

204

17

63

80

Bamboo charcoal

294

9.8

25

32

Wood charcoal

117

21

135

172

3.1 Characterization of Biomass Charcoal
PowderWe have pyrolyzed plant biomass wastes at
low temperatures under nitrogen atmosphere to
produce functional groups on the surface of biomass
charcoals and to make use of the resultant functionalgroups as a binding site for the adsorption ofproteins. In order to observe the surface of BCP, wehave examined SEM images. As seen in Fig. 1, themorphology of BCP was strongly dependent upon
the kind of materials. The roughness of BCP was
remarkably low, and any pores were not observed at
the magnification measured in the present work. The
surface of bamboo charcoal was smoother than thatof any other charcoal.
Table 1 shows the specific surface area of
BCP obtained from low-temperature (-196 ℃ )nitrogen adsorption isotherms, the amount of α-CT
adsorbed onto BCP, and the coating rate, which is
the ratio of the total in the cross-sectional area of αCT molecules adsorbed on the surface of BCP to thesurface area of BCP. The shape of α-CT molecule isa spheroid, the size of which is 5.1 x 4.0 x 4.0 nm[24]. In Table 1, the end-on means that the major
axis direction of α-CT molecules contacts with thesurface of BCP perpendicularly, while the side-onmeans that the minor axis direction of α-CT
molecules contacts with the surface of BCP
perpendicularly. α-CT molecules were sufficiently
adsorbed onto the surface of BCP. The coating rate
indicates that α-CT molecules are adsorbed onto
adzuki bean charcoal and bamboo charcoal atmonolayer, since their coating rates are less than
100%, and α-CT molecules are adsorbed onto wood
charcoal at multilayer, since its coating rate is morethan 100%.
In order to assess the chemical property of thesurface of BCP, the measurement on X-ray
photoelectron spectroscopy (XPS) was carried out.
Figure 2 shows the elemental ratio of the surface of
BCP detected by XPS. The main element was
carbon atom, and oxygen and nitrogen atoms werealso located on the surface of BCP to some extent.
The ratios of oxygen and nitrogen atoms in adzuki
bean charcoal were greater than those in any othercharcoal. From narrow scan spectra of XPS, thechemical states of carbon were mainly C-C and C-H,
while as chemical states of carbon with oxygen andnitrogen, C-O, O-C-O, C=O, COOH, and C-N weredetected, as shown in Fig.3. Many radical species

Fig. 2 The elemental ratio of the surface of BCP
detected by XPS.

Fig. 3 The chemical bond ratio of BCP obtained
from narrow scan spectra of XPS.
which are formed by thermal decomposition ofcellulose and hemicelluloses, are detected incharcoals carbonized at 500oC by the measurementof electron spin resonance, and functional groups
decrease with increasing carbonization temperature[25],[26]. On the other hand, the ζ-potential of BCP
was negative at pH 7 while that of α-CT was
positive due to the isoelectric point of α-CT (9.1)[18],[24]. Consequently, it is suggested that α-CT
molecules are adsorbed onto the surface of BCP
mainly through the electrostatic force which tends tostrengthen the adsorption due to the low dielectric
constant in acetonitrile, compared to that in water[27].
3.2. Activity of BCP-Adsorbed α-Chymotrypsin
In an aqueous solution, a synthase and an
expensive energy substance such as adenosine
triphosphate (ATP) are needed to carry out the
enzymatic synthetic reaction. On the other hand, inan organic solvent, hydrolases such as lipase,protease, and so on can function as a synthase
without energy substances [8]. In the present work,371

SEE-Osaka, Japan, Nov. 21-23, 2016

In an aqueous solution, the activity, specificity,and stability of enzymes adsorbed onto the surfaceof carriers markedly depend upon the chemical andphysical properties in the surface of carriers [16],[17]. In order to evaluate the effect of the surface
properties of carriers on the activity of adsorbed
enzymes in an organic solvent, we have examined
the transesterification catalyzed by α-CT adsorbed
onto the different kind of BCP in acetonitrile
containing 5%(v/v) water. Figure 5 shows the initial
Fig. 4 α-CT-catalyzed transesterification of Nacetyl-L-tyrosine ethyl ester (N-Ac-Tyr-OEt)
with n-butanol (BuOH) to N-acetyl-L-tyrosine
butyl ester (N-Ac-Tyr-OBu) and competinghydrolysis (N-Ac-Tyr-OH).

Fig. 6 Dependence of kind of BCP on theselectivity of BCP-adsorbed α-CT-catalyzed
transesterification. Free or BCP-adsorbed α-CTwas placed in acetonitrile containing 5% (v/v)
water, 10 mM N-Ac-Tyr-OEt, 1000 mM BuOH,
and 1 mM acetanilide, and the resulting mixture
was shaken at 120 rpm and 25 oC.

α-CT-catalyzed transesterification was examined asshown in Fig. 4. When N-acetyl-L-tyrosine ethyl
ester (N-Ac-Tyr-OEt) is used as a substrate, thetransesterification is a kinetically controlled reaction
process. This process involves the competitive
distribution of the rapidly formed acyl enzyme
intermediate(N-Ac-Tyr-E)
betweenwater(hydrolysis) and n-butanol (BuOH) as anothernucleophilic reagent (transesterification). Since thenucleophilic reaction is rate-determining step, and k 1 ,k -1 , and k 2 are much greater than k e and k h [28], theinitial rates are shown as
𝑽𝑽𝒆𝒆 = 𝒌𝒌𝒆𝒆 [𝑵𝑵 − 𝐀𝐀𝐀𝐀 − 𝐓𝐓𝐓𝐓𝐓𝐓 − 𝐄𝐄][𝐁𝐁𝐁𝐁𝐁𝐁𝐁𝐁]
𝑽𝑽𝒉𝒉 = 𝒌𝒌𝒉𝒉 [𝑵𝑵 − 𝐀𝐀𝐀𝐀 − 𝐓𝐓𝐓𝐓𝐓𝐓 − 𝐄𝐄][𝐇𝐇𝟐𝟐 𝐎𝐎]

rates of N-acetyl-L-tyrosine butyl ester (N-Ac-TyrOBu) and N-acetyl-L-tyrosine (N-Ac-Tyr-OH)
catalyzed by free and BCP-adsorbed α-CT in
acetonitrile containing 5%(v/v) water. Both initialrates of N-Ac-Tyr-OBu and N-Ac-Tyr-OH catalyzed
by BCP-adsorbed α-CT were much higher thanthose catalyzed by free α-CT. α-CT adsorbed onto
bamboo charcoal powder was the most effective ofall, with respect to the enhancement in the initialrates of N-Ac-Tyr-OBu and N-Ac-Tyr-OH. With
regard to the transesterification catalyzed byhydrolase, which is characteristic of the non-aqueous
enzymology, the initial rate of N-Ac-Tyr-OBu
catalyzed by α-CT adsorbed onto bamboo charcoal
powder was about fifty times higher than thatcatalyzed by free one. Enzymes are aggregated in an
organic solvent, and most of them can not directly
come in contact with the bulk organic phase
containing substrates, although they are soluble in an
aqueous solution. On the other hand, most of the
enzymes adsorbed onto BCP are directly in contact
with the bulk organic phase, since they are locatedon the surface of BCP. Accordingly, BCP-adsorbed
enzymes can effectively proceed the reaction,compared to free enzymes, since mass transfer ofsubstrates and products is rapidly facilitated [29].
Figure 6 shows the selectivity of the reaction
catalyzed by free and BCP-adsorbed α-CT in
acetonitrile containing 5%(v/v) water. The
selectivity corresponds to the transesterificationpreference. The selectivity of BCP-adsorbed α-CTwas superior to that of free one. A hydrophilicorganic solvent such as acetonitrile is a good solvent
for an amino acid derivative, which is an importantintermediate in fine chemistry, but tends to denature
proteins strongly [8],[10]. It appears that thestructure and microenvironment of the active site in
BCP-adsorbed α-CT is suitable for thetransesterification, compared to that in free one.

(1)
(2)

where V e is the initial rate of transesterification, V h
the initial rate of hydrolysis, k e the rate constant oftransesterification, and k h the rate constant ofhydrolysis. From Eqs. (1) and (2), the selectivity(k e /k h ) is derivated as the following equation.
𝒌𝒌𝒆𝒆

𝒌𝒌𝒉𝒉

=

𝑽𝑽𝒆𝒆 [𝐇𝐇𝟐𝟐 𝐎𝐎]

𝑽𝑽𝒉𝒉 [𝐁𝐁𝐁𝐁𝐁𝐁𝐁𝐁](3)

Table 2 Ratio of the absorbance at 1650 cm-1 tothe absorbance at 1630 cm-1 (ABS1650/ABS1630)
of α- CT provided by the FTIR measurement.
Sample

ABS1650/ABS1630 (-)

Free α-CT

1.1

Adzuki bean charcoal-adsorbed α-CT

1.3

Bamboo charcoal-adsorbed α-CT

1.5

Wood charcoal-adsorbed α-CT

1.3

Fig. 5 Dependence of kind of BCP on BCPadsorbed α-CT-catalyzed transesterification.
Free or BCP-adsorbed α-CT was placed in
acetonitrile containing 5% (v/v) water, 10 mM
N-Ac-Tyr-OEt, 1000 mM BuOH, and 1 mM
acetanilide, and the resulting mixture wasshaken at 120 rpm and 25 oC.

372

SEE-Osaka, Japan, Nov. 21-23, 2016

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In order to elucidate the influence ofadsorption on the secondary structure of α-CT, wehave measured the FTIR spectra of free and BCPadsorbed α-CT. The most sensitive spectral region toprotein secondary structural components is amide I(1700 – 1600 cm-1), which is due to the C=O
stretching vibrations of the peptide linkages [30].
Table 2 shows the ratio of the absorbance at 1650
cm-1 to the absorbance at 1630 cm-1
(ABS 1650 /ABS 1630 ) of free α-CT and α-CT adsorbed
onto BCP. The band located at ca. 1650 cm-1 isassignable to α-helix, and the band located at ca.
1630 cm-1 is assignable to intramolecular β-sheet.
The order of the ABS 1650 /ABS 1630 ratio was bamboo
charcoal-adsorbed α-CT > adzuki bean charcoaladsorbed α-CT = wood charcoal-adsorbed α-CT >free α-CT. The order of the ABS 1650 /ABS 1630 ratio
was similar to that of the initial rate oftransesterification. The α-helical structure of α-CT
molecule is more changeable than β-sheet, since theβ-sheet structure is the main backbone of α-CT
molecule [24]. Thus, the results indicate that at thehigher initial rate the transesterification is catalyzed
by α-CT molecules having the secondary structure
kept more highly.
4. CONCLUSION
We have demonstrated that the adsorption ofα-CT onto BCP sufficiently improves the organic
solvent resistance of α-CT. Both initial rates oftransesterification and hydrolysis catalyzed by BCPadsorbed α-CT were much superior to thosecatalyzed by free α-CT. Bamboo charcoal improved
the more effective organic solvent resistance of αCT than any other charcoal. BCP-adsorbed α-CT
exhibited an excellent transesterification preference,compared to free α-CT. The higher the ratio of αhelix to β-sheet in α-CT, the higher the initial rate oftransesterification catalyzed by α-CT was shown.
The enhancement in the initial rate oftransesterification catalyzed by BCP-adsorbed α-CT
results not only from the facilitation in the masstransfer of substrates and products due to theinhibition of aggregation of α-CT molecules but also
from the high secondary structure of α-CT
molecules adsorbed onto BCP.
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[23] Noritomi H, Kurihara S, Endo N, Kato S,
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4283-4307.
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374

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

DC AND RF CHARACTERISTICS FLUCTUATION OF
INALAS/INGAAS HEMTS ACCORDING TO THE
OPERATING TEMPERATURE VARIATION
Kenta Otsuki1, Yuta Kainuma1, Ryuichi Miyashita1, Kimihiro Yamanaka1 and Hirohisa Taguchi1
1

Department of Electrical and Electronic Engineering, School of Engineering, Chukyo
University 101-2 Yagoto Honmachi, Shouwa-Ku, Nagoya City, Aichi, Japan,

ABSTRACTInAlAs/InGaAs high electron mobility transistors (HEMTs) are a type of field effect transistor that can achieve
extremely high high-frequency gain owing to quantum effects operating in the channel layer. HEMTs are importantcomponents for devices that involve millimeter waves and high-speed optical transmission systems. However,
InAlAs/InGaAs HEMTs have a frequency dispersion that depends on carrier recombination within the device.
This is an InGaAs-specific phenomenon, which degrades the device’s high-frequency gain performance. In thisstudy, we investigated the direct current (DC) and radio frequency (RF) characteristics of InAlAs/InGaAs HEMTs
by varying the operating temperature from liquid nitrogen temperature to 125 °C. The DC characteristics showed
an increase of the device transconductance (Gm) at low temperature. Reducing the operating temperature from
125 °C to liquid nitrogen temperature increased Gm to 60 mS. High-frequency gain was also confirmed in the RF
characteristics. The current gain cutoff frequency was 50.2 GHz at room temperature, and 66.8 GHz at liquid
nitrogen temperature, representing an increase of 33.1%. Analyzing the high-frequency characteristics showed thatthe high-frequency gain increase at low temperature was related to the temperature dependence of the parasitic
capacitance.
Keywords: HEMT, Current gain cutoff frequency, parasitic capacitance, Liquid nitrogen temperature

photo-responsive device [6].
However, the active layers of many semiconductor
devices reach temperatures in excess of 100 °C when
operating. This heat is generated when carriers passthrough the active layer and collide with the crystal
lattice. Lattice vibrations reduce the transport
properties of carriers passing through the active layer.
These thermal characteristics can be considered interms of the electronic circuit performance, i.e., thetemperature change can be considered from theresponse characteristics of the device. Previous
studies have revealed changes in the performance ofelectronic devices at low temperature; however, there
are no reported cases investigating the performance
under cryogenic temperatures.
In this paper, we investigated how changing thedevice operating temperature affected the electronic
properties of InAlAs/InGaAs HEMTs. The operating
temperature was varied from liquid nitrogentemperature (−196 °C) to 125 °C. We confirmedchanges in the radio frequency (RF) characteristics ofthe HEMTs operating over this temperature range.
The direct current (DC) characteristics showed thatthe transconductance (Gm) increased with decreasing
temperature. When the operating temperature was
reduced from 125 °C to liquid nitrogen temperature,
Gm almost doubled to 60 mS. The current gain cutoff
frequency (Ft) was measured to be 50.2 GHz at room
temperature; however, it increased to 66.8 GHz at

INTRODUCTION
Since their release, the communication speed ofmobile communication devices has continued toincrease. Nippon Telegraph and Telephone Company
first realized the car phone for mobile
communications in 1979. The maximum reception
speed at this point was 0.3 kbps [1]. The advanced
mobile phone system, later developed in North
America, improved the maximum reception speed to
10 kbps. Mobile communications technology has
continued to evolve, achieving even greater
maximum reception speeds. In March 2016, a
proposal for an LTE-Advanced Pro network wasannounced, representing a new general-purpose
wireless technology that offers ultra-high-speed
mobile communication of more than 10 Gbps. In only
37 years, the maximum reception speed has increased
from kbps to Gbps [2]. However, further increases incommunication speed are still in demand. For these
purposes, it is necessary to understand the physicalphenomena inside electronic devices used for highspeed communications.
We have been studying the physical properties of aphenomenon expressed in high electron mobility
transistors (HEMTs) of the kind used in ultra-highspeed field effect transistors (FETs) [3-5]. Our
previous research on inhibitors of carrier transport led
us to propose fusing a high-speed device with a375

SEE-Osaka, Japan, Nov. 21-23, 2016

liquid nitrogen temperature, indicating an
improvement of 33.1%. By analyzing the highfrequency characteristics of the devices, we showedthat the increase in the high-frequency gain at low
temperatures was related to the temperaturedependence of the parasitic capacitance.
EXPERIMENTAL METHOD
Target Device and Experimental Setup
A schematic of the HEMT device structure used forthese experiments is shown in Fig. 1.1. The carrier
supplying InAlAs layer was silicon δ-doped toprovide a high transconductance and a high degree ofthreshold-voltage uniformity. The epitaxial layers
used in the experiment were grown on an Fe-doped
semi-insulating InP substrate using metal-organic
chemical vapor deposition. These layers comprised ofan undoped InAlAs layer, an undoped InGaAschannel layer, an Si δ-doped layer, and an undoped
InAlAs insulator layer. Heavily doped nInAlAs/InGaAs capping layers were grown to lower
the source and drain contact resistances. The
electrode metals for the gate, source, and drain were
non-alloyed.
A semiconductor parameter analyzer was used tomeasure the DC characteristics and a network
analyzer with a frequency range of 1–20 GHz wasused to measure the S parameters (HP8510B). The
temperature of the sample device was controlled
between −40 and 125 °C using a device holder with a
Peltier element (VICS ITH-700). The operating
temperature of the sample devices was monitored
using a thermocouple placed directly under the device.
Sample devices were placed directly in a liquid
nitrogen environment for experiments conducted at
liquid nitrogen temperatures (−196 °C).
The
temperature of the sample device was confirmed to be−196 °C using the thermocouple, and the DC and RF
characteristics were measured. All the measuringsystems were performed within a microwave system.

Figure 1.1 Schematic cross section of the HEMTs

Figure 2.1 Typical drain current and voltage
characteristics of HEMT.

EXPERIMENTAL RESULTS
Figure 2.1 shows typical drain current and voltage
characteristics (I–V characteristics) of an HEMT atroom temperature. The HEMT used in thisexperiment showed a high Gm of up to 30 mS at Vgs =−0.6–0 V and Vds = 1.5 V. The temperaturedependence of the Gm maxima are shown in Figure
2.2. Although the Gm values were low at hightemperature, Gm gradually increased at lower
temperatures. This phenomenon can be attributed tosuppressed phonon scattering by the lattice vibrationsof the crystal at lower temperatures.
The frequency dependence of the current gain isshown in Figure 2.3. Frequency measurements were
performed in the range of 1–20 GHz. Representative
examples of the frequency characteristics at 125 °C,

Figure 2.2 Temperature dependence of thetransconductance (Gm) maximum values

376

SEE-Osaka, Japan, Nov. 21-23, 2016

Figure 2.3 Frequency dependence of the current gain.

room temperature, −40 °C, and −196 ° C are shownin Fig. 2.3. Up to 10 GHz, the devices showed a stable
gain of approximately 17 dBm at all temperatures;
however, the gain dropped to −20 dB/decade above
10 GHz. Figure 2.4 shows the temperature dependenceof the current gain cutoff frequency, ft. At room
temperature and −196 °C, the values of ft were 50.2
and 66.8 GHz, respectively. This represents a 33.1%
improvement in the cutoff frequency at low
temperature.
DISCUSSIONAs shown in Figures 2.2 and 2.4, the DC and RF
characteristics improved at low temperature. In
particular, the bandwidth increase contributed
strongly to the high-frequency gain improvement.
Considering that ft is proportional to Gm in thetheoretical formula for the current gain cutoff
frequency [7], we may expect Gm to also increase at
low temperature. This HEMT may be treated using
the small-signal circuit model. Based on this model,

Figure 2.4 Temperature dependence of the current gain
cutoff frequency ft.

Gm is strongly dependent on parasitic components [8].
High-frequency gain was calculated from the S
parameter measured using the network analyzer. It is
possible to convert S parameters to Y parameters,
which allows calculation of the frequency response
characteristics of the gate–source capacitance Cgd andgate–source capacitance Cgs. Figures 3.1 and 3.2
show the frequency response characteristics of Cgs
and Cgd, respectively. The parasitic capacitancecomponent showed large fluctuations with frequency
for both Cgs and Cgd. This fluctuation may be
attributed to small changes of the S parameters;
however, here we consider only changes withtemperature. At −196 °C, Cgs decreased considerably,
and Cgs showed a slight reduction. However, Cgd was
unchanged even at low temperature. Considering thefactors that affect the parasitic capacitance of a FET,Cgs is most strongly affected by charging time anddominates the time constant of the carriers passing
through the channel layer. However, Cgd represents
the capacitance when carriers move rapidly throughthe gate, and does not strongly depend on temperature.

Figure 3.1 Frequency response characteristics ofFigure 3.2 Frequency response characteristics ofthe gate–source capacitance Cgs values.

gate–drain capacitance Cgd values.

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SEE-Osaka, Japan, Nov. 21-23, 2016

The temperature dependence of Cgs is caused byphonon energy reduction within the crystal layer itself.
Thus, the improvement in high-frequency gain can be
attributed to the shorter time constant.
CONCLUSION
We investigated the effects of operating temperatureon the electronic properties of InAlAs/InGaAs
HEMTs. The operating temperature was changed
from liquid nitrogen temperature to 125 °C. We
confirmed that the frequency characteristics of
HEMTs varied with operating temperature. The DC
characteristics showed an increase in Gm at low
temperature. When the operating temperature was
reduced from 125 °C to liquid nitrogen temperature,
Gm increased to 60 mS. The values of Ft were 50.2
and 66.8 GHz at room and liquid nitrogentemperatures, respectively. This represents a 33.1%
improvement at low temperature. Analyzing the highfrequency characteristics revealed that the cause of
the high-frequency gain was related to thetemperature dependence of the parasitic capacitance.

REFERENCES[1] A. Takahashi, et. J. Mag. Soc. Jpn., vol. 22, No.
S2, 1998.
[2] Wang Hai, International Conference onIntelligence
ScienceandInformation
Engineering (ISIE), pp.167-170, 2011.
[3] H.Taguchi, et.al., Physica status solidi (c) Vol. 5,
No. 9, pp.2791-2796, 2008[4] H.Taguchi, et.al., Phisica stetus solidi (c) Vol. 6,
No. 6, PP.1386-1389, 2009.
[5] H.Taguchi, et.al. JAPANESE JOURNAL OFAPPLIED PHYSICS, Vol. 49, No. 4, PP.
04DF03-07, 2010.
[6] H.Taguchi, et.al., Physica Status Solidi (c), Vol.
9, No. 2, pp.357-360, 2012.
[7] S. M. Sze,Smiconductor Device, John Welly &Sons, INC, 2nd Edition, pp-264[8] H. Fukuda, et. Al., Solid State Electron, vol. 41,
No. 10, pp-1599-1604, 199

ACKNOWLEDGEMENTS
The authors are grateful to the Chukyo University
Research Found for financial assistance with thisresearch.

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Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

IMPROVEMENT OF THE TRANSFER PATH
USING A MOVING FLOW SEPARATION SYSTEM AND
A TRANSPORTATION VULNERABLE ESCALATOR SYSTEM
Minjung Shin1, Jinho Hur2, Minju Sung3, Youngsam Moon4, Jinho Kim5 and Heekyu Kim6*
1,2,3,4,6
MORE Engineering & Architecture Co.,Ltd., Korea;
5
Korea Railroad Research Institute, Korea

ABSTRACT
Traffic demands have increased rapidly, and traffic congestion has been raised due to the urbanization in Seoul.
Most of the metro stations of commuting time have a moving speed and a density corresponding to the E or F
grade in LOS(Level of Service). In particular, Jongno-sam-ga Station has a geometric structure because it is thetransfer station of the 3 lines located in the center of Seoul. So the long transfer distances and the complex
transfer system of Jongno-sam-ga Station induce an increment in transfer time and a decrement in public
transportation demands. Therefore, this research was investigated the present conditions of the movement andtransfer path on Jongno-sam-ga Station through a site inspection, and it presented the improvement plan throughthe analysis on the movement and transfer path for the general public, the disabled and the elderly. Based on the
results, the improvements of the transfer paths by separating the moving flow and the transfer paths and applying
the transportation vulnerable escalator system are suggested.
Keywords: Transfer Path, Traffic Congestion, Moving Speed and Density, Moving Flow Separation System,
Transportation Vulnerable Escalator System

As age increases, the utilization rate decreases
because of the inconvenience for walking up anddown the stairs in the case of more than age 65 intable 2 [6].
The select rate of urban railway is 10.4% astransportation method for the disabled. On the other
hand, the select rate of bus is 35.8% in table 3 [5]. It
is investigated this gap is due to the lack ofamenities.

CONSIDERATION OF TRANSFER SYSTEM
Domestic public transportation transfer system
It is estimated that usage time on public
transportation is average 48.0 minutes and transfer
time is 9.9 minutes in table 1 by the survey on public
transportation status research [3]. It means 21.6% ofusage time is needed by moving and waiting fortransfer. This is because the existing transfer
facilities are installed for the operators, not users.

Table 1 Transfer time

Division

Metropolitan
area

Busan,
Ulsan

Daegu

Gwangju

DaejeonTotal

The number of cases

7,120

2,350

1,780

1,250

1,880

14,380Transfer time (min.)

10.5

10.2

8.1

9.1

9.7.

9.9

Boarding time (min.)

42.8

53.2

20.7

33.3

35.0

38.1

Total time (min.)

35.3

45.5

23.3

42.4

44.7

48.0

Transfer rate (%)

39.9

37.9

22.3

22.3

22.1

21.6

Note: Transfer rate (%) = Transfer time/Total time, Infrastructure and Transport, “The Survey on public
transportation”, 2009.
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Table 2 Transportation methods of the elderly
Division

Total

Age 65～69

Age 70～74

Age 75～79

Age 80～84

Age over 85

None

0.5

0.2

0.3

0.5

0.9

1.6

Bus

48.9

47.6

50.9

53.2

46.0

34.0

Metro

19.3

21.3

22.3

16

17.4

9.9

Taxi

6.7

3.5

4.3

8.9

12.2

16.4

Car

18.4

21.5

14.7

14.9

18.3

35.2

Bicycle

2.0

2.1

2.3

1.9

1.9

1.0

Motorcycle
Electric
Wheelchair
Cultivator

3.1

2.8

4.1

3.2

2.1

0.7

0.4

0.3

0.3

0.5

0.3

0.7

0.2

0.1

0.1

0.3

0.1

0.0

etc.

0.6

0.6

0.6

0.6

0.8

0.5

Sum
100.0
100.0
100.0
100.0
100.0
(People)(10,543)(3,150)(3,229)(2,389)(1,163)
Note: Ministry of Health and Welfare, “The Survey on the elderly conditions”, 2011.

100.0
(614)

Table 3 Main transportation methods of the disabled

PhysicalBrain

VisualHearing

SpeechLow

MentalAutism.

Divisiondisability

lesions

impairment impairment impairment intelligence

disorder

Bus

35.9

22.7

38

41.2

51.2

33.9

23

47.4

Taxi

7.0

13.3

6.8

5.3

5.2

2.6

2.7

3.1

Metro

8.0

9.2

15.8

15.3

14.4

7.9

6.2

16.4

Minicab

0.2

1.8

0.4

0.0

0.0

0.0

0.2

0.0

Center Bus

0.2

1.3

0.7

0.0

0.3

1.4

1.3

0.3

Car

37.1

34.3

26.7

24.3

16.6

22.6

43.2

9.1

Shuttle Bus

0.0

0.7

0.2

0.0

0.2

3.0

2.5

0.0

1.0

3.5

0.0

0.2

0.0

0.0

0.0

0.0

Motorcycle

0.9

2.9

0.8

0.2

0.0

0.0

0.0

0.0

Walk

3.7

3.3

5.3

5

6.6

10.2

6.0

9.7

etc.

6.0

6.9

5.4

8.4

5.5

18.3

14.8

14.0

Sum

100.0

100.0

100.0

100.0

100.0

100.0

100.0

100.0

Electric
Wheelchair

Note: Ministry of Health and Welfare, “The Survey on the disabled”, 2008.

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SEE-Osaka, Japan, Nov. 21-23, 2016

Table 3 Main transportation methods of the disabled –cont’dKidneyHeart

Respiratory

Division

FacialUrinary

disordersfistula

Hepatopathy
disorderdisorderdisorderEpilepsy

Total

Bus

30.7

34.1

31.8

20.9

28.8

40

52.2

35.8

Taxi

10.8

7.4

11.4

6.0

2.5

6.3

4.4

6.9

Metro

14.4

14.7

11.3

18.3

11.8

20.6

16.8

10.4

Minicab

0.7

2.8

0.0

0.4

0.0

0.0

0.0

0.3

Center Bus

0.1

0.0

0.0

0.0

0.0

0.0

0.3

0.4

Car

33.9

30.1

35.7

43.8

42.9

24.2

14.9

32.2

Shuttle Bus

0.9

0.1

0.0

0.0

0.0

0.2

0.0

0.3

0.0

0.3

0.5

0.5

0.0

0.0

0.0

0.9

Motorcycle

0.1

0.9

0.2

0.6

0.0

0.0

0.0

0.8

Walk

2.3

4.7

2.4

6.1

5.3

4.0

5.7

4.6

etc.

6.3

5.0

6.8

3.4

8.8

4.6

5.6

7.4

Sum

100.0

100.0

100.0

100.0

100.0

100.0

100.0

100.0

Electric
Wheelchair

Note: Ministry of Health and Welfare, “The Survey on the disabled”, 2008.
And it takes 12 minutes 36 seconds from
Gwanghwamun square to Gwanghwamun station
platform. On the contrary, it takes only 2 minutes 30
seconds for the general public to go same route bywalking or using escalator. At Dongdaemun History& Culture Park Station which is the transfer station,
it takes only 3 minutes 30 seconds for the generalpublic by stairs and escalator. However, it takes
19minutes for the disabled to transfer from Line 5 toLine 4. Because it needs to use a wheelchair lift
twice and also the disabled needs to wait for former
user to finish using it. It takes 3 minutes for bothcases from Hyehwa station to exit by using an

Transfer System for the disabled
The more layer to transfer and moving system, themuch times and inconvenient for the disabled. It
especially takes over 7 minutes to move by
wheelchair lift, which means it takes too much time
for transfer. As the results on the comparison of thetransfer time from Gwanghwamun station toHyehwa station for the disabled and the generalpublic, there are many differences.
In case of the disabled, it needs to use awheelchair lift in 4 times and an elevator from
Gwanghwamun station to Hyehwa station.

Fig. 1Comparison to transfer time of the general public and the disabled381

SEE-Osaka, Japan, Nov. 21-23, 2016

elevator. Consequently, total transfer time takes 9
minutes for the general public; on the other hand, ittakes 34 minutes for the disabled. Hence, it isnecessary to secure moving convenience for thedisabled.
TRANSFER MOVING FLOW IN JONGNOSAM-GA STATION AND IMPROVEMENTSUGGESTION
Present Conditions of Transfer Moving flow in
Jongno-sam-ga Station
Jongno-sam-ga Station is the transfer station ofLine 1 (the 2nd basement), Line 3 (the 4thbasement), and Line 5 (the 5th basement). It is used
for 55,193 public, 34,084 the disabled and 230,258
transfer passenger per day by a Study on the Surveyof the Transportation Transfer Facilities and theLevel of Service Analysis [4]. Jongno-sam-ga
Station has a geometric and layered structure
because it is the transfer station of the 3 lines locatedin the center of Seoul. Transfer time is about 4.07
minutes and transfer distance is about 273m for thegeneral public. And transfer time is about 39.26
minutes and transfer distance is about 415m for thedisabled.
There are 5 transfer moving flows for the generalpublic as shown in figure 2. But it is difficult to findthe direction guide in Line 1 and it is crowded
because of the narrow width of stairs. It is necessary
to suggest the directions for the improvement of themoving flows to the transfer passage which has
width 4m and length 80m. It is necessary to separate
moving flows because of the superposition between
the transfer flows and exit flows. And it takes longtime to pass the transfer passage because moving
walkway is installed in the center of the transfer
passage.

Fig. 2

Fig. 3

Transfer flow status of the general public in
Jongno-sam-ga Station

There are 6 transfer moving flows for the disabled
as shown in figure 4. There is the only way forwheelchair users. But it is difficult to move becauseof many users and narrow width of passage. It is alsodifficult to transfer because there is no elevator forthe disabled. Since there is the elevator on the exit
flow in Line 1, it is convenient to transfer. And also
there is the new plan to install elevators in Line 3
and Line 5.

Transfer flows of the general public in
Jongno-sam-ga Station
382

Fig. 4

Transfer flows of the disabled in Jongnosam-ga Station

Fig. 5

Transfer flow status of the disabled in
Jongno-sam-ga Station

SEE-Osaka, Japan, Nov. 21-23, 2016wheelchair lift and connect the place where it cannot
be installed on the elevator.
If the system for both the general public and thedisabled is applied, it is possible to shorten thetransfer distance and time.
In case of being installed between the waiting
room and platform in Line 5(the 4th basement), it
shows the improvement rate on approximately 23%.
However it is difficult to install because of thelocation of the beam and insufficient front space.
When the wheelchair lift in platform of Line 3 isreplaced, it shows the improvement rate on
approximately 27%. However it is difficult to installbecause of the location of the beam and the column.
Lastly, in case of being installed between platform
in Line 5(the 1st basement) and platform in Line 3, itis possible to improvement rate on approximately
68%.

Improvement of the Moving Flow for the General
Public
It is possible to improve the traffic congestions byseparating the moving flow and the transfer paths.
Among the parts that flows are congested in figure 6,
it is possible to improve LOS grade when the system
is applied [1], [2]. It is required to separate the flows
because of the superposition of the moving flows
and the transfer flows and narrow width of stairs.
And also, it is possible to improve the flow byutilizing the unused area in waiting room in Line 3
Improvement of the Moving Flow for the
Disabled
If the escalator that can accommodate both thegeneral public and the disabled at the same time is
installed, it can reduce the risk of an existingFig. 6

Improvement of the moving flows for the general public in Jongno-sam-ga Station

Fig. 7

Improvement of the moving flows for the disabled in Jongno-sam-ga Station
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SEE-Osaka, Japan, Nov. 21-23, 2016

CONCLUSIONSThe Analysis of the Space and StructureInterfaceThis research was investigated the present
conditions of the movement and transfer path on
Jongno-sam-ga Station through a site inspection, andit presented the improvement plan through theanalysis on the movement and transfer path for thegeneral public and the disabled.
Conclusions of this research are as follows:
1) It is necessary to suggest the directions for the
improvement of the moving flow by reflecting the
behavioral characteristics of the general public andthe disabled.
2) In case of the transportation vulnerable
escalator system, it was estimated 68% of
improvement rate compared with the transfer time ofan existent wheelchair lift by connecting the newelevators and waiting room.
3) It was confirmed to be expressively reduced thetraffic congestions by separating the moving flow
and the transfer paths and changing the positions of
the obstructions as well.

In order to judge whether it is possible to install
the system, it was carried out the analysis of theinterface. It is the stairs with the width 8.2m, height
2.56m from the waiting room of Line 3(the 1st
basement) to the waiting room of Line 5(the 1st
basement).
There are 3 places for the new elevator plans. One
is the place from waiting room of Line 5(the 4thbasement) to waiting room of Line 3(the 1st
basement). Two is the place from platform of Line 3
to waiting room of the 3rd basement. And the last is
the place from waiting room of the 3rd basement toexit 8.
Through these plans, it is possible to connect allflows between platform, exit and transfer passage inLine 1 and Line 3. But it is necessary to connect theflows in Line 5, so it is needed to install the system.
The width of stairs is length 8.2m by the analysis on
the interface. So it can be installed and the generalpublic is also available at the same time. It isnecessary to secure more than height 2.3m for
installation of the system. The height of stairs is
2.56m. In addition stairs floor height is also satisfied
by depth 1.65m. In case of the bottom space, it ispossible to secure ceiling 400mm, ceiling height
4,000m. Besides it is possible to install sprinklers,
CCTV, fluorescent lights.

ACKNOWLEDGEMENT
This research is supported by the grant from
“Development of convenience improvement
technology for passengers in the metro station(16RTRP-B067918-04)" funded by for Ministry ofLand, Infrastructure and Transport of Korean
government.
REFERENCES

Fig. 8Inspection of structure interface status in
situ

Fig. 9Structural interfaces in situ

[1] Fruin, J. J., “Pedestrian Planning and Design”,
Metropolitan Association of Urban Designers
and Environmental Planners, 1971.
[2] Infrastructure and Transport, “Metro station andtransfer Facilities complementary design
guidelines”, 2013.
[3] Infrastructure and Transport, “The Survey on
public transportation”, 2009.
[4] Korea Transportation Safety Authority, “A
Study on the Survey of the Transportation
Transfer Facilities and the Level of Service
Analysis”, 2014.
[5] Ministry of Health and Welfare, “The Survey on
the disabled”, 2008.
[6] Ministry of Health and Welfare, “The Survey on
the elderly conditions”, 2011.

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SOME ASPECTS OF THE BEFAVIOR OF UNSATURATED SOILS IN RELATION TO MOISTURECONTENT

1,2

Gabriela B. Cazacu1 , Cornel Ciurea2
University Ovidius, of Constanta, Romania

ABSTRACTThe study of soil adhesion on the surface of other bodies to which they are brought into contact isinteresting for earthwork construction, foundations etc. The article describes some preliminary laboratory tests
carried out in order to establish the variation of soil properties depending on moisture content and on
consistency index.

Keywords: geotechnical parameters, oedometers test

1. Introduction

2. Geotechnical properties
The medium characteristics of the geotechnicalparameters of loess soil in Romania are: from a
granulometrical point of view, they are made of 25%
clay, (0,005 mm) , dust 65, sand 10 %; the highest
limit of plasticity 18%; the porosities are very
diverse (depending on the depth and moisture),
between 45 and 52 %.
The parameter that decides the loess soils
behaviour is their sensitivity to humidity, acharacteristic that requires a special design
regulatory. NP 125 -2010- Design Norm forfoundations on moisture sensitive soils (loess soils ).

The problems that may arise in time regarding thestability of a construction could be due to: the wrong
sizing of the foundations or the instability of thefoundation soil.
It was found that the lands with water influenced
stability are the loess soil (collapsible) and theloamy soils which can have bumps and big
contractions.
This article presents some of the characteristics
of loess soils.
Figure 1 shows a map of the loess distribution
around the world, made by J.A. Catt.
Usually, the thickness of the loess layer varies
from 3 m to 60 m in Romania, the maximum being
reached in China, on the Yellow River, where it canbe 400 m thick.

Figure 1.World distribution of loess deposits

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SEE-Osaka, Japan, Nov. 21-23, 2016

The specific compaction when moistened index(i mp ) is:

3. Modifications of the geotechnical parameters
depending on moisture ∆h ∆h 
 × 100 = ε sat . − ε in
imp =  i −
h0 
 h0

Various double oedometric tests were carried inorder to find out how the soils react to moisturevariations (both on naturally moistened samples andon saturated samples).
Double oedometer collapse test: two identicalsamples are placed in oedometers; one tested at insitu natural moisture content and the other is fully
saturated before the test begins and then subjected to
identical loading.
We are going to present the results obtained for asoil that has almost the same 48 porosity anddifferent degrees of moisture.
Sample 1 has 13% humidity and results arepresented in table 1 and sample 2 has 26% humidity
and results are presented in table 2.
The increment of vertical strain ∆ε for eachloading increment is given by:
s
(KPa)
25
50
100
200
T
300

In situ
Dh
0,06
0,18
0,42
1,1
1,67

e
0,30
0,90
2,10
5,50
8,35

This is the reason why it is very important toknow how the land reacts to moisture variations.

In figure 2 we have the following results :- sample 1 – 1st series – natural humidity, 2nd series –satured soil
-sample 2 – 3rd series – natural humidity, 4th series –satured soil

Saturated
Dh
e
0,08
0,40
0,2
1,00
0,48
2,40
1,2
6,00
1,9
9,50

E oed ( KPa )8333,33
4166,67
4166,67
2941,18
3508,77

6250,00
4166,67
3571,43
2777,78
2857,14i mp(cm/m)
0,10
0,10
0,30
0,50
1,15

Saturated
Dh
e
0,2
1,00
0,34
1,70
0,69
3,45
1,49
7,45
2,5
12,50

E oed ( KPa )In situsaturated
16666,67
2500,00
4166,67
3571,435555,56
2857,148695,65
2500,00
5882,35
1980,20i mp(cm/m)
0,85
0,95
1,80
4,65
8,00

TABLE 1 OEDOMETER TEST –SAMPLE 1

s(KPa )
25
50
100
A 200
T 300

In situ
Dh
0,03
0,15
0,33
0,56
0,9

e
0,15
0,75
1,65
2,80
4,50

TABLE 2 OEDOMETER TEST – SAMPLE 2ε=By analysing the graphs, we can ascertain theinfluence of humidity on the loess soils that are
sensitive to moisture.

∆h
× 100
h0

The value of geotechnical parameters areshowing in table 3.

where ∆h is the final settlement for the loading
increment (i.e. the change in sample height) and h ois the initial sample height.
The coefficient of volume compressibility E oed isdefined as the ratio of volumetric strain over change
in effective stress: Eoed =∆σ `(KPa).
1
∆ε
100
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SEE-Osaka, Japan, Nov. 21-23, 2016

Load deformation curve
Increment (KPa )
100

10

1

1000

0

Specific strain (%)

2
4

Series1

6

Series2

8

Series3
Series4

1012
14

Figure 2. Load deformation curve
Oedometricmodulus Eoed
3 nat (KPa)

Oedometric modulus
Eoed 3 u (KPa)

5900
3500

2000
2900

Specific strain
under load ε
2nat
(%)
2,8
5,5

Specific strain
under load ε
2i (%)

im3
(%)

7,45
6

8
1,15

Table 3.Geotechnical parametersn`

I mp = ∑ × imp × hi × m

Abelev (1948) used stress level of 300 kPa anddefined the collapse potential (i m 3).
It is possible to quantification of volume change
occurs when soil undergoes collapse is obtained
from oedometer test.
Observe collapse earth character whose porosity
is high and humidity is low, im3 value obtained is 8
cm / m.
In Roumania if im3 is biger than 2 , the soil issensibile to humidity there’s a possibility to collapse.
Moreover it can be estimated coefficient ofvolume compressibility values Eoed to variations inpressure.

1Df

where I mp is supplementary compaction whenmoistened index, h = the thickness of the layer,n = the number of layers, df = the foundation depth.
The moisture sensitive soils are classified in:- group A: soils that when moistened, under theirown weight (the geological load) present Img
supplementary compactions, smaller than 5 cm;- group B: soils that when moistened, under theirown weight (the geological load) present
supplementary compactions, larger or equal to 5 cm;
The specific compaction when moistened index(I mp ) is the specific compaction difference, at a σpressure on the pressure – compaction scale,obtained for the naturally moistened sample (ε n ) andpreviously flooded (ε i ), during oedometer tests.
Because a soil is considered to be sensitive tomoisture if the i m 3 value is bigger than 2 cm/m, the300 KPa pressure was the pressure at which theresults were analysed.
The results obtained for the compaction whenmoistened index (I m 3) in double oedometres, for thesame type of soil, loess, have been centralized,
mathematically processed in order to eliminate
extreme values that could have introduced errors.

4. Variations of supplementary compaction whenmoistened, depending on moisture
One of the main conditions for keeping thestability in time of a building founded on loess isthat the values of supplementary compaction whenmoistened must be little.
Supplementary compaction when moistened dueto the weight of the layer (I mg ) or only under theaction of compression loads transmitted by thefoundations (I mp ).
n

I mg = ∑ × img × hi × m
1387

SEE-Osaka, Japan, Nov. 21-23, 2016

3. Cazacu G.B. – Doctoral Thesis Contributions
concerning the methods of establishing of
geotechnical parameters of soils moisturesensitivity”;
4. J.A. Catt, Soils and Quaternary geology. A
Handbook for Field Scientist, Oxford Sciences
Publications, Clarendon Press, Oxford, 1986

It was attempted to make a graphicalrepresentation of the im3 values, equal to 1cm/m, 2
cm/m, 4 cm/m, 6 cm/m, depending on the moistureand porosity of the soil. The results obtained areshown in figure 5.
There is a clear dependency of the specificcompactions value when moistened, depending on
porosity and moisture.

65

i m3 = 4

Porosity n ( % )60

im 3 = 655

i m3 = 150

im 3= 2

45
40
35
30
0

5

15

10

20

Humidity w ( % )Figure 5. Lines with the same values of im3

With the help of the data presented in the graphwe can forecast the changes of the soil when the
moisture varies.
We can observe a parallelism between the lines of
equal specific wetting index of subsidence at 300
kPa pressure.
5. Conclusions
The way in which the soils react when moistened
depends on the porosity and humidity of the soil.
Correlations between the geotechnical parametersthat will have a double role can be made.
- to verify the obtained results;- to forecast the changes of the soil when the
moisture varies.
REFERENCES
1. Andrei S. and Manea – Systematization and re –use
of geotechnical data Individual papers
Committes and Working Groups,Xx th World Road
Congres PIARC ,Montreal 1995 (386- 389);
2. Andrei S. et. al. – The systematiyation and storing
methods af information concerning the geotechnicalparameters, XIII Danube European Conference on
Geotechnical Engineering , Ljubljana 2006;

388

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Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

PREDICTION OF LOCAL SCOUR DEPTH AROUND WIDE BRIDGEPIERS UNDER CLEAR-WATER CONDITIONS
1,3

Nordila A.1, Thamer A. M.2 and Zuliziana S.3
Faculty of Engineering, National Defense University of Malaysia, Malaysia; 2 Faculty of Engineering,
Universiti Putra Malaysia, Malaysia

ABSTRACT
Local scour is the removal of sediment from around bridge piers due to flowing of water. A large amount oflocal scour is dangerous to the bridge piers and causes the structure tend to collapse and loss of life without any
warning. Many researchers have already investigated the phenomenon of local scour around bridge piers. The
literature search revealed that there is very little information on predictive equations or data on scour aroundwide piers. Most of the predictive equations in the literature are intended to apply equally well to large and smallpiers. Hence, this leads to a situation in which design is prioritised over prediction, which thus proves costly andeconomically inefficient. This study attempted to fill this gap where new experimental data from a physicalmodel of scouring around a cylindrical and rectangular wide pier embedded in two types of uniform sedimentbeds are presented. The effects of sediment sizes and various pier widths on equilibrium scour depth of wide
bridge piers are described. New empirical relation for the estimation of non-dimensional maximum scour depth
for a wide pier were proposed as functions of the sediment coarseness. The experimental data obtained in thisstudy and data available from the literature are used to validate the predictions of existing methods and theaccuracy of the proposed method. The proposed method gives reasonable scour depth predictions and wasverified with statistical methods where the root mean square error was reduced from 71% to 26%. The new
empirical relation agrees satisfactorily with the experimental data.

Keywords: Local Scour, Wide Piers, Equilibrium Scour, Existing Equations, Scour Prediction

INTRODUCTION

MATERIALS AND METHODS

Failure of bridges due to local scour has
motivated many investigators to explore the causesof scouring and to predict the maximum scour depth
around piers. Numerous studies have been
conducted with the purpose of predicting scour andvarious equations have been developed [1], [2], [3],[4], [5], [6], [7], [8], [9], [11] and [22]. In addition,
the equations and methodologies have beendeveloped as well for estimating design scour depths
around wide and long skewed piers. Bridge scour isthe meaning of removal of soil, sand and rocks fromaround a bridge supports or piers as shown in Fig.1.

The scour experiments were performed in a flumethat was 2.0 m deep, 1.5 m wide, and 50 m longwhich is in the hydraulic laboratory of the National
Hydraulic Research Institute of Malaysia(NAHRIM). A test section that was 10 m long and
0.4 m deep was filled with uniform sediment. The
depth of flow was maintained at 0.25 m for all of theexperiments. The velocity of both sediments was
0.27 m/s (d 50 =0.23mm) and 0.36 m/s (d 50 =0.80mm).
An area velocity module (AVM) was used tomeasure the velocity of flow. In order to measure thedepth of scour, a vertical point gauge on the vernierscale was applied. The critical shear velocity, U*c,
and critical flow velocity, Uc, for entrainment of
sediment, were calculated from the equations givenin [13]. The experiments were performed underclear-water conditions at threshold flow intensity
U/Uc ≈ 0.95. A single pier model was fixed at thecentre of the flume width. Two pier shapes–
cylindrical and rectangular –were used to performthe experiment on wide piers. Each pier shape had
the same pier width, b, which was tested at 60, 76,
102, 140, and 165 mm; two sizes of cohesionlessuniform sediments with median particle size, d 50 =0.23 mm and d 50 = 0.80 mm were also tested.
Therefore, there were a total of 20 experiments
conducted on wide piers. The experiments were

SCOUR

Fig. 1 Local scour at bridge pier389

SEE-Osaka, Japan, Nov. 21-23, 2016

conducted in two sizes of cohesionless uniform
sediments with d 50 = 0.23 mm and d 50 = 0.80 mm,
thus giving a total of 20 experiments.

wide pier with various diameters. To show the
relationship of dimensionless d s /b on b/d 50 , all of thetwenty data sets were shown in Figure 3. It was
found that d s /b reduced as b/d 50 increased andthereafter d s /b became constant. From the curves, it
is indicate that a high value of equilibrium scour
depth was achieved at b/d 50 = 330 with b = 76 mm
in fine sediment with d 50 = 0.23 mm. The values ofd s /b for the pier sizes of 102, 140, and 165 mm showa smaller peak value compared with that observed
for the smaller pier sizes at d 50 =0.23 mm. The
smaller maximum equilibrium scour depths recorded
for the larger pier sizes can be attributed to greater
localised scour of the bed surface around the rim of
the scour hole at each of these piers compared withthat occurred for the smaller pier sizes. As in [14]also noted that the reductions of scour depth forlarger pier sizes were influenced by the adjustmentof bed level at the upstream rim of the scour hole.

ds/b

To achieve flow transition in smooth condition in
the flume, ramps with a 1:5 (vertical: horizontal)
slope were constructed at opposite ends of themobile bed. Fig. 2 shows the schematic drawing forthe experimental set up. Uniform sand was used inthis experiment to eliminate any possibility of local
scour depth reduction expected to occur in nonuniform sand. This is because in non-uniform sand,the armouring effect allowed the downflow topenetrate through the voids between the particles
and then reduced the spiral action effect bydissipating some of the flow energy. The degree of
uniformity of the particle size distribution of asediment sample is defined by the value ofgeometric standard deviation, σ g , which is less than
1.3 for uniform sediments [13]. The sediments usedwere well rounded and had a shape factor = 1.0. The
Shield’s function was used in the calculation of thecritical shear velocity on the approach flow bed, u *c ,for the mean particle size, d 50 , of each sediment. The
method proposed by [13] was used to determine thecritical shear velocity, u *c .

1.8
1.6
1.4
1.2
1.0
0.8
0.6
0.4
0.2
0.0

cylindrical
rectangular
0

200

400
600
800
b/d50
Fig 3 Equilibrium-normalised scour depth versus
b/d 50To show more specific patterns and a wider range ofapplicability for the relationship between d s /b andb/d 50 , laboratory data in the present study weremerged with the data from the researchers as listed
in Figure 4 [15], [14], [16], [17], [18] and [19]. The
range of the data up to 4,000. The equilibrium scour
depth versus b/d 50 for large ranges of sedimentcoarseness (b/d 50 ) was plotted and is shown in
Figure 4. These plots evidently demonstrate that d s /b
values were reduced as values of b/d 50 increased. A
least-squares regression analysis using a fitting
criterion of mean square error was applied to all data
and found the optimum coefficients which
minimised the mean square error between theexperimental and predicted values. The best fit
relationship between d s /b and b/d 50 is described by
Equation (1).
Fig. 2 Schematic drawing for the experimental setup
with plan view and side view

𝒅𝒅𝒔𝒔
𝒃𝒃

= 𝟑𝟑. 𝟒𝟒 −(1)
RESULTS AND ANALYSES
Twenty experiments were carried out. All of themwere run for a single cylindrical and rectangular

𝟑𝟑𝟑𝟑
𝒃𝒃

�𝒅𝒅

𝟓𝟓𝟓𝟓

�

𝒆𝒆𝒆𝒆𝒆𝒆 �𝟎𝟎. 𝟎𝟎𝟎𝟎𝟎𝟎 �𝒍𝒍𝒍𝒍 �𝒃𝒃𝒅𝒅𝟓𝟓𝟓𝟓𝟐𝟐�� �

Assessment of existing equations for estimating
the depth of maximum local scour at wide piers390

SEE-Osaka, Japan, Nov. 21-23, 2016

4% over-prediction. Next, the smallest standard
deviation of the discrepancy ratio, σ r , was obtainedby applying Equation (1) where the average value
was found to be±1.06 and the RMSE value was±0.26.

In this section, the laboratory data sets from thepresent study and literature were used to validate thepredicted maximum scour depth at wide piers using
equations proposed by [5], [20] and [21]. Statistical
3.5

2.5
2

ds/bpredicted

Present study
Yanmaz & Altinbilek (1991)
Mia & Nago (2003)
Chabert & Engeldinger (1956)
Ettema (1980)
Sheppard et al (2004)
Ettema (1976)
Equation (1)

3

ds/b

Visual comparison (scattergrams) is another methodthat can be used to evaluate the predictive equations
using the predicted and measured scour depths atwide piers. Figures 5 demonstrate the dimensionless
scour depth for laboratory and field data sets. The
plots indicate how much the predicted values ofnormalised scour depth deviate from the line ofperfect agreement.

1.5

3

Jones & Sheppard (2000)

1
2

0.5

ds/bmeasured

0
10

100

1000

1

10000

b/d50

ds/bpredicted

Fig 4. Effect of b/d 50 on the equilibrium local scour
depth around piers
analysis was carried out to assess the performance ofeach predictive equation. The discrepancy ratio (r),the standard deviation of the discrepancy ratio (σ r ),and the root mean square error (RMSE) were
determined. The formulae for the statistical analysis
are described below:

0

0

3

1

2

3

2

3

HEC-18 (2012)2

ds/bmeasured
1

𝑵𝑵

𝟐𝟐

(2)

𝑵𝑵−𝟏𝟏

ds/bpredicted∑𝒊𝒊=𝟏𝟏�𝒅𝒅𝒔𝒔 ⁄𝒃𝒃𝒑𝒑𝒑𝒑𝒑𝒑𝒑𝒑𝒑𝒑𝒑𝒑𝒑𝒑𝒑𝒑𝒑𝒑,𝒊𝒊 −𝒅𝒅𝒔𝒔 ⁄𝒃𝒃𝒎𝒎𝒎𝒎𝒎𝒎𝒎𝒎𝒎𝒎𝒎𝒎𝒎𝒎𝒎𝒎,𝒊𝒊 �
𝑹𝑹𝑹𝑹𝑹𝑹𝑹𝑹 = �(𝒅𝒅𝒔𝒔 ⁄𝒃𝒃)𝒑𝒑𝒑𝒑𝒑𝒑𝒑𝒑𝒑𝒑𝒑𝒑𝒑𝒑𝒑𝒑𝒑𝒑

𝒓𝒓 = (𝒅𝒅 ⁄ )(3)

𝒔𝒔 𝒃𝒃 𝒎𝒎𝒎𝒎𝒎𝒎𝒎𝒎𝒎𝒎𝒎𝒎𝒎𝒎𝒎𝒎

𝝈𝝈𝒓𝒓 = �

𝟏𝟏

𝑵𝑵−𝟏𝟏

∑𝑵𝑵
�)𝟐𝟐
𝒊𝒊=𝟏𝟏(𝒓𝒓𝒊𝒊 − 𝒓𝒓

0

0

3

1

Sheppard et al (2014)

2

ds/bmeasured(4)

1

Where 𝒓𝒓� is the average of the discrepancy ratio. A
value of unity for 𝒓𝒓� shows perfect agreement
between the dimensionless scour depths of thepredicted and measured values. σ r represents anevaluation of the scatter in the predictions relative tothe average value.

0

The results of the statistical analysis for eachpredictive equation are given in Table 1. By using
the laboratory data sets, the average values of thediscrepancy ratio, 𝒓𝒓�, showed that the [5], [20] and[21] equations over-predict the d s /b values by19% to
47%, while Equation (1) gave an average value of a
391

0

1

2

3

SEE-Osaka, Japan, Nov. 21-23, 2016

3

project is acknowledged. The experiments wereconducted in the Hydraulic Laboratory in the
National Hydraulic Research Institute of Malaysia(NAHRIM).

Present Study

2

1

0

REFERENCES
0

1

2[1] Ansari, S. A., and Qadar, A. (1994). “Ultimate
depth of scour around bridge piers.” In: Proc.
ASCE National Hydraulics Conference, Buffalo,[2] Breusers, H. N. C., and Raudkivi, A. J. (1991).
“Scouring.” In: Hydraulic Structures Design
Manual, International Association of Hydraulic[3] Chiew, Y. M. (1984). “Local scour at bridgepiers.” Report No 355, Department of Civil
Engineering, University of Auckland, New
Zealand.
[4] Johnson, P.A., 1999. Scour at wide piers
relative to flow depth,stream stability and scour
at highway bridges, in: Richardson, E.V.,
Lagasse, P. F. (Eds.),Compendium of ASCE
Conference Papers,pp. 280–287.
[5] Jones, J. Sheppard, D. 2000, Scour at wide
bridge pier. Building Partnerships, pp. 1–10.
[6] Lee, S.O., Sturm, T.W., 2009. Effect of
sediment size scaling on physical modeling ofbridge pier scour.J. Hydraul. Eng[7] 10.1061/(ASCE)HY.1943-7900.0000091, 793–
802.
[8] Melville, B. W. (1997). “Pier and abutment
scour: Integrated approach.” Journal of
Hydraulic Engineering–ASCE, 123(2), 125–136.
[9] Richardson, E. V., and Davis, S. R. (2001).
“Evaluating scour at bridges.” Fourth Edition.
Hydraulic Engineering Circular No. 18 (HEC18),
FederalHighway
Administration,
Washington, D.C.
[10] Sheppard, D. M, Huseyin, D. Melville. B. W.
(2011). Scour at wide piers and long skewed
piers. Report (National Cooperative Highway
Research Program) ;682. Washington, D.C.:
Transportation Research Board, 2011[11] Sheppard, D.M., Miller, W., 2006. Live-bed
local pier scour experiments.Journal of
Hydraulic Engineering, ASCE,132(7), 635–642[12] Melville, B. W., and Sutherland, A. J. (1988).
“Design method for local scour at bridge piers.”
Journal of Hydraulic Engineering–ASCE,
114(10), 1210–1226.
[13] Melville, B.W., Coleman, S.E., 2000. Bridge
Scour. Water Resources Publications,LLC,
Colorado, U.S.A., 550 p.
[14] Ettema, R., 1980. Scour around bridgepiers.Report No. 216, University of Auckland,
Auckland, New Zealand.
[15] Chabert, J., and Engeldinger, P. (1956). “Étude
des affouillements autour des piles de ponts.”

3

Fig. 5 Comparison of the predicted and measured
normalised
scour depths from laboratory
experiments including Chabert and Engeldinger(1956), Ettema (1980), Yanmaz and Altinbilek(1991), Mia and Nago (2003), and Sheppard et al.
(2004) data with selected existing scour depth
predictive equations
Table 1. Summary of the discrepancy ratio, r, androot mean square error, RMSE, for each predictive
equationLaboratory data
r
𝟏𝟏
RMSE3
σr2
𝒓𝒓�

Jones and
Sheppard (2000)
1.19
1.27
0.52
HEC-18(2012)
1.26
1.30
0.53
Sheppard etal. (2014)
1.47
1.47
0.71
Present study
1.04
1.06
0.26
𝒓𝒓� 1= average discrepancy ratio, σ r 2 = standard
deviation of discrepancy ratio, RMSE3 = root meansquare error
P

ds/bpredicted

From the observation, the selected scour prediction
equations over-predict the scour depth if thelaboratory data sets are used, while the results
obtained from applying Equation (1) are found to bein agreement with the results obtained from applying
the selected equations when field data sets are used.
As a factor of safety, 25% can be added to the value
obtained from Equation (1) in order to consider thevalue of the maximum scour depth for all data sets
used. Meanwhile, it needs to be stressed that theapplicability of Equation (1) is limited to values ofb/d 50 from 50 – 4200, to skewed piers with angle ofattack, α< 45°, to piers in shallow flows and tograded sediments with σ g less than 7.
ds/bmeasured
ACKNOWLEDGEMENTS
The financial support from the Research University
Grant Scheme (RUGS) given by University Putra
Malaysia (Grant No. 05-01-10-0904RU) for this392

SEE-Osaka, Japan, Nov. 21-23, 2016

Laboratoire National d’Hydraulique, Chatou,
France (in French).
[16] Yanmaz, A. M., and Altinbilek, H. D. (1991).
“Study of time-dependent local scour aroundbridge.” Journal of Hydraulic Engineering–
ASCE, 117(10), 1247–1268.
[17] Ettema, R. (1976). “Influence of bed material
gradation on local scour,”M.S. thesis,
University of Auckland, New Zealand.
[18] Mia, F., and Nago, H. (2003). “Design methodof time-dependent local scour at circular bridge
pier.” Journal of Hydraulic Engineering–ASCE,
129(6), 420–427.
[19] Sheppard, D. M. (2004). “Overlooked local
sediment scour mechanism.” Transportation
Research Record: Journal of the Transportation
Research Board, 1890, 107–111.

[20] Arneson, L. A., Zevenbergen, L. W., Lagasse, P.
F., and Clopper, P. E. (2012). Evaluating scour
at bridges, 4th Ed. Hydraulic Engineering
Circular No. 18 (HEC-18), Federal Highway
Administration, Washington, DC[21] Sheppard, D. M, Huseyin, D. Melville. B. W.
(2014). Evaluation of Existing Equations for
Local Scour at Bridge Piers. Journal of
Hydraulic Engineering–ASCE, 140(1), 14–23[22] Ibrahimy M. I. and S. M. A. Motakabber.
Bridge Scour Monitoring by Coupling Factor
Between Reader and Tag Antennas of RIFD
System. International Journal of GEOMATE,
8(2), 1328-1332

393

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ID: 2688

SUSPENDED SEDIMENT DYNAMICS CHANGES IN MEKONG RIVER
BASIN: POSSIBLE IMPACTS OF DAMS AND CLIMATE CHANGE

1

Zuliziana Suif1, Chihiro Yoshimura2, Oliver Saavedra2, Nordila Ahmad1 and Seingheng Hul3
Department of Civil Engineering, Faculty of Engineering, Universiti Pertahanan Nasional Malaysia, Sungai
Besi Camp, Kuala Lumpur; 2 Department of Civil Engineering, Tokyo Institute of Technology, Tokyo,
Japan; 3Institute of Technology of Cambodia, Phnom Penh, Cambodia.

ABSTRACTThis paper evaluates the potential impact of climate change and dams on suspended sediment (SS) dynamics
in the Mekong River Basin (MRB). To this end, a distributed process-based sediment transport model was used to
examine the potential impact of future climate and dams on suspended sediment dynamics changes in the MRB.
Climate scenarios from two GCMs outputs together with effects of 3 existing, 5 under construction and 11 planned
dams were considered in the scenario analysis. The simulation results show that the reductions in annual suspended
sediment load (SSL) are likely to range from a 20 to 33%, 41 to 62%, and 71 to 81% for existing, underconstruction, and planned dams respectively in case of no climate change for baseline scenario (1991-2000).
Moreover, the reductions on sediment concentration (SSC) are even greater (23% to 78%) due to the potential
impact of dams. In contrast, the SSL and SSC shows 40% to 92% increase in the near future (2041-2050) and 28%
to 90% in the far future (2090-2099). As the projected climate change impact of sediment varies remarkably
between the different climate models, the uncertainty should be taken into account in sediment management.
Overall, the changes in SSL and SSC can have a great implication for planned reservoirs and related sedimentmanagement.

Keywords: Climate change, Dam, Suspended sediment dynamics, Mekong River Basinsoil erosion and sediment transport in the watershed[5], [6], [7].

INTRODUCTION
The sediment dynamics of a river are sensitive toboth a wide range of human activities and climatechange within its drainage basin. These factors could
influence sediment mobilization and transfer throughaction like clearing land, agricultural development,
mineral extraction, urbanization, dam and reservoir
construction and soil conservation and sedimentcontrol programs [1]. Accelerated erosion due tohuman-induced environmental alterations at the
global scale is causing an increase in geomorphic
process activity and sediment fluxes in many basinsin the world [2], [3]. It is also becoming increasingly
obvious that sediment loads in the world’s river,particularly in large rivers have been impacted byhuman activities.

The main objective of this study is to evaluate thepotential impact of anticipated future climate and dam
constructions on the suspended sediment (SS)dynamics under near future (2041-2050) and far
future (2091-2099) scenarios. The magnitude of thechange is demonstrated with different scenarios. In
this work, the past suspended sediment load (SSL)and suspended sediment concentration (SSC) in the
MRB were simulated to the conservations from 1991
to 2000. Using the calibrated model parameters, thesediment dynamics processes were then projected forthe 2040s and 2090s, considering the expectedchanges in two factors; climate and dams (existing,under construction and planned).

A recent study of 145 major rivers with longerterm records of annual sediment loads and runoff
showed that around 50% of river records
demonstrated a statistically significant upward or
downward trend [4]. The majority of these rivers
demonstrated declining sediment loads due to dams
and other river control structures trapping sediment.
The variables such as climate, soil type, land cover,topography and anthropogenic activities influences

METHODOLOGY
Target River Basin
The present study focused on the MRB, which
covers an area of approximately 795,000 km2 (Fig. 1).
The most dominant land use in the basin consists ofapproximately is forest with 33%. Among majorrivers of the world, the Mekong ranks 12th in length(4880 km), and 22nd in catchment area. The wet
394

SEE-Osaka, Japan, Nov. 21-23, 2016season lasts from May to October when the average
rainfall around 80-90% of the annual total. The dry
season period starts from November and lasts until
April. The minimum annual rainfall is 1000 mm/year(NE of Thailand) and the maximum is 4000 mm/year(West of Vietnam).

physically based hillslope hydrological simulationand kinematic wave flow routing in river network[10]. In sediment model, sediment dynamics onhillslope and rivers was separately modelled andsystematically linked each other. Hydrological andsediment processes are calculated on daily time-step.
Further details can be described by [9] forhydrological model and for sediment model in [11].
Furthermore, the parameters distributed sedimentmodel were calibrated for baseline scenario inprevious study.

0

100 E
Discharge
River Stream
Gauge
Existing Dam
Dam under construction
Planned Dam
Chiang Saen
Khong Chiam
Phnom Penh
Manwan0

28 N
Gongguoqiao
XiaowanDachaosan
Nuozhadu
Ganlanba

The location of reservoirs [12] in the mainstreamof the MRB are presented in Fig. 1. Four different
scenarios were used for investigating the effects ofthe dam which are D1: baseline (without dam), D2:
three existing dams, D3: scenario D2 and 5
construction dams and D4: scenario D3 and 11
planned dams, Table 1.

Jinghong

Pakbeng
Sayaburi
PaklayElevation
6125

Dam Scenarios

Mengsong
Luang Prabang

Sanakham

Pakchom
Ban Kum
LatsuaEleven dams are proposed (nine in Lao PDR and
two in Cambodia) in the Lower Mekong Basin(LMB) and five dams are under construction ordesigned in Upper Mekong Basin (UMB) in addition
to the three existing ones (Xiaowan, Manwan andDachaosan). The cumulative storage of all theexisting and planned reservoirs was obtained from
Mekong River Commission [12] and by [13]. The
dam release at each dam (existing, construction andplanned) was assumed equal with inflow, assumed nowater withdrawal. Additionally, the trap efficiency(TE) equations by [14] were used to approximate
individual reservoir sedimentation.

Don sahong
Strung treng

5

0

14 N

Sambor0

110 E
Fig.1 Map of the Mekong River Basin with existing,under construction and planned dams.
The MRB is populated with approximately 60
million people and is considered to be one of the mostculturally diverse regions of the world. Agriculture,
fishing and forestry provide employment for
approximately 85% of the basin’s residents. In thisbasin, acrisols were found the dominant soil type(59%), which are tropical soils that have a high clay
accumulation in a horizon and are extremely
weathered and leached. Their characteristics include
low fertility and high susceptibility to erosion if used
for arable cultivation [8]. The rest of the areas are
mixtures of deciduous and evergreen covers as well
as woodland and shrubland with some undisturbed
forest land.

Table 1 Scenarios to examine dams on suspended
sediment dynamics in the Mekong River Basin. CPO
used the observed precipitation in the past, while
CPM used the model output from GCMs for
precipitation.
Dam
Scenario (D)Distributed Sediment Model
The important processes of sediment dynamics
were modelled and integrated with a process-based
distributed hydrological model (DHM) [9]. It solves
the continuity, momentum and energy equations
using two modules; hillslope and river routing. The
integrated distributed model uses a basin subdivision
scheme, a sub grid parameterization scheme, a
395

Past

Past

Observation

Model

(CPO)

(CPM)

Baseline (no
dam)

D1

D1CPO

D1CPM

3 dams(existing)

D2

D2CPO

-

8 dams (D2 +underconstruction)

D3

D3CPO

-

19 dams (D3 +planned)

D4

D4CPO

D4CPM

SEE-Osaka, Japan, Nov. 21-23, 2016

GCM model output was selected (MIROC and
HadGem) and two RCPs (RCP2.6 and 8.5) were used
for each model output. These climate scenarios werecombined with dam scenario (Table 2).

Climate Change Scenario

D1CN
2.6

D1CN
8.5

D1CF
2.6

D1CF
8.5

19 dams(D3 +planned)

D4

D4CN
2.6

D4CN
8.5

D4CF
2.6

D4CF
8.5

(b)

30
20
10

River discharge(105 m3 s-1)

0
1.4
1.2
1.0
0.8
0.6
0.4
0.2
0.0

(c)

D4-CPO

D1

40

D3-CPO

Baseline(no dam)0D2-CPO

RCP
8.5

40

D1-CPO

RCP
2.6

80

D3-CPO
D4-CPO

RCP
8.5

Phnom
Penh

120

D2-CPO

RCP
2.6

Khong
Chiam

(a) Chiang
Sean

D1-CPOFar Future
Climate (CF)160

D3-CPO
D4-CPO(D)

Near Future
Climate (CN)200

D2-CPO

Dam Scenario

The average annual river discharge remains samein each dam scenario because no water withdrawal
was assumed in each scenario (Fig. 2a). The averageannual SSL shows changes with dam scenario at threeobservation station, Chiang Sean, Khong Chiam andPhnom Penh (Fig. 2b). It shows decreasing trends in
scenario D2 to D3 and D4. However, the SSL at eachstation shows a slight change from scenario D2.

D1-CPO

Table 2 Scenarios to examine climate change on
suspended sediment dynamics in the Mekong River
Basin

Impact of dams on river discharge, SSL and SSC

SSL (107 ton year-1)

The RCPs scenarios are based on four greenhousegas concentration (not emissions) trajectories adopted
by the IPCC in its fifth Assessment Report (AR5).
The four RCPs are named after a possible range ofradiative forcing values in the year 2100 (+2.6, +4.5,+6.0 and +8.5 W/m2 respectively). The different
pathways are coded according to their radiative
forcing at the end of the 21st century as RCP2.6,
RCP4.5, RCP6.0, to RCP8.5. Climate scenarios were
downscaled to a grid resolution of 0.5 degrees andbias-corrected by the ISI-MIP project using a trendpreserving bias-correction method with the WATCH
reanalysis data [17].

RESULT AND DISCUSSION

SSC (kg m-3)

For the climate impact assessment, the distributed
sediment model was driven with outputs of two biases
corrected datasets. The first Inter-Sectoral Impact
Model Intercomparison Project (ISI-MIP), RCP 2.6
and RCP 8.5. ISI-MIP is designed to synthesize
impact projections in the agriculture, water, biome,
health, and infrastructure sectors at different levels ofglobal warming. The ISI-MIP datasets comprises
bias-corrected daily. The GCMs data were archived
from MIROC-ESM-CHEM and HadGEM2-ES.
Later the following abbreviations were used by for
scenarios produces by these models: MIROC and
HadGEM2. Moreover, these two GCMs wereselected on the basis of their performance in thesimulation of precipitation in the 20th century in theSoutheast Asia region [15], [16]. These two models
were selected based on the availability of daily data
and all the representative concentration pathway(RCP) scenarios.

Scenario
Fig. 2 Average annual (a) river discharge, (b)suspended sediment load, and (c) suspended sedimentconcentration at Chiang Sean, Khong Chiam andPhnom Penh stations for dam scenario. Error bars
show the minimum and maximum value of an
average annual river discharge (a) and SSL (b) andstandard deviation of average annual SSC (c). Note:
See Table 1 for scenario code

In this study, climate scenarios were divided into
three decades which are past climate observation
1990-2000 (CPO) and past climate measured from
GCMs model (CPM), near future climate 2041-2050(CN) and far future climate 2090-2099 (CF). Two396

SEE-Osaka, Japan, Nov. 21-23, 2016

The result shows that the existing dam in theupper part of MRB does not show much effect to thedownstream SSL. But, obviously, the increasing
number of dams affected the amount of SSL (scenario
D3 and D4). The reduction in SSL is large in
upstream dams and becomes small as it moves
downstream, which may be due to variations in therate of change of rainfall and soil loss from sub basin
to sub basin.

in the direction of hydrological change due to climatechange. As [20] indicate that the changes of sedimentyield and discharge in response to climate change do
not always happen in the same direction in the SongCau watershed in Northern Vietnam. Error bars in
Fig. 3a, b and 4a, b shows value of maximum andminimum average annual river discharge and SSL.

200
River discharge(105 m3 s-1)

Figure 2c shows the average annual SSC withsimilar trend with SSL which are decreasing from D1
to D4. This implies that the impact of dams on the
SSC is same as SSL because of the deposition losses,
reducing the SSL as it transported downstream, thesewill also contribute to the reduction in SSC. In
addition, the SSC profile shows the decreasing trend
from upstream to the downstream.

150

Near
Future(a)
Past

Far Future100
50

SSL (107 ton year-1)

0

SSC (kg m-3)

Overall, an increasing number of dams arelinearly decreased with SSL and SSC. Changes in
SSL and SSC in the future can have implications forplanned reservoirs and related sediment management.
For instance, decreasing SSL will frequently bringobvious benefits in terms of reduced sedimentationand siltation. It is important to recognize that there
can also be a negative impacts associated with
reduced nutrient inputs to lakes, wetlands, floodplains,delta and coastal areas, resulting in major ecosystem
disturbances [18], [19].
Impact of climate change on river discharge, SSL
and SSC

100

(b)

80
60

40
20
0
0.8

(c)

0.6
0.4
0.2
D4-CF8.5-MIR

D1-CF8.5-MIR

D4-CF2.6-MIR

D1-CF2.6-MIR

D4-CN8.5-MIR

D1-CN8.5-MIR

D4-CN2.6-MIR

D1-CN2.6-MIR

The simulated discharge driven by bias-correctedclimate model outputs in the period 1991-2000 (D1CPM) was compared with the observed one. The
simulated and observed discharge agrees well forboth driving climate models due to the bias-correctionof climate model outputs.

D4-CPM

D1-CPM

0.0

Scenario
Fig. 3. Average annual of (a) river discharge, (b)suspended sediment load, and (c) suspended sedimentconcentration at Phnom Penh station using MIROC
output. Error bars show the minimum and maximum
value of an average annual river discharge (a) andSSL (b) and standard deviation of average annual
SSC (c). Note: See Table 2 for scenario code.

Figure 3a and 4a shows the average annual riverdischarge using output models MIROC and
HadGem2 respectively. In general, river discharge on
far future (2090-2099) is higher than near future(2041-2050) due to increasing precipitation.
However, both model outputs show the same
increasing trend from the past in term of riverdischarge.

Figure 3c and 4c show the average of simulated
annual SSC in near future and far future under various
MIROC and HadGEM2, climate models. A
significant change in average annual SSC Phnom
Penh (Fig. 3c and 4c) was confirmed. A reduction in
SSC is predicted to occur from 1% to 50%, dependingon the scenarios and locations. Moreover, the results
show that MIROC estimated higher SSL and SSC in
the future than HadGEM2. This is mainly due tohigher precipitation projections by MIROC than

The average SSL shows a decreased trend withincreasing number of dams (from D1 to D4) for all
climate scenarios (Fig. 3b and 4b). The averageannual SSL changes ranges from 44% increased at
Phnom Penh respectively from near future climate(2041-2050) to far future (2090-2099) for scenario
without a dam. The variation in simulated SSL
between the climates models used in this study issignificant, as it indicates a high degree of uncertainty
397

SEE-Osaka, Japan, Nov. 21-23, 2016

HadGEM2. However, both model outputs showed thesame trends on SSL and SSC.

River discharge(105 m3 s-1)

200
160

(a)
Past

Near
FutureIn general, SSL and SSC values decreased fromupstream to downstream due to increasing number ofdams. Higher river discharge and SSL are expected
when the heavy rainfall takes place. The climatechange showed higher impact on sediment than onriver discharge, and those changes do not necessary
happen in the same direction. The results indicate thatlarge uncertainties exist in all projected futurehydrological variables (i.e., rainfall, discharge andsediment) due to differences in the climate model
projections.

Far
Future1208040

SSL (107 ton year-1)

040

The outcomes of this study may be helpful todevelopment planners, decision makers and otherstakeholders when planning and implementing
appropriate basin-wide sediment management
strategies. Moreover, the results may support relevant
sectors to reassess the design, operation andsedimentation of dams.

(b)

30
20

10

ACKNOWLEDGMENTS

0.1

This research was funded by Asian Core Program ofJapan Society for the Promotion of Science (JSPS).
The part of the modeling work was also supported byCore-to-Core Program (B. Asia-Africa Science
Platforms) of Japan Society for the Promotion of
Science (JSPS) and Collaborative Research Program(CRA) of AUN/SEED-Net.

0.0

REFERENCES

0.4

(c)

0.3

D4-CF8.5-had

D1-CF8.5-had

D4-CF2.6-had

D1-CF2.6-had

D4-CN8.5-had

D1-CN8.5-had

D1-CN2.6-had
D4-CN2.6-had

D4-CPM

0.2

D1-CPM

SSC (kg m-3)0[1] Walling DE, “The changing sediment load of the
Mekong River”, Ambio, Vol. 37, 2008, pp 150157.
[2] Turner BL, Clark WC, Kates RW, Richards JF,
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[3] IGBP-BAHC(International
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[4] Walling DE and Fang D, “Recent trends in thesuspended sediment loads of the world’s rivers”,
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[5] Jain MK and Kothyari, UC, “Estimation of soil
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[6] Lee S, “Soil erosion assessment and its
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Scenario
Fig. 4. Average annual of (a) river discharge, (b)suspended sediment load, and (c) suspended sedimentconcentration at Phnom Penh station using
HadGEM2 output. Error bars show the minimum andmaximum value of an average annual river discharge(a) and SSL (b) and standard deviation of averageannual SSC (c). Note: See Table 2 for scenario code.
CONCLUSIONSThis study assessed the impact of dams andclimate change on SSL and SSC in the MRB. In thiswork, scenarios considering climate change and dam
construction were applied for the examination on
their potential effects on SSL and SSC. A distributed
process-based model is used to simulate the present
situation and future changes in sediment load andconcentration in the target basin. Distributed models’parameters of river discharge and sediment were
calibrated and applied to simulate future changes inriver discharge, SSL and SSC.
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[10] Yang D, Herath S, Oki T and Musiake K, “A
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[11] Zuliziana S, Tanuma K, Yoshimura C andSaavedra O, Submitted to Hydrology and Earth
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[12] MRC, “Existing, under construction andplanned/proposed hydropower projects in theLower Mekong Basin”, 2008.
[13] Kummu M, Lu XX, Wang JJ and Varis O,“Basin-wide sediment trapping efficiency of
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[14] Brune GM, “Trap efficiency of reservoirs”,
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[15] Easthan J, Mpelasoka F, Mainuddin M, Ticehurst
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[18] Kummu M and Varis O, “Sediment-related
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[19] Kummu M, Keskinen M and Varis O, “Modern
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[20] Phan DB, Wu CC and Hsieh SC, “Impact ofclimate change on stream discharge and sedimentyield in Northern Viet Nam”, Water Research,
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399

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

SYNERGISTIC EFFECT OFOZONATION AND BIOLOGICAL PROCESSESON THE TREATMENT OF POLYMER-LENS WASTEWATER

1

Liza Bautista-Patacsil1
Department of Chemical Engineering - MITL, Malayan Colleges Laguna, Philippines

ABSTRACTThe wastewater generated from the cleaning of polymerized lenses was found to contribute to the high BOD
and COD level of the composite wastes generated by a polymer-lens manufacturing plant, hence resists
biodegradation. Biological degradation and a combination of both biological and ozonation processes were
investigated for the treatment of such wastewater. Aerobic degradation was conducted and was measured interms of removal in COD and BOD of the substrate. The effect of different initial COD concentration of thewastewater on % COD removal by the developed inoculum was studied. Results revealed that the rate of COD
removal was highly affected by the initial COD concentration of the substrate. The lower the COD concentration
the faster the initial rate of COD removal. The 30% v/v ratio of inoculum/volume of substrate was found to givethe highest percent of COD reduction. Results obtained also confirmed that biodegradation was the dominant
process as compared to possible chemical oxidation and facultative degradation. The application of ozonation
prior to aerobic degradation of the wastewater enhanced its % COD and % BOD removal. The combinedozonation – biological treatment gave 80.1% COD removal and 93.7% BOD removal whereas only 38% COD
removal and 91.3% BOD removal was achieved when the sole treatment used was biological. The results
showed that ozonated substrate, as compared to raw substrate, exhibits higher biodegradability.
Keywords: Biodegradation, Ozonation, Polymer-lens Wastewater, COD and BOD Reduction

more complex industrial wastewater with theprimary aim of reducing its biochemical oxygen
demand (BOD), its chemical oxygen demand (COD)
as well as its total solids content. Despite the manystudies conducted on the treatment of different kindsof wastewater, none had been found to treat
wastewater from soft plastic lenses. According to
Hamilton et al. [2], such wastes posed a threat to theaquatic ecosystem because of their persistence andtoxicity and some other risks associated with the fateof such wastes in bodies of water. Plastics contains
halogenated organics and halogenation is often
implicated as a reason for its persistence [3], which
may result to considerable environmental pollution
and human health problems, thus treatment isneeded prior to disposal.
Ozonation had already been used in wastewater
treatment as a pre-treatment in order to enhanceanother process [4]. Such processes involveozonation-coagulation, ozonation-activated carbon
adsorption and sometimes used to transform initiallynon-biodegradable compounds into biodegradable
molecules before a biological process [5].
This study focused only on the treatability studyof wastewater generated from the cleaning of thepolymerized lenses since preliminary studies
revealed that such wastewater contributes to the high
BOD and COD concentration of the composite
wastewater. Aerobic biological treatment was

INTRODUCTION
Polymers have greatly affected and modified
human lives for almost a century now as it foundapplications not just in the medical field but also invarious industrial fields such as pharmaceuticals,
rubber, plastics, etc. In the early eighties, polymers
were not yet thought of as a dangerous chemical thatcan pose serious problems when released in theenvironment. Lemaire et al. [1] cited that they werestill considered as macro-pollutants with low
toxicity and side effects until 1985. With the rapid
development of polymeric materials in the
packaging industry and to a huge increase in
untreated plastic wastes, the status of polymers as
pollutants in the environment has drasticallychanged in the late eighties.
Nowadays, campaign for the use of
biodegradable
plastics
isextensive
but
environmentalist was too focused on theminimization of polymeric solid wastes that theyfailed to recognize that the wastewater associatedwith the mass production of such polymericmaterials can posed equally alarming harmful effects
to the environment.
Many studies have been conducted on the
degradation of wastes and wastewater containing
toxic and recalcitrant organic matter. Several
processes have evolved focusing on the treatment of400

SEE-Osaka, Japan, Nov. 21-23, 2016

employed in order to address the problems that are
beingexperiencedbythePolymer-lensManufacturing Plant with their existing wastewater
treatment facility (WWTF). The effect of ozonation
process on the enhancement of the biodegradabilityof such wastewater was also studied. Treatability
studies were based only on the reduction of
Biochemical Oxygen Demand (BOD) and Chemical
Oxygen Demand (COD).

flexi glass with a working volume of 3L (Fig. 1).
Each unit had a porous stone diffuser at the bottom
to supply air and agitate the mixture. Air was
supplied at the rate of 2L/min.

METHODOLOGY
Acclimatization of the Developed Inoculum
Acclimatization of the developed culture of
microorganism with the wastewater was done in 2-L
shake flasks. A phosphate ammonium salts (PAS)medium was used as the dilution water.
Acclimatization was done starting with 1000 mg/L
COD of wastewater. It was inoculated with 30% v/v
of inoculum and placed in a shaker until visible
growth of microorganisms was already observed. A
negative control was run containing PAS medium
with the wastewater but without inoculum. The
acclimatization continued for four subsequenttransfers of 30% v/v inoculum to a freshly preparedculture medium using 2–1L Erlenmeyer flasks with
300 ml total working volume and subjected to fivedays shaking. For each transfer, one flask was kept
in a refrigerator at 4 ºC while the other was used as
the inoculum for the next transfer.
After the fourth transfer, the COD concentrationof the wastewater was increased to 2000 mg/L andsame procedure as above was followed and then the
crude inoculum was further acclimatized to 3000
and 5000 mg/L COD of wastewater. These
acclimatized microorganisms were used as the
inoculum for the aerobic treatability study.

Fig. 1 Biological treatability study set-up for thepolymer-lens wastewater.
To confirm if the developed inoculum has thecapacity to biodegrade the wastewater, the PAS
medium containing 5000 mg/L initial COD ofwastewater was subjected to three different
treatments. To test for possible chemical oxidation,no inoculum was added but the medium was aerated
for 144h. To test for possible facultative degradation,
30% v/v inoculum was added but with no aeration
and was allowed to stand for 144h. For
biodegradation, 30% v/v inoculum was added andaerated at 2L/min. In all runs, samples werewithdrawn at 24h interval for COD analysis.

Aerobic Treatability Study
Effect of Different Initial COD Concentrations
Four different initial COD concentrations ofwastewater was prepared using the PAS medium as
the dilution water. A 30% volume of inoculum pervolume of pre-treated substrate was added to a 4-L
bottle reactor having a 3-L working volume. The
samples were aerated at 1L/min using a porous stone
diffuser. Aeration was extended to 72 hrs. Sampling
was done every 24 hrs for COD analyses. Each run
was done in duplicate.

Effect of Ozonation on COD and BOD Removal
A fresh batch of wastewater sample was firstsubjected to pre-treatment with concentrated sulfuric
acid to neutralize its pH and was further diluted to
10% v/v with distilled water. The initial COD and
BOD concentrations was analyzed before it was
divided into two. One substrate was subjected to a
maximum ozone dose of 390.1 mg/h, while the othersubstrate was aerated at 2L/min. This experiment
was conducted in duplicate. After 24h of separate
aeration and ozonation, samples were taken from

Test to Confirm Biodegradation VS Chemical
Oxidation and Facultative Degradation
Foaming has been a problem in the previous run,so this study was conducted in a fabricatedlaboratory-scale reactor made of 3.175 mm thick401

SEE-Osaka, Japan, Nov. 21-23, 2016

each treated wastewater for BOD and COD analyses.
The two treated substrates were then dispensed tothe biological treatment reactor at equal volume andapproximately the same BOD and COD
concentrations. A 30%v/v inoculum was then added
to each biological unit and started the biologicaltreatment maintaining the pH in all tank neutral andaeration rate of 2L/min. Samples were taken every
24h for BOD and COD analyses.

presented in Table 1.
Table 1 Characteristics of the wastewater
Parameter
COD (mg/L)
BOD (mg/L)
TSS (mg/L)
TKN (mg/L)
Phosphate-P (mg/L)
CL- (mg/L)
Color (TCU)
DO (mg/L)
pH

Analytical Methods
A Hach Model DR/1A portable colorimeter(1990) was used to characterize the wastewater interms of its color and turbidity. The pH of thesample was measured using Orion pH electrodemeter model EA 940, Orion Co., Germany.
The characteristics of the wastewater wasdetermined using the standard procedures for the
analysis of water and wastewater [6] in terms of
BOD, COD, Total Suspended Solids (TSS),
Phosphate-P, TKN, and chloride.
The BOD of the sample was measured by the 5day BOD test using Azide Modification Test. The
Dichromate Open Reflux method was used for COD
analyses.
TSS was determined by drying at 103-105ºC
after suction filtration.
For phosphate-P analysis, 50-ml of sample were
evaporated to dryness then ignited in a furnace for
3h; the ash was then dissolved in 1:1 (v/v) HCl
which was then neutralized with NaOH and diluted
to 50 ml. Phosphorus content was determined using
the ascorbic acid method [6]. All analyses were donein duplicate.

Concentrations
54, 000.0
12, 300.0
9, 185.0
240.0
412.7
411.4
1, 133.0
7.2
13.8

With the COD value of 54, 000 mg/L, this typeof wastes can be considered as high strength because
it is far above the requirements set by DAO 35
which is 150 and 250 mg/L for class “C” and “D”
waters, respectively. The BOD value, 12, 300 mg/L,
is only about 23 % of the total COD. COD values
are actually higher than BOD because morecompounds can be chemically oxidized than can bebiologically oxidized. A BOD 5 /COD ratio of 0.23
only indicates that the wastewater may contain onlya small fraction that can be biologically degradedalthough its COD value suggests that it contains ahigh organic load.
The TKN value of 240 mg/L indicates that thewastewater has insufficient nutrients to efficiently
support the microbial growth and somehow aid in
the removal of BOD, thus addition of other nutrientsis necessary. The high phosphate content, 412.7
mg/L, could not be accounted from the general flow
diagram of the manufacturing process alone. The
company was not giving any other information thatcan support for the high phosphate content. However,its presence in the wastewater is beneficial since it isalso one of the nutrients necessary to support growthof microorganisms that may be used to reduce the
BOD content.
The high chloride content, 411.4 mg/L, could be
accounted to the presence of unreacted monomer
since chloride is one of the raw materials of themonomer.
The high pH, 13.8, is due to the presence of
NaOH that was being used for washing thepolymerized lenses. Microorganisms will notsurvive at this pH so neutralization of thewastewater prior to any treatability study was done.

RESULTS AND DISCUSSION
Characteristics of the Wastewater
The
Polymer-lensmanufacturing
plant
combines wastewater coming from all point sourcesof wastewater generated from the manufacturing
processes in one equalization basin prior tobiological treatment. This made the composite
wastewater complex, hence resists degradation. In
order to identify the main contributor to thecomplexity of the composite wastes, thecharacteristics of all point sources of wastewater
generated by the plant were analyzed. The results
revealed that the wastewater generated from thecleaning of the polymerized lenses was the one
contributing to the high BOD and COD
concentrations of the composite wastewater. It wasthen recommended to separate such wastewater andthis was used as substrate for treatability studies.
The results of the analysis of the characteristicsof the batch sample of the identified wastewater are

Aerobic Treatability Study
Effect of Different Initial COD Concentrations
In the preparation of substrate, a synthetic
media (PAS) was used to prepare the desired initial
COD of the wastewater. The nutrients present in the402

SEE-Osaka, Japan, Nov. 21-23, 2016

culture medium was already sufficient to satisfy thenutrient mass ratio of 100:5:1 (BOD5:N:P) required
for efficient microbial growth and BOD removal.
The acclimatized inoculum was added at 30% v/v.
Actual concentrations of the four initial COD of
substrates that were used in the study were 2332
mg/L, 2972 mg/L, 4409 mg/L, and 5505 mg/L. The
results are presented in Fig. 2. It shows thatthe %COD removal is affected by the initial COD
concentrations of the substrate. The Duncan’sgrouping for the results of the experiment are shownin Table 2.

initial COD obtained the lowest rank. Such behavior
can be explained by the fact that with the same ratio
of inoculum used per unit volume of wastewater
treated, the microorganisms can easily use up theavailable biodegradable substrate at a faster rate but
as the substrate diminishes the rate of removal also
decreases due to limitation of substrate.
In the case of the substrate with the highest
COD, 5505 mg/L, the initial rate of COD removal
was observed to be slow, which could be explainedby the fact that there are no enough microorganisms
to process the substrate. But as they start to multiply
the rate of removal increases, as shown in Fig. 2,
after the 36th h. However, on the 72nd h, noticed that
all the four substrate gave an average rate of removalof only 38%.

45.0
40.0

% COD Removal

35.0

Biodegradation VS Chemical
Facultative Degradation

30.0
25.0
20.0
2332 mg/L
2972 mg/L
4409 mg/L
5055 mg/L

5.0
0.0
0

12

24

36

48

60

VS

The 38% removal in COD is still quite low anddoes not conforms to the standards set by DAO 35,
hence additional process would be necessary. But
before looking for non-biological process to retrofit
the existing WWTF of the plant, tests were made toconfirm if the developed inoculum has the capacity
to degrade the polymer-lens wastewater. The results
are shown in Fig. 3. Noticed that biodegradation isstill the dominant process as compared to possible
chemical oxidation and facultative degradation.

15.0
10.0

Oxidation

72

Time (h)Fig. 2 Effect of different initial COD concentrations
vs time of treatment on %COD reduction.

80

Initial Means
COD% COD Removal

Original Order

Ranked Order

Duncan's
Grouping

Initial Means
COD

Duncan's
Grouping

2332

25.91

A

2332

25.91

A

2972

24.27

B

2972

24.27

B

4409

22.29

C

4409

22.29

C

5055

20.79

D

5055

20.79

D

Aerobic Degradation
Facultative Degradation
Chemical oxidation

70

Table 2 Duncan’s Multiple Range Test (DMRT)Summary for the four different initial concentrations

60
50
40
30
20
10
0
0

24

48

72

96

120

144

Time (h)LSD Value = 0.9391; s/x = 0.3132
at alpha = 0.050* Means with the same letter are not significantly
different.

Fig. 3 Comparison of aerobic degradation withfacultative degradation and chemical oxidation
on %COD removal against time of treatment.

It can be seen from Fig. 2 that the substrate withthe lowest COD loading gave the highest COD
removal for the first 24h, which was closely
followed by the substrate with 2972 mg/L COD.
From the result of the DMRT test, it shows thatthe %COD removal is affected by the initial COD
concentration of the substrate at 5% level ofsignificance. The substrate with the lowest initial
COD was given the highest rank in terms of the rateof COD removal while the substrate with the highest

The possible degradation by facultative
microorganism is easily eliminated because theresult shows that the developed inoculum cannot
degrade the wastewater without enough aeration. No
significant decrease in COD was observed when air
was removed from the system, which only provesthat the developed inoculum can only function underaerobic condition. On the other hand, possible
degradation by chemical oxidation also did not give403

SEE-Osaka, Japan, Nov. 21-23, 2016a significant results in terms of reduction in COD.
This means that the naturally occurring
microorganism in the wastewater cannot process thewaste and oxidation by air only gives minimal
reduction in COD. With the combined aeration andthe developed inoculum, a 42% reduction in COD
was achieved after 72h. This proves that thedeveloped microorganism was already capable ofdegrading the wastewater though such removal is
not yet sufficient to conform to the set standards for
COD based on DAO 35. Thus, it is now necessary tolook for an additional treatment to somehow
increase the biodegradability of the wastewater.

% BOD Removal

120

80
60
40

Raw Substrate

20

Ozonated Substrate

0
0

12

24

36

48

60

72

84

Time (h)Effect of Ozonation on COD and BOD Removal

Fig. 5 Comparison of using ozonated vs raw
substrate on % BOD removal with time of treatment.

Since the polymer-lens wastewater was found to
be recalcitrant, the effectiveness of ozone as anoxidizing agent for the enhancement of its
biodegradability was studied. Batch treatability
studies for the raw substrate and ozonated substrate
were conducted simultaneously using the same
treatment parameters as well as the initial COD
concentrations to provide valid data for comparison.
It was found out that at the highest ozone doseof 390.1 mg/h, a maximum COD reduction equal to30.1% was achieved after 24h of treatment. Thisozonated substrate was used for the aerobic
biological treatment. The % COD removal for raw
and ozonated substrate with time is shown in Fig. 4
while Fig. 5 shows the variation of % BOD removalwith time for raw and ozonated substrates.

It was evident that the microorganisms in thedeveloped inoculum are efficient in removing the
BOD of the wastewater (Fig. 5). At 24h, 91% of
BOD was already removed from the ozonatedsubstrate while 72.9% BOD removal was effected
when raw substrate was used. A 91% BOD removal
was only achieved from the raw substrate on the 48th
hr. It can now be concluded that ozonation can reallyenhance the biodegradability of the wastewater aswell as increase the rates of BOD and COD removal.
At 5 % level of significance, the COD and BOD
removal for ozonated substrate is highly significant
as compared to the untreated substrate. This was
supported by the results of the DMRT test on theobtained data as presented in Tables 3 and 4.
The summary of the COD and BOD removal forozonated and raw substrate are presented in Table 5.
For combined ozonation and biological treatment,
80.1 % COD reduction and 93.7 % BOD reduction
were achieved, respectively after 48h, whereas only
38% COD reduction was attained when the soletreatment is biological.

60.0
50.0

% COD Removal

100

40.0
30.0
20.0

Table 3 Duncan’s Multiple Range Test Summary
Results on the % COD removal of Raw andOzonated Substrate.

Raw Substrate
10.0

Ozonated Substrate

0.0
0

12

24

36

48

60

72

84

96
Original Order

Time (h)Substrate

Fig. 4 Comparison of using ozonated vs raw
substrate on % COD removal with time of treatment.

Ranked Order

Means Duncan's

Substrate

Means

Grouping

In Fig. 4, it can be seen that a 50% COD
removal was again achieved after 48h of treatment
for the ozonated substrate while only 38% of COD
was removed in the raw substrate. After 48h, nofurther reduction in COD was observed, whichmeans that all the biodegradable component of thewastewater can be exhausted by the microorganism
within 48 hrs. This was supported by the BOD dataplotted in Fig. 5.

Raw

29.000Ozonated

37.180B
A

Duncan's
Grouping

Ozonated

37.180A

Raw

29.000B

LSD Value = 1.436; s/x = 0.4556 at alpha = 0.050* Means with the same letter are not significantly
different.

404

SEE-Osaka, Japan, Nov. 21-23, 2016indication that only a small fraction of the organic load isbiodegradable.
The developed enriched inoculum had successfullygrown on the wastewater even at 5000 mg/L COD. It wasobserved that initial COD concentrations highly affect theperformance of the microorganism in terms of the %reduction in COD. The lower the initial COD
concentration of the substrate the highest the % conversion
attained and the higher the initial rate of COD removal.
Results of ozonation process confirmed that it wasable to increase the degradability of the wastewater andwas able to convert some non-degradable components todegradable ones as proven by the disappearance of somefunctional groups in the monomer as a result of the IR
spectral analysis.
The combined process of ozonation and aerobic
treatment gave a total of 80.1% reduction in COD and
93.7% BOD removal after 48 hrs. With aerobic treatment
alone, only 38% COD and 91.3% BOD was removed after
48 hrs. We can now conclude that ozonation is aneffective pre-treatment process for it was able to increase
the biodegradability of the wastewater.

Table 4 Duncan’s Multiple Range Test Summary Resultson the % BOD removal of Raw and Ozonated Substrate.
Original Order

Ranked Order

Substrate Means Duncan's Substrate Means Duncan'sGrouping
Grouping
Raw

69.390

B Ozonated 74.560

A

Ozonated 74.560
A
Raw 69.390
B
LSD Value = 2.032;
s/x = 0.6448
at alpha = 0.050* Means with the same letter are not significantly
different.
Table 5 clearly shows the synergistic effect ofozonation and biological processes in enhancing thedegradability of polymer-lens wastewater. The ozone may
have caused fragmentation of the polymer present in thewastewater, which makes it more susceptible todegradation by the microorganisms. The presence of C =C functional groups that are found in the diallyl diglycol
carbonate monomer was confirmed under IR analysis. But
after ozonation, this functional group has disappeared,
which supports the assumption that fragmentation of themonomer have occurred, thus increasing thebiodegradability of the recalcitrant wastewater.

ACKNOWLEDGEMENTS
This study was conducted at BIOTECH, University of
the Philippines Los Baños. Special acknowledgement isgiven to the author’s reposed mentor, Dr. Sixto A.
Valencia.

Table 5. Summary of % BOD and COD removal forozonated and raw substrate.
Raw Substrate

Ozonated Substrate

REFERENCES[1] Lemaire, J, Davin, P and Arnaud, R, “Mechanisms ofAbiotic Degradation of Synthetic Polymers,” inProceedings of the 2nd Int. Sci. Workshop on
Biodegradable Polymers and Plastics, Montpellier,France, 1992.
[2] Hamilton, JDK, Reinert, H and Freeman, MB,“Aquatic Risk Assessment of Polymers”, Env. Sci.
Tech. 28 (4), 1994, 187A – 192A.
[3] Chaudhry,
GRandChapalamadugu,
S,“Biodegradation of halogenated organic compounds”,
Microbio. Rev. Vol 55 No. 1, 1991.
[4] Derco, J, Gulyasova, A and Horoak, M, “Influence ofOzonation on Biodegradability of Refractory
Organics in a Landfill Leachate”, Chem. Pap. 56(1),2002, pp. 41-44.
[5] Oloibiri, V, Ufomba, I, Chys, M, Audenaert, WTM ,Demeestere, K, and Van Hulle, SWH, “A
comparative study on the efficiency of ozonation andcoagulation–flocculation as pretreatment to activatedcarbon adsorption of biologically stabilized landfill
leachate”, Waste Mgt., Vol 43, September 2015 , pp.
335-342.
[6] APHA. 1998. Standard Methods for the Examinationof Water and Wastewater. 20th edition. American
Public Work Association. Washington, DC.

Method ofTreatment
Ozonation% COD
Removal% BOD
Removal% COD
Removal30.1% BOD
Removal

BiologicalTreatment(after 48h)
Total%
Removal

38

91.3

50.0

93.7

38

91.3

80.1

93.7

CONCLUSION
This study focused on the treatability of polymer-lenswastewater. The wastewater generated from cleaning thefinished lenses immediately after it had undergone
polymerization process was found to be the main
contributor to the high COD and BOD concentrations of
the composite wastewater of the manufacturing plant.
These wastes consist of a small portion of polymerizedmonomer and NaOH concentration, which was used ascleaner.
The characterization of the polymer-lens wastewater
indicates a high concentration of organics in terms of
COD. The calculated BOD 5 /COD ratio of 0.23 is an405

Second International Conference on Science, Engineering & Environment,
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UTILIZATION OF BENTONITE MATERIALS FOR IMPROVING THE
BEARING CAPACITY OF LOOSE SANDY SOILS
Tark, M.F.1, Bahr, M.A.1, El-Mashad, M.A.2 and EL-Hanafy, A.M.3
12, 3

Faculty of Engineering, AL-Azhar University, Egypt.

Construction Research Institute, National Water Research Center, Egypt.
ABSTRACT

Construction of irrigation utilities above weak soils such as “Loose sandy soils” with extendable depths requires
high precautions and improvement before using as bearing layer. In the current research, improvement of loose
sandy soil was conducted using blends of bentonite with different mixing proportions. Enhancing the bearing
capacity along with reduction of the expected settlement is the main measures for the improvement efficiency.
The aim of using bentonite is to utilize a cheap locally available material to interact with the weak sandy soilchanging it from non-plastic material with loose behavior to almost a plastic material with limited volumetricchange. The aim of this paper is to investigate the improvement of bearing capacity for loose sandy soil bymixing with different bentonite ratio. Experimental work was conducted for this purpose using a laboratory
physical model. In addition, laboratory tests such as compaction, direct shear, and consolidation tests were
performed to measure the mechanical characteristics of the stabilized materials. Specimens of loose sand wereprepared using mixing ratio of 3, 6, and 9% of bentonite by weight. The preparation of tested specimens in themodel was done in a controlled manner with special attention to the effect of optimum moisture content andmaximum dry density. The prepared soil mix was tested using strip a footing model and the load – settlement
curves were plotted and compared with that of pure loose sand in its natural and compaction states. The results
showed that the substantial improvements in a bearing capacity by about 22% with 3% of bentonite gives anoptimum results which becomes more suitable and enough light to medium loading criteria for the foundationsof irrigation utilities.
Keywords: Bentonite, Bearing Capacity, Loose Sandy Soil, Model Test, Settlement.

volumetric shrinkage increased with increase inbentonite content. [2] Investigate the use of
bentonite and lime in stabilizing dune sands forpossible uses in geotechnical engineering. The
bentonite added to the mix was helping in making
cohesive bond in the mix. The results showed
substantial
improvements
inunconfinedcompression strength with addition of 15%
bentonite and 3% lime. Further addition of
bentonite and lime in dune sand causes compactiondifficulties as the mix becomes sticky. The
minimum values of unconfined compressive
strength were found in the mixture 5% bentonite
and 1% lime. [3],[4] Concluded that the bentonite
is the effective material for plasticity properties,
where it increases the liquid limit, plastic limit, the
OMC increase, but the maximum dry density and,the CBR ratio decrease. Bentonite should have beenused in small amount to keep plasticity, CBR, andeconomy, and hence 5% or less was recommended
through the experiments. [5] Concluded that the
bentonites should be used 6% to keep enoughplasticity and reduce the cost of grouting.
Compacted bentonite is used as engineered barrier
mainly for limiting migration of leachate from thewastes which may contain elements that are

INTRODUCTION
To make use of loose sandy soil as base course forfoundation structures, it must be improved withsome suitable admixtures. The bentonite material is
widely used for many purposes in relation to civilengineering works improvement materials andstabilization for weak soil, filler of voids toimprove the permeability, strength, density andfiller materials for slurry cutoff walls. Bentonite isan effective material in enhancing the plasticity
properties of soil. it increases the liquid limit,
plastic limit, the maximum dry density and the
Optimum Moisture Content (OMC). [1] Concluded
that the consistency limits, liquid limit, plasticity
index and linear shrinkage increased linearly withbentonite content in lateritic soil mixed withbentonite. Also, the results showed that thegeotechnical performance of compacted loose
sandy soil - bentonite mixtures proposed as liner
material in waste landfills showed that bentonite
addition resulted in an increase in plasticity index,
optimum moisture content and a reduction in dry
unit weight. Expectedly, the hydraulic conductivity
and unconfined compression strength of compacted
mixtures decreased non-linearly while the406Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

detrimental to the quality of groundwater for theirdesignated uses. The use of compacted naturalclayey soils due to very low hydraulic conductivity,
self healing quality and a marked capacity to adsorb
and retain contaminants for this purpose is wellestablished by [6], [7].

on several-mixed samples of the tested sandaccording to ASTM D421 [8]. Fig. 1 shows thegrain size distribution of used sample. The plotshows that a medium to fine sand was selected. The
tested sand was classified as poorly graded sand(SP) according to the unified soil classification
system [USCS]. Physical properties of the sandwere determined as shown in Table 1.

SCOPE OF RESEARCH
The objective of this paper is to investigate theimprovement of bearing capacity for loose sandy
soil by mixing with different bentonite ratio, tochange its properties from non plastic material toplastic material. Physical model tests were done byadopting a strip footing supported on loose sandy
soil mixed with different bentonite ratio (3, 6, and9) %.
MATERIALS
Loose Sand
In the current research, air-dried clean siliceous
yellow sand was used. The used sand was obtained
from El-menia Governorate, West Desert Road,
Maty, Egypt. Where soil layer in this area consist ofloose sandy soil. Grain size analysis was performed

Fig.1 Grain Size Distribution of Used Sand.

Table 1 Summary of the Physical Properties of the Used Sand.
Property

Value

Specific gravity (Gs)

2.64

Void ratio (e)0.70% of Clay

0.00

Maximum dry unit weight(γ dmax )(kN/m3)
Minimum dry unit weight(γ dmin )(kN/m3)
Maximum void ratio (e max )% of Silt

0.09

Minimum void ratio (e min )0.52% of fine Sand

3.94

Relative Density (D r ) (%)

53.49% of medium Sand
% of coarse Sand
% of fine Gravel
Unit weight (γ b )(kN/m )3

Property

Value
16.80
13.90
0.907

88.84

°

Angel of internal friction ϕ

30.0

3.52

Effective diameter (D 10 ) mm

0.161

3.61

Coefficient of uniformity(C u )

2.703

16.41

Coefficient of gradation(C c )0.776

Bentonite(PI). The clay content was about 82% with Activity
4.88 and Free Swelling 380 %. The total dissolved
salts (TDS ppm) was 3328, and composed mainlyof Calcium (CL ppm) 568, (SO3 ppm) 40, with PH
equal 7.3.

Calcium bentonite produced in Egypt was used inthis research. Physical and chemical analysis wasdone. The Atterberg limits of bentonite were
576.8% (LL), 46.1% (PL), 30% (SL) and 530.7 %EXPERIMENTAL PROGRAMME
Laboratory Testing
Compaction Test
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Standard compaction tests were performed inaccordance to the modified Proctor method (ASTM
D1557, ASTM 2000a), [9] using suitable moisture–density points. The results of the tests for the fourGroups were drawn in Fig.2 revealed the maximum

dry unit weight and optimum moisture contents.
Also, the values of the results were listed in table 2.
Comparison was made between loose sand, andloose sand with different bentonite ratios.

22.00

G4

21.00

G3

Dry Unit Weight (kN/m3)

20.00
19.00

G2
18.00

G1

17.00
16.00
15.00

S + 9% B

S + 6% B

S + 3% B

S. only

14.00
0

2

4

6

8

10

12

14

16

18

20

Moisture Content (%)
S: Sandy soil, B: Bentonite
Fig. 2 Dry unit Weight Vs. Moisture Content for Different Mixes.
Table 2 Summary of Maximum Dry Unit Weight and the Corresponding O.M.C.

Group
No.

Group

G1
G2
G3
G4

Loose Sand
Loose Sand+ 3% Bentonite
Loose Sand+ 6% Bentonite
Loose Sand+ 9% Bentonite

Maximum dry unit
weight (γ d3max )(kN/m )
16.85
18.16
19.98
20.96

Corresponding
O.M.C % Value
9.31
14.42
11.01
9.49

Relative Density(D r ) (%)
53.49
56.18
59.46
61.08

O.M.C%, but the increase in the bentonite ratio
over 3 % lead to decrease in O.M.C%. Thisconcluded that the optimum mix ratio for bentonite
ratio was found 3% and the compaction
characteristics of loose sand with bentonite mixture
were found to be in good agreement with the results
reported in literature.

In the present research, it was observed that the
maximum dry density of the Mix. from 1 to 4
varied from 16.85 kN/m3 to 20.96 kN/m3. It wasobserved that the increase in the bentonite ratio leadto increase in dry unit weight. The optimum
moisture content of the mixture varied from 9.31%
to 14.42%. It was observed that the increase in the
bentonite ratio up to 3 % lead to increase in
Direct Shear Test

apparatus according to (ASTM D3080) [10]. Fig. 3a, b show the relation between cohesion (kN/m3)
and angle of internal friction (ϕ) with Bentonite
content respectively, from Direct Shear test.

Due to using dry sand in the model, the apparent
cohesion was almost equal to zero in original casefor loose sand. The angle of internal friction of used
loose sand was determined by means of direct shear

408

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Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

35
Angle of Internal Friction(ɸ)°

20
Cohesion (kN / m3)

15
10
5
0

0

3
6
Bentonite content (%)

9

30
25
20
15
10
5
0

0

5
Bentonite content (%)

10

(a)
(b)
Fig. 3: a) Relation between Cohesion and b) Angle of Internal Friction (ϕ) ° with Bentonite Content.
From Fig. 3 it can be seen that the increase inbentonite mixture with loose sand lead to increasein cohesion and decrease angle of internal friction
for loose sand.

Oedometer Test
13-2 [11]. The results from oedometer test for caseof no bentonite mix shows that the void ratio equal
0.907 %. Fig. 4 shows the relation between (e- logp) for loose sandy soil with 3, 6 and 9 % bentonitemix.

The coefficients of consolidation (Cv), (mv) and(av) for sandy soil with bentonite mixtures were
evaluated using oedometer test according to
Egyptian code for soil mechanics and design andexecuting the foundations, 2009, part 2, section 2-

Oedometer Test (e-log p Curve)
0.90
0.85
0.80

Voids Ratio,e (%)

0.75
0.70
0.65
0.60
0.55
0.50
0.45
0.40
0.01

0.10

S+ 3 % B
S: Sandy soil,

1.00

10.00

Pressure,P (kg/cm2)

S + 6% B

S+ 9 % B

B: Bentonite

Fig. 4 Relation between (e- log p) for Loose Sandy Soil with 3, 6 and 9 % Bentonite.

409

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From Fig. 4 it can be noticed that the voids ratio
decrease with increase the bentonite ratio from 3 to
9 % with increase the applied pressure. Thisdecrease in voids ratio due to that the bentonite
make interlocking with sand and fill the voids
between sand particles.

Lap Physical Modelpistons connected with one I-beam which areattached to the box by steel pins as shown insection elevation in Fig. 6 for physical model. In
this research, the box was filled with soil using
moving steel hopper to level of bentonite mix
without compaction then the soil in the layer mixed
with bentonite was compacted using manualcompacting on layers of 100 mm thickness.
Compaction was subsequently conducted using
steel hammer with circular base of 270 mm indiameter and weight of 17.5 Kg, dropped from aheight of 300 mm until reaching the target unit
weight. The maximum, minimum density andmoisture content were measured actually from soilin the box.

Physical model was used to investigate the behaviorof loose sandy soil with different mix ratio of
bentonite. The tests in this research were conductedby the steel structures model facility at theConstruction Research Institute (CRI). In Egypt, it
is a large model with Perspex box with internal
dimension (1760 x 850 x 1000) mm as shown in
Fig. 5 the box of this model which filled with soil
has four Perspex sides, and the top is open to allow
the application of vertical pressure. Verticalpressure is applied by 3 hydraulic cylinders(Pistons) with a maximum capacity 5 ton for eachpiston controlled by digital close loop controller by
hydraulic system arranged in one row. These

200

Power Supply

2-LVDT

3-Pistons
Footing Plate
200 mm1300
1770

compacted
Sand

200 mmLoading
Frame

Loose Sand

455

455

455

455

240

270

1760

240

2500
2800

Fig. 5 Physical Model Configuration.

Fig. 6 Section Elevation of Physical Model.

The vertical displacement of the footing wasmeasured by a linear variable differential
transducer (LVDT) which was calibrated before
beginning the testes. At the conclusion of the test,
the cables of load cell and LVDT were connected tothe data logger which recorded of the data then it

was connected to the computer to input therecorded data and draw the load verses settlement.
The test was stopped when a failure in soil was
occurred. Then, series of tests were done for loose
sandy soil. Fig. 7 (a,b) show the test setup andmeasuring devices.

Piston

LVDT

Load
Cell

(a)

FootingPlate(b)Fig. 7 (a,b) Test Setup Showing Measuring Devices.

410

CarrierAngle

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RESULTS AND DISCUSSIONS
Bearing Capacity Behavior
Footing

B
Compacted (Loose Sand + 3,6,9 % Bentonite )Four tests were performed on strip footing (200 x
840 x 20) mm. to show the effect of bentonite ratioon the bearing capacity, settlement of the footing
and failure stress for loose sand. In this study atreated layer of depth (B) equal to the shortdimension of the footing was mixed with different
bentonite ratio and compacted to the same depth
under the footing. Fig.8 shows section elevation fortest configuration. The cumulative curve for thesegroups results were presented in Fig. 9.

0

0

20

40

Loose Sand

Fig. 8 Section Elevation of Test Configuration.

Stress (kN/m2)
60
80

100

120

140

Sand without Bentonite (G1)5Footing Settlement (Sf) (mm)B

Sand with 3% Bentonite (G2)
Sand with 6% Bentonite (G3)10

Sand with 9% Bentonite (G4)

15
G1

20

G2

25
30

G3

35

G4

40
Fig. 9 Ultimate Stress - Settlement Curve for Examined Soil with Different Bentonite Ratio.
In order to estimate the improvement of the soil
produced by the inclusion of bentonit, the bearing
capacity ratio B.C.R was calculated for all testes.
The B.C.R was defined as the ratio of the bearing
load capacity of improved soil by bentonite divided
by bearing load capacity of unimproved soil. The
ratio was performed for vertical failure stressbetween improved and unimproved tests. Thisvalue was calculated for each group and is definedas:(B.C.R) = (q) I / (q) U(1)
Where q(I) and q(U) are the bearing load capacity
values for improved and unimproved foundations,
respectively. Table 3 shows the failure stress,
corresponding settlement and B.C.R (℅) for each
test.

Table 3 Ultimate Stress at Failure Load and Rate of Increase in B.C.R (℅).
Group No.

Group

Failure Stress (kN / m2)(B.C.R) %

G1
G2
G3
G4

Loose Sand without Bentonite
Loose Sand with 3 % Bentonite
Loose Sand with 6 % Bentonite
Loose Sand with 9 % Bentonite

65.03
79.23
52.22
50.74

1.0
1.22
0.80
0.78

411

Corresponding
Settlement (mm)
12.78
11.84
11.22
13.52

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From Fig. 9 and table 3, it can be seen that the
improvement ratio in bearing capacity for loose
sand occurred when mixed with 3 % bentonite by
22 % compared with case of without using
bentonite ratio. But when using 6, 9 % bentonite
ratio, the bearing capacity decreased by 20, 22 %respectively, compared with case of without using
bentonite. The maximum improvement ratio inbearing capacity occured at 3 % bentonite ratio
compared with case of without bentonite as shownin Fig 10. The maximum vertical settlement
occurred at 9 % bentonite ratio compared with caseof without bentonite, 3 and 6 %. Extensive
settlement with a wedge shaped soil zone in elastic
equilibrium beneath the foundation. Vertical shear
occurs around the edges of foundation. Afterreaching failure, stress - settlement curve
continuous mostly linear.

measurements were taken every 10 centimeters
along the axis shown at the middle tank.

(a)

(b)
Fig. 12 Vertical Settlement (mm) on Face of Side
Tank for Sandy Soil with 3 % Bentonite.
A)Experimentally, and b) Measured.

Fig. 10 Bearing Capacity Behavior for Sandy Soil
Mixed with Various Bentonite Ratios.
Vertical Deformation
The vertical settlement of soil mass was measured
for loose sandy soil without bentonite as shown in
Fig. 11 at the middle distance in long direction oftank.

Fig. 13 Vertical Settlement (mm) on Face of Side
Tank for Sandy Soil with 6 % Bentonite.

Fig. 11 Vertical Settlement (mm) on Face of Side
Tank for Sandy Soil without Bentonite.
Also, it was presented for each test with mix ofbentonite ratio as shown in Fig. 12, 13, 14 toobserve the influence of various bentonite ratios in
improvement the bearing capacity of loose sand.
The values of vertical deformation on the layers
were measured from the upper horizontal layer tothe bottom layer of the tank. Vertical deformation

Fig. 14 Vertical Settlement (mm) on Face of Side
Tank for Sandy Soil with 9 % Bentonite.

412

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Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

From Fig. 12, 13 and 14, it can be seen that thevertical settlement for loose sand decreased whenmixed with 3, 6 % bentonite ratio, but when mix 9 %bentonite ratio with loose sand, the verticalsettlement for mixture was increase.

[3] El.Mashad M. and Tetsuya H. “ Slag as
Cementing Mixtures Used for Tunneling
Tail Grouting”, 2nd Ain Shams University
International Conference on Environmental
Engineering, volume 3, Cairo, Egypt, April
10 -12, 2007, pp.16 - 31.
[4] El.Mashad
Mohie
Eldin,
TetsuyaHanamura “ Use of dune sand with fly ash,bentonite, and slag powder for road
construction”, international conference on
solid waste management International
Conference on, for a Better Tomorrow:
Sustainable Solid Waste Management in
Developing Countries, Kathmandu, Nepal,
January 8 - 13, 2006.
[5] Tetsuya H. and El.Mashad M. E.
“Development of Dune Sands for Road
Construction with Fly ash, Slag Powder andBentonite”, 1st Ain Shams University
International Conference on Environmental
Engineering Cairo, Egypt, April 9 -11,
2005, pp.1189 - 1200.
[6] Rowe, R. K.; Quigley, R. M. and Booker, J.
R., “Clayey Barrier Systems for Waste
Disposal Facilities”, E & FN Spon,
London, UK, 1995.
[7] Gleason, M. H., Daniel, D. E., and Eykholt,
G. R., “Calcium and Sodium Bentonite for
Hydraulic containment Applications”, J.
Geotech and Geoenviron. Engrg, ASCE,
1997, Vol. 123, No. 5, pp. 438 – 445.
[8] American Society for Testing and Materials(ASTM - D421) “Standard Practice for Dry
Preparation of Soil Samples for ParticleSize Analysis and Determination of Soil
Constants” ASTM Book of Standards,
Published in September, 2007.
[9] American Society for Testing and Materials(ASTM D1557- 09) “Standard Test
Methods for Laboratory Compaction
Characteristics of Soil Using Modified
Effort (56,000 ft-lbf/ft3 (2,700 kN-m/m3))”
ASTM Book of Standards, Published in
October, 2009.
[10] American Society for Testing andMaterials (ASTM D3080-04) “Standard
Test Method for Direct Shear Test of Soils
Under Consolidated Drained Conditions”
ASTM Book of Standards, Published in
December, 2004.
[11] Egyptian code for soil mechanics anddesign and executing the foundations, 2009,
part 2.
[12] José L.M. Clemente and Mounir Bouassida“Soil property improvement and environmental
contamination” session in 6th International
Conference on Case Histories in GeotechnicalEngineering, Arlington, VA, August, 11 - 16,
2008.

CONCLUSIONSThe current research was carried out to clarify theeffect of mixing loose sandy soil with 3, 6 and 9 %bentonite ratio. The following conclusions weredrawn:1- The bearing capacity for loose sand increased
when mixed with 3 % bentonite by 22 %. But
when using 6, 9 % bentonite, it was decreased
by 20, 22 % respectively, from the original
bearing capacity. Thus, the maximum
improvement ratio occurred at 3 % bentonite
compared with the case of no bentonite ratio.
2- To improve the bearing capacity by bentonite
mixing, it should be used a small enough andeconomy ratio, hence 3% is recommended
through the experiments
3- The increase in bentonite ratio mixed with loose
sand lead to increase the maximum dry density.
But increase in bentonite ratio lead to increase
the optimum moisture content (OMC) till 3%
ratio, then the optimum moisture content
decreased with increase the bentonite ratio morethan 3%.
4- Bentonite is an effective material for plasticity
properties, where it increases the liquid limit,
and plastic limit was increased.
5- Bentonite is an effective material for decreasing
voids ratio with increasing the applied pressure,for mix of bentonite ratio 3, 6 and 9 %.
6- The bentonite ratio of 3 % is recommended forenhancing the bearing capacity for loose sandy
soil mixed with bentonite in field application.
REFERENCES[1] Agapitus, and Kolawole “Evaluation of the
Performance of Compacted Lateritic Soil Bentonite Mixtures as Landfill Liner
Material” 14th International Conference on
Structural and Geotechnical Engineering,Ain Shams University, Cairo, Egypt,
December, 20 - 22, 2015, pp.146 - 147.
[2] Wayal A.S., Ameta N.K and D.G.M.
Purohit “Dune Sand Stabilization Using
Bentonite and Lime” Journal ofEngineering
ResearchandStudies(JERS),Vol. III, Issue I, January-March,
2012, pp.58 - 60
413

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

A PRELIMINARY STUDY OF SOUND ABSORPTION COEFFICIENTFOR NATURAL FIBRES
N.H. Zunaidi1, Wei-Hong Tan2, M.S. Abdul Majid3, EA Lim4
1,2,3

Mechanical Engineering Programme, School of Mechatronic Engineering, Universiti Malaysia Perlis(UniMAP), Pauh Putra Campus, 02600 Arau, Perlis, Malaysia;
4Institute of Engineering Mathematics, Universiti Malaysia Perlis (UniMAP), Pauh Putra Campus, 02600
Arau, Perlis, Malaysia.

ABSTRACT
Malaysia is a country that has many types of natural fibre from the agriculture by-products. There are a lot of
initiatives had been taken by the government and non-government sector to make use the agriculture waste andmight generate on extra income for the farmers. One of the agriculture wastes is natural fibre which can beextracted from stems, leaves, roots, fruits and seeds of plants. In this study, natural fibres will be taken as thesound absorbent materials for the noise absorption purposes. There are two common natural fibres in Malaysia
market was proposed for the sound absorption performance investigation, which include kenaf fibre and coir
fibre. Sound absorption coefficients of the natural fibres were measured using the impedance tube according to
ISO 10534-2. It can be observed that as the mass of natural fibre increase, the sound absorption coefficient also
will increase relatively. Some of the others feature which affect the sound absorption coefficient of natural fibres
also will be studied. As a conclusion the sound absorption coefficient investigation on the natural fibres was
successfully conducted and it is a promising sound absorbent materials.
Keywords: Natural Fibre, Kenaf Fibre, Coir Fibre, Sound Absorption Coefficient and Impedance Tube

been conducted to minimize the limitation of thenatural fibre such as composite fibre with resin,chemically treated fibre and many more.
Based on the literature study, it is founded thatnatural fibre is considered as a good soundabsorption acoustic material. It has been
experimentally tested by using the industrial tea
fibre waste. It showed a good sound absorption of
0.5 for the frequency range of 1500-6300Hz [8].
Besides that, there is another study on oil palm fruit
where the fibre is extracted from the fruit. The resultshows that the average sound absorption coefficientis 0.75 for the frequency 2500Hz and above [9].
Moreover, rice straw fibre also gives the good
performance in sound absorption. From theexperiment, it shows that the good sound absorption
performance for the frequency 2000Hz and above[10].
In this study, two types of natural fibre will be
investigated for the sound absorption coefficient.
The frequency range to be considered is 60-1800Hz
using fabricated impedance tube. The soundabsorption performances of the natural fibres will be
determined and analysed.

INTRODUCTION
As the development of industry is rapidly growth,
there are a lot of noises produced which may cause
the sound pollution for surrounding community.
Sound pollution may contribute hearing loss tohuman [1]. In our surrounding, the average noise
frequency produced is less than 2 kHz. The
mechanisms for noise treatment include isolation,
absorption and reflection [2]. Typically, the noise
can be absorbed using the acoustic materials such asfoam and stone wool which normally are synthetics
porous material. Synthetic porous material is madefrom minerals which may cause health problem tohuman. Natural fibre is seems the good alternative
absorbent material which is not only able to reduce
the noise level and also environment friendly [3].
Natural fibre is the by-products of agriculture. In
Malaysia, there are many type of agriculturalactivities. Those agricultural products havecontributed to the economy growth. Apparently,
majority of the plants have the fibre. The fibre ofplants normally is extracted from the stem, leaf andpulp to produce the acoustic absorbent material. The
advantages of natural fibre are cheaper, renewable,
abundance and bio-degradable. Recent study has
shown that natural fibres are capable as the effective
acoustic materials [4]. However, natural fibre also
has the limitations such as humidity, fungus andflammable [5]-[7]. There are many studies have

METHODOLOGY
Experiment setup
The experiment of sound absorption coefficient414

SEE-Osaka, Japan, Nov. 21-23, 2016

measurement is conducted using impedance tube.
The impedance tube is fabricated according to the
ISO Standard 10534-2 Transfer Function Method. It
is suitable for the sample in small size. Sound wave
direction in the impedance tube is normal incidence.
It means that the direction of sound wave isconsidered in one direction only. The frequency
limit of the impedance tube is 60-1800Hz. The
normal incidence sound absorption coefficient of thesample can be determined using the impedance tube.
The sound absorption coefficient value range is from0 to 1. The highest value of sound absorption
coefficient is 1 with the meaning of all the soundwave energy is fully absorbed by the material.
Figure 1 shows the experiment setup for soundabsorption coefficient measurement.

measurement. This is to ensure the impedance tube
is ready for measurement. Figure 2 is the placementof the sample in one end of the impedance tube.
Sample preparation
Two types of natural fibre are used in theseexperiments which are kenaf fibre and coir fibre.
Cocos nucifera L. and Hibiscus cannabinus L. are
the scientific names for coir fibre and kenaf fibre
respectively. The coir fibre is bought in the market
and kenaf fibre is obtained from Lembaga Kenaf dan
Tembakau Perlis, Malaysia. The coir fibre and kenaf
fibre in the form of loose as shown in Fig. 3.

(a)(b)
Fig. 3 (a) coir fibre and (b) kenaf fibre in the form ofloose before compression.

Fig. 1 Experiment setup for sound absorption
coefficient measurement.

The fibres are weighted in 5g, 10g and 15g. The
fibres are cut into 1 inch long and fitted into a mild
steel mould. The inner diameter of the mould is 99.5
mm which is 0.5mm smaller than the inner diameterof impedance tube [11]. Figure 4 is the mould andShimazu Universal Testing Machine used to prepare
the sample. By using the Universal Testing Machine,
the natural fibre is compressed with an average forceof 45kg/cm2 [12]. Figure 5 shows the samples ofcompressed fibre.

The fabricated impedance tube is used for theexperiment. The impedance tube had been validated
and ready to be used for the measurement. Everytime before conducting the sound absorption
coefficient measurement, the impedance tube iscalibrated together with the microphones. The
sample is fitted into one end of the impedance tube.
Distance between both microphones is 70 mm.
Meanwhile, the distance between first microphoneand sound source is 1130 mm.

(a)(b)
Fig. 4 (a) Shimazu Universal Testing Machine and(b) mould used for the sample preparation.

Fig. 2 Placement of sample at one end of impedancetube.
The distance between sample and nearest
microphone is 350 mm. The loud speaker is allowed
to warm up about 10 minutes before first415

SEE-Osaka, Japan, Nov. 21-23, 2016

sound absorption coefficient. Compressed fibre has asignificant effect on the sound absorption. The
compressed fibre is able to improve soundabsorption and the increment of sound absorption
coefficient is shifted to lower frequency range[14],[15].

Sound Absorption Coefficient

1
0.8

(b)
(a)
Fig. 5 The samples of compresses fibre, (a) coir fibreand (b) kenaf fibre.

0.6
0.4

RESULT AND DISCUSSION

0.2

Based on the sound absorption measurement, it isfounded that coir fibre and kenaf fibre are able toabsorb sound energy wave. Figure 6 shows thesound absorption coefficient of 5g coir fibre andkenaf fibre for the frequency up to 1800Hz. The
maximum sound absorption coefficient for kenaf
fibre and coir fibre are 0.15 and 0.2 respectively.
Kenaf fibre has a higher sound absorption
coefficient compared to coir fibre. Same phenomena
happened as the mass of fibre increased, both also
have increased in sound absorption coefficient[4],[13].

200

700

1200

1700

Fig. 7 Comparison of sound absorption coefficientof 10 g sample of coir fibre and kenaf fibre.
1

coir
kenaf

0.8
0.6

coir
kenaf

0.8

0

Frequency (Hz)Sound Absorption CoefficientSound Absorption Coefficient

1

0.4

0.6

0.2

0.4

200

700

1200

0

700
1200
1700
Frequency (Hz)Fig. 8 Comparison of sound absorption coefficientof 15 g sample of coir fibre and kenaf fibre.

0.2
0

coir
kenaf

1700

Difference between fibre

Frequency (Hz)Fig. 6 Comparison of sound absorption coefficientof 5 g sample of coir fibre and kenaf fibre.

200

1

5g
10 g
15 g

0.8
0.6

As the mass of fibre increases, it will enhance
the sound absorption coefficient at low frequency. It
can be seen clearly throughout the graph plotted inFig. 6, Fig. 7 and Fig. 8. It is because, when themass of fibre increases, sample becomes moreporous and induces more sound energy waves will
be absorbed by the sample [10].
According to the experiment conducted by
Jailani et al., it shows that as the sample iscompressed, it will cause the sample has many small
pores. As the number of small pores increase, there
are large frictional forces that will increase the

0.4
0.2
0

200

700
1200
Frequency (Hz)1700

Fig. 9 Differences of sound absorption coefficientfor coir fibre and kenaf fibre of 5g, 10g and 15g
respectively
416

SEE-Osaka, Japan, Nov. 21-23, 2016

When compared with the diameter size of coir
fibre and kenaf fibre, kenaf fibre diameter is foundsmaller than coir fibre. This will result a significant
effect on the sound absorption performance andenhancing the sound absorption coefficient at low
frequency [16]. Figure 6, Fig. 7 and Fig. 8 show that
kenaf fibre sound absorption coefficient is relatively
higher than coir fibre. It is because when the
diameter of fibre is small and it will produce much
more pores when compressed into the shape.
In Fig. 6, the difference of sound absorption
coefficient between coir fibre and kenaf fibre is verysmall. This is because the mass of sample is low.
When the sound wave energy strikes on the sample,
most of the sound wave energy has been converted
into heat energy and dissipated in the surrounding.
This explains sample with lower 5g of natural fibreis unable to absorb much sound waves energy.
Figure 7 and Fig. 8 show a big different of soundabsorption coefficient between of coir fibre andkenaf fibre. This is because 10g and 15g of fibre
have much pores and it will absorb as much as
possible the sound waves energy which strike on it.
Therefore, as the mass increases, the soundabsorption coefficient will also increase. By
referring to the Eq. 1 with the constant velocity ofsound when the frequency increases, the wave
length will decrease. The relationship between thefrequency and velocity of sound is inversely
proportional. This is the reason, to explain the highfrequency range has a higher sound absorption
coefficient compared with low frequency range inthis study.

1800Hz. As a conclusion, both natural fibres areable to absorb sound wave energy effectively. At thesame time, it is also observed that as the mass ofnatural fibre increases, the sound absorption
coefficient also increases relatively.

𝑣𝑣 = 𝑓𝑓𝑓𝑓[4]

ACKNOWLEDGEMENTS
Authors would like to acknowledge the Ministryof Higher Education of Malaysia (MOHE) for
supporting this research through the FRGS Grant(9003-00435) and the Lembaga Kenaf dan
Tembakau Negeri Perlis, Malaysia for supplying the
kenaf fibre.
REFERENCES
[1]

[2]

[3]

(1)

where v is sound wave velocity, f is frequency and λis wave length.

[5]

The difference of sound absorption coefficientof coir fibre and kenaf fibre is shown in Fig. 9.
Based on the graphs of sound absorption coefficientin the Fig. 7 and Fig. 8, there are a small difference
between 10g natural fibre and 15g natural fibre. Itshows a slightly increase in sound absorption
coefficient of 15g natural fibre compared with 10g
natural fibre. However, sound absorption coefficientshows much difference as compared with 10g
natural fibre and 15g natural fibre. Thus, thisphenomenon is observed due to 5g of natural fibre
unable to absorb expected sound energy wave.

[6]

[7]

CONCLUSIONS[8]

In this study, there are two types of natural fibre– kenaf fibre and coir fibre are investigated. The
sound absorption coefficient of two types natural
fibres are determined and measured successfullyusing impedance tube for the frequency range of 60-

[9]

417

L. Peng, B. Song, J. Wang, and D. Wang,“Mechanic and acoustic properties of thesound-absorbing material made from natural
fiber and polyester,” Adv. Mater. Sci. Eng.,
vol. 2015, Article ID 274913, 5 pages, 2015.
doi: 10.1155/2015/274913.
E. Jayamani, S. Hamdan, and N. B. Suid,“Experimental Determination of Sound
Absorption Coefficients of Four Types of
Malaysian Wood,” Appl. Mech. Mater., vol.
315, pp. 577–581, 2013.
I. F. Conference, C. Energy, and T. Cet,
“Kenaf Arenga Pinnata,” Investig. Nat.
Waste Fibers from Dried Paddy Straw as a
Sustain. Acoust. Absorber, pp. 311–314,
2011.
M. Nor, N. Jamaludin, and F. Tamiri, “A
preliminary study of sound absorption using
multi-layer coconut coir fibers,” Elect. J.
Tech. Acoust., vol. 3, 8 pages, 2004.
M. Hosseini Fouladi, M. Ayub, and M.
Jailani Mohd Nor, “Analysis of coir fiber
acoustical characteristics,” Appl. Acoust., vol.
72, no. 1, pp. 35–42, 2011.
S. Fatima and a. R. Mohanty, “Acousticaland fire-retardant properties of jutecomposite materials,” Appl. Acoust., vol. 72,
no. 2–3, pp. 108–114, 2011.
S. Y. Peng, S. Y. Wen, P. Z. Xin, S.
Jegachandra, M. H. Fouladi, M. M. Shamel,
C. C. Hwa, S. N. Namasivayam, M.
Ghassem, and M. J. M. Nor, “Improvementof Fire Retardant Property of Natural Fiber,”Appl. Mech. Mater., vol. 471, no. March
2016, pp. 261–266, 2013.
S. Ersoy and H. Küçük, “Investigation ofindustrial tea-leaf-fibre waste material for its
sound absorption properties,” Appl. Acoust.,
vol. 70, no. 1, pp. 215–220, 2009.
K. H. Or, a Putra, and M. Z. Selamat, “Oilpalm empty fruit bunch fibers as sustainableSEE-Osaka, Japan, Nov. 21-23, 2016

[10]

[11]

[12]

[13]

acoustic material,” no. March, pp. 1–2, 2015.
A. Putra, Y. Abdullah, H. Efendy, W. M. F.
W. Mohamad, and N. L. Salleh, “Biomass
from paddy waste fibers as sustainable
acoustic material,” Adv. Acoust. Vib., vol.
2013, Article ID 605932, 7 pages, 2013. doi:
10.1155/2013/605932.
N. Kino and T. Ueno, “Investigation ofsample size effects in impedance tube
measurements,” Appl. Acoust., vol. 68, no.
11–12, pp. 1485–1493, 2007.
M. H. Fouladi and M. H. Nassir, “Utilizing
Malaysian Natural Fibers as Sound
Absorber,” pp. 161–170, 2013.
H. M. Akil, M. F. Omar, A. A. M. Mazuki, S.
Safiee, Z. A. M. Ishak, and A. Abu Bakar,“Kenaf fiber reinforced composites: A
review,” Mater. Des., vol. 32, no. 8–9, pp.
4107–4121, Sep. 2011.

[14]

[15]

[16]

418

N. Amin, M. H. Fouladi, and S. Jaya,“Effect of Compression on the Acoustic
Absorption of Coir Fiber Mohd Jailani
Mohd Nor , 1 Md . Ayub , 1 Rozli Zulkifli ,Department of Mechanical and Materials
Engineering , Department of Electrical ,Electronic and System Engineering , Facultyof Engineer,” vol. 7, no. 9, pp. 1285–1290,
2010.
C. N. Wang, Y. M. Kuo, and S. K. Chen,“Effects of compression on the soundabsorption of porous materials with anelastic frame,” Appl. Acoust., vol. 69, no. 1,
pp. 31–39, 2008.
M. Nor, M. Ayub, Rozli Zulkifli, Nowshad
Amin and M. H. Fouladi, “Effects ofdifferent factors on the acoustic absorptionof coir fibre, ” Appl. Sci., vol. 10, no. 22, pp
2887-2892, 2010.

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

THE WORKLOAD ANALYSIS OF HIGHLY STRESSED CRITICALAPPLICATIONRich Lee13, Ing-Yi Chen 2Computer Science, National Taipei University of Technology, Taiwan
3
Systems Department, IBM, Taiwan

12

ABSTRACTThe intensity and variability of workload may attribute to most system failures or the sluggish performance.
It is simply owing to the design strength not being able to respond the imposed stress from the stimulus. The
successive impacts are severe especially when a critical application fails. Usually such kind of the workflow
flooding toward the system may have distribution patterns across the time. Understanding these patterns ofworkload will disclose the insights of the imposed stress to the system and imply the root causes of the failure or
the poor performance. This paper presents a novel analytic framework, designing the performance datacollection scheme, analyzing the gathered data, identifying the likely-patterns, to disclose these insights byapplying various statistical procedures against the workload. The empirical case was to improve the performanceof their most critical and highly stressed trading application from a global financial security service firm; thesluggish performance will result huge monetary loss and wreck the business as well. The paper also discusses
such a highly stressed critical application design issues about the efficiency improvement and the resource
optimization, including the system and the software architecture to meet the performance requirement, theresponse time must be within microseconds.
Keywords: Software Engineering, Performance Analysis, System Reliability, Business Analytics

INTRODUCTION

THE PROBLEM FRAME

The system’s reliability is not just about the
failures. If a system cannot meet the business
requirements to give enough support against thecompetition of rivals, it is still a failed system. The
security warrant bidding system is a speed race
among the rivals; the winner usually takes major
market share. In this competition, it is not enoughjust to improve the hardware equipment such as thecomputing resources and the bandwidth of the
network because this is the easiest effort that every
participants of the game will invest on. The system
performance improvement requires the mature
software design [1] and the problem analytic
capability which always plays the decisive role inwinning the competition.

The Trading Exchange Center propagates thestock quotes every few seconds using the UDP
communication scheme shown in Fig. 1. The
security warrant firms receive all the stock quotes ina batch periodically. Every firm may have different
concerned stocks than others based on their investors’interests. First, the firm’s bidding system needs to
decode the received data packets from UDP and thenstore them into a data structure that will facilitate thefollowing process.

The mature software design in this application isabout knowing: (1) the multitasking programming,(2) how operating system works, (3) the
consideration of choosing the proper inter-processcommunication, and (4) the business essentials andthe domain knowledge. Besides offering the solid
solution about the modern bidding system, this paper
presents an effective approach to elaborate theessence of the mature software design; it begins
from the identifying the problem frame; giving thereasoning of potential resolution; to the real
implementation.

Fig. 1 The Stock Quotes Bidding Process

The system will drop those quotes that are notconcerning to the investors. Each coming quoteneeds to look up a table to see if the stock is on theconcerned list or not; if the coming quote is on thelist, the system will apply a number of trading
strategies based on the predefined criterion, sell highor buy low. Once the qualified criterions are met, thesystem will submit these bidding quotes to the Stock419

SEE-Osaka, Japan, Nov. 21-23, 2016

Exchange Center. If the system executes the bidding
quote strategies fast enough, for instance, after few
cycle terms of propagation, the performance of thesystem will satisfy the investors’ expectations,otherwise, the investors might switch to a better
trading performance firm; consequently, the original
one will lose the business competition.

Time𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠= 𝑓𝑓4(Quote𝑛𝑛𝑛𝑛𝑛𝑛𝑛𝑛𝑛𝑛𝑛𝑛 , List 𝑛𝑛𝑛𝑛𝑛𝑛𝑛𝑛𝑛𝑛𝑛𝑛 ,Algorithm𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒 )Time𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟 = 𝑘𝑘

(6)

(5)

THE COMMON APPROACH
The common approach of a bidding system, an
abstract code, using the representation of the Python
computer language listed in Fig. 2, basically is aloop process whenever the system receives a quote.
The ReadStockQuote() shown in the line 2 is afunction that receives the data stored in thereceivedPacket
variable
from
the
UDP
communication channel. The function ofTransformPacket() shown in the line 3 transforms
the receivedPacket into a desirable map data
structure—a key-value pair—stored in theincomingQuote variable. If the incomingQuote is noton the concerned stock list through the function of
CheckStockList(),theprocessdrops
that
incomingQuote and return to the beginning of theloop and awaits the next receivedPacket.

(1)

Apparently, observing from the equations of
Eq.2, Eq. 5, and Eq. 6, these time factors are either
determined by the network equipment or thevolatility of the stock market that impact to all firms;
thus it can be treated as the constant functions. Aslong as the computing resources are sufficient, theequations of Eq.3 and Eq.4 actually determine theoverall bidding performance and worth to look into
the associated algorithms where can be further
improved.
Time𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑= 𝑓𝑓3(Quote𝑛𝑛𝑛𝑛𝑛𝑛𝑛𝑛𝑛𝑛𝑛𝑛 , Algorithm𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒 )(2)Time𝑏𝑏𝑏𝑏𝑏𝑏𝑏𝑏𝑏𝑏𝑏𝑏𝑏𝑏= 𝑘𝑘5(Quote𝑛𝑛𝑛𝑛𝑛𝑛𝑛𝑛𝑛𝑛𝑛𝑛 , Network 𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒 )The performance challenges of such as a system
are: (1) the bandwidth of network and the associatedequipment must be sufficient and efficient enough toreceive the propagated data without any loss; (2) the
propagation is similar to the streaming behavior—arandom combination of stocks’ data floods into thesystem in which time complexity is subject to thenumber of the quotes; (3) the efficiency of decoding
the received packets and storing them into thedesired data structure will determines theeffectiveness of the following quote bidding; (4) thesystem must look up the concerned stock list—theprocess time complexity will be the multiplication of
the number of received quotes and the number of thelist—efficient for each received quote to decide
whether to apply the strategies or not; (5) there are
random number of investors’ strategies—the process
time complexity will be subject to the number ofassociated strategies—await the system to merit thereceived associated listed quote; and (6) theinvestors may require the trading performance
proof—a comprehensive report based on theanalytics of the trading logs—to convince
themselves to continue their financial activities withthe firm. Therefore, how to minimize the total
consumed time,Time𝑡𝑡𝑡𝑡𝑡𝑡𝑡𝑡𝑡𝑡 , is formulated in Eq. 1,
will be the goal of the bidding system improvement.
Time𝑡𝑡𝑡𝑡𝑡𝑡𝑡𝑡𝑡𝑡 = Time𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟 + Time𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑+ Time𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠+ Time𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠+ Time𝑏𝑏𝑏𝑏𝑏𝑏𝑏𝑏𝑏𝑏𝑏𝑏𝑏𝑏+ Time𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟

Time𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟= 𝑘𝑘2(Quote𝑛𝑛𝑛𝑛𝑛𝑛𝑛𝑛𝑛𝑛𝑛𝑛 , Network 𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒 )Fig. 2 The Common Approach of the Bidding System

The function of GetStrategies() shown in the line
8 loads all the stock associated trading strategies that
predefined by the investors into the array of a map
data stored in the strategyList variable. Every
strategy shown in the line 12—in a map data
structure—of the strategyList must be enumerated
and checked to see if it meets the criterion or not.

(3)

(4)

420

SEE-Osaka, Japan, Nov. 21-23, 2016

The function SubmitBid() shown in the line 16 and25 proposes a new quote of the strategy to the Stock
Exchange Center; it returns the status of the proposal,
success or fail. The system logs the stock, the quote,the new quote, and the status for latter bidding
performance analysis.

have better performance than in the individual; and(2) such a batch process would complete the trading
strategies before next quotes flood in. Thus theconclusive factor is that the quotes must have some
sort of patterns so that the smart approach can apply
the divide-and-conquer tactics against different
groups of stocks with various degrees of volatility.

The sub-process from the line 8 to the end will
be more efficiently by using the threading scheme.
The SubmitBid() associated blocks from the line 16
to 21 and from the line 25 to 30 can also be design inthe threading approach, however, the log mechanism
might require additional time in dealing with thelocks to maintain the consistency of the values of thevariables such as the successCount and the failCount.

THE RESEARCH PROCESSAs earlier mentioned, the first challenge of thesmart approach is to affirmative that the quotes dohave some patterns over a period of time. The
research process illustrated as Fig. 3 starts withgathering the received quotes including thefollowing fields: (1) the stock identifier, (2) the time
elapsed in seconds since the market opened, and (3)the quoted price. The velocity of a quote shown in
Eq. 7 is defined as the time difference between two
consecutive quotes; and the acceleration of a quote
shown in Eq. 8 is defined as the velocity changed
between two consecutive periods.

THE SMARTER APPROACH
The aforementioned common approach does notconsider the following factors: (1) the quotes might
not have the equal probability of the occurrence
flooding into the system; (2) the system might havenot completed all the trading strategies before thenext new quote comes in; (3) the overhead of
marginal threading requests—the operating systemasks for more RAM and CPU time to initiate a new
thread—might cause more time consumption [2]; (4)more software threads might not be efficient due tothe limitation of the kernel threads and thecomputing resources overhead when threads performthe context switches [3]—the operating systemscheduling process that puts the active threads orprocesses into the hibernate state and resumes themback into the running state for better resource
management; and (5) the total process time against
a reasonable number of quotes in batch might bemore efficient than dealing with the quotes
separately by applying the proper algorithms.

𝑣𝑣(𝑥𝑥, 𝑡𝑡𝑖𝑖 ) = 𝑡𝑡𝑡𝑡𝑡𝑡𝑡𝑡𝑖𝑖 (𝑥𝑥) − 𝑡𝑡𝑡𝑡𝑡𝑡𝑡𝑡𝑖𝑖−1 (𝑥𝑥),𝑖𝑖 > 1, 𝑥𝑥 is the quote identifier𝑎𝑎(𝑥𝑥, 𝑡𝑡𝑖𝑖 ) = 𝑣𝑣(𝑥𝑥, 𝑡𝑡𝑖𝑖 ) − 𝑣𝑣(𝑥𝑥, 𝑡𝑡𝑖𝑖−1 ),𝑖𝑖 > 2, 𝑥𝑥 is the quote identifier

(7)

(8)

The next step is to transform the received quotes
into a big two-dimensional matrix to hold all thequotes; the quotes may have different number ofoccurrences: 𝑚𝑚 ≠ n; and 𝑡𝑡𝑖𝑖−1 (𝑥𝑥𝑖𝑖 ) < 𝑡𝑡𝑖𝑖 (𝑥𝑥𝑖𝑖 ). The setof all stock identifiers {𝑥𝑥𝑖𝑖 ⋯ 𝑥𝑥𝑘𝑘 } is fixed before
the market opens.

The smart approach is to take advantage of GPU
and to use big chunks of RAM to reduce the impactsof aforementioned factors. Since the trading
strategies have been defined before the stock market
opens, thus these strategies can be preloaded onto
the RAM to save the time of on-demanded dataloading. Secondly, using the super performance inmathematical computation of GPU to reduce thetime in threading process might be a solution of
better performance against the criterion searches.
Lastly, if the time of the quotes flooding into thesystem is in a different and random way, then thesmart approach can analyze the trading volatility ofstocks based on the transactions of previous days.
The idea is to find a better optimized workload
execution plan according to the volatility behaviors
of stocks, so that the deploying the systems onto
additional servers will be helpful in consuming thecoming quotes.

𝑥𝑥𝑖𝑖
�⋮
𝑥𝑥𝑘𝑘

𝑡𝑡1 (𝑥𝑥𝑖𝑖 ) 𝑡𝑡2 (𝑥𝑥𝑖𝑖 ) ⋯ 𝑡𝑡𝑚𝑚 (𝑥𝑥𝑖𝑖 )
⋮
⋮
⋮
⋮ �
𝑡𝑡1 (𝑥𝑥𝑘𝑘 ) 𝑡𝑡2 (𝑥𝑥𝑘𝑘 ) ⋯ 𝑡𝑡𝑛𝑛 (𝑥𝑥𝑘𝑘 )

(9)

𝑥𝑥𝑖𝑖
�⋮
𝑥𝑥𝑘𝑘

𝑣𝑣1 (𝑥𝑥𝑖𝑖 ) 𝑣𝑣2 (𝑥𝑥𝑖𝑖 ) ⋯⋮⋮⋮𝑣𝑣1 (𝑥𝑥𝑘𝑘 ) 𝑣𝑣2 (𝑥𝑥𝑘𝑘 ) ⋯(10)

Deriving from the Eq. 9 to form the velocity
shown in Eq. 10 and the acceleration shown in Eq.
13 matrices are shown as follows. These two derived
matrices are important for pattern determination.

𝑚𝑚

𝑣𝑣𝑚𝑚 (𝑥𝑥𝑖𝑖 )⋮ �𝑣𝑣𝑛𝑛 (𝑥𝑥𝑘𝑘 )𝑀𝑀𝑀𝑀𝑀𝑀𝑀𝑀𝑣𝑣 (𝑥𝑥𝑖𝑖 ) = � 𝑣𝑣𝜀𝜀 (𝑥𝑥𝑖𝑖 ) � 𝑚𝑚
𝑆𝑆𝑆𝑆𝑆𝑆𝑆𝑆𝑆𝑆𝑣𝑣 (𝑥𝑥𝑖𝑖 )

𝜀𝜀=1

(11)

(12)

𝑚𝑚

= ���[𝑣𝑣𝜀𝜀 (𝑥𝑥𝑖𝑖 ) − 𝑀𝑀𝑀𝑀𝑀𝑀𝑀𝑀𝑣𝑣 (𝑥𝑥𝑖𝑖 )]2 � � 𝑚𝑚
𝜀𝜀=1

The Eq. 11 represents the mean velocity value ofthe stock 𝒙𝒙𝒊𝒊 ; the smaller mean value implies that thestock trades in a more volatile manner. The Eq. 12

This approach is based on two assumptions: (1)the system processes the requests in batch would421

SEE-Osaka, Japan, Nov. 21-23, 2016

3,240𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 = 1,296,000𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝 ; each packet data
length is a constant. Suppose that the firm has 1,000
clients, each client has 40 stocks ( 400𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠 ∗(1⁄10), one tenth of the total stocks) on-hand, eachclient sets two trading strategies (Buy-Low and SellHigh) for each on-hand stock. It means the system
requires matching up total 4,000 strategies for each
received quote; therefore, the total occurrence of thematchupis400𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠 ∗ 4,000𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠 =1,600,000𝑡𝑡𝑡𝑡𝑡𝑡𝑡𝑡𝑡𝑡 . If the system wishes to complete
these matchup tasks within 5 seconds; each strategy
only has 3.125µ seconds to match up.

represents the standard deviation of the stock; thesmaller value means the velocities are steadier thanothers.
𝑥𝑥𝑖𝑖
�⋮
𝑥𝑥𝑘𝑘

𝑎𝑎1 (𝑥𝑥𝑖𝑖 ) 𝑎𝑎2 (𝑥𝑥𝑖𝑖 ) ⋯ 𝑎𝑎𝑚𝑚 (𝑥𝑥𝑖𝑖 )
⋮
⋮
⋮
⋮ �
𝑎𝑎1 (𝑥𝑥𝑘𝑘 ) 𝑎𝑎2 (𝑥𝑥𝑘𝑘 ) ⋯ 𝑎𝑎𝑛𝑛 (𝑥𝑥𝑘𝑘 )(13)

In the similar way, deriving from the Eq. 13 toform the acceleration shown in Eq. 14 and theacceleration shown in Eq. 15 matrices are shown as
follows. These two derived matrices are also
important for pattern determination.
𝑚𝑚

𝑀𝑀𝑀𝑀𝑀𝑀𝑀𝑀𝑎𝑎 (𝑥𝑥𝑖𝑖 ) = � 𝑎𝑎𝜀𝜀 (𝑥𝑥𝑖𝑖 ) � 𝑚𝑚
𝑆𝑆𝑆𝑆𝑆𝑆𝑆𝑆𝑆𝑆𝑎𝑎 (𝑥𝑥𝑖𝑖 )𝜀𝜀=1

It is worth noting that the length of time frame,
the number of clients, and the number of on-handstrategies for a stock are conservative estimates. The
actual time length for a strategy to match up will be
more challenging and less than 3.125µ seconds.

(14)

(15)

The Fig. 4 shows the most velocities (the timedifference between two consecutive quotes) fall into
5 to 10 seconds for the sample stock (id:0050). The
Fig. 5 shows the average velocity is 5.620 and theaverage standard deviation is 1.783. The Fig. 6
shows the average and the standard deviation of theacceleration are almost “stable” (mean: -0.001,
stdev:2.447) if exclude the first two days. This
information implies that the system must put thissample stock on the highest priority to complete thematchup. Because in the 5-second time frame
scenario, the stock quotes flood into the systemevery time frame during the observed 14-day period.

𝑚𝑚= ���[𝑎𝑎𝜀𝜀 (𝑥𝑥𝑖𝑖 ) − 𝑀𝑀𝑀𝑀𝑀𝑀𝑀𝑀𝑎𝑎 (𝑥𝑥𝑖𝑖 )]2 � � 𝑚𝑚
𝜀𝜀=1

The Eq. 14 represents the mean acceleration
value of the stock 𝒙𝒙𝒊𝒊 ; the smaller mean value implies
that the stock velocity changes in a steadier manner.
The Eq. 15 represents the standard deviation of thestock velocity change; the smaller value means thevelocity changes are more promising than others.

Fig. 3 The Research Process

Fig. 4 The Sample Velocity Scatter Plot

The Fig. 7 using the same scenario, examines thequotes of 2016-05-28, calculating the probabilitiesof the quotes’ falling into the time frames, shows
there is general positive nonlinear pattern ( 𝑹𝑹𝟐𝟐 =𝟎𝟎. 𝟕𝟕𝟕𝟕𝟕𝟕 ) of 𝒚𝒚 = 𝒂𝒂𝒙𝒙𝟐𝟐 + 𝒃𝒃𝒃𝒃 + 𝒄𝒄 [4]. This implies
when the system will be busy and the resources
peaks. From the aforementioned received quotes
analysis, this paper concludes that the criticalassumption—the received quotes flooding into thesystem has some sort of pattern—of the smart
approach is affirmative. These findings are also
confirmed by the international financial service firm,
the research subject.

THE RECEIVED QUOTE DATAOBSERVATIONThis paper collected the received quote data from2016-04-25 to 2016-06-01, total 14 days. The Stock
Exchange Center starts propagating the quotes from09:00 for every trading day. There are about 400
stocks everyday; each stock may have different
number of quotes than others according to its market
volatility. The maximal time frames for a trading
day are (60𝑠𝑠𝑠𝑠𝑠𝑠 ⁄5𝑠𝑠𝑠𝑠𝑠𝑠 ) ∗ 60𝑚𝑚𝑚𝑚𝑚𝑚 ∗ 4.5ℎ𝑟𝑟 = 3,240𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓
if using 5 seconds as the time length of a frame. So
the total volume of the received data is 400𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠 ∗422

SEE-Osaka, Japan, Nov. 21-23, 2016

𝑸𝑸𝒎𝒎 = [𝒒𝒒𝟏𝟏 , 𝒒𝒒𝟐𝟐 , ⋯ 𝒒𝒒𝐦𝐦 ],𝒒𝒒𝐦𝐦 𝐢𝐢𝐢𝐢 𝐭𝐭𝐭𝐭𝐭𝐭 𝐪𝐪𝐪𝐪𝐪𝐪𝐪𝐪𝐪𝐪 𝐨𝐨𝐨𝐨 𝒔𝒔𝒔𝒔𝒔𝒔𝒔𝒔𝒔𝒔𝒎𝒎(16)

𝑹𝑹𝒎𝒎,𝒊𝒊 = �𝒓𝒓𝒎𝒎,𝟏𝟏 , 𝒓𝒓𝒎𝒎,𝟐𝟐 , ⋯ 𝒓𝒓𝒎𝒎,𝒏𝒏 �,𝒓𝒓𝐦𝐦,𝐧𝐧 𝐢𝐢𝐢𝐢 𝐭𝐭𝐭𝐭𝐭𝐭 𝐬𝐬𝐬𝐬𝐬𝐬𝐬𝐬𝐬𝐬𝐬𝐬𝐬𝐬𝐬𝐬 𝐧𝐧 𝐫𝐫𝐫𝐫𝐫𝐫𝐫𝐫𝐫𝐫𝐫𝐫 𝐨𝐨𝐨𝐨 𝒔𝒔𝒔𝒔𝒔𝒔𝒔𝒔𝒔𝒔𝒎𝒎(18)𝑺𝑺𝒎𝒎,𝒊𝒊 = �𝒔𝒔𝒎𝒎,𝟏𝟏 , 𝒔𝒔𝒎𝒎,𝟐𝟐 , ⋯ 𝒔𝒔𝒎𝒎,𝒏𝒏 �,𝒔𝒔𝐦𝐦,𝐧𝐧 𝐢𝐢𝐢𝐢 𝐭𝐭𝐭𝐭𝐭𝐭 𝐬𝐬𝐬𝐬𝐬𝐬𝐬𝐬𝐬𝐬𝐬𝐬𝐬𝐬𝐬𝐬 𝐧𝐧 𝐨𝐨𝐨𝐨 𝒔𝒔𝒔𝒔𝒔𝒔𝒔𝒔𝒔𝒔𝒎𝒎(17)Fig. 5 The Sample Velocity MEAN/STDEV Plot

Fig. 8 The Sample Matrix of Quotes and Strategies

Fig. 6 The Sample Acceleration MEAN/STDEV Plot

Fig. 7 The Sample Probability/Frame Plot for a Day

Fig. 9 The Sample Result Matrix of Strategies

THE ALGORITHM

The Eq. 16 represents Fig. 9 the second column,
a scalar vector containing the received quotes’, 𝑸𝑸𝒎𝒎 .
The Eq. 17 represents a tuple vector, each 𝑺𝑺𝒎𝒎,𝒊𝒊 has
two elements—the prices of buy and sell, containing
the associated trading strategy. The 𝑹𝑹𝒎𝒎,𝒊𝒊 is thematchup result of the represented strategy.

To reduce the repetitive strategy matchup timefor every coming quote, this paper proposes a novel
way to deal with the selection and the matchup time
efficiently by using the matrix arithmetic operations
and taking advantage of the use of big memory
chunks. Since the number stocks and the strategies
are fixed before the market opens, the system canpreload these information onto the RAM illustrated
in Fig. 8. The first two columns are the received
quote information namely the stock identifier andthe price in a particular time frame; the zero-priced
stocks are not received at this time frame. Eachtrading strategies contains two columns, the pricesof buy and sell; the zero-priced stocks are none
concerned by the clients. This may be a big scare
matrix with zeros.

𝑹𝑹𝒎𝒎,𝒊𝒊 (𝑩𝑩𝑩𝑩𝑩𝑩) = 𝑰𝑰𝑰𝑰(𝑨𝑨𝑨𝑨𝑨𝑨(𝒒𝒒𝐦𝐦 , 𝒔𝒔𝐦𝐦,𝐧𝐧 , 𝒒𝒒𝐦𝐦
≥ 𝒔𝒔𝐦𝐦,𝐧𝐧 ), 𝒔𝒔𝐦𝐦,𝐧𝐧 , 𝟎𝟎)
𝑹𝑹𝒎𝒎,𝒊𝒊 (𝑺𝑺𝑺𝑺𝑺𝑺𝑺𝑺) = 𝑰𝑰𝑰𝑰(𝑨𝑨𝑨𝑨𝑨𝑨(𝒒𝒒𝐦𝐦 , 𝒔𝒔𝐦𝐦,𝐧𝐧 , 𝒒𝒒𝐦𝐦
≤ 𝒔𝒔𝐦𝐦,𝐧𝐧 ), 𝒔𝒔𝐦𝐦,𝐧𝐧 , 𝟎𝟎)

(19)
(20)

The Eq. 19 represents the result of the buystrategy, 𝑨𝑨𝑨𝑨𝑨𝑨() is the and-logic operator, 𝑰𝑰𝑰𝑰()
returns the second parameter if the criteria is met,otherwise it returns the third parameter. The Eq. 20
is similar to Eq. 19; the only difference is the criteria.
The Fig. 9 illustrates the results of the above

423

SEE-Osaka, Japan, Nov. 21-23, 2016

mentioned equations (Eq. 19 and 20); the results ofzeros mean the associated strategies were not met.

There is a technology of “Coherent Accelerator
Processor Interface” [7] which let CPU and GPU
share the memory module to reduce the time inmoving the data back and forth between theprocessors.

THE IMPLEMENTATIONThis paper proposes a new daily operation for
better management in using the techniques
addressed in the smart approach. First, the bidding
system will be deployed onto several different
servers based on the selected stock groups by theirmarket volatility. The deployed server only manages
the concerned stocks and the associated strategies toreduce the matchup cost instead of searching a fullconcerned list for each received quote. The Stock
Volatility Analysis in the Fig. 10 consists of theaforementioned calculations of the velocity and theacceleration. Sort the acceleration’s standard
deviations and the mean values to pick the most“stable” stocks; then sort the velocity mean values
based on the stable stock list. Partition the stable
stock list into groups according to the number of theavailable servers equipped with GPU and huge
RAM.

Apparently, the business team emphasizes the
trading impact from the financial perspective as wellas the competition of rivals. The stocks with higher
prices are more important to the firm because of thesignificance of the investment. The proposed smart
approach is fully capable of reliving this concern. It
seemly slightly improves the sorting formula as: 𝑭𝑭 =𝑸𝑸𝑸𝑸𝑸𝑸𝑸𝑸𝑸𝑸𝒊𝒊 ∗ 𝒂𝒂𝒊𝒊 𝒐𝒐𝒐𝒐 𝑴𝑴𝑴𝑴 = 𝑸𝑸𝑸𝑸𝑸𝑸𝑸𝑸𝑸𝑸𝒊𝒊 ∗ 𝒗𝒗𝒊𝒊 , borrowed fromthe Newton’s 2nd Law by using the price of the quoteas the mass, to reflect the importance of higher pricestocks.
Nowadays, the software design requires themultidisciplinary skills and knowledge to resolve thereal world problem. The proposed smart approachleverages the GPU’s high performance calculation
capability, the capability of identifying the problem
frame; and most importantly, applying themathematical and the statistical techniques toimprove or giving the supporting rationale to theresilience of design.

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2010.
[5] J. D. Owens, M. Houston, D. Luebke, S. Green, J. E.
Stone and J. C. Phillips, "GPU Computing,"
Proceedings of the IEEE, vol. 96, no. 5, pp. 879-899,
2008.
[6] B. Jang, D. Schaa, P. Mistry and D. Kaeli, "Exploiting
Memory Access Patterns to Improve Memory
Performance in Data-Parallel Architectures," IEEE
Transactions on Parallel and Distributed Systems,
vol. 22, no. 1, pp. 105-118, 2010.
[7] IBM, "POWER8 Coherent Accelerator Processor
Interface (CAPI)," 2016. [Online]. Available:
http://www304.ibm.com/support/customercare/sas/f/capi/home.ht
ml.

Fig. 10 The Proposed Daily Operation

The proposed new bidding system will collectthe performance statistics during the trading hours.
After the market closed, the business team holds adaily discussion meeting to evaluate theperformance of the tactics defined by the previous
trading date; the topics should cover the quotevolatility behaviors, the priority list, and theadjustments suggested by the trading analysts.
DISCUSSION AND CONCLUSION
From the promising performance result of theempirical implementation, it demonstrates theorchestration of CPU and GPU [5] to resolve a
heavy computational problem; let CPU manage themain program and the I/O, and push the complicatedredundant calculations to GPU which was the
purpose of design. The major pitfall is the time
consumption of moving from the CPU-managed
memory to the GPU’s [6] through the PCIe bus.
424

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

VERTICAL HANDOVER DECISION BASED ON LEARNING VECTORQUANTIZATION NEURAL NETWORKS WITH MULTI-CRITERIAFOR UBIQUITOUS WIRELESS NETWORKS
Sunisa Kunarak
Department of Electrical Engineering, Srinakharinwirot University, Nakhonnayok, Thailand 26120
Email: sunisaku@g.swu.ac.th
ABSTRACT
Vertical handover decision management is an essential to keep the seamless ubiquitous heterogeneous wirelessnetworks since each access network has different operations in the next generation. In this paper, WCDMA, LTE
and WLAN are cooperated in the architecture of mobile IP regional registration (MIP-RR). We propose theLearning Vector Quantization Neural Networks (LVQNNs) approach in order to maintain uninterrupted
communication that depends on received signal strength indicator, data rate requirement, monetary cost of service
and mobile terminal device speed metrics are considered as multi-criteria to initial handover. Furthermore, themulti-criteria are dynamic to influence for real-time and non-real time services in different networks and the users
select the optimal target network which is the highest handover factor score in order to balance against the network
condition and user preference. To ensure the Always Best Connected (ABC) demands, the simulation results
illustrate that our proposed algorithm provided outperform the performance in term of unnecessary handover, thecall dropping probability, data packet delay and network utilization compared with conventional method as fuzzy
logic and neural network based machine learning.
Keywords: Always Best Connected, Heterogeneous Wireless Networks, Learning Vector Quantization Neural
Networks, Mobile IP Regional Registration, Vertical Handoveri.e. the mobile terminals equipped with multiple
interfaces have to determine the available candidate
networks and the available services; 2) handoverdecision i.e. the mobile device has to decide whether
the connections should continue using current
network or be switched to another network so thisphase is a crucial procedure in the wirelesscommunication; and 3) handover execution as theconnections need to be rerouted from the current
network and the transfer of context information.
Therefore, many researchers have been done onvertical handover decision algorithm. Reference [1] isconsidered the RSSI that is only main criterion for thevertical handover procedure so this algorithm is notpractical. The hysteresis-based and dwelling timebased are evaluated the vertical handover approach[2] but these method rely on sampling and averaging
RSS points, which introduces increased handoverdelay. Analytic Hierarchy Process (AHP) was
proposed by [3-4]; the network with the highest
performance score is selected on target network but
this method ignores the wireless environment.
Finally, Multiple Attribute Decision Making(MADM) approach is the combination of methods
and uses the many parameters at the same time (e.g.
neural networks, fuzzy logic, neuro-fuzzy, etc.)
however this algorithm neglects the wirelesssurrounding, which may cause handover delay andincrease the dropped call [5-9]. To defeat these

INTRODUCTION
The growing demand of the mobile users foraccessing diverse services anywhere and anytime inorder that react the trouble so the mobile and wirelesssystems introduce to cooperate the integration ofdifferent mobile users and wireless accesstechnologies that is called next generation wirelessnetworks. Next generation wireless networks as
multimedia services are to be offered with various
quality of service (QoS) settings. Thus, sophisticatedhandover method are to be developed to cope withsuch diverse QoS requirements. Handover is theprocedure of changing the mobile connection
between different base stations or access points. In
heterogeneous wireless networks separated into
horizontal handover and vertical handover. The
horizontal handover is a traditional handover that
occurs in the same link layer technology. Contrast tohorizontal handover, the vertical handover happens
between access networks with different link layer
technologies and the decision process not only
requires as received signal strength indicator (RSSI),
but also requires the dynamic factors are mainly
dependent on mobile terminals such as speed andbattery status, and network conditions as bit error rate
(BER), Signal Interference Ratio (SIR) and so on.
In general the vertical handover process involves
three main phases as following 1) system discovery
425

SEE-Osaka, Japan, Nov. 21-23, 2016

problems, the received signal strength indicator,
bandwidth (BW), mobile speed (MS) and monetary
cost (MC) metrics are used the multi-criteria
parameters for Learning Vector Quantization Neural
Networks process in our proposed. In addition, thewireless surrounding as receiving signal strength
indicator is considered the log-linear path loss withshadow fading model.
The remainder of the paper is organized as follow.
Learning Vector Quantization Neural Networks(LVQNNs) approach is explained in section II.
Section III, vertical handover decision based on
LVQNN with multi-criteria is presented. Finally,
simulation results and conclusion are discussed in
section IV and V, respectively.

Fig. 1LEARNING
VECTORNEURAL NETWORKS

Distance Learning

LVQ Training Rule
RSSI
BW
MS

LinearLayer

HandoverDecision
Criteria

HO
DecisionMC

Learning vector quantization process.



R i  x  X w j  j  i   d w i , x   d w j , x (1)

where d w, x  is a distance measure. The objectiveof learning process is to determine the weight vectors,
so that the training data samples are mapped to theircorresponding class label.

QUANTIZATIONThe LVQ approach is based on the Euclidean
distance. We use the received signal strength
indicator, bandwidth, mobile speed and monetary
cost metrics as the heterogeneous datasets.
Nevertheless, there can be different scaling andcorrelations of the dimensions, thus the estimate
errors accumulate can confuse the classification. The
distance measure is adaptive during training also
known as a generalized distance metric is proposed as

The learning vector quantization (LVQ) ispresented by Kohonen as a classification approach.
LVQ architecture composes a first competitive layer
and a second linear layer as shown in Fig. 1. The
competitive layer learns to classify input vectors inmuch the same way as the competitive layer of clusterwith Self-Organizing Map (SOM) neural networkthat is a similar method for unsupervised learning.
Moreover, the linear layer transforms the competitive
layer’s classes into target classifications defined by
the user. The classes learned by the competitive layer
are referred to as subclasses and the classes of thelinear layer as target classes. This algorithm is much
more efficient, since the number of vectors thatshould be stored and compared with is significantly
reduced [11], [12].

d  w , x   x  w T  x  w (2)where  is a full D  D matrix size. To get a valid
metric,  must be positive definite. So, this isachieved by substituting    T  which yield 2  0 for all u , whereu T u  u T T u   T u

Learning Vector Quantization   D D . The receptive field of training patterns
w i becomes

The learning vector quantization process and typeof learning as distance learning are following [13].
The training data set is assigned asX  x i , yi    D  1,..., Ci  1,..., N 
where









i
R
 x  X w j  j  i   d  w i , x   d  w j , x .

(3)x  x1 ,..., x D    D are input samples with D 

If  is ignored to being diagonal matrix, thenarbitrary Euclidean distance in Eq. (2) is reduced todimensional and have cardinality X  N . Also, thesample labels are yi  1,..., C ; i  1,..., N form, andC is the number of classes. The neural network
includes a number of training patters, that are2d  w , x   x  w  characterized by vectors w i   D , for i  1,..., M
and their class labels cw i   1,...C with output sets 

Competitive
Layer

D

  j x j  w j 2 .

(4)

j 1

VERTICAL HANDOVER DECISION BASEDON LVQNN WITH MULTI-CRITERIAas Y  c w j  1,..., C j  1,..., M . The winner-

takes-all strategy is brought to the classification
scheme also known as the best matching unit (BMU).
The w i is defined as the receptive field of training
patterns as following:

The heterogeneous networks join with Wide-band
Code Division Multiple Access (WCDMA), Long
Term Evolution (LTE) and Wireless Local Area
Network (WLAN). There are two types for426

SEE-Osaka, Japan, Nov. 21-23, 2016combinations as tightly and loosely coupledinterworks. In tightly coupled type, WLAN and LTE
are connected to WCDMA core network via radio
access network. In loose coupling type, WLAN and
LTE can access an IP network without connecting to
WCDMA as illustrated in Fig. 2. So, the loosely
coupled type is used in our proposed algorithm since
its coupling provides a flexible and independent
environment due that this scheme is based on mobile
IP (MIP) [14]. Additionally, the management ofmobile nodes to move between two sub-networks
within one domain is referred to as the micromobility. In the micro-mobility management using
hierarchical Mobile IP Regional Registration (MIPRR), a visited domain consists of two hierarchy levelsof foreign agents (FA) and Gateway FA (GFA). GFA
is an entity located at the top of hierarchy whereas one
or more FAs are organized under a GFA. The benefitof the MIP-RR is to reduce the packet loss andsignaling delay by only regional registering to the
GFA transparent to the home agent (HA).
The handover decision criteria in our proposed
algorithm is different depending on the user
preferences and network characteristics. For
example, the real time applications (e.g. videoconference), handover should be performed as rapid
as possible in order to minimize the delay. On thecontrary, non-real time services (e.g. e-mail) theamount of data transmission is more important thanthe delay. Therefore, the handover criteria for nonreal time service is to attempt to connect WLAN/LTE
as long as possible due to higher data rate provided asshown in Table 1 and Table 2, respectively. Table 1
is illustrated the some multi-criteria cases for
WCDMA whereas the user is in WLAN/LTE thus ouralgorithm use instead Table 2.
Our proposed approach as vertical handoverdecision based on LVQNN with multi-criteria isshown in Fig. 3. The procedure correct the handover
metrics such as RSSI, BW, MS and MC from users
and the information leads to LVQNN process basedon multi-criteria. If the handover factor is greater than
0.6 so the handover is established. Otherwise, thehandover call is dropped.

SGSN

GGSN

5000 m

LTE

RSSI
L
L
M
H
M
M
M
H
H

WLAN FA
WLAN

MC
L
L
L
L
L
L
L
M
H

HO Decision
HO
HO
NOHO
NOHO
HO
HO
NOHO
NOHO
NOHO

BW
M
H
L
L
M
M
M
M
M

MS
L
L
L
L
L
M
H
L
L

MC
L
L
L
L
L
L
L
M
H

HO Decision
HO
NOHO
NOHO
NOHO
NOHO
NOHO
HO
NOHO
NOHO

Start

Collect Handover Metrics(RSSI, BW, MS, C)

Learning Vector Quantization
Neural Networks Process

Handover Factor > 0.6

NO

YES

Handover Initiation

Dropped CallEnd

Fig. 3

Vertical handover decision
LVQNN with multi-criteria.

based

on

SIMULATION RESULTS

Loosely Coupled

In our simulation, the handover decision is
performed by a mobile terminal (MT). We adopt themobile-controlled handover (MCHO) strategy. Also,
we utilize the simulation parameters of WCDMA,LTE and WLAN as depicted in Table 3.

GFAWLAN

5000 mFig. 2

MS
L
L
L
L
L
M
H
L
L

Note that: L = Low, M = Medium, H = High,HO = Handover, NOHO = No Handover

GFALTE

WCDMA

BW
M
H
L
L
M
M
M
M
M

Table 2 Handover decision criteria for WLAN/LTE

INTERNET

Tightly Coupled
FALTE

RSSI
L
L
M
H
M
M
M
H
H

HA

RNC : Radio Network Controller
SGSN : Serving GPRS Support NodeGGSN : Gateway GPRS Support Node
RNC

Table 1 Handover decision criteria for WCDMAHeterogeneous wireless networks topology.
427

SEE-Osaka, Japan, Nov. 21-23, 2016

Table 3 Simulation parameters
Parameters
Frequency (GHz)Coverage area (m)Transmission
power (w)
Bit rate (Mbps)
Latency (ms)
Mobile speed(m/s)
Bit error rate
(per 10^8)
Monetary cost rate

WCDMA

LTE

WLAN

2.1
5000
1.0

2.6
1000
0.5

2.4
100
0.1

0.384
35
80

35
25
130

54
3
5

50

100

200

0.8

0.7

0.4

high as shown in Table 4-7, respectively. Note that,each parameter is designed that is covered by all
network characteristics.
Table 4 Received signal strength interval
Networks
WLAN
LTE
WCDMA

Networks
WLAN
LTE
WCDMA

Networks
WLAN
LTE
WCDMA

Low (MHz)[0, 1][0, 1][0, 1]

Medium (MHz)(1, 20](1, 10](1, 5]High (MHz)(20, 40](10, 20](5, 10]Low (m/s)[0, 2][0, 20][0, 47]

Medium (m/s)(2, 4](20, 40](47, 93]High (m/s)(4, 6](40, 60](93, 130]

Table 7 Monetary cost rate interval(5)

Networks
WLAN
LTE
WCDMA

where PT is the transmitted power, L is a constant
power loss,  is the path loss exponent, d is the
distance between mobile user and base station oraccess point,  is a zero-mean Gaussian randomvariable with standard deviation.
In LTE, the path loss at distance is formulated as

Low[0, 0.1][0, 0.2][0, 0.3]

Medium(0.1, 0.2]
(0.2, 0.4]
(0.3, 0.6]

High
(0.2, 0.3]
(0.4, 0.6]
(0.6, 0.9]

Performance Investigation
We estimate the performance of our proposed
algorithm under different mean arrival times ranging
from 5-30 sec. The average arrival rate of new calls isfixed at 10 calls/sec and average call holding time is
180 sec. The user’s speed is a uniform distribution as
equal to 1-30 m/s and user movement is modeled as
the random waypoint mobility in 5000 (m) x 5000 (m)topology size for each speed. To test more accurately,each point was run 10 times, and then we take theiraverage based on OPNET simulator and is linked
with MATLAB. Correspond to an actual situation forthe simulating process, the correspondent node (CN)generates constant bit rate (CBR) multimedia traffic
using a 64-byte packet size and is sent every 1 ms anduser datagram protocol (UDP) is the transport
protocol applied between the networks that includes
the detection of the new networks and the allocationof new IP address. These tasks are often handled by
Dynamic Host Configuration Protocol (DHCP).
Figure 4 shows the number of handover for proposed
method as Learning Vector Quantization Neural
Network: LVQNN has less than Compositional Ruleof Inference Fuzzy Logic: CRIFL [8], Neural
Network Based Handover Management Scheme:
NNBHMS [9] and Algorithmic Vertical Handoff(6)

where the first term represents the free space path loss
at the reference distance d 0 ,  is the wavelength.
Finally, the path loss of WCDMA at distance iscreated as
PL(d ) dB  S  10n log(d )  High (dBm)(-83, -81](-131, -129](-143, -141]

Table 6 Mobile speed interval

The channel propagation model of the RSS
received by a mobile terminal is different in various
types of networks. We use a log-linear path loss
channel propagation with shadow fading model in
WLAN as following

 d 
 4d 0 
  
PL(d ) dB  20 log  10n log d0 

Medium (dBm)(-85, -83](-133, -131](-145, -143]

Table 5 Bandwidth interval

Received Signal Strength Indicator

RSS d   PT  L  10  log10 d   

Low (dBm)[-87, -85][-135, -133][-147, -145](7)

where S denotes the path loss constant, n denotes
the path loss exponent and  represents the shadow
effects which is a zero-mean Gaussian distributed
random variable with standard deviation  (dB).
Learning Vector Quantization Neural Network
Interval Analysis
The received signal strength, bandwidth, mobile
speed and monetary cost as the input are introduced
into LVQNN process and these parameters are
separated into 3 intervals such as low, medium and428

SEE-Osaka, Japan, Nov. 21-23, 2016

0.16
LVQNN
VHODM
CRIFL
NNBHMS

0.14

Call Dropping Probability

Decision and Merit Network Selection: VHODM[15] since LVQ method is suitable the non-linear data
communication and can learns by itself for new
information. Correspondingly, the call dropping
probability refers to unsuccessful handover procedurecauses the user to be disconnected and is the fewest
by using LVQNN as demonstrated in Fig. 5. In
additional, Figs. 6-8 illustrate the data packet delay in
WCDMA, LTE and WLAN of proposed method thatyields the lowest value for all networks comparedwith conventional method. The data packet delaymeans the time delay between client send data to end
user which correctly receives of the last packet data.
On the contrary, LVQNN has the highest network
utilization that represents the all resources are usefulat all time to connect.

0.12

0.1

0.08

0.06

0.04

0.02

5

10

15

20

25

30

Mean Arrival Time (s)Fig. 5

CONCLUSION

Call dropping probability versus mean
arrival time.

0.65

The received signal strength indicator, bandwidth
requirements, mobile speed and monetary cost are themulti-criteria factors that are introduced a learning
vector quantization neural networks in order tovertical handover decision. The simulation results
indicate the proposed approach outperforms the otheralgorithms as reducing the unnecessary handover, call
dropping probability and data packet delay,
respectively. On the other hand, our proposed method
can increase the network utilization compared withprevious algorithms.

LVQNN
VHODM
CRIFL
NNBHMS

Data Packet Delay in WCDMA (s)

0.6
0.55
0.5
0.45
0.4
0.35
0.3
0.25
0.2

5

10

15

20

25

30

Mean Arrival Time (s)Fig. 6

30
LVQNN
VHODM
CRIFL
NNBHMS

20

0.55

10

5

0

5

10

15

20

25

30

Mean Arrival Time (s)Fig. 4

LVQNN
VHODM
CRIFL
NNBHMS

0.5

15

Data Packet Delay in LTE (s)Number of Handover (time)

25

Data packet delay in WCDMA versus mean
arrival time.

0.45
0.4
0.35
0.3
0.25
0.2

Number of handover versus mean arrival
time.

0.15

5

10

15

20

25

30

Mean Arrival Time (s)Fig. 7429

Data packet delay in LTE versus mean
arrival time.

SEE-Osaka, Japan, Nov. 21-23, 2016

Third International Conference on Information
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Based Vertical Handoff Algorithm in
Heterogeneous
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2014
IEEE
International Conference on Computer andInformation Technology, 2014, pp. 258-262.
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Network Based Handover Management Strategy
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Using IMS Technology,” IEEE International
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0.3
LVQNN
VHODM
CRIFL
NNBHMS

Data Packet Delay in WLAN (s)

0.28
0.26
0.24
0.22
0.2
0.18
0.16
0.14
0.12
0.1

5

10

15

20

25

30

Mean Arrival Time (s)Fig. 8

Data packet delay in WLAN versus mean
arrival time.
9
LVQNN
VHODM
CRIFL
NNBHMS

Network Utilization (kb/s)

8.5

8

7.5

7

6.5

6

5.5

5

10

15

20

25

30

Mean Arrival Time (s)Fig. 9

Network utilization versus mean arrival
time.

ACKNOWLEDGEMENTS
This research was supported by the research grant(No. 792/2558) from Srinakharinwirot University
revenue 2558, for the 2558 fiscal year.
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430

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

OBTAINING COMPLETE MIXING USING HYDRODYNAMIC
ANALYSIS ON BATCH REACTOR
Rositayanti Hadisoebroto1, Suprihanto Notodarmojo2, Idris Maxdoni Kamil2, Yazid Bindar3 and Rangga
Santosa2
1
Environmental Engineering Department, Faculty of Landscape Architecture and Environmental
Engineering, Trisakti University, Indonesia; 2Environmental Engineering Program, Faculty of Civil andEnvironmental Engineering, Institut Teknologi Bandung, Indonesia, 3Chemical Engineering Program,
Faculty of Industrial Technology, Institut Teknologi Bandung, Indonesia

ABSTRACTThis research is aims to find the best possible mixing conditions in a multi-phase reactor consist ofwastewater, activated sludge and aeration. This has been done by analyzing flow profiles in the system using
experimental and computational work. Hydrodynamic characteristics, such as influent flow rate, aerator
configuration, baffle installment, play important role for waste water treatment process. Determination of
influent flow rate and the reactor configuration have done by analyzing flow profile in laboratory scale singlephase reactor with the dimension of 16 L. Velocity profile was developed from tracer study. There were 2
influent flow rate variations of 0,0095 L/s and 0,02 L/s, in 3 variations of reactor configuration. The first
configuration was without any configuration (control), the second was baffled reactor and the third was porous
reactor. From the experimental work, it was obtained that the influent flow rate of 0,0095 L/s gave longer
Residence Time Detention (RTD) and longer time to reach the outlet than flow rate of 0,02 L/s. The baffledconfiguration gave longer RTD and longer time to reach the outlet as well than other configurations. This two
results was reasonable since the first influent flow rate and the baffled reactor have higher volume effective thanother variations. In multi-phase system, experimental work was done in batch system to observe the contact
between air-bubble and sludge in reactor, which then calibrated using CFD (Computational Fluid Dynamic)
model. The result showed that the model of mixture in k-ε equation was considerable to use in future simulation
work.
Keywords:Hydrodynamic, CFD Model, Single-phase and Multi-phase System, Batch Reactor

being overlooked or disregarded.
Based on above, hydraulic simulation on alaboratory-sized plug flow reactor will be conductedwith discharge variation to analyze its effect to flow
patterns. Moreover, effects from it to residence time
distribution (RTD) will be analyzed with tracer test.
Tracer Test technique is an effective method to
identify efficiency of a purification process that
occurs in a wastewater treatment, both in design
optimization and process performance (IAEA,
2011)[2]. Thus, this study was conducted to obtainthe most optimum pollutant removal efficiency in aplug flow reactor with physical modification such asdischarge variation.
The use of tracer and dye are very helpful todetermine the ideal conditions to make the reactor
design. Determination of the ideal conditions can bedone by finding the resident time distribution curve(RTD) to determine the hydraulic character of areactor. To find the RTD curve, tracer test must be
conducted.
One of the characters that must be owned by atracer substance is the tracer substance should notinterfere with the flow (Denbigh and Turner,

INTRODUCTION
Chemical reactor is an important part ofwastewater and water treatment. Inside the reactor, it
occurs chemical process that could change thesubstance of various chemical compounds. Reactor
effectiveness is an integral part of every wastewater
and water treatment industry. This affect materials
used in processing, energy required, to reliability ofthe process.
Chemical reactor is divided into two types, thestirred tank reactor and a plug flow reactor. Whenviewed from the kinetic parameters and chemical
reactions under isothermal conditions, a plug flow
reactor is more efficient than stirred tank reactor.
However, a plug flow reactor usually works inadiabatic conditions or non-isothermal (Minsker etal., 1999) [1].
In a plug flow reactor, one of the factors thatmake process inside ineffective is the nature of theflow. When the flow in the reactor is not ideal,
reactants and reaction products flow at a different
speed across the cross section of the pipe. It can becaused by the hydraulic factors of the reactor is431

SEE-Osaka, Japan, Nov. 21-23, 20161965)[3]. Therefore the usual tracer substance is one
that has the same density with water. There are lotsof tracer substances that do not interfere with theflow of water in the reactor. Tracer substance thatwill be used is an organic compound, rhodamine B,
which has been widely used in several hydrologicalstudies. As with other fluorescent dye, rhodamine B
is a tracer that easily detected by the on-site use ofhigh frequency (0.1 Hz) to facilitate observation andconcentration fluctuations can generate a good
estimate of the RTD. In addition, rhodamine B isrelatively inexpensive and safe, both for operators,
system processing, and receiving environment(Giraldi et al., 2009)[4].
Beside doing the experimental works, research
focus as well to the hydrodynamics simulation incomputational works using Computational Fluid
Dynamics software. Reference [5] Le Moullec et. al.
(2008) indicates that CFD simulation shows thegood work on analyzing Residence Time
Distribution and flow field.

The reactor is made of block-shaped acrylic with
open surface. Therefore, 25 mL of tracer substanceis being injected into the reactor. The reactor isshown in Figure 2.

Figure 2.Batch reactor
Experimental Works on Batch Reactor

MATERIALS AND METHODS
Tracer substance that used is a mixture of textile
dye brand "WANTEX" with "MERAH DELIMA
34" series. It is used because in the textile dye
contains Rhodamine B, which is a compound that isoften used for tracer test.
The independent variable in the study is thedischarge of water at the inlet and the concentrationof the tracer fluid at minute 0 operation. The
dependent variable is the concentration of tracer
fluid in the water at any time of the test. While thecontrol variable is the water in the reactor and test
time. This research was conducted by using theindependent variables mentioned above, the flow ofwater into the reactor. Thus, it can be seen spreadthe concentration of tracer in each discharge.
Water is flowed into the reactor and will flows
thoroughly along the reactor. After a steady flow
occurs, tracer substance is injected into the reactor
using pulse technique, which is injected entirely.
After that, tracer substance concentration ismeasured from the outgoing water flow based ontime. That procedure is conducted to discover water
movement inside the reactor.

The research was started from preparation ofbatch reactor, preparation of tracer substance andmedia, reactor trial, building and meshing geometry
on computational works and then data sampling inexperimental works, doing simulation, and analysis.
Batch Reactor
In this study, a batch reactor is used to perform
tracer test. Dimensions of the reactor can be seen in
Table 1, while the scheme of the device can be seenin Figure 1.
Tabel 1.Dimension of Batch Reactor
Dimention
LengthWidth
HeightØ inletMagnitude (cm)
40
20
20
0.9

Measurement of Tracer Substance Concentration
Water at the outlet analyzed directly without
going through the process of preservation in advance.
Concentration of the tracer substance in the reactor
outlet is measured. Measurements were performedby using the spectrophotometric method, which is awater
sample is measured inside thespectrophotometer and fired with light at specificwavelengths in order to know the concentration of
the tracer in the sample fluid. Before performing thismethod, the wavelength that will be used for

Figure 1.Batch Reactor sketch
432

SEE-Osaka, Japan, Nov. 21-23, 2016

measurement by spectrophotometer have to be. Afterthe wavelength that will be used is known,
absorbance curve is made for a standard todetermine the concentration of tracer substance.

82.789 seconds and 90.593 seconds for Variation 2.
After that, the theoretical detention time iscalculated using discharge data and water height in
the reactor. Therefore, theoretical detention time forvariation 1 is 350 seconds and 288 seconds for
Variation 2.
There is a significant difference detention time in
the both variation. It can be caused by the water
discharge that flows into the reactor is unstable,causing errors in the calculation. In addition, there
may be a short flow in the reactor, which can cause adead zone. In this zone, the flow is stagnant so fluid
does not mix well. If the inlet and outlet are notplaced properly, fluids will be flows straight fromthe inlet to the outlet, without being mixed with thefluid in the reactor (Hayes, 2012).
To standardize the measure result for tracer
concentration at the outlet versus time curve withpulse injection method, tracer substance in the outlet
usually normalized first. Normalized curve is called
RTD Curve (residence time distribution curve). RTD
curve function can be calculated using equation (2) :𝑪𝑪(𝒕𝒕)
𝑬𝑬(𝒕𝒕) = ∞(2)

Geometry and Mesh Building of Batch Reactor
Building geometry and meshing is done using
Gambit Processor. Geometry is based on batch
reactor dimension, while meshing is using
Tet/Hybrid elements in map and sub-map scheme
type.
of

Hydrodynamic

The computational works starts from define themodel and parameter. In this study, simulation isdone based on unsteady, turbulent, eulerian model.
The model is run in 3 dimensional in multi-phasesystem.
RESULTS AND DISCUSSIONS∫𝟎𝟎 𝑪𝑪(𝒕𝒕)𝒅𝒅𝒅𝒅

Tracer Concentration(mg/L)

RTD Function, E

Two discharge variations is being used on thispreliminary study. The first discharge variation s
0.0263 L/second while the second discharge is
0.0277 L/second. The measurement results can beseen in Figure 3.
As can be seen in Figure 3 that in Variation 1,
the peak concentration is in 25 seconds. While in thesecond variation, the peak concentration is occured
in 30 to 70 seconds.
4
3

Variation 1

2

Variation 2

0.008
0.007
0.006
0.005
0.004
0.003
0.002
0.001
0

1
0

-1 0

200

400

600

0.8
0.6
0.4
0.2

0

100

200

300

400

0.007

500

0

1.2

0.006
RTD Function, E

Based on the results obtained, the averagedetention time is calculated by using equation (1)(Metcalf and Eddy, 2003) :∞∫𝟎𝟎 𝑪𝑪(𝒕𝒕)𝒅𝒅𝒅𝒅

E

Figure 4.RTD curve in discharge variation 1

Figure 3. Tracer concentration in various discharge
variations∫ 𝒕𝒕𝒕𝒕(𝒕𝒕)𝒅𝒅𝒅𝒅

1

Time, second

Time, second𝒕𝒕̅𝒄𝒄 = 𝟎𝟎∞

1.2

Cumulative RTD Function, F

Works

0.003

0.8
0.6

0.002

0.4

0.001
-0.001 0

Where 𝒕𝒕̅𝒄𝒄 is detention time, t is the time (s) and C(t) is the concentration of tracer at time t (ML-3).
From equation (1), detention time for Variation 1 is

E

0.004

0

(1)

1

0.005

0.2
100
200
300
Time, second

400 0

Figure 5.RTD curve in Variation discharge 2.
433

Cumulative RTD Function, F

Computational
Simulation

SEE-Osaka, Japan, Nov. 21-23, 2016

Based on the equation (2), RTD curve function
calculated and transformed into graph as shown in
Figure 4 and Figure 5 :Based on the image above, obtained a time whenthe majority of the tracer substance spends time in
the reactor. At discharge variation 1, approximately
50% of the tracer substance takes between 0 to 100
seconds to get to the outlet. While in the discharge
variation 2, the time required approximately 50%
tracer substance to come out through the outlet is 0
to 110 seconds.
The simulation result is shown that the mixing
condition is almost completely mixed, as can be seenin Figure 6. In batch reactor, mixing is occurredbecause of air flow from the diffuser located 10 cm
from edge and submerged, with the air flow velocity
is 0,2 L/min.

reactor that caused by short circuit flow.
The simulation result shows that the eulerian
multiphase system could relied to get the great
picture of water flow pattern inside the reactor. It is
concluded that the mixing condition with diffuser
aeration still generate some dead zone which mean
not so effective volume inside reactor. In future
works, other hydrodynamics aspect variations areneeded to be simulated.

KNOWLEDGEMENT
The authors would like to thank Directorate ofIntellectual Property Management, Directorate
Generalof
ResearchandDevelopment
Strengthening, Ministry of Research, Technology
and Higher Education, Program of Decentralization
2015 for funding part of this research throughDoctoral Dissertation Scheme.

REFERENCES
Denbigh, K. 1966. Chemical reactor theory an
introduction. Cambridge [England]: C.U.P.
Giraldi, D., Vitturi, M., Zaramella, M., Marion, A.,

Figure 6. Water flow pattern in batch reactor

danIannelli,
It can be seen that in batch reactor, there aresome dead zone in the edge and corner. The
effective area of the reactor is about 50%, according
the existence of zero velocity is about 50%. It canbe concluded that even the reactor equipped bydiffuser, the dead zone is still exist. The
modification in hydrodynamic aspect, like inlet
position, number of diffuser and air flow velocity, as
well as other type of aerator need to be simulated infuture works.

VerticalR.

2009.Hydrodynamics

Subsurface

Flow

of

ConstructedWetlands: Tracer Tests with Rhodamine WT
andNumerical

Modelling.

EcologicalEngineering Vol. 35: 265–273.
Hayes, R., &Mmbaga, J. 2012. Introduction tochemical reactor analysis (Second ed.). CRC
Press.

CONCLUSION

International Atomic Energy Agency (IAEA). 2011.
Radiotracer

Conclusions obtained in this preliminary study is
the in first discharge variation, the theoreticaldetention time is 350 seconds and experimental
detention time is 82.788 seconds. In the second
variation, the theoretical detention time is 288
seconds and experimental detention time is 90.59
seconds.
In addition, the results obtained in the form of
50% tracer substance takes between 0 to 100
seconds to get to the outlet on the variation of 1 and
0 to 110 seconds in the second discharge variation.
That happened because of a dead zone occurs in the

Applications

in

Wastewater

Treatment Plants. Vienna
Metcalf dan Eddy. 1991. Wastewater Engineering
Treatment, Disposal, Reuse. 3rd ed. McGrawHill Inc.

434

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

WASTE MINIMIZATION OF CHEESE-MAKING BY-PRODUCTDISPOSAL THROUGH ETHANOL FERMENTATION AND THE
UTILIZATION OF DISTILLERY WASTES FOR FERTILIZER
Gemilang Lara Utama1,2, Tb. Benito A. Kurnani3, Sunardi4, Roostita L. Balia3
Doctorate Program on Environmental Science, Universitas Padjadjaran, West Java, Indonesia
2
Faculty of Agro-Industrial Technology, Universitas Padjadjaran, West Java, Indonesia
3
Faculty of Animal Husbandry, Universitas Padjadjaran, West Java, Indonesia
4
Faculty of Sciences, Universitas Padjadjaran, West Java, Indonesia

1

ABSTRACTWhey as cheese-making by-product has become a threat toward the sustainability of production process at
small medium enterprises (SMEs) cheese producer. High organic contents lead high pollution load to theenvironment, because until now the producer still dispose the waste to the stream or land. Whey utilization
through simple ethanol fermentation could reduce high organic content and highly implementable in SMEs level
because its easiness. The research aimed to determine waste minimization through ethanol fermentation and theutilization of distillery wastes for fertilizer. Research was done experimentally with substrate variation (wheyand napa cabbage) with and without 10% molases addition that fermented by indigenous yeasts consortium(Candida lambica and Prototheca zopfii) on various temperature (24-27°C and 17-21°C) for 96 hours. The
ethanol contents measured by using dichromate oxidation methods. After fermentation finished substrates
distilled two stages, the first stage distillery wastes were analyzed for the contents of N (Kjeldahl), P 2 O 5 (Bray I)
and Potassium (AAS). Results showed that the combination of whey and napa cabbage (1:1) with 10% molasses
addition that fermented by Candida lambica and Prototheca zopfii on 17-21°C resulted in 11.06% of bioethanol
contents in 72 hours fermentation. After two stages distillation, 11.2% substrates can converted into ethanol and
37.9% of water resulted from second stage distillation that can disposed to the environment. Meanwhile, 50.9%
of first stage distillery wastes has 0.56% N, 0.83% P and 0.35 K which suitable with the Indonesian Agriculture
Ministerial Decree No.28/2009 of minimum technical requirement for organic fertilizer. Ethanol fermentationfrom cheese whey with napa cabbage wastes and 10% molasses addition that fermented by Candida lambica andPrototheca zopfii consortium and the utilization of its distillery wastes for fertilizer could minimize wastes up to
62.1%.
Keywords: cheese whey, napa cabbage, ethanol, fertilizer, wastes minimization

glycolytic pathway to generate energy, organic acids
and ethanol [2][3].
Several indigenous yeasts and yeast-likemicroorganisms have good ability in ethanol
fermentation from wastes. Candida lambica isolated
from mozzarella whey to ferment ethanol up to
0.15% within 48 hours at room temperature andhave a sugar content and resistance to high ethanol[4]. Prototheca zopfii was yeast-like organism thatcapable in fermenting ethanol in extreme conditions,this type was found in some milk-based andcellulose-based wastes [5][6].
The addition of sugar complex based substrates
such as cellulose is one way that can be done toincrease the ethanol contents resulting from cheese
whey fermentation. Napa cabbage waste was apotential cellulose-based substrate for ethanol
fermentation [7]. The addition of other cellulosebased substrate such as molasses in cheese whey
fermentation resulting in 2.06% ethanol with
92.71% sugar conversion [8].
Fermented substrates were purified by

INTRODUCTION
Cheese making by-products which was known as
whey increasingly to the attention of cheese
producers especially in Small Medium Enterprises(SMEs) scale. Cheese whey often discharged
directly to the environment and supposed to be oneof the causes of pollution. Cheese whey has low
acidity (pH) so that can cause problems, especially if
disposed into stream that have low water discharge.
The organic matter left behind on cheese whey waspotential to cause eutrophication if discharged
directly into water bodies. Meanwhile, organic
materials owned allow cheese whey to be processed
into commodities.
Organic materials with the largest number owned
by cheese whey is lactose. Lactose is a specificcarbohydrate owned by dairy products and its
content up to 5% [1]. As carbon source formicroorganisms, lactose widely used in bioprocess
medium for the growth of lactic microorganisms.
Lactic microorganisms synthesized lactose into
glucose and galactose, then metabolized through the435

SEE-Osaka, Japan, Nov. 21-23, 2016

distillation. Distillation at temperature of 78º-100°C
resulted in ethanol evaporation, and through thecondensing unit ethanol with desired purity will be
released.
The distillation also resulted distillery waste that
potentially polluting the environment because it’scontains high organic materials. Undilluted organic
load on distillery wastes could results toxic effect onaquatic organisms and the color could also block out
sunlight thus hamper photosynthesis inside thewaters [9]. Distillery wastes have low pH of 3.8-4.4,
BOD of 45000-60000 ppm and COD of 7000098000 ppm with suspended solids of 2000-14000
ppm [10].
The distillery wastes with the organic materials
contained could applied as organic liquid fertilizer[11]. Common characteristic of distillery wastes
showed the contents of 0.10-0.12% N, 0.05-0.15% P
and 0.5-1.2% K [10]. Meanwhile, distillery wastes
generated from the residue of neufchatel whey
fermentation contains 0.1% N, 0.07% P and 0.14%
K [12].
Cheese whey utilization through ethanol
fermentation with the utilization of distillery wastes
for fertilizer aimed to minimize wastes disposal into
environment. Aside from being able to decreaseorganic material load through reduction of BOD and
COD, the amount of wastes to be released can be
reduced. Therefore, the research was conducted todetermine waste minimization through ethanol
fermentation and the utilization of distillery wastes
for fertilizer.

analyzed with multivariate regression analysis(SPSS 18).
Distillery wastes characterization
Fermented substrates distilled two stages at 78100°C. Residue of first stage distillation measured
on the contents of Nitrogen/N (Kejldahl), Phospate/(P 2 O 5 )/P (Bray I), and Potassium/K (Atomic
Absorbtion Spectrophotometer/AAS) then comparedwith the ministerial decree No.8/2009 for minimum
technical requirement for organic fertilizer. Volumeof distillery wastes measured as basis for waste
minimization calculation.
RESULTS AND DISCUSSIONS
Results of ethanol fermentation (Fig.1) shown
increased until 72 hours and decreased at 96 hours.
Highest ethanol contents (11.06%) resulted bytreatment of 10% molasses addition that incubated at
low temperature for 72 hours. Analysis ofmultivariate regressions showed that the variables ofmolasses addition, temperature and incubation time
significantly affected the ethanol contents with
R2=0.945 and the multivariate regression equation of
Y = 15,12 – 6,11X1 – 0,06X2 + 0,33X3 with X1 formolasses addition, X2 for temperature and X3 forincubation time.

MATERIALS AND METHODS
Materials
Cheese whey taken from Koperasi Peternak
Bandung Selatan (KPBS), napa cabbage (Brassica
rapa subsp. pekinensis) wastes and molasses from
Pangalengan traditional market, Bandung District.
Note :
M1T1 : 10% Molasses addition, low temperature
M2T1 : 0% Molasses addition, low temperature
M1T2 : 10% Molasses addition, room temperature
M2T2 : 0% Molasses addition, room temperature

Methods
Yeasts isolates prepartion
Candida lambica isolated from cheese whey andPrototheca zopfii isolated from broccoli leaves. The
yeasts isolates grown in Nutrient Broth/NB with theaddition of 3% yeast extract (Kraft Foods Inc.) and10 ppm amoxycilline (PT. Kimia Farma), thenincubated for 36 hours at room temperature (2628°C) [4].

Fig. 1Ethanol production

The addition of 10% molasses could produce
11.06% ethanol contents. Molasses contains 50%
sugars that can be fermented and enhanced ethanol
productivity [14][15]. The mixture of cheese whey
and molasses as much as 10% was an effective andefficient treatment for ethanol fermentation [8].
Ethanol contents declined at 96 hours incubation.
At this stage, yeasts has been through stationary
phase and lead to death phase. The optimum
incubation time for ethanol fermentation fromcheese whey with the addition of cellulose-based

Ethanol production
Cheese whey and napa cabbage wastes (1:1)
mixed then set into two replications treatments i.e. :with and without 10% molasses addition, incubation
temperature of low temperature (17-20°C) and room
temperature (24-27°C) for 96 hours fermentation.
Ethanol contents measured with dichromate
oxidation methods every 24 hours [13]. Data
436

SEE-Osaka, Japan, Nov. 21-23, 2016

substrates was 72 hours. Incubation until 96 hours
will reduce the ethanol levels because it’s converted
to other compounds such as esters [16].
Low temperature (17-21°C) produced the best
ethanol contents on 72 hours of fermentation. At low
temperatures, yeasts sensitivity to the toxicity of
ethanol to be lower so that the fermentation
continues, meanwhile at warmer temperatures (>20°C) loss of viability of yeasts happens faster [17].
After the fermentation done, fermented
substrates was distilled 2 stages and the distillery
wastes were characterized then compared to theIndonesian
Agriculture
Ministerial
DecreeNo.28/2009 of minimum technical requirement fororganic fertilizer (Table 1). The results showed thatthe distillery wastes characteristics was suitable withthe requirements.

Table 2 Distillation results volume
Items
Fermented substrates
Residue stage 1
Distillate 1
Residue stage 2
Distillate 2

%
0.56
0.83
0.35

%
100
50.9
49.1
11.2
37.9

Fertilizer
Ethanol
Water

First stage distillation was resulted 50.9% of total
substrates volume that can used as fertilizer. The
second stage distillation was resulted average 11.2%
of total substrates volume of ethanol and 37.9%
residue in the form of distilled water which can bereleased to the environment. The results showed thatthe utilization made an impact on waste
minimization up to 61.2% and leaving distilledwater residue that can disposed to the environment.

Table 1 Distillery wastes characteristics
Items
Nitrogen (N)P 2 O 5 (P)Potassium (K)

ml
2000
1018
982
224
758

CONCLUSION

Decree No.28/2009
<2
<2
<2

The fermentation of whey and napa cabbage(1:1) with 10% molasses addition by Candida
lambica and Prototheca zopfii at the temperature of
17-21°C for 72 hours resulted in bes ethanol
contents of 11.06%. Two stages distillation resulting
in 37.9% distilled water, 11.2% ethanol, and 50.9%
distillery waste. The distillery wastes has suited theIndonesian
Agriculture
Ministerial
DecreeNo.28/2009 of minimum technical requirement fororganic fertilizer with N of 0.56%, P of 0.83% and Kof 0.35. Ethanol fermentation and utilization of
distillery wastes for fertilizer could minimize wastes
up to 62.1%.

The potential of distillery wastes as organic
fertilizer can be characterized from the raw materials.
Cheeses whey still contain 0.06% N, 0.38% P, and
0.12% K, while the molasses had 0.20% N, 0.27% P,
and 0.11% K [8]. In addition, there were 1.3% N andvarious minerals including P and K in napa cabbage[18].
Aside from cheese whey, napa cabbage andmolasses, the number of N, P and K on the distillery
wastes could derived from yeast cells that assimilate
and utilize the elements. Yeasts were able to utilize
methionine, histidine and lysine that available incheese whey as the primary nitrogen source for
growth and keep it inside the cell up to 10% of thedry weight of yeast cells [19][20]. Phosphorus
contained in cheese whey were essential nutrientsrequired for the growth of yeasts then stored inside
the cell in the form of orthophosphate (H2PO4)[21][22]. Meanwhile potassium were macro
minerals needed by yeasts as cofactor of various
enzymes involved in oxidative phosphorylation,biosynthesis of protein and carbohydrate metabolism[19].
Volume of distillate and the residue of 2 stages
distillation were measured and shown at Table 2.
Fermentation of cheese whey with napa cabbage andmolasses addition, for ethanol and the utilization of
distillery wastes as organic fertilizer could minimize
wastes disposal significantly.

ACKNOWLEDGEMENTS
Author would like to thanked Beasiswa
Unggulan, Bureau of Planning and International
Cooperation of Indonesian Ministry of Education for
the Doctorate Program Scholarship. Also theGovernment of West Java Province for the Research
Grant.
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[19] Walker, G.M., Yeast Physiology andBiotechnology. John Wiley and Sons Ltd., 1998.
[20] Messenguy, F., Andre, B. and Dubois, E.
“Diversity of nitrogen metabolism among yeast
species : regulatory and evolutionary aspects”.
The Yeasts Handbook : Biodiversity andEcophysiology of Yeasts. Springer-Verlag
Berlin Heidelberg. 2006, pp. 123-153.
[21] Theobald, U., Mohns, J. And Rizzi, M.
“Determination of in vivo cytoplasmic
orthophosphate concentration in yeast”.
Biotechnology Techniques, Vol. 10 (2), 1996,
pp. 297-302.
[22] Parrondo, J., Garcia, L. A. and Diaz, M.
“Nutrient balance and metabolic analysis in a
Kluyveromyces marxianus fermentation withlactose-added whey”. Brazilian J. Of Chem.
Eng. Vol. 26 (03), 2009, pp. 445-456.

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Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

Determining Peak Discharge Factor Using Synthetic Unit Hydrograph
Modelling (Case Study: Upper Komering South Sumatera, Indonesia)aRosmalinda Permatasari a, Dantje Kardana Natakusumah b, Arwin Sabarc
Doctoral Candidate, Environmental Department, ITB and Civil Department, Faculty of Civil Engineering,
Tridinanti University, Palembang, Indonesia
rosmalinda_mt@yahoo.comb
Civil Department, Faculty of Civil and Environmental Engineering, ITB, Bandung, Indonesia
dknpri@gmail.com
cCivil Department, Faculty of Civil and Environmental Engineering, ITB, Bandung, Indonesia
ABSTRACT

Synthetic unit hydrograph methods are popular and play an important role in many water resources design
especially in the analysis of flood discharge of ungagged watersheds. These methods are simple, requiring only
watershed characteristics such as area and river length and in some cases it may also include land use
characteristics. Therefore, these methods serve as useful tools to simulate runoff from ungagged watersheds andwatersheds undergoing land use change. To develop a synthetic unit hydrograph, several techniques are available.
Several most popular unit hydrographs methods such as Nakayasu, Snyder-Alexeyev, SCS, and GAMA-1 are
popular and commonly used in Indonesia for computing both peak discharge rate and the shape of floodhydrograph. This paper presents a simple approach for determining a consistent dimensionless unit hydrographbased on mass conservation principles. The results for peak discharge in several hydrographs methods are
Nakayasu 607.32 m3/sec, SCS 668.62 m3/sec, ITB-1 675.42 m3/sec, ITB-2 642.805 m3/sec in periode time return
2 years.
Key Words: Synthetic Unit Hydrograph (SUH), Flood Hydrograph, Hydrology, Rainfall, Runoff.
basin is part of Musi River support operational atSouth Sumatera and it is located in equatorial region
with the average annual rainfall is 2000 mm [5].
Estimating the maximum flood discharge is necessary
for predicting watershed hydrological behavior.
Major problems concerning hydrological predictions
include a lack or low accuracy of rain data, high cost,lack of information about catchments and the lengthof time required to obtain study results [2].
The production and behavior of runoff are
functions of land use types and changes. The
hydrological response of a river basin is based on therelationshipbetweenbasin
geomorphology(catchments area, shape of basin, topography, channel
slope, stream density and channel storage) and its
hydrology. Many studies have been carried out on theefficiency of artificial unit hydrographs in Indonesia
such as study at Citarum Basin and Upper Ciliwung[6]-[7].

INTRODUCTION
Unit Hydrograph (UH) is the most popular andwidely used method for analyzing and deriving floodhydrograph resulting from a known storm in a basin
area. The term ‘Synthetic’ in synthetic unithydrograph (SUH) denotes the unit hydrograph (UH)derived from watershed characteristics rather thanfrom rainfall-runoff data [1].
The determination of the pick discharge value andthe runoff volume of a watershed are crucial inmanaging natural disasters and designing andconstructing water structures. Therefore different
methods have been developed. Dimensionless unithydrograph developed by United States soil
conservation service (SCS) provides a shape to theunit hydrograph and therefore leads to more
reproducible results than the Snyder method [2]-[3].
The plotting positions of the SCS dimensionlessunit hydrograph are expressed as the ratios t/tp and
Q/Qp. tp is the time to peak Qp is the peak discharge.
S-curve hydrograph may be defined as thehydrograph of direct runoff resulting from acontinuous effective rainfall of uniform intensity 1/D
cm/h [4].
Human activities have always been accompanied
by changes in land structure, the destruction of natural
resources and urban developments. Cosmopolitan
developments on the surface of the watershed will be
included in the increase in peak discharge and runoff
volume of the watershed [2]-[3]. Upper Komering

STUDY AREA
The Upper Komering watershed an area of about
4260 km2. The temperate humid climate 28.40 – 32.20
C, humidity 80% and ratio sunshine 29%. An averageannual rainfall 2602.08 mm, wet season during
October-May and dry season during June-September[8]. The area's climate is equatorial region and it’spresent at Figure 1.

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SEE-Osaka, Japan, Nov. 21-23, 2016

Snyder’s Model
Snyder (1938) used three parameters, i.e., lag topeak tL, peak discharge Qp, and base time tB, todescribe the hydrograph, and these are expressed as :tL = CT(L.LCA)0.03
Qp = 640.Cp.A/tL
tB = 3 + 3.(tL/24)

where L is the length of the main stream from theoutlet to the catchment boundary in miles, LCA is the
distance from the outlet to a point on the stream
nearest to the centroid of the catchment in miles, CT
is a non-dimensional coefficient, A is the area of thecatchment in square miles, Cp is another nondimensional coefficient, tL, Qp, and tB are in h, ft3/s(or cfs), and days. The formula hold for rainfallexcess duration TD = tL/5.5. For varying duration, thelag time is adjusted as: tLR = tL + (T - TD)/4, where tLR
is revised lag time (h) and T is actual T D. Snyder’smethod is applicable to fairly large catchments only,
e.g., 100– 500 km2 [1]-[2]-[9]-[10].

Fig. 1 The location of study area
MATERIALS AND METHOD
The study was intended to use methods andmodels to simulate rainfall-runoff processes in unithydrograph. In addition, this study attempted todetermine the shape and dimensions of outlet runoffhydrographs in a 4260 km2 area in the Upper
Komering Basin, which is located in the South
Sumatera Province of Indonesia.

SUH ITB Model
SUH ITB model have two basic method SUH
ITB-1 and SUH ITB-2 to describe curve hydrographand these expressed as: SUH ITB -1 has curve
equation is computed as :q(t) = {t*exp(1-t)}αCp α=3.7(8)
The formula given by (8) is express Incompletee
Gamma Function, which is the curve also used by
NRCS to defined NRCS SUH curve forms. SUH
ITB-2 are computed as follows :Rising curve (0< t <1):
q(t) = tα α=2.40(9)Declining curve (1 ≤ t < ∞) :q(t) = {t*exp(1-t)}βCp β= 0.86
(10)Model Description
SCS Model
The SCS (1957) method computes the runoff
volume (V) and peak discharge (qp) of a triangularhydrograph, respectively, as follows :𝟏

𝟏

V- qpta - qp (tp +te)𝟐

𝟑𝟐

qp = V/tp
𝟒

(5)
(6)
(7)

(1)
(2)

1.0

where qp is peak discharge in mm/h/mm, te is the timefrom peak to the tail end of the hydrograph (1.67tp),
and tp is in hours (=1/2T + tL). To determine the SUH
shape from the non-dimensional q/qp versus the t/tp
hydrograph, the time to peak (tp) and peak discharge(qp) are computed as follows :HSS ITB-1
HSS ITB-2

0.9

0.8

0.7

q=Q/Qp

0.6

0.5

0.4

tp = D/2 + tL
qp = 484A/tp

(3)
(4)

0.3

0.2

0.1

where D is the duration of rainfall (h), q p is in cfs A
is the area in square miles, tp is in h (base time = 3/8tp),
and tL is the lag time from centroid of rainfall to peakdischarge (qp) (h). The tL can be estimated fromwatershed characteristics using curve number CN,
watershed length, and slope. With known qp, tp, andthe specified dimensionless UH, an SUH can bederived [1]-[2]-[9]-[10].

0.0
0.0

1.0

2.0

3.0

4.0

5.0

6.0

7.0

8.0

9.0

10.0

11.0

t=T/TpFig. 2 SUH ITB-1 and ITB -2 dimensionlessFigure 2 describe the horizontal axis is t = T/Tp
and the vertical axis q = Q/Qp. Base on SUH
definition and mass conversion principle, it can beinferred the effective rainfall volume in watershed,
440

12.0

SEE-Osaka, Japan, Nov. 21-23, 2016

SUH volume should equal with peak time (T p) so thecomputation peak discharge derived ITB formula[11]-[12]-[13]. The formula respectively as :Qp =𝑲𝒑.𝑹.𝑨𝒘
𝑻𝒑

m3/s

SUH area
Qp
Rainfall volume

1.316150.7 m3/s
4,260,000 m3

Table 4 Peak discharge values in all method
Time
QT
return(m3/s)(year ) Nakayasu
SCS
ITB-1
2
607,315
668,617675,4205
844,157
977,715
978,54810
1045,578 1218,335 1220,946
20
1267,438 1481,886 1486,444(11)
3

Qp = Peak discharge unit hydrograph m /s
Kp = 1/(3.6 . ASUH ) = peak rate factor m3/
s/km2/mm
R = Rainfall unit in 1.00 mm
Tp = peak time in hour
Aw = Watershed area km2
ASUH= Dimensionless unit hydrograph area

ITB-2
642,805
913,429
1128,841
1481,886

Table 4 defines the hydrograph dimensions in the
study basin using the Snyder, SCS and ITB methods.
The results demonstrate that a comparable level of
performance was achieved for all methods and it
describes in Figure 3. Peak discharge hydrographs
were similar and showed negligible errors, but thehydrographs differed more noticeably for peakdischarge.

Nakayasu Model
The Nakayasu method was developed by applying
a dimensionless unit hydrograph based on the Hornerand Flynt method for estimating design floods inseveral small urban watersheds of Japan [9]-[14][15]-[16]-[17]-[18]-[19].

2.500,0Komering river in upper has a catchment area
4260 km2, effective lenght 180 km. In this study therainfall datas undertaken from three rainfall station
Banding Agung, Muara Dua and Martapura, thenpeak discharge data undertaken from Perjaya
headwork. Table 1 describes of characteristics study
area undertaken. Simulated hydrographs were used toobserved hydrographs.
The model results for peak discharge (qp) and thetime to peak (tp). From listed in Table 1, were
calculated by applying a SUH models and it present
in Table 2. Table 3 shows the values of peakdischarge. It were computed from rainfall distribution
and the values of base flow from dimension unithydrograph at the first hour 0.034. The peakdischarge were computed and the values is 5,131.036
m3/s. In addition, similarities were observed for theoutlet runoff volume parameter in SCS, Snyder, ITB1 and ITB-2. Triangular and comparisons have
proven the difference among UH not significant andit presents in Table 4.

Infiltration
Eff. rainfall

1.500,0Nakayasu(Alpha=2.0)
SCS

Q (m3/s)

2.000,0

ITB-1 (Exact)

1.000,0

ITB-2 (Exact)

500,0

0,0

0,0
2,5
5,0
7,5
10,0
12,5
15,0
17,5
20,0
22,5
25,0
27,5
30,0
32,5
35,0
37,5
40,0

R (mm)RESULTS AND DISCUSSIONS

1 7 13 19 25 31 37 43 49 55 61 67 73 79 85 91 97103109115121127133139145151157

Fig. 3 The hydrograph in the study area
CONCLUSION
This study has determined that, compared to othermodels, to defined the model which is the mostefficient model to use in determining peak discharge.
The results demonstrate peak discharge hydrographs
were similar. The proposed parameter estimations
methods are simple to use, and gives accurate resultsof the actual as verified using simulation and field
data.

Table 1 Characteristics of Upper Komering area
Name
Remarks
Basin
Upper Komering
Catchment areaA = 4260 km2
LenghtL = 180 km
Height unit Rainfall R = 1.00 mm
Duration
Tr = 1.00 hourTime coeff.
Ct = 1.00
Time lagTl = 18.32 hours
Peak time
Tp = 17.73 hours
Base time
Tb = 177.3 hours
Peak coeff.
1.00
Alpha
2.00

ACKNOWLEDGEMENTS
This paper is part of dissertation research in The
Research Division of The Environmental Technology
Management-Bandung Institute of Technology(ITB). I wish to thank to The Head of Research
Division Prof. Dr. Ir. Arwin Sabar, MS and Dr. Ir.
Dantje Kardana Natakusumah as research promotor.

441

SEE-Osaka, Japan, Nov. 21-23, 2016

Table 2. Dimensionless and dimension unit hydrograph of Upper Komering RiveriT(hours)

0
1
2
3
4
5
6
7
8
9
10
11

(1)
0.00
1.00
2.00
3.00
4.00
5.00
6.00
7.00
8.00
9.00
10.00
11.00

15
89
90

t = T/Tp(2)0.00000.05640.11280.16920.2256
0.28190.33830.39470.45110.50750.56390.6203

Dimensionless unit hydrographq = Q/Qp(3)0.00000.00070.00740.0277
0.06660.12530.20200.29250.39190.49460.59540.6901A(4)
0.00000.00000.00020.00100.00270.00540.00920.01390.01930.02500.0307
0.0362Dimension unit hydrograph
Q (m3/s)
V (m3)(5)(6)
0.00000.00000.033560.3146
0.3743734.0876
1.40543203.5774
3.37698608.2457
6.3533
17514.2962
10.2395
29867.0299
14.831945128.5658
19.868962461.3640
25.074380897.7093
30.188299472.4853
34.9867
117314.7935

15.00

0.84580.95100.052448.2126

169516.7717

89.00
90.00

5.01855.07490.00010.00010.00000.00001.31610.00560.004721.919318.4722A SUH
Table 3. The values of peak discharge
T
UH
Hours

m3/s

0.00
1.00
2.00
3.00
4.00
5.00
6.00
7.00
8.00
9.00
10.00
11.00
12.00
13.00

15.55
mm

Rainfall distribution
10.91
mm

8.69
mm

7.34
mm

0.00
mm

(BF)

Qb

mm

m3/s
0.034
2.039
22.95390.321228.338
451.557
763.3651155.769
1611.315
2106.833
2617.152
3118.053
3588.288
4010.741

0.000
0.034
0.374
1.405
3.377
6.353
10.24014.83219.86925.07430.18834.98739.29242.978

59.84
mm
0.000
2.005
22.39984.101202.071380.172
612.724887.5251188.934
1500.421
1806.431
2093.569
2351.2202571.752

0.000
0.521
5.822
21.85952.52198.812
159.256230.680309.021389.981469.517544.148611.115

0.000
0.366
4.084
15.33336.84269.314111.713161.816216.769
273.561
329.353
381.705

0.000
0.291
3.251
12.20829.33255.18488.941128.830172.581217.795
262.215

0.000
0.246
2.746
10.30924.77046.60175.107108.792
145.738183.920

0.000
0.000
0.000
0.000
0.000
0.000
0.000
0.000
0.000

0.034
0.034
0.034
0.034
0.034
0.034
0.034
0.034
0.034
0.034
0.034
0.034
0.034
0.034

15.00

48.2132884.992

714.869468.888341.294256.627

0.000

0.034

4666.705

89.00

0.006

0.333

0.103

0.085

0.081

0.081

0.000

0.034

0.716

90.00

0.005

0.281

0.087

0.072

0.068

0.068

0.000

0.034

0.609
3

Peak discharge = 5,131.036 m /s

442

SEE-Osaka, Japan, Nov. 21-23, 2016[10] Karmaker,T., Dutta, S. (2010). Generation ofsynthetic seasonal hydrographs for a large river
basin. Journal Hydrology-Elsevier.
[11] Natakusumah D.K., Hatmoko W., and Harlan D.
(2011).
Prosedure
Umum
Perhitungan
Hidrograf Satuan Sintetis (HSS) dan Contoh
Penerapannya Dalam Pengembangan HSS ITB1 dan HSS ITB-2. Journal Teknik Sipil ITB, Vol.
18 No. 3 .
[12] Natakusumah, D. (2009). Prosedure Umum
Penentuan Hidrograf Satuan Sintetis Untuk
Perhitungan Hidrograf Banjir Rencana. Seminar
Nasional Sumber Daya Air. Bandung.
[13] Natakusumah, D. (2014). Cara Menghitung
Debit Banjir Dengan Metoda Hidrograf Satuan
Sintetis . Bandung: ITB.
[14] Junia, N., dkk. (2015). Kesesuaian Model
Hidrograf Satuan Sintetik Studi Kasus Sub
Daerah Aliran Sungai Siak Bagian Hulu. Jom
FTEKNIK .
[15] Sihotang, R., dkk. (2011). Analisis Banjir
Rancangan dengan Metode HSS Nakayasu pada
Bendung Gintung. Universitas Gunadarma .
Depok: Proceeding PESAT (Psikologi,
Ekonomi, Sastra, Arsitektur dan Sipil, Vol.4 ,ISSN:1858-255.
[16] Hadisusanto, N. (2011). Aplikasi Hidrologi.
Yogyakarta: Media Utama.
[17] Indarto. (2010). Dasar Teori dan Contoh
Aplikasi Model Hidrologi. Jakarta: Bumi
Aksara.
[18] Kamiana, I. (2012). Teknik Perhitungan Debit
Rencana Bangunan Air. Yogyakarta: Graha
Ilmu.
[19] Limantara, L. (2010). Hidrologi Praktis.
Bandung: Lubuk Agung.

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(2007). Suitability of Gamma, Chi-square,
Weibull, and Beta distributions as synthetic unithydrographs. Journal Hydrology - Elsevier.
[2] Khaleghi,M.R.,Gholami,
V.,
Ghodusi,
Hosseini.
(2011).
Efficiencyofthegeomorphologic instantaneous unit hydrographmethod in flood. Journal of Hydrology.
[3] Jena, S.K., Tiwari, K.N. (2006). Modelingsynthetic unit hydrograph parameters withgeomorphologic parameters of watersheds.
Journal of Hydrology.
[4] Chow, V. (1964). Handbook of Applied
Hydrology. New York: McGraw-Hill, NY,USA.
[5] Tjasyono, B. (2004). Klimatologi. Bandung:
Penerbit ITB.
[6] Harlan, D. d. (2009). Penentuan Debit Harian
Menggunakan Pemodelan Rainfall Runoff
GR4J untuk Analisa Unit Hidrograf pada DAS
Citarum Hulu. Jurnal Teknik Sipil, Jurnal
Teoretis dan Terapan Bidang Rekayasa Sipil,
ITB.
[7] Nugroho, S. (2001). Analisis Hidrograf Satuan
Sintetik Metode Snyder, Clark dan SCS dengan
Menggunakan Model HEC-1 di DAS Ciliwung
Hulu. Jurnal Sains dan Teknologi Modifikasi
Cuaca.
[8] Rusman, A. (2004). Simulasi Alokasi Air pada
Daerah Aliran Sungai Komering Bagian Hulu
dalam Pemenuhan Kebutuhan Air Tahun 2020.
Bandung: FTSL-ITB.
[9] Kang, M.S., et.al. (2013). Estimating design
floods based on the critical storm duration forsmall watersheds. Journal of HydroEnviroment.

443

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

IMPROVING BIOSORPTION OF CU(II)-ION ON ARTIFICIALWASTEWATER BY IMMOBILIZED BIOSORBENT
OF TROPICAL MICROALGAE
Astri Rinanti, Melati Ferianita Fachrul, Rositayanti Hadisoebroto, Mawar Silalahi
Environmental Engineering Department, Trisakti University, Jakarta, Indonesia

ABSTRACTThis research purposes to study the role of microalgae in tropical environment – isolated from Wastewater
Treatment Plant (WWTP) Setiabudi, Jakarta, Indonesia – on biosorption of Cu(II) ion in heavy metal wastewater.
The effects of pH and contact time on the rate of metallic biosorption were examined to reach the greatest
biosorption efficiency. Microalgae diversity analysis through phenotypic approaches showed that the microalgae
community was comprised of 3 species of Chloropyceae i.e Ankistrodesmus braunii, Chlorella sp.,and Scenedesmus quadricauda var quadrispina. Immobilized biosorbent from microalgae was prepared by ovendrying, grinding, and entrapping the microalgae biomass into polymeric matrix of alginate. The sorption
properties of biosorbent was characterized by using infrared spectroscopy and SEM micrograph analysis. The
optimization of sorption parameters was conducted in batch systems using Cu(II)-artificial wastewater of 300
ppm with pH arrangement of 2-7 and the contact time arrangement of 60, 90, 120, 180, 240 minutes. During theexperiment, the Chlorophyceae free and Na-alginat immobilized biomass were added. The research showed thateither free and immobilized biomass could adsorb Cu(II) metal ion and reduce its concentration into 25-50 ppm.
A maximum biosorption by the alginate-immobilized biosorbent obtained at pH 3,0 and contact time of 180
minutes with 43% absorption efficiency. Sorption properties of microalgae biomasses were indicated by various
functional groups presence on biosorbent that could bind heavy metals compared to others. The research provedthat the alginate-immobilized biosorbent was highly effective for the treatment of Cu(II)-artificial wastewaterand that tolerant cholorophyceae could act as an effective biosorbent in further optimization.
Keywords: Biosorption, Immobilized biosorbent, Cu(II), Microalgae diversity, Tropical environment

Conventional removal techniques for Cu(II)i.e precipitation, electrochemical, ion exchange, andmembrane filtration, have their own limitations suchas involving high installation cost, causing
secondary pollution due to the chemicals use, andyielding toxic sludge [3], [4]. In addition, theseprocessing techniques are also not able to meet theexisting quality standards [5], [6]. Therefore, it isnecessary to develop an alternative method of heavy
metal removal to tackle the shortcoming mentioned
above, among them is biosorption technology.
Biosorption is an absorption process utilizing
the ability of biological materials (either macro or
micromatters; either living or dead materials) toaccumulate heavy metals from a solution
metabolically or physicochemically [7]. Advantages
gained from the use of microorganisms as biosorbent
are low operational cost, high efficiency and highmetal binding capacity, minimum sludge productleading to minimum environmental impact, having a
possibility of metal recovery as a result ofdesorption mechanism, having a regeneration
mechanism (can be reused as biosorbent), as well as
easily obtained, abundant raw materials [5].

INTRODUCTION
The increasing of industrial development leads
to heavy metal pollution in aquatic environment.
Heavy metals are certainly needed by organisms to
support the enzymatic process. However, inexcessive amount, they can interfere the growth ofthe organisms. Copper or Cu is a heavy metal foundin natural waters and is an essential matter tomicroalgae. Copper acts as a constituent of 13
plastocyanin, functioning in electron transport inphotosynthesis [1]. Copper is encountered in thecenter of cytochrome c oxidase that makes up thesuperoxide dismutase enzyme and carries oxygen inhemocyanin pigments. Many kinds of enzymes
contain copper [2]. Copper is considered to be toxic
to plants at concentration above 0.1 ppm. Copperlevel in potable water should be not more than 1
ppm and is toxic to sheeps at concentration above 20
ppm. The presence of copper in wastewaterordinarily appears in the form of bivalent ion ofCu(II) as a hydrolytic product. Copper often foundin wastewater of dyeing, paper, oil, and coating
industry.

444

SEE-Osaka, Japan, Nov. 21-23, 2016

Metal biosorption may occur due to thecomplexity of the positively charged metal ions withnegatively charged active centers on the surface ofthe cell wall or on the extracellular polymers, suchas proteins and polysaccharides as a source offunctional groups playing important role in binding
metal ions. This absorption process takes place
rapidly in living cells as well as dead cells [7]This absorption process does not depend on themetabolism, primarily because it occurs on thesurface of the cell wall. Absorption by
microorganisms is divided into two, namely
metabolically independent absorption occuring on
the surface of dead cells and metabolicallydependent absorption taking place on the surface ofliving cells, that is slow and depends a lot on the
nutrient availability and environmental conditions,e.g. solution pH and temperature [8]. Many factors
can affect metal biosorption, among them are thetype of biosorbent [5], pre-treatment of thebiosorbent [6], solution pH [8], [9], [10], initialconcentration of the adsorbate [11], also the
influence of other ions in the solution [4].
The application of microalgae as a biosorbent ismore favorable considering that small size of thecells provides larger specific surface that implicateson the higher absorption capacity. Moreover, highsorption ability is led by the presence of functionalgroups on the microalgae cell wall that are able tobind metal ions, particularly carboxyl, hydroxyl,amine, sulfhydryl, imidazole, sulfate and sulfonate
chains [7]. As the raw material of biosorbent,
microalgae is handily found, plenteously available,
and does not need additional nutrients so that theoperational cost can be cheaper [8].
On the other hand, the small size of the particles
has disadvantages such as low mechanical strength,
causing column plugging and clogging [8], thedifficulty of biosorbent regeneration [12], also therequirement of complicated solid-liquid separation
process [13]. To overcome these problems,
immobilization of the tropical microalgae biomass ina biopolymeric matrix was applied in this study.
Immobilization can be defined as physicalentrapment or localization of microalgae cell in sucha way to limit the freely migration of microbes [14],while [15] explain that the biomass immobilization
is a technique in which the target cell will be coatedby porous polymeric layer that allows subtratediffusion process into the cell. Several synthetic
materials e.g. silica, polysulfone, polyurethane,
polyvinyl alcohol, and acrylic polymers as well as
natural polymers such as alginate, gelatin, agar, andcellulose derivatives can be used for theimmobilization of microalgae biomass [16].
The objective of this study was to obtain thehighest removal efficiency of heavy metal Cu(II) by
utilizing immobilized tropical microalgae biomass inorder to optimize the pH and contact time ofbiosorption.
MATERIAL AND METHODS
Isolation and Identification of Tropical
Microalgae
Isolation and sampling 3 species of
Chloropyceae i.e Chlorella sp., Ankistrodesmus
braunii, and Scenedesmus quadricauda var quadrispina derived from algal-blooming took place instabilization pond of Wastewater Treatment Plant(WWTP) Setiabudi, Jakarta, to be used as biosorbent.
The method employed in identification of
microalgae was phenotype approach, based on
microscopical morphology analysis.
Preparation of Biosorbent
Washed microalgae biomass were activatedchemically using acidic and alkali solution. Biomass
rinsed with distilled water were used as the controls.
Some biomass were suspended and soaked for 3
hours in a solution of 0,1 N HCl; 0,1 N NaOH, anddistilled water (dH 2 O) with a biomass to solution
weight ratio of 1:3. Activated biomass then dried inan oven at 70°C for 20 hours, grinded using mortar,and screened using sieve size of 50-mesh (0,3 mm).
Biomass powder sized ≤ 0,3 mm were used as
biosorbent. This research was conducted in a batch
reactor.
Immobilization of Biosorbent
Immobilization of biosorbent was carried out
using entrapment method [17]. Some biomass
powder were suspended in 100 mL solution of
sodium alginate 2% (w/v). The suspension was
dripped into a 500 mL solution of CaCl 2 4%. Whenin contact with CaCl 2 solution, biomass suspensionof sodium alginate were then polymerizing into bead
forms—Na-alginate entrapped the biomass in its
structure.
Preparation of Artificial Wastewater
Artificial wastewater containing Cu(II) (1,000
mgL-1) was made by weighing a certain amount ofcopper sulphate (CuSO 4 •5H 2 O) pro analysis anddissolving it in a deionized distilled water to make astock solution. To obtain different concentration ofCu(II), the stock solution was diluted in accordance
to the necessary concentration. The value of pH wasadjusted using HCl solution of 0,1 N and NaOH 0,1
N.
Optimization of pH

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A total of 10 g immobilized biosorbent was
contacted with 50 mL solution of Cu2+ 50 mg/L in
an Erlenmeyer flask of 150 mL capacity. The valueof pH was set in a range of 2, 3, 4, 5, 6, 7, 8.
Furthermore, Selanjutnya, Erlenmeyer containing
the mixture was stirred using a shaker with a speedof 180 rpm at optimum contact time and temperature.
The metal (Cu2+) remained in the solution was
analyzed using AAS (Atomic Absorption
Spectroscopy).

Chlorella homospaera immobilized in alginate
brought favorable system to lower the level ofcopper, cadmium, zinc, and gold in a contaminatedwater [1], meanwhile [17] stated that immobilized
Chlorella emersoni cells was better in accumulating
copper than mobile cells. Researcher [14] stated that
adsorption capacity of Spirulina sp. microalgae
biomass can reach 213 mg/g. This ability is
considered to be exceptional because according to[5], the adsorption capacity of biomass has to exceed
150 mg/g to be able to compete with othertechnologies.

Optimization of Contact Time
A total of 10 g immobilized biosorbent was
contacted with 50 mL solution of Cu2+ 20 mg/L in
an Erlenmeyer of 150 mL volume. The Erlenmeyerthen stirred using a shaker at 180 rpm. The metal
Cu2+ remained in the solution at contact time of 60,
90, 180, and 240 minutes were then analyzed using
AAS spectrophotometer.

Optimization of pH
The effects of pH and contact time towards therate of metal biosorption were examined todetermine the highest biosorption efficiency. The
value of pH is one of the crucial physicochemicalparameters in biosorption process [8], [9], [10]. The
effect of pH on the sorption of Cu(II) by theimmobilized biosorbent of tropical microalgae canbe seen in Fig. 2.

Removal Efficiency of Cu(II)Absorption efficiency of metal Cu(II) by theimmobilized biomass of tropical microalgae wascalculated using following formula:% Cu(II) removal = [(Co – Ce) / Co] x 100%
(1)
Co = initial concentration of Cu (II) solution (mg/L)
Ce = equilibrium concentration (mg/L)
RESULTS AND DISCUSSION
Effect of the Biosorbent Immobilization
The effects of both immobilized and mobile(free) biosorbent are depicted in Fig.1.

Fig. 2 The effect of pH towards Cu(II) biosorption
by microalgae biosorbent, at temperature 28 °C ± 2
and contact time (Td) 60, 90, 120 minutes
Among the physicochemical factors affecting
biosorption, apparently pH value is the key factor
that was most responsible. The pH value of thesolution affects metal speciation [5] and theionization of biosorbent’s functional chains [5], [18].
Most studies of metal biosorption by microalgae
showed the dependence relationship to pH value(pH-dependent). At low pH, competition between
protons and metal cations such as Cu occured to theactive sites of biosorbent. As a result, the cation
removal efficiency decreased at low pH. On thecontrary, in the biosorption of metal anion such as
SO 4 2-, the anion metal removal efficiency increased
at low pH [18].
Figure 1 reflects that pH value greatly affectthe biosorption process of Cu(II) by the biosorbent.
The value of pH affects not only the charge ofbiosorbent functional groups, but also the metal ion
speciation [19]. At pH value of 3, the biosorbent

Fig. 1 Removal efficiency of heavy metal Cu(II) by
mobile and immobilized tropical microalgae, attemperature 28 °C ± 2 and pH 3
The results show that both free andimmobilized biosorbent have the ability to absorb
heavy metal Cu(II) and reduce its concentration in
the artificial wastewater. However, immobilizedbiosorbent delivered a better Cu(II) removal
efficiency which is 2-3 times higher than mobile
biosorbent efficiency.
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SEE-Osaka, Japan, Nov. 21-23, 2016

with all variation of contact time (60, 90, 120
minutes) removed Cu(II) of 28-40% more than theremoval at higher pH. At low pH, the biosorbent
surface becomes positively charged so that it canenhance the sorption of metal anion. Researcher [19]also proved that the highest removal of Cu(II) was at
pH value of 1.5. The highest Cu(II) removal reached
at a very acidic pH condition (≤ 2) was also reported
by other researchers [10], [18], [20].

groups, surface area, as well as size and pore volume,
which in turn affects the ability to interact with theadsorbate.
CONCLUSION
Based on the results obtained in this study, it
can be concluded that the biomass of microalgae
consortium in tropical environments have acharacter as a biosorbent that potentially act as abinder of heavy metal Cu(II). Immobilizedbiosorbent of tropical microalgae consisting ofAnkistrodesmus braunii, Scenedesmus quadricauda
var quadrispina, and Chlorella sp., are considered to
be promising biomaterial for it was able to set aside
Cu(II) at pH value of 3 and optimum contact time of
180 minutes. Thus, immobilized biosorbent of
microalgae was proven to increase sorption processcompared to the free (mobile) biosorbent. It isnecessary to conduct further research on thevariations of temperature and initial concentration of
biosorbent.

Optimizing the Contact TimeThe effect of contact time towards the sorptionof Cu(II) by phytoplankton biomass is shown in Fig
3 below. Figure 3 represents that in such condition,
more than 25% of metal removal was obtained
during the first 60 minutes in this study. This fast
metal removal kinetics could be triggered by thestirring treatment that minimizes the mass transfer
constraints. In addition, the rapid sorption kinetics
could also indicate that the adsorption occured
physically to the pores of the biosorbent.
The optimum percentage of Cu(II) removal was
obtained after 180 minutes of contact time, whereas
longer than that, the removal percentage proned to
be stable with a slight decline (Figure 3). It showsthat the sorption process began to reach equilibrium
state between sorption rate and desorption rate.
Based on that, the optimization of physicochemicalparameter in the future studies will be carried out
with a contact time of 180 minutes.

ACKNOWLEDGEMENTS
The authors would like to thank Directorate for
Research and Community Services as well as
Directorate General for Strengthening Research andDevelopment at the Ministry of Research,
Technology, and Higher Education Indonesia forfunding this study through Universities Prime
Research Grant Program (Penelitian Unggulan
Perguruan Tinggi-PUPT) 2016.
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York: Cambridge University Press, 2006
[2] Banfalvi G. Cellular Effects of Heavy Metals.
London: Springer, 2011, pp. 364
http://dx.doi.org/10.1007/978-94-007-0428-2[3] Velásquez L, Dussan J, “Biosorption andBioaccumulation of Heavy Metals on Dead and
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[4] Oboh I, Aluyor E, Udu T, “Biosorption of
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[5] Gadd GM, “Biosorption : Critical Review of
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[6] Eccles H, “Treatment of Metal-ContaminatedWastes: Why Select a Biological Process?”,
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[7] Volesky B, Naja G, “Biosorption : Application
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DepartmentofChemicalFig. 3 The effect of contact time on the sorption ofCu(II) by microalgae biosorbent, at temperature
28°C ± 2 and pH 3
The optimum contact time generated in thisstudy is longer compared to the research done by[20], which stated that initial Cu and Znconcentration of 20-27 ppm could be reduced by
99% within 60 minutes contact time and 90%
decreased after 30 minutes. Presumably, the type ofbiosorbent affects its ability to restrain the adsorbate
for different kind of biosorbents have different
adsorption properties indeed. Such difference may
be caused by variation of dominant functional

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Engineering,
Montreal,
Quebec,3610
University Street, Canada: McGill University,
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[8] Wang C, Chen J, “Biosorption for Heavy
Metals Removal and Their Future”,
Biotechnol.Adv., Vol. 27, 2009, pp. 195-226.
[9] Gokhale SV, KK Jyoti, SS Lele, “Modelling of
Chromium (VI) Biosorpion by immobilized S.
platensis in Packed Column”, J. Hazard. Mater.,Vol. 170, 2009, pp. 735-743.

[14] Covizzi LG, Giese EC, Gomes E, Dekker RFH,
Silva R, “Immobilization of Microbial Cells
and Their Biotechnological Applications”,
Seminar: Ciências Exatas e Tecnológicas. Vol.
28, 2007, pp. 143-160.
[15] Horvathova, “Biosorption of Cu2+ and Zn2+ by
Immobilized Algae Biomass of Chlorella
kessleri”, Acta Metallurgica Slovaca, Vol. 15,
2009.
[16] Akar T, Kaynak Z, Ulusoy S, Yuvaci D, Ozsari
G, Tunali-Akar S, “Enhanced Biosorption of
Nickel(II) Ions by Silica-gel Immobilized
Waste Biomass: Biosorption Characteristics in
Batch and Dynamic Flow Mode”, J. Hazard
Mater, Vol. 163, 2009, pp. 1134–1141.
[17] Rosevear A, “Immobilised Biocatalysts: A
Critical Review”, J. Chem. Technol. Biotechnol., Vol. 34B, 1984, pp. 127-150.
[18] Krishnani KK, Meng X, Christodoulatos C,
Boddu VM, “Biosorption Mechanism of Nine
Different Heavy Metals onto Biomatrix from
Rice Husk”, J. Hazard. Mater, Vol.153(3),2008, 1222–34.
[19] Rangsayatorn N, Upatham ES, Kruatrachue M,
Pokethitiyook
P,
Lanza,GR,“Phytoremediation Potential of Spirulina(Arthospira) platensis: Biosorption and
Toxicity Studies of Cadmium”, Environ.
Pollut., Vol. 119, 2002, pp. 45-53.
[20] Hernandez E, Olguin EJ, “Biosorption of
Heavy Metals Influenced by The ChemicalComposition of Spirulina sp. (Arthrospira)
Biomass”, Environ. Technol., Vol. 23, 2002,
pp. 1369-1377.

[10] Chojnacka K, Chojnacki A, Gorecka H,“Biosorption of Cr3+, Cd2+, and Cu2+ ions by
Blue-Green Algae Spirulina sp.: Kinetics,
Equilibrium and the Mechanism of theProcess”, Chemosphere, 59, 2005, pp. 75-84.
[11] Pagnanelli F, Esposito A, Toro L, Veglio F,“Metal Speciation and pH Effect on Pb, Cu, Zn,
and Cd Biosorption onto Sphaerotilus natans:
Langmuir-type Empirical Model”, Water Res,
Vol. 37, 2003, pp. 627–633.
[12] Ivánová D, Horváthová H, Kaduková J,
Kavuličová J, “Stability of Immobilized
Biosorbents and Its Influence on Biosorption of
Copper”, Nova Biotechnologica, Vol. 10 (1),2010, pp. 45-51.
[13] Atkinson BW, Bux F, Kasan HC,“Considerations for Application of Biosorption
Technology to Remediate Metal-ContaminatedIndustrial Effluents”, Water SA, Vol. 24, 1998,
pp. 129-136.

448

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

SELF-ORGANIZING MAP BASED SURROGATE MODELS FORUNKNOWN CONTAMINANT SOURCE IDENTIFICATION UNDERUNCERTAIN HYDRAULIC CONDUCTIVITY
Shahrbanoo Hazrati Y.1 and Bithin Datta1, 2
Discipline of Civil Engineering, College of Science and Engineering
James Cook University, Townsville QLD 4811, Australia
2
CRC for Contamination Assessment and Remediation of the Environment, CRC CARE, University of
Newcastle, Callaghan NSW 2308, Australia
1

ABSTRACT
Identification of unknown groundwater contaminant sources is a complex problem. The complexities arise
mainly due to the uncertainties related to the hydrogeologic information, sparsity of measurement data andunavoidable concentration measurement errors. The process of contaminant source identification with sparse andlimited concentration measurement data especially when the hydrogeologic parameters are uncertain requires anefficient procedure. The existing methodologies to tackle this problem in real world cases usually require huge
computational time and the solutions may be non-unique. The goal of this study is to evaluate a developed
methodology to characterize the groundwater contamination sources in a heterogeneous, multi layered aquifer.
This developed methodology utilizes the Self Organizing Maps (SOM) algorithm to design the surrogate models
for source characterization. The most important advantage is that in this methodology, the trained SOM basedsurrogate models is directly utilized for groundwater contaminant source characterization without the necessityof using a separate linked simulation optimization model. The performance of the developed methodology isevaluated by using deterministic hydraulic conductivity values, and uncertain hydraulic conductivity values.
These results indicate that the developed methodology could efficiently approximate groundwater flow andtransport simulation models, and also characterize unknown groundwater contaminant sources in terms oflocation, magnitude and release history.
Key words: Self-Organizing Maps, Surrogate Models, Source Identification, Uncertainty.

INTRODUCTION
method which is the most effective approach tocontaminant source identification. In linked
simulation
optimization
approachdifferent
optimization algorithms were utilized such as
Genetic Algorithm (GA) [3], [4], Simulated
Annealing (SA) [5] and Adaptive Simulated
Annealing (ASA) [4], [6]. Only a few of previously
developed methodologies such as [4], [6] were
evaluated
under
uncertainhydrogeologicalparameter conditions.
In this study, to characterize the unknown
characteristics of contaminant sources a new
approach is developed and evaluated for potential
applicability in practical scenarios. In this new
methodology, a trained Self Organizing Map(SOM) based surrogate model for source
characterization approximates the flow andtransport simulation models as well as an
optimization algorithm. In other words, this model
independently provides a procedure to characterizeunknown groundwater contaminant sources interms of location, magnitude and duration of source
activity, without the necessity of using a linked

Widespread human activities and improper
management practices have caused widespread
deterioration of groundwater quality worldwide,and have seriously threatened its beneficial use inrecentdecades.
However,usuallywhen
groundwater contamination is detected after a longtime, often there is not enough information
regarding the characteristics of groundwatercontamination sources as well as the hydrogeologic
parameters of the system. On the other hand, theefficiency and reliability of contaminant source
identification depends on the availability, adequacy
and accuracy of hydrogeologic information andcontaminant concentration measurements data. For
instance, the crux of previous approaches is highly
vulnerable to the accuracy and adequacy ofcontaminant concentration measurements andhydrogeologic data. A significant number ofpreviously proposed approaches considered that all
the hydrogeological parameter values are known.
These approaches include: embedded optimization
method [1], [2] and linked simulation optimization
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SEE-Osaka, Japan, Nov. 21-23, 2016

simulation optimization model. However, in thismethodology and other methods the accurate
analysis of the process of groundwater flow andtransport requires accurate and adequate
information of hydrogeologic parameters andcontaminant concentration values. On the other
hand, the simulation of groundwater flow andsolute transport involves intrinsic uncertainties dueto the sparsity or lack of enough hydrogeologic
information of the porous medium. For example,
hydraulic conductivity plays a main role in theprocess of groundwater flow and transport and thisparameter may be the most uncertain parameter inthe groundwater flow and transport models. It is notpossible to measure this parameter in every location
or discretization nodes, where the ground waterflow and transport simulation model needs
hydraulic conductivity values. Generally, in realworld cases limited numbers of measured hydraulicconductivity are available and the values of thisparameter for other locations are subject touncertainty and these values need to be estimated.
Therefore, utilizing a proper method to estimate
the unknown hydrogeologic parameters based onlimited available data is essential in any
contaminant source identification strategy. If theseestimations do not approximate the hydrogeologic
parameters accurately, it will result in the
propagation of more errors and uncertainty in the
groundwater flow and transport simulation models.
Thus, the specific, main objective of this study is todevelop an efficient methodology to characterizeunknown contaminant sources. Also, this developed
methodology is evaluated especially wherecontaminant concentration measurement data are
missing for long time intervals, and hydraulicconductivity is only known at limited sample points.
These evaluation results demonstrate the potential
applicability of this methodology to contaminantsource identification in real world cases.

models, model evaluation and finalizing model byutilizing termination criteria [12]. These steps arebroadly explained in the section on construction of
SMBO.
Simulation Models
To solve the flow equation, numericalsimulation model MODFLOW is used.
MODFLOW was developed by the UnitedStates Geological Survey (USGS). The threedimensional equation of groundwater flow
through porous media is utilized by
MODFLOW which is a partial-differential
equation that represents the groundwater flow in
non-equilibrium, anisotropic and heterogeneousconditions [7].
In addition, a Modular Three-Dimensional
Multi species Transport Model (MT3DMS) is
used in this study. This model is used for the
groundwater system in order to simulate theadvection, dispersion, and chemical reactions
process of contaminants to calculate thecontamination concentration values. The
governing equation is a partial differential
equation and considers the fate and transport ofcontaminants of species in a 3-D transientgroundwater flow system[8].
Self-Organizing Maps
The Self-Organizing Maps (SOM) algorithm
transforms
complex
non-linear
statisticalmultidimensional data problems in to simple
geometric relationships [9]. The SOM abstracts themain information and their topologic relationships
on a visual display. Therefore, reducing thedimensions and visualizing of data are the two main
characteristics of SOM that enable SOM to bepractically utilized in different complex fields ofsciences [9]. In this study, due to the SOM’s ability
to abstract the nonlinear relationships of highdimensional complex system; SOM is utilized as
the tool to construct the surrogate model. The main
steps of SOM algorithm are initialization,competition, cooperation and adaptation which aredescribed below:
a. Initialization: all the units in the output
domain connect with the input units with an initial
network weights value.
b. Competition: for each input pattern, theoutput neurons compete to declare the winner
neuron for each input vector. The winner neuron orBest Matching Unit (BMU) is that one which has
the most similarity with the input vector.
c. Cooperation: The winning neuron
calculates the spatial distance of exited
neighborhood neurons to cooperate with them andupdate all weights of the winning neuron.

METHODOLOGY
Surrogate Models
Surrogate models or Response Surface Models(RSM) are compact analytical models. These
compact models are based on limited numbers of
input
and
outputsets
obtainedfromcomputationally extensive simulation models. If
these models are precisely constructed, surrogate
models are able to approximate the behavior ofcomplex system at reduced computational time [11].
Surrogate Model Based on Optimization (SMBO) is
one of the most practical types of surrogate models
which are utilized to solve the nonlinear complex
problems. The main steps of constructing a SMBO
are: sampling plan, implementing numericalsimulation models, construction of surrogate
450SEE-Osaka, Japan, Nov. 21-23, 2016

d. Adaptation: For this step, the processrepeats steps b to d until the desired iteration isreached, or the changes in the map for two
consecutive iterations are less than a specified
target value.
In this study, the software “SOM Toolbox forMatlab 5" is used to construct the SOM basedsurrogate models [10].

processes are complete, the surrogate model
represents the approximate simulation model.
In the traditional approach, the surrogate model
once developed can be linked to the optimization
model represented by objective functions andconstraints (1)-(3). In the developed methodology
in this study, the optimization model is not solved,
and the source characterization based on
concentration measurement data is accomplished byrunning the SOM based surrogate model in inverse
mode. The SOM based surrogate model is used toestimate the contaminant source characteristics as
the output, while the concertation measurements
resulting from the unknown contaminant sources
are used as inputs. Therefore, the optimization foran objective similar to the defined objective (1) isactually implicitly carried out by using thedeveloped SOM based surrogate model in inverse
mode. The limited performance evaluation resultspresented here for an illustrative contaminatedaquifer study area, utilizing synthetic hydrogeologic
data, and simulated concentration measurements
establish the potential applicability of this approach.

Definition of a Generic Objective Function
The implicit objective function of source
identification problem can be defined as by Eq. (1)which minimizes the difference between theestimated and the observed concentration values at
specific monitoring locations at specific time [13],
[4].
2
nob
k
k
k
Minimize E = ∑nk(1)
k=1 ∑iob=1�Cest iob − Cobsiob � . wiobk
Where Cest kiob and Cobsiob
are estimatedconcentration values and observed concentration
values at observation well location iob and at theend of time period k, respectively. nk and nob are
total number of concentration observations time andtotal number of observation wells, respectively. It isalso possible to normalize the objective functionk, where is weight corresponding
using weights wiob
to observation location iob at the end of time periodk, this parameter can be defined as:
𝑘𝑘
𝑤𝑤𝑖𝑖𝑖𝑖𝑖𝑖=

1

𝑘𝑘 +𝜂𝜂�2
�𝐶𝐶𝐶𝐶𝐶𝐶𝐶𝐶𝑖𝑖𝑖𝑖𝑖𝑖

Performance Evaluation
The performance of the developed methodology
is evaluated for an illustrative contaminated aquifer
study area (Fig. 1), with simulated concentrations
measurements. The performance evaluation iscarried out for two different scenarios based on two
different assumptions as stated below.
1. All the hydrogeologic parameters of themodel are precisely known; and2. Uncertainties are associated with thehydraulic conductivity of the study area;
and these parameter values are known onlyat limited sparse locations.
As for the first assumption, the study area
considered is heterogeneous and the actual
hydraulic conductivity values are assumed to be arandom variable. Therefore, in order to generate
hydraulic conductivity throughout the entire study
area the values of hydraulic conductivity (K) are
assumed to follow the Lognormal distribution [14].
Thus, it is possible to define a new parameter suchas Y = log K which is normally distributed. Also,
the Latin Hypercube Sampling (LHS) method is
utilized to randomly generate the hydraulicconductivity field throughout the study area
following the method used in [15].
The second assumption implies that the hydraulicconductivity measurements are available only at
limited locations, while the simulation models needthis parameter values at all its nodes. Therefore,hydraulic conductivity should be estimated at othernodes. According to [16] the Inverse Distance
Weighting (IDW) methodology could be the mostsuitable method to generate hydraulic conductivity(2)

Where η is a constant and should be sufficiently
large to prevent the denominator become near zeroat very low concentration [1]. The main constraintsof the optimization model are𝑘𝑘= 𝑓𝑓(𝑥𝑥, 𝑦𝑦, 𝑧𝑧, 𝑣𝑣𝑥𝑥 , 𝑞𝑞𝑠𝑠 , 𝐶𝐶𝑠𝑠 , 𝑡𝑡)
𝐶𝐶𝐶𝐶𝐶𝐶𝐶𝐶𝑖𝑖𝑖𝑖𝑖𝑖(3)

Where 𝑓𝑓(𝑥𝑥, 𝑦𝑦, 𝑧𝑧, 𝑣𝑣𝑥𝑥 , 𝑞𝑞𝑠𝑠 , 𝐶𝐶𝑠𝑠 , 𝑡𝑡) represents thesimulation models or SOM based surrogate modelat time step t. x, y, z is Cartesian coordinates of themonitoring locations, vx is groundwater velocity
along the x coordinate axis, qs is volumetric flux ofwater per unit volume of aquifer (T-1), Cs isconcentration of the sources or sinks (ML-3) andqs Cs is contaminant source fluxes (ML-3T-1). Thisapproach is the linked simulation optimization
approach as proposed by [3], [5].
However, in this new approach using the SOM
based surrogate model, the surrogate model isutilized in an inverse mode to characterize theunknown sources of contamination fromconcentration measurement data. The SOM basedsurrogate model is first trained and tested toapproximate the flow and transport processes in theaquifer study area. Once the training and testing451

SEE-Osaka, Japan, Nov. 21-23, 2016

because of its simplicity, and thus, associatedcomputational ease. This study also demonstrated
that the more complicated interpolation methods
such as Kriging or fractal-based methods perform
little better compared to simplified method such as
the IDW. Also, with very sparse measurement data
these two methods are not suitable. Therefore, inthis study IDW is utilized to generate hydraulicconductivity values at locations where these values
are unknown. Moreover; to quantify theperformance evaluation of the developed procedure,
Normalized Absolute Error of Estimation (NAEE)
is used as a criterion in this study. This parameter

calculates a normalized error of estimation.
Equation (4) represents NAEE [4]:𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁(%) =𝑗𝑗∑𝑆𝑆𝑖𝑖=1 ∑𝑁𝑁
𝑗𝑗=1��𝑞𝑞𝑖𝑖 �𝑗𝑗−�𝑞𝑞 �

𝑖𝑖 𝑎𝑎𝑎𝑎𝑎𝑎
𝑒𝑒𝑒𝑒𝑒𝑒𝑗𝑗∑𝑆𝑆𝑖𝑖=1 ∑𝑁𝑁
𝑗𝑗=1�𝑞𝑞𝑖𝑖 �𝑎𝑎𝑎𝑎𝑎𝑎

�

× 100

(4)

Where S is number of pollution source(s); N is𝑗𝑗number of transport stress periods; �𝑞𝑞𝑖𝑖 �𝑎𝑎𝑎𝑎𝑎𝑎 is actual
source flux at potential source number i in stress𝑗𝑗
period j; and �𝑞𝑞𝑖𝑖 �𝑒𝑒𝑒𝑒𝑒𝑒 is estimated source flux atsource number i in stress period j.

Fig. 1 Illustrative study area representing typical concentration plumes 4234 days after start offirst source activity (concentration values g/l)
Construction of SMBO
In order to solve the source identification
problem and evaluate the performance of the SOM
based surrogate model a type of SMBO, thefollowing steps are followed.
1. Scenarios for sampling plan: LHS isutilized to produce three groups of 250,
500, and 1000 initial sample sets with 2
potential contaminant sources withcontaminant fluxes in the range of 0-10 g/s.
2. Implementing
simulation
models:groundwater flow and transport simulation
models MODFLOW and MT3DMS(within GMS 7) are solved for threerandomly generated groups of source
fluxes. The simulation results provide thecontaminant concentration values at fivespecified monitoring locations resulting
from these two contaminated sources as
specified.
3. Construction of the surrogate models:
SOM algorithm is applied to create
surrogatemodelsrepresenting
the

4.

452

relationship between the aquifer stresses in
the form of contaminant injection and theresulting impacts in terms of theconcentration
valuesat
specifiedmonitoring locations and times. The
randomly generated potential source fluxes
and their corresponding contaminantconcentration magnitudes at specified
monitoring locations at specified time areused as the inputs for training of the SOM
based surrogate models. Then, to find theunknowncharacteristics(magnitude,
location and duration) of potential
contaminant sources, the BMU of SOM
algorithm that satisfies similar criterion as
the implicit objective function (1) of thisproblem is utilized. Therefore, thiscapability of SOM based surrogate models
eliminates the necessity of using any
complex and explicit optimization model.
Validation of the model: A group of 100
randomly generated sample sets ofpotential contaminant source fluxes andcorresponding
simulatedmeasuredSEE-Osaka, Japan, Nov. 21-23, 2016

5.

concentrations are utilized to test theperformance of the developed model once
it has been adequately trained. In this step,
the performance of the trained SOM
models for different scenarios representing
different numbers of initial sample sizes
and SOM map units are evaluated in termsof NAEE defined by Eq. (4).
Finally, based on the validation results
obtained in the previous step, the best
candidate SOM based surrogate model isselected. Once the best candidate SOM
model is validated and chosen, it is used
for further performance evaluation.

Transvere Dispersivity
Initial Contaminant Flux

3
0-10

Table 2 Locations and flux magnitudes of actual
contaminant sources
Potential
contaminant source
location (row,column, layer)

S1 (12, 15, 1)S2 (38, 9, 2)

RESULTS AND DISCUSSION

Contaminant fluxes (g/s)
SP
1

SP
2

SP
3

SP
4

SP
5

6.3
6.7

4.6
9.3

9.0
6.1

5.6
7.3

0.0
0.0

Table 3 Locations of monitoring wells

The illustrative study area utilized for the
performance evaluation of the proposed
methodology is a heterogeneous aquifer which
consists of three unconfined layers. This study area
is shown in Fig. 1. Table 1 shows the aquifer
characteristic values and dimensions of this study
area. In this study area, the north and south
boundaries are considered as no-flow boundaries.
Whereas, the east and west boundaries are
considered as specified head boundaries. Only aconservative contaminant and two potential
contaminant source locations (S1 and S2) areconsidered. Table 2 shows the locations and flux
magnitudes of the actual contaminant sources.
There are five monitoring wells; their locations arepresented in Table 3. The total time of simulation isdivided into 5 different stress periods (SP1 to SP5).
The first four stress periods are each of two years
duration and the last stress period is of 12 years
duration. Potential contaminant sources are
assumed to be active only in the first four stressperiods. It is specified that the contamination isdetected just two years after the contaminantsources had stopped their activity. It is also
specified that the five monitoring locations aremonitored over the last 10 years at an interval of 73
days.

Monitoring Location
1
2
3
4
5

Unit
m
m
m
m
m

m

Row
12
12
26
38
38

Column
21
35
28
16
29

Layer
1
1
1
1
1

In this study, different surrogate models using
different numbers of initial sample sets i.e., 250,
500, 1000, 1500 and 1750 are constructed. The
randomly generated source fluxes at two potential
contaminantsourcesandcorresponding
concentration measurement data at 5 selected
monitoring locations at an interval of 73 days overthe last 10 years of simulation are used to constructthese surrogate models. In these scenarios, thenumbers of SOM map units are maintained constant(100 × 100 units). The average NAEE percentagesof these constructed SOM based surrogate models
for 100 sample sets varied from 24.1 to 38.8. The
best results among these SOM based surrogate
models are obtained by using 1500 initial sample
sets.
Also, different SOM based surrogate models
representing different numbers of SOM map units
are constructed. The different SOM map units
considered are 50×50, 75×75, 100×100, 120×120,
130×130 and 140×140 units. In these scenarios, thenumber of initial sample sets is maintained constantat 1500. The average NAEE of these constructed
SOM based surrogate models for 100 sample setsvaried from 24.1 to 38.8.The best solution result forsource identification is obtained by utilizing 100 ×
100 map units. An important constraint in theseevaluations of different scenarios is the required
CPU time, which significantly increases when thenumbers of SOM map units are more than 120×120(Fig.2).
When utilizing the first assumption, thehydraulic conductivity field for the whole study
area is generated by assuming that the mean ofhydraulic conductivity in each of the three layers

Table 1 Hydrogeologic characteristics of the study
area
Parameter
Maximum length of study area
Maximum width of study area
Saturated thickness, b
Grid spacing in X and Y-directions
Grid spacing in Z-direction
Vertical anisotropy
Hydraulic gradient
Porosity
Longitudinal Dispersivity

m
g/s

Value
2100
1500
30
30
10
5
0.002380.3
15453

SEE-Osaka, Japan, Nov. 21-23, 2016(layer 1, 2 and 3) are 20, 17, and 21 m/day and thestandard deviation are 0.1, 0.08, and 0.12,
respectively. In the second assumption, it isassumed that the hydraulic conductivity
measurements are available only at 20 locations.
The distances between any two locations along the
maximum length and minimum length of the study
area are 300 and 450 meters, respectively.
Therefore, to generate hydraulic conductivity
values at other locations; the IWD method is
utilized as the interpolation method, due to its
efficiency and simplicity [16]. Figure 3 represents
the generated hydraulic conductivity field for layer
1 using IWD interpolation method.

Fig. 2 Computational times for constructing
different SOM based surrogate models
representing different numbers of SOM
map units

Fig. 3 Generated hydraulic conductivity for layer 1
The obtained NAEE values for source
identification are based on the first and second
assumptions are equal to 14 and 16 percent,respectively. These results are obtained by applying
the best SOM based surrogate model among theconstructed models for this study area. These
NAEE values are averaged over the 5 stress periods(SP1, SP2, SP3, SP4 and SP5) for two actual
contaminant sources (S1 and S2). Figure 4
represents the results of source identification forboth the assumptions. This figure compares theestimated source flux values with the actual source
flux values.

Fig.4 Source identification results
known. Second: hydraulic conductivity values are
uncertain and it is assumed that measurement
values are known only at 20 locations. Mainconclusions that can be obtained from these limited
performance evaluation results are:

CONCLUSION
In this study, in order to develop a SOM basedsurrogate model, different scenarios representing
different numbers of initial sample sizes and SOM
map units are considered. Also, the performance ofthe developed methodology is evaluated byconsidering two scenarios representing two
assumptions: first, the hydrogeologic parameters,i.e., hydraulic conductivity are assumed to be

1.

454

The SOM based surrogate model could
approximate groundwater flow andtransport simulation models adequately.
Also, this developed methodology
provides an alternative methodology toidentify unknown characteristics ofSEE-Osaka, Japan, Nov. 21-23, 2016

2.

3.

4.

5.

unknown contaminant source in terms oflocation, magnitude and duration of source
activity, without explicitly using a linked
simulation-optimization approach.
The initial sample size used for training
has crucial role on the efficiency of the
SOM based surrogate models. This size
should be sufficient to properly cover thewhole range of potential contaminantsourcefluxesandcorresponding
contaminantconcentration
values.
However, very larger number of initialsample sizes may also sometimes decrease
the accuracy of the solution results. For
example in this study the best result isachieved by utilizing 1500 initial sample
sets, and not 1750 sample sets.
The optimal numbers of SOM map units
are important. This parameter relates to thememory of the PC used and initial sample
sizes (Fig.2).
The most important conclusion is that the
SOM
based
surrogatemodelsindependently provide a procedure forcontaminant source identification, without
the necessity of using a linked simulation
optimization model.
The performance evaluation results are
based on very limited scenarios andtherefore restricted in scope. Further
performance evaluations are required to
fully establish the applicability of the
proposed methodology.

[4] Jha, M. and B. Datta, Three-Dimensional
GroundwaterContamination
SourceIdentification Using Adaptive Simulated
Annealing.
JournalofHydrologic
Engineering, 2013. 18(3): p. 307-317.
[5] Prakash, O. and B. Datta, Optimal
characterization of pollutant sources incontaminated aquifers by integrating
sequential-monitoring-network design andsource identification: methodology and an
application in Australia. Hydrogeology
Journal, 2015. 23(6): p. 1089-1107.
[6] Amirabdollahian, M. and B. Datta,
Reliability Evaluation of GroundwaterContamination Source Characterization
under Uncertain Flow Field. International
Journal of Environmental Science andDevelopment, 2015. 6(7): p. 512-518.
[7] Harbaugh, A.W., MODFLOW-2005, The
U.S. Geological Survey Modular GroundWater Model-the Ground-Water Flow
Process. 2005: U.S. Geological Survey
Techniques and Methods 6–A16.
[8] Zheng, C. and P.P. Wang, MT3DMS: A
Modular Three-Dimensional Multispecies
Transport Model for Simulation of
Advection, Dispersion, and Chemical
ReactionsofContaminantsinGroundwater Systems; Documentation andUser’s Guide. 1999: US Army Corps ofEngineers-Engineer
ResearchandDevelopment Center, Contract Report
SERDP-99-1. p. 220.
[9] Kohenon, T., et al., Engineering
Applications of the Self-Organizing Map.
IEEE, 1996. 84(10): p. 1358-1384.
[10] Vesanto, J., et al., Self-Organizing Map in
Matlab: the SOM toolbox. 2000.
[11] Gorissen, D., et al., A Surrogate Modelingand Adaptive Sampling Toolbox for
Computer Based Design. Journal of
Machine Learning Research, 2010. 11: p.
2051-2055.
[12] Forrester, A.I.J. and A.J. Keane, Recent
advances in surrogate-based optimization.
Progress in Aerospace Sciences, 2009.
45(1-3): p. 50-79.
[13] Mahar, P.S. and B. Datta, Optimal
identification of ground-water pollution
sources and parameter estimation. Journalof Water Resources Planning andManagement-Asce, 2001. 127(1): p. 20-29.
[14] Freeze, R.A., A Stochastic-Conceptual
Analysisof
One-Dimensional
Groundwater Flow in Nonuniform
Homogeneous Media. Water Resources
Research, 1975. 11: p. 17.
[15] Dokou, Z. and G.F. Pinder, Optimal
search strategy for the definition of a

ACKNOLOGMENTS
The second author thanks CRC-CARE,
Australia for providing financial support for thisresearch through Project No. 5.6.0.3.09/10(2.6.03),
CRC-CARE-Bithin Datta which partially funded
the Ph.D. scholarship of the first author.
REFRENCES[1] Mahar, P.S. and B. Datta, Optimal
monitoring network and ground-waterpollution sources identification. Journal of
Water
Resource
PlanningandManagement, 1997. 123 (4): p. 199-207.
[2] Mahar, P.S. and B. Datta, Identification ofpollution sources in transient groundwater
systems. Water Resources Management,
2000. 14(3): p. 209-227.
[3] Singh, R.M. and B. Datta, Identification ofgroundwater pollution sources using GAbased linked simulation optimization
model. Journal of Hydrologic Engineering,
2006. 11(2): p. 101-109.

455

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DNAPL source. Journal of Hydrology,
2009. 376(3-4): p. 542-556.
[16] Borman, G.K., F.J. Molz, and O. Guven,An
EvaluationofInterpolation
Methodologies for Generating ThreeDimensional
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Property
Distribution from Measured Data. 1995.
33: p. 12.

456

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

MECHANICAL PROPERTIES OF BIO-COMPOSITE CONCRETE
PANEL UTILIZING COCO COIR DUST AND LOW DENSITYPOLYETHYLENE
Neslyn E. Lopez1 and Joseph Berlin P. Juanzon2
Faculty, Malayan Colleges Laguna, Philippines

1,2

ABSTRACT
Incorporation of waste has proven its potential by many studies to develop an alternative construction material.
Bio-composite boards made from agricultural waste and plastic have been investigated by many researchers.
Coco coir dust and low density polyethylene (LDPE) are abundant due to the high demand in the agricultural andindustrial waste, respectively. These were used to produce a bio-composite board that can be substitute forcommercial boards. This study extended the application of bio-composite board to produce a concrete panel byutilizing it as permanent formwork. The produced bio-composite concrete panel (BCCP) was compared toconcrete block with the same dimensions of 200 mm x 100 mm x 50 mm. The thickness of the boards on eachface of the concrete core was 5 mm and 12 mm. Results showed the potential of the BCCP to be a lightermaterial compared to concrete panel with a density of 1640 kg/m3 for BCCP with 12 mm boards. Considerably,
BCCP had a good architectural finish compared to concrete block without finishes yet. Furthermore, BCCP had
a significant mechanical performance as non-load bearing wall construction with a mechanical and flexuralstrength of 7.53 MPa and 2.78 MPa, respectively, for BCCP with 12 mm boards.
Keywords: Bio-composite concrete panel, Mechanical performance, Bio-composite board, Coco coir dust

al. [5], on the other hand, the heat wave intensitywith the help of coconut fiber as barrier has
significantly reduced regardless of fiber orientation
as an insulation material to slab.
Furthermore, plastic waste is also abundant. The
production of plastics has increased due to wideusage in the food industry, automobiles andconstruction. Low density polyethylene (LDPE) is
one of the widely used thermoplastic polymers
which have a significant mechanical and physicalstrength. It has the following properties: soft,flexible, waxy surface, translucent and softens at
70°C [6]. It is one of the highest demand plastics
because of its uses such as plastic film for foodproducts; agricultural protective cloth/tarp; bags; thelining of milk packaging; electric cable coverings;
and gas and water pipes [7]. Consequently, it may
lead to higher solid waste sources since plastics are
non-biodegradable. Due to the rapid industrializationand economic development, it affects the natural
resources and became a major problem in solid
waste [8].
Many researches have shown the potential ofplastics to produce composite boards. A study
conducted by Youssef et al. [9] used recycled LDPE
as a binder to corn husk fiber which improved thetensile strength at 90/10 binder to material ratio.
Same results were derived on using coconut coir andwax instead of corn husk at 90/5/5 ratio(LDPE/coconut coir/wax ratio) [10]. Likewise, fromthe study of Del Pilar et al. [11] about the

INTRODUCTION
The incorporation of waste as alternative
construction materials is some of the focuses of theresearches in order to give solution forenvironmental issues the world’s facing today.
Agro-waste such as sugarcane bagasse, rice hull andcoco coir performed excellently as constructionbuilding materials regarding its strength, durability
and especially to thermal conductivity [1].
The Philippines is an agricultural country which
comprises the 47% of the total land area. According
to Zafar [2], the country has the largest number ofcoconut trees in the world. In this regard, thecontribution of the coconut wastes includes thecoconut shell, coconut husk and coconut coir dust.
Approximately 500 million coconut trees produce
remarkable amounts of biomass as husks (4.1
million tonnes), shells (1.8 million tonnes), andfronds (4.5 million tonnes) annually.
Coir dust also known as coco peat is the byproduct in the processing of husk to coco fiber
which appears as short spongy fibers and dust. The
application of coco coir in the fiberboard performs
acceptable results in the mechanical properties
which can be an alternative construction material
such as formworks [3]. Moreover, A study
conducted by Brasileiro et al. [4] about the use ofcoco coir pith particles in composites with Portland
cement which performed good compressive strength
as a lightweight material. According to Rodríguez et457

SEE-Osaka, Japan, Nov. 21-23, 2016combination of coco coir as base material and PVC
pellets as binder to form a composite board has ahigh significant result in its mechanical properties. It
also possesses good water resistance and better
texture. Thus, using finer coco coir helped to obtainsmooth finish on the board. In line with this, thecomposite board can be developed into alternative
construction materials. However, PVC is considereda hazardous plastic. The replacement of LDPE
which is low hazardous plastic may provide solution
for health risk issues [12]. Fortunately, a study
conducted by Atuanya et al. [13] about incorporationof wood saw dust and recycled LDPE also showed
good mechanical performance. This is also
recommended for alternative building materials topaneling, partitioning and ceiling.
Above all, it showed the potential of thecomposite boards made from waste agricultural
fibers and plastics which can alter the wood fibers(as base material) and either Urea formaldehyde or
Phenol formaldehyde (as binder), respectively. A
bio-composite board made from coco coir and LDPE
pellets are utilized as a permanent formwork ofconcrete to produce a bio-composite concrete panel(BCCP). This extends the application of the
produced composite boards as sandwich concrete
panel. In this study, the bio-composite boards wereused as facings; and concrete was the core material
for sandwich panel. The requirement of flexure andcompressive strength as composite material were
determined since it is subjected to both bending andcompressing for wall construction.
The main objective of the study is to determine
the potential of a bio-composite board made fromcoco coir dust and LDPE pellets with varying
thickness of 5 mm and12 mm as a permanent
formwork for concrete to produce BCCP with a total
thickness of 50 mm.

Production of bio-composite board
The desired density of the bio-composite board
was in the range of from 800 kg/m3 to 1000 kg/m3
which were classified as high density board. For thisstudy, the initial density of 950 kg/m3 was used. The
weights of the LDPE pellets and coco coir dust were
determined with the ratio of 70:30, respectively, inorder to fill the 200 mm x 200 mm mold on adifferent thickness of 5 mm and 12 mm.
The two roll mill machine was used for mixing
the LDPE binder and coco coir dust. It rotated withtemperature set at 130°C which is about the same as
the melting point of LDPE. The LDPE pellets werepoured between the two roll mills until melted. Thenthe coco coir dust is mixed with the melted LDPE
while repeatedly kneaded by the rotating roll mill to
mix the compositions thoroughly. After mixing, themixture was placed on a 200 mm x 200 mm mold at
different thickness of 5 mm and 12 mm.
The mold was placed between two parallel platesof the heat press machine on a set temperature of
approximately 180 °C that was subjected to apressure of around 3000 KPa for 5 minutes. Then theboards will be cooled for 5 minutes. Produced
boards were cut into half with the dimensions of 100
mm x 200 mm. Good architectural finish and textureof produced composite boards were required.
Production of BCCP
Gypsum screws with 38 mm length were placedon the bio-composite boards at 100 mm spacing on
both ways to provide connections between theconcrete and boards.
The cement, sand and gravel were mixed
together with the mixture ratio of 1:2:3. For binder,
water-cement ratio of 0.5 was used.
Bio-composite board was set as the formwork
upon concrete pouring. Assemble the formworks ineach side of the panel with the total thickness of 50
mm. For the controlled samples, composed ofconcrete blocks with dimensions of 200 mm x 100
mm x 50 mm, is placed onto ordinary formworks(usually made of plywood).
The concrete was poured into the mold to
produce a panel. Then the concrete was dried for 1
day before removing from the forms.
The produced BCCP and concrete block (withthe same dimensions of 200 mm x 100 mm x 50mm) was cured for 28 days at room temperature
before testing.

METHODOLOGY
Materials and Equipment
Coco coir dust and LDPE pellets were collectedfrom the Soriano Multi-Purpose Fiber Corporation in
San Pablo City and Transworld Trading Co. Inc.,
respectively. Portland cement (Type I), sand and ¾”
gravel are purchased at a local market
For the production of bio-composite board, thetwo-roll mill machine and heat press machine were
found in the Industrial Technology Development
Institute (ITDI) DOST Compound, Gen. Santos Ave.,
Bicutan, Taguig City, Philippines.
Universal Testing Machine (UTM) was used todetermine the maximum load and breaking load forthe computation of compressive and flexuralstrength (three-point bending test), respectively.

Mechanical test
Compressive strength test
The compressive strength of the composite
panels was obtained by determination of the458

SEE-Osaka, Japan, Nov. 21-23, 2016

maximum load using the UTM. The dimensions of
the samples were 100 mm x 200 mm subjected tocompressive force downward. The compressive
strength was calculated as:



P
bL

(1)

Flexural strength test
The flexural strength was determined by using
the three-point bending test of UTM which is inaccordance to ASTM C393 - 00 (Standard Test
Method for Flexural Properties of Sandwich
Constructions) with the same dimensions of 100 mm
x 200 mm x 50 mm BCCP and concrete block [14].
The sample was subjected to load at the midspanconsidering a simple support which is separated by
150 mm. The flexural strength was calculated as:

f 

3PL
2bd 2

Fig. 1

Bio-composite board made from coco coir
dust and LDPE pellets

As shown in Fig.2 is the produced BCCP.
Densities of the concrete block, BCCP with 5 mmboards and BCCP with 12 mm boards was 2,370
kg/m3, 2168 kg/m3 and 1640 kg/m3, respectively.
The lightest among the samples was BCCP with 12
mm boards which had lowered the densities
compared to concrete block and BCCP with 5 mmboards by 30.80% and 24.35%, respectively.
Likewise, utilizing bio-composite boards as
sandwich faces, increasing the thickness correspondto lighter weight. Since the produced composite
boards has a lighter density compared to concrete inwhich decreasing the volume of the concrete andincreasing the thickness of composite boards madethe material lighter. This showed the potential of
BCCP to become a lightweight material for building
construction.

(2)

Statistical Tool
Analysis of Variance (ANOVA) of single factor
was used to determine if there was a significant
difference on the means among concrete block,
BCCP with 5 mm bio-composite boards and BCCP
with 12 mm bio-composite boards on thecompressive strength and flexural strength. The
degrees of freedom, α, equal to 0.5 were used in the
study.
Post hoc analysis was also performed to evaluate
further the differences between combinations of pairsamples using least significant difference (LSD),
HSD and Scheffe’s test. The computed values at
each combination should attain greater than thevalues of post hoc analysis.
RESULTS AND DISCUSSION
The coco peat collected had passed sieve
numbers 6, 8, 12 and 18. Coco coir dust used for
production of bio-composite boards was passed on
sieve number 12 with the moisture content less than
5%. The produced board with 80:20 ratios by massof coco coir dust and LDPE resulted to undesirable
architectural finish. In this regard, the ratio of the
produced bio-composite board made from coco coir
dust and LDPE was 70:30 by mass which produced
better quality. On the other hand, the produced biocomposite boards as shown in Fig.1 with thicknessof 5 mm and 12 mm had densities of 925 kg/m3 and923 kg/m3, respectively. This is classified as highdensity boards according to standards.

Fig. 2

Produced BCCP cross-sectional area

Compressive strength
Concrete block obtained the highest averagecompressive strength of 18.04 MPa among the threesamples as shown on Table 1. It was followed by
BCCP with 5 mm boards with compressive strengthof 9.52 MPa. And, the lowest compressive strength
was obtained by BCCP with 12 mm boards of 7.53
MPa.

459

SEE-Osaka, Japan, Nov. 21-23, 2016

Table 1 Compressive strengths
SampleConcrete block
BCCP with 5 mm boards
BCCP with 12 mm boards

from 5 mm thickness board to 12 mm thickness
board.
Compressive
strength (MPa)
18.04
9.52
7.53

As shown in Fig.3, concrete block hadenormous difference compared to BCCP. It is 89%
and 140% higher compressive strength than of the
BCCP with 5 mm boards and 12 mm boards,
respectively. Nevertheless, BCCP with 5 mm boards
was 27% higher than BCCP with 12 mm boards.
The graph showed that by decreasing the concrete
thickness from 50 mm thick BCCP reduced its
compressive strength.
Based from single factor analysis of variance asstatistical tool for comparing the means ofcompressive strengths of the samples, the calculated
p-value was 0.002 that was less than the degree of
freedom of 0.05. These showed that there weresignificant differences between the means of thesamples. On the other hand, using post hoc analysis
of variance further statistical analysis was performed
to determine among which average compressive
strengths were statistically different from each other.
The results showed that all combination of samples
were significantly different except from BCCP with
5 mm to 12 mm board. A value of 1.990333333 wascomputed which was less than all values of LSD,
HSD and Scheffe. This signified that increasing the
thickness of bio-composite boards to BCCP had no
significant increase in the compressive strength.

Fig. 3Using single factor analysis of variance asstatistical tool for comparing the means of flexuralstrengths of the samples, the calculated p-value was
0.037 that was less than the degree of freedom of
0.05. These showed that there was significant
difference between the means of the samples. Basedfrom post hoc analysis of variance, further
observation was shown that all combination ofsamples were significantly different to each otherexcept from BCCP with 5 mm to 12 mm board. It
had a value of 0.492855 which was less than allvalues of LSD, HSD and Scheffe values. This also
indicated that increasing the thickness of biocomposite boards to BCCP had no significant
increase in the flexural strength. Also, the concrete
block was significantly higher to BCCP for flexuralstrength.

Flexural strength

Cost analysis

Based from three- point bending test, concrete
block yielded the highest flexural strength of 4.30
MPa among the three samples as shown on Table 2.
It was followed by BCCP with 12 mm boards with
flexural strength of 2.28 MPa. And, the lowest
among the three samples to withstand flexural stresswas BCCP with 5 mm boards with flexural strengthof 2.78 MPa.

The cost of the following samples was calculated
as shown on Table 4. Among the samples, concrete
block without finishes (dimensions as the same of
BCCP) was estimated to have the material cost of
USD 0.50 per block excluded of labor cost andindirect cost. It was followed by BCCP with 12 mmboards with material cost of USD 0.97. And, themost expensive among the samples with totalmaterial cost of USD 1.15 for BCCP with 5 mmboards.

Table 2 Flexural strengths
SampleConcrete block
BCCP with 5 mm boards
BCCP with 12 mm boards

Compressive and flexural strengths ofconcrete block and BCCP

Flexural strength
(MPa)
4.30
2.28
2.78

Table 3 Material cost

As shown in Fig.3, concrete block had 89% and
55% higher flexural strength than of the BCCP with
5 mm boards and 12 mm boards, respectively. The
graph trend somehow showed that the bio-composite
board contributed to increase the strength by 22%
460

SampleCost

Concrete block

USD 0.50

BCCP (5 mm boards)

USD 1.15

BCCP (12 mm boards)

USD 0.97

SEE-Osaka, Japan, Nov. 21-23, 2016

can alter other non-load bearing wall such as
sandwich panels, bricks and concrete hollow blocks.

The values showed drastic increase on the cost of
BCCP with 5 mm boards and 12 mm boards fromconcrete with 127.97% and 91.69%, respectively.
However, the produced BCCP had goodarchitectural finish, thus finishing cost could be
eliminated. On the other hand, increasing the
thickness of bio-composite boards (from 5 mm to 12mm) decreased the volume of concrete showed
reduction on the cost by 15.91%.

ACKNOWLEDGEMENTS
The authors would like to express her gratitude to
Malayan Colleges Laguna for rendering theirfacilities from preparation of materials, preliminary
tests and specimen testing. Special thanks to all of
the staffs and personnel under the Industrial
Technology Development Institute (ITDI) of the
Department of Science and Technology (DOST)
Compound located at Gen. Santos Ave., Bicutan,
Taguig City for their assistance for board production.

CONCLUSION
The produced bio-composite boards had a goodarchitectural finishes and classified as high density
board with a density of 925 kg/m3. Moreover, thebio-composite board utilizing LDPE as a binder isconsidered as less hazardous compared to PVC canbe used as alteration since it also achieved goodarchitectural finish. The used of bio-composite board
to produce concrete panel had decreased the density
compared to concrete block for about 30% with adensity of 1640 kg/m3 for BCCP with 12 mmboards. This showed the potential of BCCP as
lightweight material which were less than 1,840
kg/m3 as stated at ASTM C330.
The results showed that the concrete block
without bio-composite boards were the toughest
compared to BCCP considering both mechanicalproperties. Assessing the effect of bio-composite
boards on the BCCP, increasing the thickness of theboards had lowered the compressive strength by
27%. This showed that the compressive stress was
mainly carried by the concrete. On the other hand,increasing the thickness of the boards had increased
the flexure strength by 22%. This showed that thebio-composite boards contributed to the flexureproperties of sandwich panel. Based from statisticalmethods, there was no significant difference
between BCCP with 5 mm and 12 mm boards forboth compressive strength and flexure strength
through post hoc analysis. Thus, increasing the
thickness of the bio-composite boards does not
improve the mechanical properties of BCCP.
According to cost analysis, the concrete block
has the lowest material cost of USD 0.50 for
dimensions of 100 mm x 200 mm x 50 mm. The costof BCCP with 5 mm and 12 mm are higher thanconcrete block of 127.97% and 91.69%,
respectively.
It may not be favorable to the BCCP of having
lower mechanical properties and less economicalcompared to concrete block. The incorporation of
bio-composite boards as the faces of sandwich panel
did not improve the overall strength since thevolume of the concrete was lessened. However, thestrength obtained by BCCP can be considered as
non-structural wall and lightweight material
according to the code strength requirement. Thus, it

REFERENCES[1] Madurwar,
M.,
Ralegaonkar,
R.,&
Mandavgane, S., “Application of agro-waste forsustainable construction materials: A review.
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Feijoo, J., “Assessment of coconut fibre
insulation characteristics and its use to modulate
temperatures in concrete slabs with the aid of afinite element methodology”, Energy and
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[6] UNEP, “Valuing Plastics: The Business Casefor Measuring, Managing and Disclosing Plastic
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Hedfors, C., & Dahl , U., “Everything you(don’t) want to know about plastics”, Europe:
SwedishInternational
Development
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[8] UNEP, “Convering waste plastic into a
resource”, Japan: United Nations Environment
Programme, 2009.
[9] Youssef, A. M., El-Gendy, A., & Kamel, S.,“Evaluation of corn husk fibers reinforced
recycled low density polyethylene composites”,

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Materials Chemistry and Physics, 152, 2015,26-33.
[10] Kannan, R., Mohd, A. C., Mohd, Y. Y., &Haeryip , S., “Effect on Mechanical Properties
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462

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

GENERATION OF LIGHT EMISSION FABRIC USING PMMA/PS
BASED CLAD-STRIPPED PLASTIC OPTICAL FIBER
Sun Hee Moon and InHwan Sul*
Dept. of Materials Design Engineering, Kumoh National Institute of Technology, Rep. of Korea

ABSTRACT
Plastic optical fibers (POF) have several advantages over the conventional glass optical fibers (GOF), such as
flexibility and transfer of visible lights. For information delivery, various IT devices can be interconnected intoor onto the fabric. For aesthetic value, fabric can be active light emission device using optical fiber. In this work,
we propose a light emission fabric which contains optical fiber structure with the external clad layer removed
using mechanical or chemical method.
Keywords: Wearable Computer, Light-Emission Fabric, Clad-Removed Optical Fiber, Plastic Optical Fiber

under global bending. This behavior is not favoredin the communication purpose, but can be applied
for other purposes also. Typical example based ofemission of fiber optic sensors include sensors forliquid level measurement [7,8]. UV light, especially
useful for anti-microbial treatment [9,10], as well as
visible light can be used for the input light source.
The goal of this paper is to provide an efficient clad
removal mechanism and optimal POF based textile
structure which can emit UV or visible light to thewidth-wise direction of the fabric.

INTRODUCTION
6T technologies and their fusions are gaining
more interest to make a new market. Among various
products, wearable computer is the typical exampleof textile-IT fusion. Wearable computer can deliver
both information and aesthetic value through fabricstructure. For information delivery, various IT
devices can be interconnected into or onto the fabric.
For aesthetic value, fabric can be active lightemission device using optical fiber. Such lightemission fabric is already commercialized such as
Lumitex® and so on. When the visible light is used,
the optical fiber based fabric can be fashionableproducts. Otherwise UV can be delivered throughoptical fiber, in which can the fabric can be used for
medical uses. Previous works delivered light using
fiber Bragg grating (FBG) [1,2] or light-scattering
materials. In this work, we propose a light emission
fabric with optical fiber structure whose external
clad layer has been removed using mechanical orchemical method especially. The clad-removed
optical fiber was observed at its cross-section and its
light-delivering property was measured. Theoreticalwaveguide prediction of plastic optical fiber(POF)[3] will be provided also.

EXPERIMENT
Plastic optical fiber
PRG-FB250 (a step index POF, Toray Industries)
was used. It is composed of poly methyl
methacrylate / fluorinated polymer as core andcladding, respectively . Refractive index was a 1.49
/1.41, and diameter was a 240 ㎛ /250 ㎛ . A small
jig structure with heat (not shown here for patentfiling) was used for the removal of cladding layer.
Figure 1 shows the microscopic image of theoriginal structure of the POF when visible light was
injected. Figure 2 is the result of the clad-removed
one.

The aim this paper is to develop efficient lightemission POF structure that is based on cladding
stripped for wearable computer. There are a few
methodologies for fiber cladding stripping; h suchas mechanical, chemical and thermal treatment[4,5,6]. Among them, a mechanical-emission based
techniques was adopted in this work. The role ofcladding is to protect total internal reflection of lightinside the optical fiber waveguide. Once thecladding is removed in the middle of the fiber, thelights can be scattered out of the fiber core and thisscattering can be more vigorous when the fiber is463

SEE-Osaka, Japan, Nov. 21-23, 2016

Fig. 1 the optical image of the original result of
the POF with visible light LED.
Testing of light emission of POF under textile
crimp structure
The final purpose of our work is to generate alight-emitting textile weave structure using cladremoved POF’s (Figure 5). The fibers in the fabricweave structure are given global bending, which iscalled as “crimp structure” [13,14]. The crimp gives
more bended structure to the POF and the lightemission becomes more efficient.
Fig. 2 the optical image of the clad-removed resultof the POF with visible light LED.

Light source and spectroscopy device
The light transfer efficiency was measured using
a spectroscopy HL-2000 (Ocean Optics corp.) withmeasurement range of 190-1100 nm, 0.1 nm
resolution (Figure 1). An ultraviolet radiation LED
light source LLA-225 (Ocean Optics corp.) with a 6
W power was used as a light source (Figure 2). The
255 nm as chosen as the range is close to the opticalsterilization spectrum, which is known to be 250nm[11,12].

Fig. 5 Example of the proposed clad-removed
POF based weave structure (plain weave)

3D printed artificial weave structure for POF
light emission testing
As the fabric is very flexible in its widthdirection because of low bending rigidity, lightemission testing is not feasible. As an alternative
method to test the light emission quantitatively, arigid plastic structure was devised which simulates areal fabric crimp structure. As a first step, a straightfiber path was designed using Google Sketch Up
Make 2016 (Figure 6). The dimension of each part is
30 (width) x 50 (length) x 20 (height) mm.

Fig. 3Spectroscopy device (HL-2000).

(a) perspective viewFig. 4Ultraviolet radiation LED light source(LLA-225, 255nm)
464

SEE-Osaka, Japan, Nov. 21-23, 2016(b) combined result(b) side viewFig. 6 Straight fiber path structure design

Fig.8 3D printing result of the straight fiber pathstructure

A commercial 3D printer (Cube Pro Tri by 3D
systems) was used for the prototyping generation.
ABS resin filament was used with blue and redcolors (each correspond to bottom and upper parts of
Figure 6).

Figure 9 is the example of the spectroscopic
measurement graph using the proposed POF textile
structure.

(a) magnified view near the 344nm
Fig.7 3D printing process of the fiber pathstructure

Figure 8 shows the final printing result ofstraight fiber path structure. The rough surface fromthe support structure was smoothed using an acetone
steam treatment for an hour in a fume hood. The
POF is inserted amidst of the two parts. Note that theupper part contains a small hall to insert the
spectroscopy sensor stylus.

(b) overall visible light range signal
Fig. 9
Exampleofspectroscopic
measurement of the proposed clad-removed POF
structure (red : stripped the cladding POF signal,
blue : original(unharmed) POF signal)

RESULT AND DISCUSSION
Figure 3, 4 shows the optical image of theoriginal and clad-removed result of the plastic
optical fiber. Note that the fibers are given visible
light LED input at the one end, respectively. The
original fiber (Figure 3) does not show any lightemission at the entire fiber surface, because totalinternal reflection occurs due to the existence of theclad. Meanwhile, the clad-removed fiber shows
decreased diameter at the center and some light isshown as a white spot (Figure 4), which shows theclad was successfully removed. The refractive index
measurement of the fibers, theoretical prediction of(a) 3D printing result465

SEE-Osaka, Japan, Nov. 21-23, 2016

the light transfer and results from other clad
removing mechanism is on-going.
The artificial weave structure was devised tosimulate the complex textile crimp structure. As afirst step, the straight fiber path structure wasdesigned and 3D printed. The structure gave a stable
and reproducible experiment environment for POF
light emission as shown in Figure 8 and 9. The
second step will be more general crimps, such asplain, twill and satin weave structure.

[5] A.J.C. Grellier, N.K. Zayer, C.N. Pannell, “Heattransfer modelling in CO laser processing of
optical fibres”, Optics Communications, 152(4–6) (1998), pp. 324–328[6] C.R. Zamarreño, , S. Lopez, M. Hernaez, I. Del
Villar, I.R. Matias, F.J. Arregui, “Resonancebased refractometric response of claddingremoved optical fibers with sputtered indium tinoxide coatings”, Sensors and Actuators B:
Chemical, Volume 175, December 2012, Pages
106–110[7] H. Golnabi, M. Bahar, M. Razani, M.
Abrishami, A. Asadpour, “Design and operationof an evanescent optical fiber sensor”, Optics
and Lasers in Engineering, vol. 45, 2007, pp.
12-18.
[8] E. Udd, "Fiber optic smart structures," inProceedings of the IEEE, vol. 84, no. 6, Jun
1996, pp. 884-894.
[9] Lodovico Parmegiani, B.Sc.a, , , Antonio
Accorsi, B.Sc.b, Graciela Estela Cognigni,
M.D.a, Silvia, “Sterilization of liquid nitrogenwith ultraviolet irradiation for safe vitrificationof human oocytes or embryos”, Fertility and
Sterility, Volume 94, Issue 4, September 2010,
Pages 1525–1528[10] Bingshe Xua, b, , , Mei Niua, b, c, Liqiao Weia,b, Wensheng Houa, b, Xuguang Liua, d, “Thestructural analysis of biomacromolecule wool
fiber with Ag-loading SiO2 nano-antibacterial
agent by UV radiation”, Journal of
Photochemistry and Photobiology A: Chemistry,
Volume 188, Issue 1, 30 April 2007, Pages 98–
105[11] Laurent Urbana, Florence Charlesa, Maria
Raquel Alcântara de Mirandab, Jawad Aarroufa,“ Understanding the physiological effects of
UV-C light and exploiting its agronomic
potential before and after harvest”, Plant
Physiology and Biochemistry, Volume 105,
August 2016, Pages 1–11
[12] T. Bintsis, E. Litopoulou-Tzanetaki, R.K.
Robinson, “Existing and potential applicationsof ultraviolet light in the food industry – acritical review”, J. Sci. Food Agric., 80 (2000),
pp. 637–645[13] R. H. Brand and Stanley Backer, “MechanicalPrinciples of Natural Crimp of Fiber”, Textile
Research Journal January 1962 vol. 32 no. 1 3949
[14] A.S. Abhiraman, “Mechanics of Crimp
Formation in a Bicomponent Fiber Model”,
Textile Research Journal April 1974 vol. 44 no.
4 319-323

CONCLUSION
Thermal and mechanical force based clad
removal mechanism was used for the cladding
removal of plastic optical fiber. And the fiber wasinserted in the fabric weave structure. The sideemission of POF fabric structure was observed
quantitatively using a novel 3D printed artificial
crimp structure. The 3D printed provided anefficient environment for POF light emission
measurement. Only a straight fiber path was tested
in this work. More general crimps from various
textile weave structures will be reported in the next
work with theoretical modeling.

ACKNOWLEDGEMENTS
This work was supported by the National
Research Foundation of Korea (NRF) grant fundedby the Korea government (MSIP) (No. NRF2014R1A1A1002463).

REFERENCES[1] Hill, K. O. ; Malo, B. ; Bilodeau, F. ; Johnson,
D. C., “Bragg gratings fabricated in monomodephotosensitive optical fiber by UV exposure
through a phase mask”, Appl. Phys. Lett.,
62,1993, pp. 1035-1037.
[2] G. D. Peng, Z. Xiong, and P. L. Chu,
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[3] S. Louvros, Athanassios C. Iossifides, “Impulse
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[4] D.F Merchanta, , P.J Scullya, N.F Schmittb,“Chemical tapering of polymer optical fibre”,
Sensors and Actuators A: Physical, Volume 76,
Issues 1–3, 30 August 1999, Pages 365–371

466

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

EVALUATION OF SMED CONTRIBUTION USING SHAPLEY VALUE:
A CONCEPTUAL PAPER
M.A.Mansor1, S.S.Sulaiman1, S.N.M.Shaffe1 and A.R.Ismail2
Faculty of Technology Engineering, University Malaysia Pahang,
Lebuhraya Tun Razak, 26300 Gambang, Malaysia
2
Faculty Of Creative Technology and Heritage, University Malaysia Kelantan,
Beg Berkunci No.1, 16300 Bachok, Kelantan
1

ABSTRACT
Single Minutes of Exchange Die (SMED) is one of the most popular approaches to reduce machine set-up
time and provide quick equipment changeover and rapid die exchange. This approach allows manufacturers to
produce products in small batches with short lead time by rapidly change one product to another. There are four
important stages in SMED and these activities are working together to achieve the goal, which is to shorten
machine set-up time. Therefore, we need to know how important one activity compared to another or how anactivity contributes to achieve the goal. In this paper, we apply a method called Shapley Value to investigate thefairest allocation of the contributions obtained between the activities in every production line. Each activity in
SMED are considered as the contributors while each production line will be considered as the players. The
combinations of the contributors and players will create a number of permutations. From these permutations, themarginal contribution of each player to coalition can be evaluated. We also determined an index called “Scale ofBalance” (SoB) where the SoB gives the position of each player against the best-performing player. A
conceptual model to evaluate the fairest allocation of the contributions of each SMED activity in productionlines will be proposed during this study. We believe that by knowing the importantness of certain activity, more
effort can be put to improve the activity in proper balance.
Keywords: Shapley Value, Single Minutes of Exchange Die (SMED), Performance Measurement

There are four conceptual stages in SMED;
preliminary stage, separating internal and external
setup stage, converting internal to external setup
stage, and finally streamlining all aspects of the
setup operation stage [2]. These activities areworking together to achieve the goal, which is toshorten machine set-up time. Therefore, we need toknow how important one activity compared toanother or how an activity contributes to achieve thegoal.
In this paper, we apply a method called Shapley
Value to investigate the fairest allocation of thecontributions obtained between the activities inevery production line. Each activity in SMED is
considered as the players while each production line
will be considered as the contributors. The
combinations of the contributors and players will
create a number of permutations. From these
permutations, the marginal contribution of eachplayer to coalition can be evaluated. We also
determined an index called “Scale of Balance”(SoB) where the SoB gives the position of eachplayer against the best-performing player [3].

INTRODUCTION
In addition to the excellent functions, customers
are also looking for more attractive design of the
product. This can be seen when manufacturers often
release their new models in a short cycle time. Thisphenomenon also makes the competition between
manufacturers to attract customers has become
intense.
The use of mold or die is one of the methods for
producing an attractive design and to fulfill the rapidchanging of the product. However, the mold or die
should always be changed depending on the type ofthe model need to be produced. Usually, the process
to change the mold or die will take time and during
the changeover time, the production line had to be
stopped. This will result in a loss for the company if
the changeover time is long.
To overcome this problem, many companies
implement the SMED approach to reduce thechangeover time mold or die. SMED is one of themost popular approaches to reduce machine set-up
time and provide quick equipment changeover andrapid die exchange. This approach allows
manufacturers to produce products in small batcheswith short lead time by rapidly change one productto another [1].

LITERATURE REVIEWSingle Minutes Of Exchange Die (SMED)
467

SEE-Osaka, Japan, Nov. 21-23, 2016

be shorter. Finally, stage four is the stage where we
examine both internal and external setup operations
for additional opportunities for improvement.
As SMED had been developed 60 years ago,
many researchers attempt to make improvements to
the SMED. For example, Almomani et al (2013)
incorporates Multiple Criteria Decision-Making
Techniques (MCDM) techniques to SMED’s stage
three. The MCDM techniques used in this work are
Analytical Hierarchal Process (AHP), Technique forOrder Preference by Similarity to Ideal Solution(TOPSIS) and Preference Selection Index (PSI). In
addition to the reduction in the setup time, theproposed approach takes into consideration various
factors, that govern the setup selection technology;
including: cost, energy, facility layout, safety, life,
quality and maintenance [4].
Karasu et al (2014) incorporated Taguchi designof experiment into SMED methodology to achieve
the parameter set that provides the quality productwith fewer trials to start the mass production [3].
Moxham and Greatbanks (2001) suggested that theeffective implementation of SMED necessitates anumber of fundamental requirements. Therefore, theauthors proposed prerequisite requirements for
successful SMED application, defined as SMEDZERO. According to Moxham and Greatbanks, the
SMED-ZERO attributes must be in place before thetraditional SMED techniques can be applied
successfully [4].
SMED can give the benefits such as; machine
operating rates will be increased by shortening setup
times, small lot production significantly reduces
finished goods inventories and the buildup of stocks
between processes, increased production flexibility
to respond to rapidly changes in model and delivery
time requirements, and finally, eliminate time spentin waiting for processing of one lot to be completed
before another lot can be processed [5].

SMED, introduced by Shingo in the early 1950s
is a theory and a set of techniques that aims to
reduce the setup time, that is, the time elapsed
between producing the last good product of the first
lot and the time of producing the first good productof the next lot [4]. The objective of SMED is tomake it possible to perform equipment setup(changeover) operations in single minutes, which isless than 10 minutes.
According to Shigeo (1989), setup operations
consists of two fundamentally different types:
Internal setup and External setup. Internal setup is aprocess that can be performed only when a machineis stopped such as mounting or removing dies while
External setup is a process that can be conducted
while a machine is in operation such as such astransporting old dies to storage or conveying newdies to the machine [5].
Shigeo (1989) [5] stated that setup time iscomprised of following four functions;• Preparation of material, dies, jigs, andfixtures that take 30 percent of setup time,•
Clamping and removing dies and tools thattake 5 percent,• Centering and determining the dimensionsof tooling that takes 15 percent, and finally,• Trial and adjustment that takes 50 percent
from the overall setup time.
Stage one in SMED is the preliminary stage,
where the goal of this phase is to have an overall
image for all setup activities included in thechangeover process. At this stage, data about current
setup procedures will be collected. This can be done
through the interviews with the person in-charge ofmachines, followed by time and motion study todetermine the standard time for each operation. A
Standard operation setup check sheet need to be
used to list all setup operations and theircorrespondence required resources.
Stage two is to identify which set-up operationmust be performed while the machine is shut down
(internal setup) and which can be performed whenthe machine is running (external setup). This stage isthe most crucial stage in the implementation of
SMED because we only can reduce setup time if
most of the necessary tasks in exchanging the die are
performed while machine is running.
In stage three, the current setup operation todetermine whether any of the activities conducted asinternal setup can be converted to external setup will
be analyzed. If more internal set-up time to can beconverted to external set-up time, the setup time will

Shapley ValueThe Shapley Value [6], proposed by Lloyd
Shapley in 1953 is a Game Theory concept todetermine the fair distribution to each player of the
profit obtained by collaboration among players. Itsalso can be used to determine the importantness ofeach player in a coalition game to achieve the goal.
A coalition game is where groups of players(coalitions) may enforce cooperative behavior
between their members. For example, in a soccer
game, eleven players are working together as a team
to win the game. Each player contributes their skills
468

SEE-Osaka, Japan, Nov. 21-23, 2016

defined as following:

to the team and the team with the higher value of a
combination of skills will win the game. Hence, thegame is a competition between coalitions of players,rather than between individuals.
In this paper, we define a subject that contributes
to the whole activity as the player and the elementsthat players contribute to the whole activity as thecontributor. A player’s Shapley Value reflects how
much that player contributes to a coalition—that is,
how much value the contributor adds to the coalition.
A contributor that never adds much has a small
Shapley Value, while the contributor that always
makes a significant contribution has a high Shapley
Value.
Assume that there are n players with mcontributor and let w be the weight to the contributor.
Any subset S of the player set N=(1,…, n) is called a
coalition. The record for the coalition S is defined by𝒙𝒙𝒊𝒊 (𝑺𝑺) = � 𝒙𝒙𝒊𝒊𝒊𝒊
𝒋𝒋∈𝑺𝑺(𝒊𝒊 = 𝟏𝟏, … . , 𝒎𝒎)

𝜸𝜸𝒏𝒏 (𝑺𝑺) =(𝒔𝒔 − 𝟏𝟏)! (𝒏𝒏 − 𝒔𝒔)!
𝒏𝒏!

In (3) and (4), n is the total number of all theparticipants, s is the number of members in the Sthcoalition, and c(×) is the characteristic function used
for estimation of utility for each coalition. If a subset
S(⊂ N)includes player k, k’s marginal contribution is
obtained as c(S)-c(S-{k}). [7][8]ILLUSTRATIVE EXAMPLE
Assume that there are 4 metal stamping machines
in a production line, namely M 1 , M 2 , M 3 , and M 4 .
All machines have been through 3 SMED activities,
namely A 1 , A 2 , and A 3 to reduce its die changeover
time. Table 1 shows the example to illustrate theconcept of this paper. The time consumed for eachactivity is denoted by t mn . J m is the total times spentby each contributor or activity.For example, J 1 is thetotal time spent to identify the overall image of all
setup activities for each machine.

(1)where:
x ij is the record of player j to the contributor i.

Table 1: Illustrative example
PlayerThis coalition aims at obtaining the maximal
outcome c(S):𝒎𝒎

𝒄𝒄(𝑺𝑺) = � 𝒘𝒘𝒊𝒊 𝒙𝒙𝒊𝒊 (𝑺𝑺)

𝒊𝒊=𝟏𝟏

(2)

𝒘𝒘𝒊𝒊 ≥ 𝟎𝟎(∀𝒊𝒊 )

M3

M4

Sum

A1

t 11

t 12

t 13

t 14

J1

A2

t 21

t 22

t 23

t 24

J2

A3

t 31

t 32

t 33

t 34

J3

From Table 1, we normalized the sum to 1 as
exhibited in Table 2.

The c(S) , with c(∅)=0, defines a characteristic
function of the coalition S. Thus, we have a game incoalition form with transferable utility, as
represented by (N,c).

Table 2: Normalized values
PlayerThe Shapley Value of the game (N,c) for theplayer k is the average of its marginal contribution
topossible coalitions:

M1

M2

M3

M4

Sum

𝒕𝒕𝟏𝟏𝟏𝟏
𝑱𝑱𝟏𝟏

𝒕𝒕𝟏𝟏𝟏𝟏
𝑱𝑱𝟏𝟏

𝒕𝒕𝟏𝟏𝟏𝟏
𝑱𝑱𝟏𝟏

𝒕𝒕𝟏𝟏𝟏𝟏
𝑱𝑱𝟏𝟏

𝑱𝑱𝟏𝟏
𝑱𝑱𝟏𝟏

𝒕𝒕𝟑𝟑𝟑𝟑
𝑱𝑱𝟑𝟑

𝒕𝒕𝟑𝟑𝟑𝟑
𝑱𝑱𝟑𝟑

𝒕𝒕𝟑𝟑𝟑𝟑
𝑱𝑱𝟑𝟑

𝑱𝑱𝟑𝟑
𝑱𝑱𝟑𝟑

Contr-ibutor
A1

𝝋𝝋𝒌𝒌 (𝒄𝒄) = � 𝜸𝜸𝒏𝒏 (𝑺𝑺)[𝒄𝒄(𝑺𝑺) − 𝒄𝒄(𝑺𝑺 − {𝒌𝒌})]M2-ibutorsubject to:𝒎𝒎

M1

Contr-

𝒊𝒊=𝟏𝟏

� 𝒘𝒘𝒊𝒊 = 𝟏𝟏

(4)

(3)

A2

𝒂𝒂𝒂𝒂𝒂𝒂 𝑺𝑺

A3

with weights of probability to enter into a coalition S
469

𝒕𝒕𝟐𝟐𝟐𝟐
𝑱𝑱𝟐𝟐
𝒕𝒕𝟑𝟑𝟑𝟑
𝑱𝑱𝟑𝟑

𝒕𝒕𝟐𝟐𝟐𝟐
𝑱𝑱𝟐𝟐

𝒕𝒕𝟐𝟐𝟐𝟐
𝑱𝑱𝟐𝟐

𝒕𝒕𝟐𝟐𝟐𝟐
𝑱𝑱𝟐𝟐

𝑱𝑱𝟐𝟐
𝑱𝑱𝟐𝟐

SEE-Osaka, Japan, Nov. 21-23, 2016

good combination balance from the contributor willlead to higher allocation for the player.

From equation (2), maximum outcome of c(M 1 ) is
given by;c(M 1 )=max t 1 w 1 + t 2 w 2 + t 3 w 3Assume that the result of above exercise is asshown in Figure 1. From the figure, the value ofcontribution for each player can be observed. M 1
contributed most to achieve the goal the while theM 4 is the worst player among all machines. At thesame time , from the form of graphs, its shows thatthe activities were imbalanced because the gaps
between the contribution of M 1 and M 4 are quite
large.

subject to:
w 1 + w 2 + w 3 = 1,
w1, w2, w3 ≥ 0
where w is the weight of the contributor. The
optimal solution, c(M 1 ) can be obtained when w 1 =1,
w 2 =0, and w 3 =0.
From Table 2, all coalition’s values for eachcontributor will be enumerated. For example, thevalue of coalition {M 1 ,M 2 } for contributor A 1 is𝒕𝒕
𝒕𝒕
given as 𝟏𝟏𝟏𝟏 + 𝟏𝟏𝟏𝟏.
𝑱𝑱𝟏𝟏

𝑱𝑱𝟏𝟏

𝑱𝑱𝟏𝟏

𝑱𝑱𝟏𝟏

Coalition {M 1 ,M 3 } and {M 2 ,M 3 } are calculated by
𝒕𝒕𝟏𝟏𝟏𝟏 𝒕𝒕𝟏𝟏𝟏𝟏 𝒕𝒕𝟏𝟏𝟏𝟏 𝒕𝒕𝟏𝟏𝟏𝟏+ ,+ , respectively.
𝑱𝑱𝟏𝟏

𝑱𝑱𝟏𝟏

The combination of Player M 1 , M 2 , M 3 and M 4created24
permutations.
In
permutation
M 1 M 2 M 3 M 4 , player M 1 is the first comer to thecoalition, follows by player M 2 , M 3 and finallyplayer M 4 , Thus, the marginal contribution of eachplayer to coalition can be evaluated as below;
M 4 ’s marginal contribution is;c({M 1 ,M 2 ,M 3 ,M 4 }) - c({M 1 ,M 2 ,M 3 })

M1

M2

M3

M4

Figure 1. The SoB for each player
Data and results shown above are only for asingle point of time. If the data can be collected andthis exercise can be done every particular time, forexample every 3 months or every 6 months, thetrends in the value of the contribution for eachmachine can be observed. Figure 2 illustrates theexample of how the contributions for each machines
have changed over time.

M 3 ’s marginal contribution is;c({M 1 ,M 2 ,M 3 }) - c({M 1 ,M 2 })M 2 ’s marginal contribution is;c({M 1 ,M 2 }) - c({M 1 })Lastly, M 1 ’s marginal contribution can be derivedfrom;c({M 1 }) - c({∅})

M1

The same calculation then was repeated for every
permutation. The average of the marginalcontribution of the player was respectively taken andthis average is described as the Shapley Value.
Furthermore, each player's Shapley Value wasdivided by the highest value of the Shapley Value toobtain a score for each player.

M2
M3
M4

T1

SoB = Shapley Value for each player /(the best
Shapley Value among the players)

T2

T3

T4

Figure 2. Example of the changes over time.

We refer to this score as the "Scale ofBalance"(SoB) [5]. The SoB was proposed by
Mansor and Ohsato (2010) to give the position ofeach player against the best-performing player. They
defined SoB=1 when a high contribution with a

Assume that T 1 to T 4 in Figure 2 are the period
where the data is collected and analyzed. The formof graphs shows that the activity was carried out
disproportionately. It is important for us to ensurethat the activities performed are in good balanced so
470

SEE-Osaka, Japan, Nov. 21-23, 2016that resources that be consumed in the activity suchas in SMED are being used properly.

anIndusrial
Engineering
Viewpoint.,
Productivity Press, 1989, USA.
[3] Karasu et al, Improvement of changeover times
via Taguchi empowered SMED/case study on
injection molding production, Measurement 47,
2014, pp.741–748.
[4] C.
MoxhamandR.
Greatbanks,
2001,Prerequisites for the implementation of the
SMED methodology:A study in a textile
processing environment, International Journalof Quality & Reliability Management,Vol. 18
No. 4, pp. 404-414.
[5] M.A. Mansor, A. Ohsato, “Evaluation of thecontributors of overall equipment effectivenessusing shapley value”, International Journal Of
Research And Reviews In Applied Sciences,
Volume 2, Issue 3, 2010, pp.257-263.
[6] Roth,E.A., ,The Shapley Value,Cambridge
University Press, 1988, New York, USA.
[7] K.Nakabayashi, K.Tone, ”Egoist’s dilemma: a
DEA game” ,Omega 34, 2006,pp.135-148[8] M.Conklin,
K.Powaga,
S.Lipovetsky,“Customer satisfaction analysis: Identificationof key drivers”, European Journal ofOperational Research 154,2004,pp:819-827[9] Ferradás, P. G., & Salonitis, K. (2013).
Improving changeover time: A tailored SMED
approach for welding cells. Procedia CIRP, 7,
598–603.
[10] Mansor, M. A., & Ohsato, A., The Concept ofMoving Coalition Analysis and its Transpose,
European Journal of Scientific Research, Vol.39
No.4, 2010, pp.548–557.

CONCLUSION
The concept proposed in this paper is suitable tobe practiced by the company that will start the
SMED activity or the company that has been
implementing SMED and have complete data since
SMED been implemented in their production lines.
The most crucial element in this exercise is the data.
Data should be collected accurately and periodically.
Incorrect data will lead to a wrong decision and thisdecision could give a bad impact to the company.
Although SMED is known for more than sixty
years, a number of companies have failed on
implementation. Some companies put too muchemphasis on transferring changeover internal tasks
to external, missing the importance of minimizing or
streamlining internal and external activities bydesign improvements[9].Therefore, it is important tocarry out the activities in proper balance to ensurethat such activities will not fail.
FUTURE WORKS
The basic idea presented in this paper had been
implemented to find out the contribution of
measurable elements in Overall Equipment
Effectiveness. However, the implementation of thisexercise to find the value of the contributions andthe balance of activities in SMED has not beenpracticed yet. Therefore, as our future works, wewould like to validate this idea using the real datafrom the company that will start their SMED activityor the company that has been implementing SMED
and recorded all the data properly. We also would
like to observe the contribution from various pointsof view by using other tools such as “Moving
Coalition Analysis” or “Transpose Moving Coalition
Analysis”[10].
ACKNOWLEDGEMENTS
This research was fully supported by the Ministry ofHigher Education (MOHE) of Malaysia under the
project no. RDU130128 of Fundamental Research
Grant Scheme (FRGS).
REFERENCES[1] Almomani et al, “A proposed approach for
setup time reduction through integrating
conventional SMED method with multiple
criteria
decision-making
techniques”,
Computers & Industrial Engineering 66,
2013,pp.461–469[2] Shigeo Shingo, translated by Andrew P.Dillon,
A Study of the Toyota Production System From471

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

DAMAGES CAUSED TO INFRASTRUCTURE DUE TO
GEOTECHNICAL FAILURES BY THE TC WINSTON IN FIJI

Ravikant R Singh1, Faijal Ali1, Darga N Kumar2, Sanjay Prasad3, Atinesh V Prasad3 and Ravindra Chand3
1
Lecturer, 2 Professor, 3 Graduate Student, College of Engineering Science and Technology, Fiji National
University, Fiji Islands.

ABSTRACTOn 20th of February 2016, Fiji had experienced earth’s second strongest cyclone of category 5 with wind speed
up to 185 mph. Geotechnical failures were observed in the western part of Viti Levu and the northern part of Fijiislands like Koro, Vanabalavu, Taveuni etc., which mostly falls on the cyclone path. This paper presents thedetailed inspection carried out on geotechnical failures of infrastructure such as highways, electric poles,
foundations of buildings and bridge abutments in the western part of Viti Levu especially the provinces like
Rakiraki, Tavua and Ba. A team from Fiji National University had inspected the damaged infrastructure andassessed the damages in terms of engineered structural connections, foundation soil strengths and associatedenvironmental factors around the area. This paper presents the inspection carried out along with the relevant
geotechnical analysis explaining the reasons of failures and also recommendations for building a cyclone
resistant infrastructure.
Keywords: TC Winston, Geotechnical Failures, Soil Grain Size, Sinkhole.

framing, soil profile, construction methods,
construction costs, and client/owner’s needs, (ii)design without affecting environment and enoughmargin of safety with respect to unforeseen eventsand uncertainty in determination of engineering
properties of soil and acceptable tolerable risk levelto all the parties, i.e., public at large, the owner, andthe engineer. The geotechnical or structural “failure
is an unacceptable difference between expected andobserved performance”. The failure of a structure
may be due to poor design, faulty construction,
excessive loads and soil related failure. The soil
failure leads to foundation failure and in turn overall
failure of whole structure, loss of life as well as
economical loss. There are several factors
contributing to the failure of foundation, if
overlooked or addressed improperly, such as,
construction error, improper soil investigation,
fluctuation of ground water table, seismic loads, etc[2]. Commonly one can find two types of
construction errors such as temporary protection
measures and actual foundation work itself [3]. As
per [4]-[5] the soil type is very important in terms ofoffering resistance to the landslide. Also, the slope
geometry can be another responsible parameter tocause slope failure. In the recent past there weremany preventive and remedial measures came up
into the real practice which includes modifying thegeometry of the slope,
controllingthegroundwater; constructing tie backs, spreadingrock nets, providing proper drainage system,
provision of retaining walls, etc. Most of the

INTRODUCTION
Fiji is located in the Pacific Ocean and covers atotal area about 194,000 square kilometres. Fiji isthe hub of the South West Pacific, midway between
Vanuatu and Tonga. Fiji consists of 332 islands inthe southwest Pacific Ocean about 1,960 mi (3,152km) from Sydney, Australia. About 110 of theseislands are inhabited. The two largest islands are Viti
Levu (10,642 sq km) and Vanua Levu (5,807 sq.
km). The population of Fiji was estimated to be 902
964 people as of January 2016 census. Due to its
location in the Pacific Ocean Fiji has been facing
seasonal cyclones from November to April every
year. This year it has experienced earth’s second
strongest cyclone of category 5 with wind speed up
to 185 mph.
Even though records don't date too far back for
Fiji's tropical weather, meteorologists know it's
fairly rare for a tropical cyclone to hit the country's
capital city. The western part of Viti Levu and thenorthern part experienced a lot of disturbanceincluding islands like Koro, Vanabalavu, Taveuni
etc, which mostly falls on the cyclone path. It isindeed a great concern and challenge for theEngineers of Fiji. This paper presents the report on
geotechnical failures caused due to TC Winston.
As per [1] a proper design of foundation system
requires the following (i) purpose of engineering
structures, probable service life loadings, types of472

SEE-Osaka, Japan, Nov. 21-23, 2016

places on the earth, the sinkholes are observed
commonly. As per [6], it can be suggested three
types of sinkholes such as solution sinkholes, covercollapse sinkholes and cover subsidence sinkholes.
The occurrence of sinkholes within the subsurface
can be attributed to the redirection of surface water
flow, leaking drainage, water and sewage systems
and in many cases, heavy traffic in their vicinities[8]. The destructive effects of soil liquefaction,
sudden drawdown, ground water flow can cause
sometimes sudden or excessive settlements in the
ground. These sudden settlements can cause sinking
of structures or pavements in the order of 0.5m toeven 2m from the original ground level. In the
recent past impressive progress has been made inunderstanding the various ground failures associatedwith environmental factors and developing thetechnology for mitigating ground related hazards
such as liquefaction, sudden drawdown, sinkhole
formations is very essential [7].

Viti Levu, Fiji immediately after the Cyclone. Figure
1 shows the map of Viti Levu in Fiji highlighting theKings road in red colour. Extensive damages to theinfrastructure were observed along the Kings road.
The team carried out the forensic studies by visiting
the sites where the structures suffered due togeotechnical failures.

The over consolidation ratio of clay soil is an
essential geotechnical parameter to understand theconsolidation behavior and associated settlements ofstructures founded on these clay soils. As per [9] theclay response to construction is not truly undrained.
A significant consolidation develops initially in theover consolidated natural clay, which becomesnormally consolidated during construction. An
undrained behavior develops only in the normallyconsolidated clay during the initial stages of theconstruction.

Fig 1

Google map of Viti Levu showing Kings
Road in red color.

The post cyclone investigation was carried out inthe form of in-situ geotechnical testing such as fieldvane shear, core cutter and visual inspection. Also
the soil samples were collected at the respective sites
and were tested in the laboratory for index properties
such as grain size analysis and consistency limits.
The data relevant to soil properties is presented inTables 1 and 2.

Soft clay soils are prone to excessive settlements
and almost the structures found on these soils canpunch through in the order of 3m to 4m depending
upon the state of consistency of clay in-situ. Thesesoils are required to be treated before construction of
any infrastructure such as highway pavement or highrise buildings etc. As per [10] reliability analysis is anecessary component of design for embankments
supported on columns installed by the deep mixing
method. The strength of deep mixed materials isquite variable, and reliability analyses permit thisvariability to be rationally incorporated in the design
process. Furthermore, these systems are complex,
and typical variations in clay strength, if notaccounted for, could induce abrupt bending failure
in isolated columns. Consequently, the ordinary
values of factor of safety that geotechnical engineers
use to develop reliable designs for otherembankment systems are not applicable toembankments supported on columns installed by the
deep mixing method.

The symbols presented in the Tables 1 and 2 are
as follows: G = Gravel, CS = Course Sand, MS =Medium Sand, FS = Fine Sand, SC = Silt and Clay,
LL = Liquid Limit, PL = Plastic Limit. PI =Plasticity Index, γd = Dry Unit Weight. The samples
location is presented from A to I. A is Tailevu road
failure, B1 is Korovou road failure, B2 is Korovou
road failure, C is the site of electric post failure, D islandslide site at Ra, E is landslide site at the
Bucalevu, Church, F is bridge failure at Bucalevu, G
is sinkhole site near to Nabulini village, H is thesteel structure failure site near to Navitilevu
alongside Kings road, I is the road failure site near
Naria Rakiraki Kings road.
Along with the visual inspection notes, some ofthe pictures were taken for analysis of various
geotechnical failures that took place during TC
Winston. In the next section, the failures are
explained with the respective pictures.

METHODOLOGY AND SOIL SAMPLES
The team consisting of academic’s and studentsof Fiji National University of Fiji Islands visited thesites which were most affected by the TC Winston in473

SEE-Osaka, Japan, Nov. 21-23, 2016

Table 1 Grain size analysis of soil samples
SampleLocation
A
B1
B2
C
D
E
F
G
H
I

G
0
0
0
0
10
0
3
20
0
10

Figure 3 shows picture taken at the Korovou
road failure site where vane shear test was
conducted. The average in-situ vane shear strengthof soil at the site is recorded as 35 kPa and field dry
unit weight of soil from the core cutter method wasfound to be 14.6 kN/m3.

Grain Size Distribution (%)
CS MS
FS
SC
0
1
3
96
0
0
1
99
0
7
8
84
0
7
9
84
15
30
23
22
0
10
10
80
5
10
15
67
27
16
17
20
0
10
10
80
11
28
23
28

Table 2. Consistency limits and dry unit weight
SampleLocation
A
B1
B2
C
D
E
F
G
H
I

Consistency Limits
LL
PL
PI
48
30
18
50
30
20
50
31
19
50
31
19
38
7
45
58
32
26
-

γd
(kN/m3)
14.5
14.7
14.6
14.7
16.3
15
14.9
16.4
14.6
16.3

GEOTECHNICAL OBSERVATIONSFAILURE ANALYSIS

Fig.2

Soil conditions at site A

Fig.3

Filed vane shear test at site B

AND

In this section the discussion is presented about
the failures that have had occurred during TC
Winston. Discussion is made based on the visualinspection, pictures and soil samples, data obtained
from the laboratory testing. Figure 2 shows the
typical soil conditions alongside the King’s roadhighway in Viti Levu, Fiji. The soil subgrade isbrownish to reddish in color of lateritic formation
having silt and clay portion about 96% withplasticity index 18 (Table 1). This soil has slope
height ranging from 6m to 20m at different
locations. It is very common to notice small to
medium size soil slides alongside the highway due
to increase of pore water pressure during cyclone
and rainy season. The vane shear strength of thesesoils is varying from 30 kPa to 60 kPa comprising
soft to medium consistency. Soil has slippery
behavior and when heavily loaded vehicles passes
over the road, the subgrade soil was unable to resist
the shearing and in turn moves down towards valley
side, causing sinking of road in the order of 0.5m to
2m. These soils are problematic and are to berequired to analyze sustainability of infrastructure
built on these soils.

Alongside the Kings highway, it was observedthat many precast electric poles were fallen
horizontally on the ground due to lack of soil
support. As most of the electric poles wereembedded alongside the highway drain, due to thedrain the soil was eroded leaving loss of support tothe poles. Figure 4 presents the damaged electricpole. It is observed that all the electric poles wereembedded to a same depth of 1.8m standard
irrespective of subsurface soil conditions. It can besuggested that, there is a need to carryout subsurface
investigation and also lateral load analysis ofembedded poles and consideration of high intensity
cyclone characteristics. Some of the locations
alongside the highway there are steep verticallimestone cuts of weathered and disintegrated
nature. The height of these cuts ranging from 50 to
70m with slope angle varying from 75 to 85 degree
to the horizontal ground (Fig.5). As the slope is
steep and predominantly with weathered and474

SEE-Osaka, Japan, Nov. 21-23, 2016

disintegrated limestone formations, landslides wereobserved due to the internal seepage of storm water(Fig.6). It can be suggested that there is a need tostabilize these slopes with the rock anchors so as to
avoid future landslides and blockage of highway.

Fig.7

Fig.4

Electric post failure at site C

Fig.5

The slope of the cut at site D

Damage of building due to landslide at site
E
Figure 8 presents the road failure near the bridge
abutment at Rakiraki site F. From this figure, it can
be clearly seen that there is a downward movementof soil due to storm water. The gabion wall wasplaced as a protection for the bank near the abutmentof the bridge. As the gabion wall was not properly
anchored at the foundation level, the entire wall is
moved down into the river and collapsed due toscouring effect at the foundation level.
Consequently the soil beneath the highway
pavement lost its support and moved down due tothe storm water leaving wider gap formation beneaththe road and behind the abutment. It can besuggested that there is a need to consider appropriate
foundation soil stability concerns, sufficient
geotechnical characterization and stability analysis
to avoid these types of failures.
Figure 9 presents the picture taken at thesinkhole at site G. which was observed alongside thehighway, where the water creek is flowing across theroad bridge. Beneath the bridge there exists a 2.5m
radius semicircular steel culvert. On top ofdownstream side there was a gap observed between
the bottom of the bridge and the culvert. Loose to
medium dense silty sand mixed with little portion ofgravel of dry unit weight 16.5 kN/m3 is identified.
The collapse potential of soil was fund to be 5% asshown in figure.10 after the samples were analyzed
in the Lab.

Figure 7 presents the picture taken at thelandslide site E, where the soil formations are having
field vane shear undrained strength in the range of
25 to 40 kPa the height of the slope is varying from10 to 15m just behind the residential area. On the
day of TC Winston due to storm water, the surficial
soil got wet and became soft which intended moved
down causing damage to the nearest house. It can berecommended that the slope can be made into
benches of width 1 to 1.5m for every 3m heightespecially at the residential area and also can besuggested a retaining wall to be constructed to avoid
building damages due to landslides.

Fig.8
Fig.6

Landslide at site D
475

Erosion of soil under the road near thebridge abutment at site F

SEE-Osaka, Japan, Nov. 21-23, 2016

Fig.9

Sinkhole formation alongside the road overthe creek at site G.
Fig.11 Failure of steel structure at site H

Sufficient soil compaction were not achieved to
avoid the internal erosion associated with storm
water flow. The sinkhole formation at this location ismainly attributed due to internal seepage of storm
water flow that caused loss of soil underneath where
sinking of soil took place to reach the soil stablestate.
It is very interesting to observe the total collapseof roofed steel structure built for sugar processing
near to Navitilevu village alongside the Kings road.
Figure 12 presents the location and collapsed steel
structure due to the unexpected uplift wind forces.
As the structure was not having walls and was
directly exposed to wind forces to act internally, it
suffered from uplift forces and experienced overallcollapse from the foundation level. The causes ofoverall failure of the structure are mainly observed
due to the following points: i. uplifting wind force
actions, ii. Lack of sufficient connectivity between
the members and iii. Lack of sufficient anchorage
for the foundations in terms of embedment depth
and also connectivity (Fig.12).

Fig.12 Foundation failure at site H
Figure 13 presents the picture taken at the site I,
where typical road failure is observed. This is themain highway which connects to industrial towns in
the western part of Viti Levu and it is a very busy
highway. This highway is alongside the ocean andfarming land. The mean sea level is 20 m below theroad formation level. As the road is laid on silty sandwith little gravel portion with a steep slope with anangle of 65 degree towards the sea, the road sank toa depth of 0.2 m to 1m along the failure curetowards the sea. The overall length of the curve of
failure is recorded as around 50m. Also there were
multiple ground fractures that were observed at
different depths towards down side of the slope. The
reasons of failure of the road at the site can be
attributed due to cross drainage beneath the roadthrough the porous soil layer lying below the roadsurface and also due to heavy vehicular movement.
It can be suggested to have thorough subsurface
investigations and also proposing appropriate
geotechnical site improvement schemes such asstone columns, lime piles, dynamic compaction etc.
to mitigate this type of failures. The collapse
potential of soil is evaluated from the consolidation

Dial gauge reading(div)

2000
1900
1800
1700
1600

Road failure
Sinkhole

1500
1400
1

10

100

1000

Effective normal stress, kPa
Fig.10 Collapse potential of soil at site G and site I.
476

SEE-Osaka, Japan, Nov. 21-23, 2016

test in the laboratory was 8.7% (Fig. 10). It
indicates that the soil is prone for collapse, whensubjected to saturation.

ACKNOWLEDGEMENTS
We are thankful to Mr. Salabogi L. Mavoa theActing Dean, College of Engineering Science andTechnology, Fiji National University for having
provided us an opportunity to work on assessment of
infrastructure damages due to TC Winston. Also weare thankful to the university officials and the staff
who directly or indirectly supported us to complete
the project.

REFERENCES[1] Bowles, JE, “Foundation Analysis and Design”,
McGraw – Hill Publications, 1996.
[2] Leonards, GA, “Investigation of failures”,
Journal of Geotechnical Engineering, ASCE,
108, No. GT-2, 1982, pp.187-246.
[3] Campbell, P, “Learning from construction
failures”, Applied forensic engineering, John
Wiley and Sons, 2001.
[4] Popescu, ME, “A Suggested Method for
Reporting Landslide Remedial Measures”,
IAEG Bulletin, 60, No. 1, 2001, pp.69-74.
[5] Glade, T, Anderson MG and Crozier MJ,“Landslide Hazard and Risk” John Wiley, 2006.
[6] Tony Waltham, Fred Bell and Martin Culshaw,“Sinkholes and Subsidence”, Praxis PublishingLtd., Chichester, UK, 2005.
[7] Xanthakos PP, Abramson LW and Bruce DA,“Ground control and improvement”. WileyIEEE, 1994.
[8] Marcus, Robert B, “Florida-A GeographicalApproach”, Dubuque, Iowa: Kendall/HuntPublishing Co, 1975, pp. 64.
[9] Bujang BK Huat, “Behaviour of Soft Clay
Foundation beneath an Embankment”, Pertanika
J. Sci. & Technol. 2(2): 1994, pp.215-235,
ISSN: 0128-7680 © Universiti Pertanian
Malaysia Press.
[10] Michael P Navin, “Stability of Embankments
Founded on Soft Soil Improved with DeepMixing-Method Columns”, Ph.D Thesis,
Faculty of the Virginia Polytechnic Institute andState University.

Fig.13 Road failure at site I
CONCLUSION
From the above-mentioned discussion, some
important points are observed towards the damages
to the infrastructure due to geotechnical failures.
Most of the geotechnical failures that were noticed
are associated to compaction of soils, subsurface
investigations, storm water flow through porous
media. The failures were observed due to
unexpected TC Winston of category 5. The
foundations and other geotechnical structures were
designed to sustain category 3 cyclone as per the
standards of Fiji. The failure of electric poles wasobserved mainly due to scouring of soil and in turn it
caused loss of soil support to resist the lateral forces
caused by TC Winston. It is highly recommended toconsider geotechnical investigations, geotechnicaldesign and suitable ground improvement schemes
such as lime piles, dynamic compaction, stone
columns etc., to avoid the geotechnical failures andin turn damages to the infrastructures.

477

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

STRUCTURAL DAMAGES CAUSED BY CYCLONE WINSTON TO
BUILDINGS IN FIJI
Faijal Ali1, Ravikant R Singh1, Darga N Kumar2, Ravindra Chand3, Atinesh V Prasad3 and Sanjay Prasad3
1
Lecturer, 2 Professor, 3 Graduate Student
College of Engineering Science and Technology, Fiji National University
ABSTRACTThis paper presents the detailed inspection carried out on building damages in the western part of Viti Levu
especially the provinces of Rakiraki, Tavua and Ba. A data sheet containing information about various structuralconnections, type of materials and on-site information from the owners of the buildings was used to understandthe structural damages. Structural strength of reinforced concrete beams and walls was measured in-situ byconducting rebound hammer test. During the inspection the thickness of roof cladding was measured mainly tounderstand the variations in the thickness used. From the observations and tests carried out, it is noticed thatmost of the buildings had suffered in terms of roof cladding failure, which are noticed mainly due to large
spacing of rafters and purlins and also due to variation in BMT ranging from 0.38mm to 0.6 mm of roof cladding.
The shape of the roof also contributed for the entire roof failure. The strength of the walls is ranging from 7 to 15
MPa. The failure of beams and columns in some of the buildings is noticed mainly due to use of natural mix ofriver gravel which consisted dominantly silt, sand and gravel. About 70% of the buildings had experienced
complete roof failures and 15% undergone structural failures like wall, beam-column and combination failures.
Remaining 15% of the buildings had total damage starting from foundation level.
Keywords: TC Winston, Roof Cladding, BMT, River Gravel, RCC Beams.

been achieved for buildings in the US subjected tohurricane windstorms, economic losses and social
disruption related to hurricane events are stillunacceptable. This has led to current trends toward
performance-based design in which the structural
system is designed to meet specific performance
criteria under different hazard levels [2]. The
climatological conditions under which tropical
cyclones occur have been well established overdecades of research. These include a requirement forwarm sea surface temperatures, low vertical wind
shear and high values of large scale relative vorticity
in the lower layers of the troposphere [3-4]. Some of
the issues in the current codes and standards thatneed to be clarified, and one of them is therecurrence periods of design wind loads forstructural frames and for cladding/components [5]. If
the window panes and claddings of a tall building
are damaged, property inside the building can beseriously damaged and lose its value, and thisproperty loss can be very significant, especially if
only the main structural frames remain. The
miserable situation of a building with damaged
window panes is often reported after extreme windattacks in urban areas [6].

INTRODUCTION
Fiji is located in the Melanesia, Oceania andcovers a total area about 194,000 square kilometresof which around 10% is land. Fiji is the hub of theSouth West Pacific, midway between Vanuatu andTonga. Fiji consists of 332 islands in the southwest
Pacific Ocean about 1,960 miles (3,152 km) from
Sydney, Australia. About 110 of these islands are
inhabited. The two largest islands are Viti Levu
(10,642 sq km) and Vanua Levu (5,807 sq. km). The
population of Fiji was estimated to be 902 964
people as of January 2016 census. Due to its locationin the Pacific Ocean, Fiji has been facing seasonal
cyclones from November to April every year. This
year it had experienced earth’s second strongest
cyclone of category 5 with wind speed up to 185
mph.
Temperature gradient of the atmosphere due tovariable solar heating of the earth’s surface
generates wind. Large-scale air flows are so-called
global atmospheric circulations, and generation ofstrong winds is closely related to these circulations,and also to smaller scale temperature differences.
Tropical cyclones are intense cyclonic storms that
occur over tropical oceans, mainly in summer andearly autumn [1]. The objective of any design codesand standards is to protect public safety and property
by preventing structural collapse or failure during
rare events such as earthquakes, cyclones etc. in abuilding’s lifetime. While this objective has largely

Very high wind speed records exceeding 90m/s
as a peak gust is measured by seven sonicanemometers and nine vane-anemometers set atheights of around 15m - 16m in an experimental site
for power transmission cables in Miyakojima Island
in Okinawa Prefecture, Japan, during a very strong478

SEE-Osaka, Japan, Nov. 21-23, 2016

typhoon, Maemi, in 2003 [7]. Damage caused to thehouses during tropical cyclones in Australia
introduced awareness for wind resistance in house
design [8]. Style of construction can affect the windloads and structural damages. Also the age of thestructure influence the failure pattern. Overall theage of the structure and the style of construction
decide the vulnerability during cyclone [9].

micrometer. The rebound hammer test was
conducted on site to know the strength of walls andbeams. The aggregate mix used in the walls andbeams was tested in the laboratory by using the sieve
analysis. The mix typically consisted of fineaggregate with more than 8% silt. Silt and sandtogether was varied from 60 to 70% and gravel
fraction of size varying from 4.75mm to 80mm was
30 to 40%.

Although records don't date too far back for Fiji's
tropical weather, meteorologists know it's fairly rare
for a tropical cyclone to hit the country's capital city.
The western part of Viti levu and the northern part
experienced a lot of disturbance including islands
like Koro, Vanabalavu, Taveuni etc, which mostly
falls on the cyclone path. It is indeed a great concern
and challenge for the Engineers of Fiji. The reportpresents the various technical aspects of failures andrecommendations.

DISCUSSION OF TC WINSTON DAMAGES
Roof Cladding Failure
Figures 1 to 4 present the failures relevant to roof
structure and roof cladding due to TC Winston.
Figure1. presents the cladding failure which is theresult of falling Mango tree onto the roof. The
Mango tree was standing in between the School andTanoa Hotel which had a life of more than 50 years
and about 15m in height. Due to the action of cyclic
wind pressure, the tree could not resist the force andconsequently fallen on nearby Tanoa Hotel roof in
Rakiraki town. It not only damaged the Tanoa Hotelbut the school as well. As such, the mitigation forsuch scenarios would be to cut down or trim any
large trees that exist nearby any infrastructure during
cyclone season. Most of the building suffered roof
cladding failures and the BMT of roof cladding
ranges from 0.38mm to 0.6mm. Poor connections ofpurlin to rafter are noticed in most of the timber
structures. The purlins are fastened with no. 8
binding wires and galvanized strappings. Purlins
used in roof truss construction had knots and cracks.
This may be due to use of low grade timber.

METHODOLOGY ADOPTED
The post cyclone studies are carried out for thebuildings which are damaged due to the TC Winston.
The investigation is carried out based on the visualinspection at the site, pictures, questionnaire or
structural data sheet and sample analysis. The data
sheet consists of 38 structural related technicalquestions which are related building failure fromfoundation level to roof cladding. A part of typical
data sheet is presented in Table. 1.
Table. 1 Typical data sheet
No
Item
1
Terrain Category: Hilly
area/Slope/Valley/Plain
ground2
Surrounding:Trees/Vegetation/Farm/Buildi
ngs/Mountains/Wetland/Dry
land
3
Ground Type: Claysoil/soapstone/Sand/Sheet
Rock
4Type of Roof (Gable/Lean to/Flat Roof/Pitched Roof
/Butterfly Roof/Hip Roof,
concrete roof etc.)
5
C/C Spacing of Rafters andRafter Size
6
C/C Spacing of Purlins andPurlin Size
7
Type of wood used for rafter
8Type of wood used for purlin
9
Rafter to Purlin Connection(Galvanized Strapping/No.8
wire/ Nails/No Strapping)

Remarks

Figure1. Damage of roof due to fallen tree

Figure 2. Complete damage of roof of the stadium
Figure 2 shows the complete destruction of roof

The BMT was measured in the laboratory by using
479

SEE-Osaka, Japan, Nov. 21-23, 2016

structure at Govind Park Ba Stadium. Due to use of
1300mm span of treated pine timber with size of
250mm x 25mm purlins, the roof did not sustain thecyclonic wind speed of 185mph, thus the timber
purlin sheared from weak points and knots. It isfurther noticed that there are no traces of bridging
end purlin connectivity. Even though the cyclone
screws were used for roof fixing, it did not sustain
the uplift force caused by the wind. The cyclone
screws came out together with the roof cladding
from the purlins.

further noticed that the timber used in theconstruction is not treated as required (Figure 6),consequently it resulted in total failure of the roof
structure (Figure 5). Even though two M12 bolts areused as fasteners, yet the timber broke at theconnection point due to use of poor quality timber. It
is also noted that the angle irons embedded into theconcrete to a length of 300mm is structurally notsuggestible. In some places it is also noticed that theentire roof structure is not designed appropriately
and structural members of the truss are found to be
missing. Starting from the type of timber, size oftimber, roof pitch, connections, rafter and purlins
spacing of treated pine timber used for roof framing
has contributed to the failure and collapse of theentire roof structure of buildings.

Figure 3 shows that despite proper roof fixing
been used, the roof cladding ripped off at the roof topurlins connections. The roof gauge was measured
as 0.38mm. Also noticed that rafter to top plateconnection is found to be poor. There are no tracesof tie down rods.

Figure 7 shows the structural failure due to lackof proper reinforcement connectivity between
column and beam. Therefore the failure can be
attributed to lack of reinforcement connectivity andwhich resulted in uplift of beam from the column
and overall it resulted in entire roof structural failure
starting from terrace. Also observed that the coarse
and fine aggregate used in the mix for beams andcolumns is not as per the design mix [11]. The
materials used are mainly from river, wherein therequired gradation is not fulfilling.

Figure 4 presents that the maintenance for theroofing is done recently before the TC Winston, but
the internal members of the truss were not upgradedor maintained. Top plate to rafter connections isfastened with no. 8 wires also subjected to rusting
and lost its strength over the years. The members of
the truss are not assembled properly and also noticed
that the fasteners are not provided as required. Top
chord and bottom chord splices are also not placed
as per the requirements [10-11].

Figure 3. Failure of roof cladding
Figure 5. Roof members made with boxing timber

Figure 4. Failure of roof and roof truss
Roof and Structural Failure
Figure 6. Typical boxing timber failure

Figure 5 presents the details that the timber usedas rafter is of low grade (boxing timber) and also
480

SEE-Osaka, Japan, Nov. 21-23, 2016

not provided proper tie connections with the plinth
beam and the lateral wind pressure of continued
action in nature for about three hours, caused thewall to undergo fatigue and finally crack. Also it isattributed to lack of proper mix design consideration
for the masonry wall.
Further at one of the school buildings the walldamage is noticed as shown in Figure 10. From thisfigure, it can be clearly seen that the masonry wall
blocks are not provided with sufficient
reinforcement to connect each other in an aligned
way to bear the compressive loads and lateral forces
due to the cyclone. Also the cavities of the blocks
are not filled with the appropriate mortar and insteadsome of these hollow portions of wall are filled withlocally available aggregate without any bonding
material. It can be attributed to the poor
workmanship and lack of site supervision.

Figure 7. Column beam joint failure
Figure 8 shows that the entire steel structure
failure starting from foundation level. It is clearly
noticed that the structure has no side walls thus thecyclonic wind resulted in uplift of the entire roof
with the foundation and took the horizontal position.
There are certain points clearly noticed that thefoundation is made as concrete block anchor without
proper pad, and the depth of anchor block, is notdesigned appropriately as per the soil conditions
existing at the site. The connection from the anchor
foundation block to the gusset plate and to the steel I
section is not properly aligned and the quality andsize of the bolts used are not sufficient to take theuplift forces.

Figure 10. Wall failure due to poor workmanship
Figure 11 shows the total structural failure of thebuilding due to poor workmanship and cavities ofmasonry are not filled with design mortar and properanchorage. Also noticed that round mild bars areused for starter bars instead deformed bars. It is also
noticed that there is no bond beam. The compressive
strength of block walls tested using rebound hammer
ranges from 7 to 8 MPa. From this figure it can befurther noticed that separation and tilting of two
block walls which are at 90 degrees to each other isdue to the absence of corner blocks and proper
reinforcement binding.

Figure 8. Collapse of steel structure

Figure 9. Masonry wall failure
Figure 9 presents the picture taken at one of thehotels in Rakiraki. It is clearly seen from the picturethat there is a crack in the wall extending from thewindow level to down. Also this crack is exactly
noticed at the interface between wall and the plinth
beam. It can be attributed that the masonry wall has

Figure 11. Failure of wall due to lack of Cornerblock and reinforcement binding
Another wall failure is noticed in one of theschool buildings as shown in Figure 12. The failure
is attributed due to use of river gravel in place ofappropriate builders mix. As per the design mix ratio,481

SEE-Osaka, Japan, Nov. 21-23, 2016

the aggregate with more than 8% silt and clay should
not be used for making concrete [11]. It is noticed
that the content of silt and clay more than 8%(Figure 12).

building ranging from 0.38 mm to 0.6 mm. Thoseroofs whose thickness is less than 0.48mm were
suffered extensive damages. Figure 14 presents the
typical picture of the roof cladding. The Table 3
presents the typical summary of failure noticed
during the investigation of damaged buildings.
From this table it can be seen that the roof structure
and cladding suffered severely from the top beam up
wards and some wall collapse was also noticed.
Table 3. Summary of data sheet
No.

Figure.12 Failure of wall due to use of river gravel

1
2

3

Figure 13. Beam with insufficient cover and poor
quality materials
Table 2 Roof cladding BMT

Tavua Muslim
Primary School

BMT
(mm)

Rakiraki PublicHigh School

0.54

3

Rakiraki HighSchool

0.48

4.

Naria Primary
School

0.38

5.

Waimaro Police
Post

0.38

constructed
totally

Whole roof blown away.
Roof blown away withconcrete terrace beam.

Ra
High
School, Ra

5

Barotu Primary
School, Barotu

Building
completely
blown
away.
Concrete Wall cracked.
Roof Badly damaged.
Truss failure.

6

Saint
FrancisCollege, Ra

Roof damage, weakrafter and purlin damage.

7

Steel
portalframedstructure,
Rakiraki

Whole structure upliftedfrom foundation andtilted to one side.

0.60

2.

Newly
classroom
destroyed.

100
80
60
40
20
0
Cladding
Roof screws
Connections
Timber
Top plate
Concrete
Windows
Doors
Down pipe
WallFoundation
Total collapse

1.

Site Name

Turaqarua
Primary School,
Turaqarua
Nabau District
School, Nabua
Dobuilevu
Muslim Primary
School,Dobuilevu

Damaged Sustained4% Damage

No

Name of
Building

Figure 15. % Damage of components ofbuildings inspected
Figure 15 presents the % damage of various
components of buildings inspected. From this chart
it can be seen that all buildings suffered roof
cladding failure. The total collapse is noticed in 20%of the buildings inspected. Rafter and purlin failures
are noticed around 80% of the buildings inspected.

Figure 14. Typical roof cladding sample
Table 2 presents the typical bear metal thickness(BMT) of roof cladding. From the table it can benoticed that the thickness is varying from building to482

SEE-Osaka, Japan, Nov. 21-23, 2016

CONCLUSIONACKNOWLEDGEMENT

From the discussion some of the conclusions are
made. Fiji has been experiencing tropical cyclones
every year from November to April. The recent
cyclone is the world second strongest cyclone withwind speed of 185 mile per hour (category 5). The
buildings in Fiji are designed to resist up to category
3 cyclone. As per the statistics of cyclone history inFiji, the intensity of cyclone and flooding of low
lying areas are increasing every year. About 70% of
the buildings have experienced complete roof
failures and 15% have undergone structural failures
like wall, beam, column and combination failures.
Remaining 15% of the buildings are totally damaged
starting from foundation level. The TC Winston not
only caused damages to the buildings but also otherinfrastructure such as electric poles, foundations ofstructures, road and bridge failures, landslides andforestry are badly damaged. This cyclone lasted forabout 4 hours. Some of the reasons of failures ofroofs are due to usage of thin roof cladding ofminimum thickness 0.38mm-0.6mm, which cannot
withstand the category 5 cyclones. Also noticed atsome places that the timber materials used for rafters,
studs, walls, purlins, and bearers are not up to thestandard [11].

We are thankful to Mr. Salabogi L. Mavoa theActing Dean, College of Engineering Science andTechnology, Fiji National University for providing
us the opportunity to work on assessment of
infrastructure damages due to TC Winston. Also weare thankful to university officials and staffs who
directly or indirectly have given their support.
REFERENCES[1] Yukio Tamura, “Wind -induced damage tobuildings and disaster risk reduction”, The
Seventh Asia-Pacific Conference on Wind
Engineering, Keynote Lecture, November 8-12,
2009, Taipei, Taiwan.
[2] Ellingwood BR, Rosowsky DV, Li Y, Kim JH.
“Fragility
assessmentoflight-frame
construction subjected to wind and earthquake
hazards”, ASCE; 130(12): 2004 pp.1921–30.
[3] Gray WM, “Tropical cyclone genesis”, Dept. of
Atmospheric Science, Paper No. 234, Colorado
State University, Fort Collins, CO, 1975 ,pp.121.
[4] McBride JL, Tropical Cyclone Formation.
Global perspectives on tropical cyclones,
WMO/TD-No. 693, 1995, pp.289.
[5] Tamura, Y, “Wind and tall buildings”, Keynote
Lecture, The 5th European and African
Regional Conference on Wind Engineering(EACWE 5), Florence, Italy, 19-23 July, 2009.
[6] Brewick P, Divel L, Butler K, Bashor R,
KareemA,“Consequencesof
urban
aerodynamics and debris impact in extreme
wind events”, Proceedings of the 11th Americas
Conference on Wind Engineering, June 22-29,
2009, San Juan, Puerto Rico.
[7] Cao S, Tamura Y, Kikuchi N, Saito M,
Nakayama I, and Matsuzaki Y, “Windcharacteristics of strong typhoon”, Proceedingsof the 12th International Conference on Wind
Engineering, Cairns, Australia, July 2007,
pp.719-726.
[8] Walker, GR, "Report on Cyclone Tracy – Effecton buildings”, Dec 1974, Australian Dept. of
Housing and Construction.
[9] Henderson DJ, Ginger J, Leitch C, Boughton G,
and Falck D, "Tropical Cyclone Larry –Damage to buildings in the Innisfail area" TR51,
James Cook University, Townsville, 2006.
[10]AS/NZ 1170.2, “Australian/New ZealandStandard, Structural design actions, Part 2: wind
actions, Standards Australia & Standards New
Zealand”, 2002.
[11] Home Building Manual Fiji, Printed by Davui
Printery Ltd, Fiji, 1990.

The timber used for rafters and purlins is notseasoned properly before been used as structuralmembers. Clear indication of glue and shrinkage oftimber materials is noticed. In some of the buildings,
the timber materials used consist of multiple knots
and cracks. Also the beams and columns aredesigned as reinforced concrete members, but theaggregate used is not as per the design mix in factreadily available river gravel of unspecified
gradation is used. The reinforcement used is not as
per the design standard and also most of the masonrywalls are suffered due to not filling the cavities withthe specified bonding mortar [11].
Based on the above observations some of theinteresting suggestions are made. The building
supervision and maintenance to be appropriately
carried out. Materials quality should be ensured
through proper testing. All houses should beensured with cyclone shutters of opening size oftimber or steel gothic mesh should not be more than
25mm. All the opening should be properly fixed or
maintained before the cyclone season so as to avoid
further damages of the building as it may result to
failure of roofing structure. The beams and columnsof single storey building should have at least 20 to
25 MPa of compressive strength and that of two
storey building should not be less than 30 MPa.

483

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

EFFICIENCY OF POLYSTYRENE INSULATED CEMENT BLOCKS IN
ARID REGIONS
Muawia A Dafalla1 and Mohammed I. Al Shuraim2
1

A. Professor and Geotechnical Consultant, Civil Engineering, King Saud University, Riyadh
11421, E-mail: mdafalla@ksu.edu.sa2

Student, Mechanical Engineering, King Saud University. Riyadh 11421, Saudi Arabia.

ABSTRACT
Polystyrene insulated cement blocks emerged recently as an energy saving building material in construction
practice. Expanded polystyrene of 5cm thickness or more is introduced as a middle fill layer within the cement
block in order to improve the thermal properties of walls. This study is made to investigate the efficiency of
insulation provided by this type of insulation. Two chambers were constructed in an open area where the walls
are subjected to variable weather conditions ranging from moderate to hot weather for a period of three months.
The arid region selected was Riyadh, Saudi Arabia. Temperature was found to vary between day and night
through this period from as low as 9 ºC to as high as 48 ºC. Each chamber is built in the form of four block walls
20 cm in thickness, one meter wide and one meter high. The chambers were founded on grade slabs with a woodboard used as a roof. The two chambers are identical except for the type of blocks; one is built using polystyrene
insulated blocks and the other without insulation. Construction was carried out the same way as used in local
practice. Thin mortar layer is used for bonding blocks. 5TE sensors and a data logger were used to record
ambient temperature and temperature inside each chamber. Hourly records throughout the testing period wereused to evaluate and compare the insulated and non-insulated blocks. It was found that the improvement
provided by the polystyrene cement blocks is less efficient in hot temperature than in moderate temperature. The
insulation provided by the blocks as constructed is very poor and heat transfer is enabled through mortar filledgaps and joints. The temperature gradient has influence on the polystyrene insulation material.
Keywords: Polystyrene, cement-block, Temperature, Insulation, Weather.

factors can be reflected to cement sand building
materials. Moisture absorption, density and air
components of EPS can cause thermal properties tochange. In addition to material related properties theoverall settings of the insulation system may also
have its influence.
Energy Efficiency and
Renewable Energy (EERE) of the United States
quoted that filling the block cavities or special block
designs can improve a block wall's thermal
characteristics, but doesn't reduce heat movement
very much when compared to insulation installedover the surface of the blocks either on the exterior
or interior of walls [3]. The present practices involvemortar between brick layers and some block designs
include web of concrete that can transfer heat.
Figure 1 presents two typical designs used inconstruction. It is becoming a routine to examine
thermal properties of newly introduced construction
material [4] and [5]. This study follows a similar
approach in order to highlight the efficiency ofpolystyrene insulated cement blocks.

INTRODUCTION

This work is aimed at investigating issues related
to polystyrene insulated cement blocks introduced tomasonry industry in recent decades. The thermal
conductivity is a term commonly used to define theability of the material to transfer heat from a warmer
part to a less warm part per unit time for unit area
over a given temperature gradient. The unit ofthermal conductivity is W m-1 K-1. Materials of goodthermal properties include mineral wool, EPS, XPS,
polyurethane and others. Expanded polystyreneranks second in use as insulation material in Europe
and many other countries [1]. However, the flow ofheat through any material is influenced by several
factors and is not correctly predicted without
considering all significant parameters. The flow ofheat through materials, is affected by moisture,humidity and air content as prime factors. Reference[2] stated that heat conduction is influenced by thesoil composition, structure, density, porosity, andgrain geometry and pore or opening size. The same484

GEOMATE- Osaka, Nov. 21-23, 2016

sound proofing and better fire prevention. Thistypical cement block insulation is widely used inSoutheast Asia, India, Middle East and othercountries.[6].

TEST RESULTS AND GENERALDISCUSSION
Temperature was found to vary between day andnight through the investigation time from as low as 9ºC to as high as 48 ºC. Two periods were considered
for comparing the cement blocks. The first period is
the February month, referred to as moderately hot,with temperature range during the day in the orderof 10 ºC to 35 ºC degrees and the second period is
end of May which is referred to as hot period where
temperature range within the day is 25 ºC to 48 ºC
degrees.
It can be seen that from Fig. 3 that both types ofblock provide a heat shield and reduce the maximum
daily temperature from 35 ºC degrees to an averageof 24 ºC and also elevate the minimum temperaturefrom 10 ºC to an average of 16 ºC. The improvementof heat insulation indicated 1 ºC or less than 2 ºC
degrees difference. The improvement is also
reflected as time delay or shift. The improvement
during the hot period is less compared to themoderately hot period. Difference in peaks is hardly
observed but shift of graph reflect the delay due tothe lower conductivity of the insulated cement
blocks.
The improvement could have been much better if themortar between the bricks is not used. Dry stacking
will require other structural bonds like steel bars or
joining mechanism. Other better alternatives include
overall external or internal shielding with
polystyrene board.

a-V-groove polystyerene b- Cuboid filled cavity
filled.
Fig 1. Two typical designs used in construction.

MATERIALS AND TESTING PROGRAM
Commercial cement blocks of dimensions
200mmx250mmx400mm
withandwithout
polystyrene insulation were obtained for the purposeof constructing two chambers in an open yard ofcollege of civil engineering in King Saud University.
The chambers are 1m by 1m rooms of 1m heightcovered with a plywood board. The construction was
performed in a similar way as practiced in wallconstruction. Mortar prepared with 1:2 water cement
ratio and 1:2 cement sand ratio was used. Thinmortar was applied in between layers. No plastering
was made as the goal of the study was to compare
the types of cement blocks with regard to heattransfer and energy savings. Figure 2 presents thetwo chambers as constructed. Arrangements weremade to have equipment for recording temperatureinside each chamber and also ambient temperature.

The present block laying method is not efficient. If
mortar can be limited to the concrete portions of thebricks and the polystyrene is protruding by acentimeter or so to fix with other polystyrene facethen the heat transfer through mortar can beeliminated.

Variations in volumetric water content, temperatureand electrical conductivity were recorded using 5TE
Decagon sensors connected to Em50 data logger.
The sensors were set to take records every one hourintervals. In order to reduce heat losses, 1cm thick
pvc tube was used to guide wires through the walls
in order to place the sensors right in the middle andmid-height of the chambers.

The time shift associated with polystyrene insulated
blocks can be clearly observed in Fig. 4. This isclearer in Fig. 5 which shows a 24 hour temperature
profile during the hot period. Fig. 6 presents theambient temperature site records over three months.

The expanded polystyrene material used in cement
blocks insulation is white in colour and sandwiched
between two parts of the cement block. The
polystyrene is shaped with a V groove to interlock
with the block concrete. The expanded polystyrene
density is in the range of 25/29 Kg/m3. As marked
by the manufacturer, the insulation brick has many
advantages, such as heat preservation (coefficient ofthermal conductivity is 0.045 ~ 0.065 W / (m k.,

The insulation provided by the blocks asconstructed is very poor and heat transfer is enabledthrough mortar filled gaps and joints. The
temperature gradient has some influence on thepolystyrene insulation material.

485

GEOMATE- Osaka, Nov. 21-23, 2016

Temperature in degrees Celcius

Measurement carried out by Yucel et al 2003 [1]showed that thermal conductivity coefficient isindirectly proportional to the density. The thermal
conductivity is between 0,036 and 0,046 W/mk, fordensities of expanded polystyrene between 10 and
30 kg/m3. Water absorption was measured as 3.5%
for 30 kg/m3 and 5.5% for 15 Kg.

28
26
24
22
20
18
16
14
12
2/14/16

2/16/16

2/18/16Time
Non-insulated blocks

Insulated blocks

Fig 4. Comparing Insulated and non-insulated
blocks temperature profile over three days inmoderately hot period (February).
Fig.2 View of the two chambers constructed.
46

Temperature in degrees Celcius

Temperature in degrees Celcius

45
40
35
30
25
20
15
10
5
2/8/16

44
42
40
38
36
34

5/28/16 0:00

2/12/16Time

Non Insulated Blocks
Outside Temperature

2/16/16

2/20/16

5/28/16 12:00

Time

Non Isolated Hot range

5/29/16 0:00
Isolated Blocks

Insulated Blocks

Fig 5. Comparing Insulated and non-insulated
blocks temperature profile over 24 hours during hot
period (End of May).

Fig 3. Temperature of insulated and non-insulated
blocks compared to outside temperature.

486

GEOMATE- Osaka, Nov. 21-23, 2016

Temperature in degrees ºC

60
50
40
30
20
10
0
Jan-16

Mar-16Time

Apr-16Jun-16

Temperature Profile Feb to June 2016
Fig. 6 Temperature site records over three months

CONCLUSIONREFERENCES
The polystyrene insulated cement blocks
behave differently for different temperature
gradients and different levels of heat. The
insulation provided by the blocks as constructed isvery poor and heat transfer is enabled throughmortar filled gaps and joints. The temperature
gradient has influence on the polystyrene insulationmaterial.

[1] K. T. Yucel, C. Basyigit and C. Ozel, (2003).
Thermal insulation properties of expanded
polystyrene as construction and insulating
materials. 15th Proceeding of Symposium on
Thermophysical Properties, in Boulder,
Colorado, NIST/ASME, pp.54-66.
[2] Farouki, O.T., 1986. “Thermal properties ofsoils.”, series on rocks and soil mechanics,
Vol.11, Trans Tech Publications, Germany.
[3] The U.S. Department of Energy’s Office ofEnergy Efficiency and Renewable Energy(EERE). http://energy.gov/energysaver/energysaver.
[4] Edremit, A., 1997. Performing Economical
Analyses of Insulation Materials by
Determining Physical Properties; Master
Thesis, Yıldız Technical University of Istanbul,
p. 114.
[5] Dafalla, M. A. and Samman, A. (2016).Soiland backfill material of environmental friendly
thermal properties. International Journal of
Geomate, Vol 10, Issue 22, 2083-2087.
[6] Gotop high-tech co.,ltd .China Polystyrene
Injection molded Thermo block Insert
Thermo Block Insert manufacturer)

Reliable insulation can be achieved if use of
mortar is limited to fix the concrete parts alone.
External and internal heat insulation using
polystyrene boards can be more efficient but may
not stand strong to weather or impact conditions.
Designers can use this nature as required to provide
extended hours of comfortable times. In wintertimes insulated walls will retain the heat for several
hours and provide relatively warm conditions. In
summer times, the insulated cement blocks will
shield the rooms during the day.
ACKNOWLEDGEMENT
The authors extend their appreciation to theDeanship of Scientific Research at King Saud
University for funding this work throughundergraduate students research support program
project on (USRSP).

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Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

PHYSICAL PROPERTIES OF MEA-BASED HYBRID SOLUTION AS ASOLVENT FOR HIGH CONCENTRATION CO2 CAPTURE
L.S. Tan1,2, A.M. Shariff2, K.K. Lau3 and G. Murshid4
Department of Chemical and Petroleum Engineering, UCSI University, Malaysia, 2,3Research Centre for
CO 2 Capture, Universiti Teknologi PETRONAS, Malaysia, 4Department of Petroleum and Chemical
Engineering, Sultan Qaboos University, Oman.

1

ABSTRACT
Alkanolamines such as monoethanolamine (MEA) and diethanolamine (DEA) are commonly used for carbon
dioxide (CO 2 ) absorption due to its high reactivity and fast absorption rate, which allows absorption to takeplace in a shorter column. However, it has disadvantage mainly due to the limitation on CO 2 loading capacity.
As such, the development of an improvised and more efficient absorbent is important especially for theabsorption of high CO 2 concentration in natural gas for potential offshore application. In this work, the physicalproperties of a MEA hybrid solution, i.e. density and viscosity were measured. The hybrid solution consisted of
20 wt% of MEA, 40 wt% water and 40 wt% n-methyl-2-pyrrolidone (NMP). These properties were measured at
different temperatures from (303.15 to 333.15) K. The analysis from the experimental results showed that thedensity and viscosity of the hybrid solution decreased with increasing temperature. The data were crucial inorder to understand the physical characteristics of the MEA hybrid solution and as input for modeling of MEA
hybrid solution since the data were not available in the literature.
Keywords: Density; Viscosity; Hybrid solvent; CO 2 capture

stoichiometry to 0.5 mol of CO 2 /mol of amine [1012]. As such, the development of an improvised andmore efficient absorbent is important especially forthe absorption of high CO 2 concentration in natural
gas for potential offshore application.
In this work, the physical properties of a MEA
hybrid solution, i.e. density and viscosity were
measured experimentally. The hybrid solution
consisted of 20 wt% of MEA, 40 wt% water and 40
wt%
n-methyl-2-pyrrolidone(NMP).
This
formulation of MEA hybrid solution was observed
to provide fine cleanup using absorption column for
inlet gas with high concentration of CO 2 and at highpressure condition [13]. The physical properties dataof this hybrid solution is crucial in order tounderstand the physical characteristics of the MEA
hybrid solution and as input for modeling andsimulation of the MEA hybrid solution since thedata were not available in the literature.

INTRODUCTION
Carbon dioxide (CO 2 ) removal is essential
process in sweetening of natural gas fromunderground reservoir. Natural gas generally
contains a large quantity of methane (CH 4 ) alongwith heavier hydrocarbons such as ethane, propane,
isobutene, normal butane and considerable amountof CO 2 . CO 2 must be removed from natural gas
because CO 2 is highly corrosive and rapidly destroys
pipelines and equipment. It also reduces the heating
value of a natural gas stream and wastes pipeline
capacity [1].
There are many treating processes available forremoval of CO 2 . These processes include chemical
absorption [2, 3], physical absorption [4], adsorption
process [5], membrane separation [6] and cryogenic
fractionation [7]. Currently, chemical absorption
system has been widely used to treat high CO 2
concentration gases for synthesis-gas production andnatural gas processing. Amine based chemical
absorption system is considered as the most suitablecurrent process to capture CO 2 because of its
successful commercial implications, ﬂexibility to
low CO 2 partial-pressure gas streams and higher
purity of CO 2 product [6].
Monoethanolamine (MEA) is the most popularand widely used solvent in industrial process for
capturing CO 2 due to its high reactivity with CO 2
and low solvent cost [8-10]. However, the maximum
CO 2 loading capacity for MEA is limited by

MATERIALS AND METHOD
Materials
MEA (99%) and NMP (99%) used in this study
were purchased from Acros Organics. The chemicals
were used without further purification. Double
distilled water was used to prepare the hybrid
solvent for this work.

488

SEE-Osaka, Japan, Nov. 21-23, 2016

experimentally measured values with literature
values published for relevant work. The percent
average absolute deviation (% AAD) was calculatedusing Eq. 2 [14]:Density Measurement
The density of MEA hybrid solution wasmeasured using DMA 4500 M density meter (Anton
Paar). It can measure density with an accuracy of±0.00005 g/cm3. The density meter consists of an
oscillating U-tube made of borosilicate glass as ameasuring cell in a thermostatic jacket. It was
equipped with a built-in platinum resistancethermometer which could measure the temperature
with an accuracy of ±0.03 K.

1𝑛𝑛−𝑌𝑌𝑙𝑙𝑙𝑙𝑙𝑙

𝑌𝑌𝑙𝑙𝑙𝑙𝑙𝑙

� 100

(2)

where 𝑛𝑛 is the number of experimental data points,
𝑋𝑋𝑒𝑒𝑒𝑒𝑒𝑒 and 𝑌𝑌𝑙𝑙𝑙𝑙𝑙𝑙 are experimental and literature values,
respectively.
Table 1 Comparison between the measured density(g/cm3) data from this work with literature values.

Viscosity Measurement
The viscosity of MEA hybrid solution wasmeasured using viscometer Lovis 2000 M (Anton
Paar). It has viscosity measurement accuracy up to±0.5 % and temperature accuracy of ±0.02 K. The
capillary used for this study was of 1.59mm size. It
is calibrated at regular interval using standard
mineral oil produced by CANNON Instrument.
The equipment operates based on therolling/falling ball principle according to DIN 53015
and ISO 12058 ‘Hoeppler principle’. The capillary
block rotates to a defined inclination with a golden
plated ball rolling inside. The dynamic viscosity wascalculated by the viscometer based on the following
equation:
𝜇𝜇 = 𝐾𝐾(𝜌𝜌𝑏𝑏 − 𝜌𝜌𝑠𝑠 )∆𝑡𝑡𝑋𝑋𝑒𝑒𝑒𝑒𝑒𝑒%𝐴𝐴𝐴𝐴𝐴𝐴 = ∑ �Solution

T (K)

Water

303.15This
work
0.9956313.150.9922323.150.9880333.150.9823303.151.0239313.151.0150323.151.0061

313.150.9994323.150.9945

NMP

(1)
20wt%
MEA
aqueouswhere 𝜇𝜇 is the dynamic viscosity (mPa.s), K is theconstant of proportionality (preset in the viscometerby the manufacturer), 𝜌𝜌𝑏𝑏 is the ball density (g/cm3),𝜌𝜌𝑠𝑠 is the sample density (g/cm3) and ∆𝑡𝑡 is the rolling
time. Since the value of 𝜌𝜌𝑠𝑠 was required as input into
the equipment before the start of viscosity
measurement, density measurement of the sample
was a prerequisite before viscosity measurement
could be conducted.

Publishedwork
0.9956[15]
0.9922[15]
0.9880[15]
0.9832[15]
1.0247[16]
1.0157[16]
1.0068[16]0.9991[17]
0.9943
[17]

%AAD
0.026

0.072

0.025

Table 2 Comparison between the measured viscosity(mPa.s) data from this work with literature values.

RESULTS AND DISCUSSION
Before measurement for MEA hybrid solution
was conducted, validation of the experimental
methods and results were carried out in order toensure the validity of the experimental data. For thispurpose, experimental measurement of density,
viscosity and surface tension were carried out attemperatures (T) ranging from 303.15 K to 333.15 K
for water, pure NMP and 20wt% MEA aqueous
solution. The results obtained were compared inwith literature data and summarized in Table 1 fordensity values, Table 2 for viscosity values andTable 3 for surface tension values. The validity ofthe measured data was evaluated based on thepercent average absolute deviation between

Solution

T (K)

Water

303.15This
work0.8005313.150.6588323.150.5555333.150.4788303.151.578

313.151.338

323.151.152

313.15

1.169

Publishedwork
0.8020[15]
0.6560[15]
0.5550[15]
0.4760
[15]
1.592
[16]
1.353
[16]
1.170
[16]
1.18 [17]323.150.942

0.95 [17]

NMP

20wt%
MEA
aqueous
489

%AAD
0.323

1.161

0.870

SEE-Osaka, Japan, Nov. 21-23, 2016

density and viscosity respectively. The data werethen fitted using Curve Fitting function in Matlab
R2013a software and the correlations with respect totemperature were generated accordingly.
From the graphs, it was observed that the best fit
for density and surface tension was linear function
while the best fit for viscosity was exponentialfunction. The following equations were used to fit
the physical properties data.
Density:

Based on the analysed results in Table 1 andTable 2, the maximum %AAD between theexperimental data and literature values are well
below 5% for all the properties measured. The
deviation between experimental and literature values
could be due to the difference in purities ofchemicals used, the different suppliers of chemicals,
as well as the different measurement apparatus. The
minimal deviation values indicated fairly good
agreement between the experimental results andliterature data.
With that, the physical properties of MEA hybrid
solution were measured. The properties were
measured from the temperature of 303.15 K to
333.15 K. The results of the measured properties are
summarized in Table 3. All properties wereobserved to decrease with the increase of
temperature.
At a glance, the higher viscosity value of MEA
hybrid solvent compared to NMP and MEA aqueous
solution was thought to be an error. However, across-check with data from literature [18, 19]
indicated that the viscosity of pure MEA wasactually quite high at approximately 15 mPa.s.
Although the mass fraction of MEA in both hybrid
and aqueous solution was the same, it is deduced
that the partial replacement of water percentage withorganic solvent, NMP, could possibly reduce thedilution dominance by water properties significantly.
The interaction of molecules in MEA hybrid
solution could also vary from MEA aqueous solution,
hence, the viscous behaviour contributed from thepure MEA was more pronounced.

𝜌𝜌 = 𝐴𝐴0 + 𝐴𝐴1 𝑇𝑇(3)

η = 𝐴𝐴0 exp(𝐴𝐴1 𝑇𝑇)(4)Viscosity:where 𝜌𝜌 is density (g/cm3), η is the viscosity (mPa.s),
𝐴𝐴0 and 𝐴𝐴1 are the fitting parameters while T is thetemperature (K).
The fitting equation parameters are listed inTable 4 with standard deviations (SD) calculatedusing Eq. 5:
2 0.5

∑𝑛𝑛
𝑖𝑖 �𝑋𝑋𝑒𝑒𝑒𝑒𝑒𝑒 −𝑋𝑋𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐 �

𝑆𝑆𝑆𝑆 = �

𝑛𝑛

�

(5)

where 𝑛𝑛 is the number of experimental data points,
𝑋𝑋𝑒𝑒𝑒𝑒𝑒𝑒 and 𝑋𝑋𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐 are experimental and calculated
values, respectively.

Table 3 Physical properties of MEA hybrid solution
at different temperature condition.
Properties
3

Density (g/cm )Viscosity (mPa.s)

Surface tension (mN/m)

T (K)

Value

303.151.0325313.151.0244323.151.0162333.15

1.0077303.154.365

313.153.050

323.152.244

333.151.707

303.1549.75

313.1548.60

323.15333.15

47.76
47.01

Fig. 1 Plot of density versus temperature for MEA
hybrid solution.

The measured data were transformed into
graphical form as shown in Fig. 1 and Fig. 2 for490

SEE-Osaka, Japan, Nov. 21-23, 2016

Fig. 2 Plot of viscosity versus temperature for MEA
hybrid solution.

The physical properties (i.e. density, viscosity
and surface tension) of an MEA-based hybrid
solution were measured at a range of temperaturesfrom (303.15 to 333.15) K. The measured properties
were observed to decrease with the increase of
temperature. The measured density, viscosity andsurface tension data were correlated bymathematical ﬁtting equations of least-squares inorder to calculate the predicted data. Minimal
deviation was obtained between measured andpredicted data. Therefore, the developed correlations
could be used for prediction of physical properties
for the MEA hybrid solution.

Table 4 Fitting parameters and standard deviation
for physical properties of MEA hybrid solution.
SD

1.283

𝐴𝐴1

R2

Density𝐴𝐴0-0.00083

0.9999Viscosity

78390-0.0323

0.99681.16 x10-8
5.08 x10-3

Properties

Figure 3 and Fig. 4 show the comparison ofexperimental and predicted density and viscosity
values respectively. Based on Table 4, thecoefficient of determination, R2, of the fitted data
was approximately 0.99 for both properties. This
indicated that the predicted data are in good relation
with the measured data. Therefore, the fitted
equations can be used for prediction of the physicalproperties for the MEA hybrid solution.

REFERENCES[1] Safari M, Ghanizadeh A, and MontazerRahmati MM, "Optimization of membranebased CO 2 -removal from natural gas using
simple models considering both pressure andtemperature effects," Int. J. Greenh. Gas Control,Vol. 3, 2009, pp. 3-10.
[2] Aroonwilas
A,
VeawabA,
andTontiwachwuthikul P, "Behavior of the MassTransfer Coefficient of Structured Packings in
CO 2 Absorbers with Chemical Reactions," Ind.
Eng. Chem. Res., Vol. 38, 1999, pp. 2044-2050.
[3] Notz R, Asprion N, Clausen I, and Hasse H,"Selection and pilot plant test of new absorbents
for post-combustion carbon dioxide capture,"
Trans IChemE, Part A, Chem. Eng. Res. Des.,
Vol. 85, 2007, pp. 510-515.
[4] Kohl AL and Nielsen RB, Gas Purification, 5thed. Texas: Gulf Publishing Company, 1997.
[5] Siriwardane RV, Shen MS, Fisher EP, andPoston JA, "Adsorption of CO 2 on Molecular
Sieves and Activated Carbon," Ener. & Fuels,
Vol. 15, 2001, pp. 279-284.
[6] Yan S, Fang M, Zhang W, Zhong W, Luo Z,
and Cen K, "Comparative analysis of CO 2
separation from flue gas by membrane gas
absorption technology and chemical absorption
technology in China," Ener. Convers. Manage.,
2008, Vol. 49, pp. 3188-3197.
[7] IEA, CO 2 Capture and Storage: A key carbon
abatement option. France: OECD/IEA, 2008.
[8] Aroonwilas A and Tontiwachwuthikul P,"High-efficiency structured packing for CO 2
separation using 2-amino-2-methyl-1-propanol(AMP)," Sep. Puri. Tech., Vol. 12, 1997, pp.
67-79.
[9] Dave N, Do T, Puxty G, Rowland R, Feron
PHM, and M. I. Attalla, "CO 2 capture byaqueous amines and aqueous ammonia-A
Comparison," Ener. Proc., Vol. 1, 2009, pp.
949-954.
[10] Dawodu OF and Meisen A, "Solubility ofcarbon dioxide in aqueous mixture of

Fig. 3 Comparison between experimental values
versus predicted values of density for MEA hybrid
solution.

Fig. 4 Comparison between experimental values
versus predicted values of viscosity for MEA hybrid
solution.

CONCLUSION

491

SEE-Osaka, Japan, Nov. 21-23, 2016

alkanolamines," J. Chem. Eng. Data, Vol. 39,
1994, pp. 548-552.
[11] Shen KP and Li MH, "Solubility of carbon
dioxide in aqueous mixtures of MEA with
MDEA," J. Chem. Eng. Data, Vol. 37, 1992, pp.
96-100.
[12] Sartori G and Savage DW, "Sterically hinderedamines for carbon dioxide removal from gases,"Ind. Eng. Chem. Funda., Vol. 22, 1983, pp. 239249.
[13] Tan LS, Shariff AM, Lau KK, and Bustam MA,"Impact of High Pressure on High
Concentration Carbon Dioxide Capture fromNatural Gas by Monoethanolamine/N-Methyl2-Pyrrolidone Solvent in Absorption Packed
Column," Int. J. Greenh. Gas Control, Vol. 34,
2015, pp. 25-30.
[14] Shaikh MS, Shariff AM, Bustam MA, andMurshid G, "Physicochemical Properties of
Aqueous Solutions of Sodium l-Prolinate as an
Absorbent for CO 2 Removal," J. Chem. Eng.
Data, Vol. 59, 2014, pp. 362-368.
[15] Al-Ghawas HA, Hagewiesche DP, Ruiz-Ibanez
G, and Sandall OC, "Physicochemical
properties important for carbon dioxide

absorption in aqueous methyldiethanolamine," J.
Chem. Eng. Data, Vol. 34, 1989, pp. 385-391.
[16] Garcı́a-Abuıń A, Gómez-Dı́az D, La Rubia MD,
López AB, and Navaza JM, "Density, Speed ofSound, Refractive Index, Viscosity, Surface
Tension, and Excess Volume of N-Methyl-2pyrrolidone + 1-Amino-2-propanol {or Bis(2hydroxypropyl)amine} from T = (293.15 to
323.15) K," J. Chem. Eng. Data, Vol. 56, 2011,
pp. 2904-2908.
[17] Amundsen TG, Qi LE, and Eimer DA, "Density
and Viscosity of Monoethanolamine + Water +Carbon Dioxide from (25 to 80) °C," J. Chem.
Eng. Data, Vol. 54, 2009, pp. 3096-3100.
[18] DiGuilio RM, Lee RJ, Schaeffer ST, Brasher
LL, and Teja AS, "Densities and viscosities ofthe ethanolamines," J. Chem. Eng. Data, Vol. 37,
1992, pp. 239-242.
[19] Maham Y, Liew CN, and Mather AE,"Viscosities and Excess Properties of Aqueous
Solutions of Ethanolamines from 25 to 80°C," J.
Sol. Chem., Vol. 31, 2002, pp. 743-756.

492

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

ANTITUMORAL PROPERTIES OF XANTHONES FROMMANGOSTEEN (GARCINIA MANGOSTANA L.) HULL
Cheok, C.Y1, 2 and Chin, N.L3
1

Department of Chemical and Petroleum Engineering,
Faculty of Engineering, Technology & Built Environment (FETBE),UCSI University, Lot 12734, Jalan Choo Lip Kung,
Taman Tayton View Cheras,
56000 Kuala Lumpur, Malaysia.
2

Process System Engineering Center,
Faculty of Engineering, Technology & Built Environment (FETBE),UCSI University, 56000 Kuala Lumpur, Malaysia
3

Department of Process and Food Engineering,
Faculty of Engineering,
Universiti Putra Malaysia, 43400 UPM Serdang, Selangor, Malaysia.
ABSTRACT
Mangosteen is known as “the queen of fruits” in Malaysia, and the fruit is usually available duringseasons from June to August yearly. This fruit comprises substantial amount of hull which disposes off as waste.
However, it is the hull that has been discovered having various pharmaceutical properties such as antioxidant,
anti-inflammatory, and antitumoral. The sudden surge of antitumoral properties studies of mangosteen hull in
recent years is due to the rising of cancer which is the leading cause of death worldwide. This review highlights
the recent discoveries of antitumoral properties of mangosteen hull. The major xanthones isolated frommangosteen hull which attribute to antitumoral properties are α-mangostin and γ-mangostin. They have beenmajorly discovered against cancers of colon, breast, and leukemia, followed by skin, bone, lung, brain,
pancreatic, prostate, and head and neck.
Keywords: Mangosteen hull; Antitumoral properties; α-mangostin; γ-mangostin

The hull which contains bioactive compounds ofxanthones has been widely discovered having
various pharmaceutical properties. Among thexanthones, α-mangostin is the most extensively
discovered having inhibition capabilities against
various cancer cells. This paper discusses the recent
discoveries and research trend of antitumoral
properties of α-mangostin on various cancer cells.
The -mangostin and other xanthones which havebeen proven as potential anticancer agents are also
highlighted.

INTRODUCTION
Mangosteen (Garcinia mangostana L.), is alarge tropical evergreen tree from the Guttiferae
family with a straight trunk, and it takes almost 6 to
7 years to cultivate before it fruits [1]. The fruit
comprises of 25-29% of edible flesh, 60-65% ofhull, and 6-10% of seed [2]. Its sweet and mild sour
delicious pulp are the contributing factors for its
popularity among the tropical fruits. Mangosteen has
become an economically important species in recent
decades since it is popular to Western Europe andUnited States most probably because of its
pharmaceutical properties discovery, especially
antitumoral [30, 33]. As reported by World HealthOrganization, cancer is the leading cause of deathworldwide and accounted for 7.6 million deaths(around 13% of all deaths) in 2008 [35]. Mangosteen
is the local seasonal fruit of Malaysia, which thedelicious pulp is a target by local but the deep
reddish purple hull (exocarp) is disposed as waste.

THE α-MANGOSTIN
The most abundant xanthone found inmangosteen hull is the -mangostin [26-27]. mangostin is one of the earliest naturally occurring
xanthone isolated from mangosteen hull using gas
chromatography [28]. Numerous studies haverevealed that the -mangostin not only possesses
properties of antioxidant, anticancer, antiinflammatory, anti-allergy, antimicrobial, and493

SEE-Osaka, Japan, Nov. 21-23, 2016

antiparasitic, it also has potential for anti-obesity andtreatment of Alzheimer’s disease [33]. Within the
many pharmaceutical properties, its antitumor
capabilities against various cancer cells have been
extensively researched in recent decades. Figure 1
illustrates recent scientific findings of antitumoral
properties of -mangostin against various cancer
cells. Approximately 25% of previous studies have
proven the inhibition capabilities of -mangostin
against colon cancer cells. Its inhibition effects onother cancer cells such as breast cancer, leukemia,
skin cancer, prostate, bone, lung, brain, pancreatic,head and neck have also been investigated anddiscovered (Fig. 1).
Fig. 2 Research trend of antitumoral properties of mangostin derived from mangosteen hullTHE -MANGOSTIN AND OTHER
XANTHONESThe -mangostin is another xanthone
derived from mangosteen hull and is another widely
studied pharmaceutical property. It appears as a paleyellow powder after isolation with a thin layer
chromatography [29]. The -mangostin isolated frommangosteen hull has been discovered to haveantitumoral property against leukemia [19-20],
breast cancer [5], skin [22], and colon cancer [15].
Further to this, the 1,3,6,7-tetrahydroxy2,8-(3-methyl-2-butenyl) xanthone and epicatechinthat were studied and tested in vitro also showed
good cytotoxicities against human breast and coloncancer cells [11]. Both have been suggested as apotential anticancer agent [11]. Other two newly
identified xanthones, the tetrahydroxanthone andgarcimangosxanthone were revealed to exhibit invitro cytotoxicity against human lung cancer,
pulmonary carcinoma, and hepatoma [34]. Morerecently, xanthone of 8-deoxygartanin derived frommangosteen pericarp has been discovered having
cytotoxicity against skin cancer [22].

Fig. 1 Recent discoveries of antitumoral propertiesof α-mangostin on various cancers
Figure 2 demonstrates the trend of antitumoral
properties discovery of -mangostin from 2000 to2014. The earliest finding on antitumoral propertiesof -mangostin were on leukemia [20] and colon[12] cell lines in 2003 and 2005, respectively. For
the period from 2006 to 2010, -mangostin’s
inhibition effects against breast cancer [5, 8],
prostate [25], and lung [32] was reported. Most
recently from year 2011 to 2014, the finding of mangostin’s inhibition for cancer cells haveextended to bone [3], brain [4], skin [22-24],
pancreatic [17], head and neck [16].

CONCLUSION
Cancer, as the leading cause of death worldwide inrecent decades, has triggered the quest of plantmaterials which containpotential antitumoral
properties to combat the disease. The -mangostin
derived from mangosteen has natural occurring
bioactive compounds which is anti-cancer. The
recent research trend on the discovery of thiscompound provides an insight for scientists or
researchers to further explore its inhibition
capabilities against more cancer cell lines.
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496

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

INFLUENCE OF RAILINGS STIFFNESS ON WHEEL LOAD
DISTRIBUTION IN ONE- AND TWO-LANE CONCRETE SLAB
BRIDGES
Mohammad Abou Nouh1, Ghassan Fawaz2, Mounir Mabsout3, and Kassim Tarhini4Former Grad. Stud., Dept. of Civil and Envir. Engineering, Amer. Univ. of Beirut, Lebanon.
Email: mha70@mail.aub.edu
2
Instructor, Dept. of Civil and Envir. Engineering, Amer. Univ. of Beirut, Lebanon.
Email: gmf02@mail.aub.edu
3
Professor, Dept. of Civil and Envir. Engineering, Amer. Univ. of Beirut, Lebanon.
Email: mounir@aub.edu.lb
4
Professor, Dept. of Civil Engineering, U.S. Coast Guard Academy, New London, CT 06320, USA.
Email: Kassim.M.Tarhini@uscga.edu
1

ABSTRACTThe American Association of State Highway and Transportation Official (AASHTO) and Load andResistance Factor Design (AASHTO LRFD) do not account for the presence of railings as integral parts ofhighway bridges. This paper presents the parametric investigation of the influence of railings stiffness on thewheel load distribution in simply-supported, one-span, one- and two-lane reinforced concrete slab bridges using
the finite-element analysis (FEA). A total of 80 bridge cases are modeled and bridge parameters such as span
lengths and slab widths were varied within practical ranges. Various railings built integrally with the bridge deckare placed on both edges of the concrete slabs. The FEA wheel load distribution and bending moments arecompared with reference bridge slabs without railings as well as to the AASHTO design procedures. According
to the FEA results, the presence of railings reduces the longitudinal bending moment in slabs by 25% to 60%
depending on the stiffness of the railings. The results of this investigation will assist structural and bridge
engineers in better designing or evaluating concrete slab bridges in the presence of railings. This can also be
considered to be a possible alternative for strengthening existing concrete slab bridges.
Keywords: Concrete Slab Bridges, Railings Stiffness, Finite-Element Analysis, AASHTO Procedures, LoadCarrying Capacity.

Results indicated that AASHTO Specs moments
overestimate the FEA moments for short spans, onelane bridges and agreed with FEA moments for shortspans in combination of two or more lanes. Also,
AASHTO Specs underestimates the FEA moments
for longer spans. As for AASHTO LRFD procedure,it overestimates FEA moments for all bridge cases.
Several studies were conducted to investigate theinfluence of sidewalks and railings on wheel load
distribution in steel and prestressed girder bridges
which was shown to increase the stiffness of thesuperstructure and improve the load-carrying
capacity of these bridges [3]–[4]–[5]–[6]–[8].
Recently, a parametric investigation studying theinfluence of one standard railings size on straightconcrete slab bridges was performed [7]. The results
indicated that placing two railings on straight
bridges,
AASHTO
Standard
Specifications
procedures overestimated the FEA moments by
100% for one-lane bridges, and by 20% for bridges
with two lanes. AASHTO LRFD overestimated the
FEA moments in all bridge cases by 150% for onelane, and 70% for two-lanes when placing two

INTRODUCTION
A significant number of highway bridges areshort-span reinforced concrete slabs that are owned
and maintained by local and state governments. The
main advantage of concrete slab bridges is the easeof construction and the ability to field adjustment of
the roadway profile during construction. The designof highway bridges in the United States conforms
American Association of State Highway andTransportation Official (AASHTO) [1] or Load andResistance Factor Design (LRFD) Bridge Design
Specifications (2012) [2]. The current AASHTO
procedures do not consider the effect of railings thatare built integrally with bridge deck in theevaluation of the load-carrying capacity of bridges.
Therefore, this study investigates the effect ofrailings in resisting highway loading and increasing
the load-carrying capacity of reinforced concreteslab bridges.
A parametric study investigated straight, singlespan, simply-supported reinforced concrete slab
bridges using finite-element analysis (FEA) [9].
497SEE-Osaka, Japan, Nov. 21-23, 2016

railings on slab bridges. It is worth mentioning
noting that the AASHTO Procedures which
overestimated the FEA results above do not consider
the effect of side railings.
This paper presents the results of a parametricstudy investigating the influence of railings stiffness
on the increase in load carrying capacity inreinforced concrete slab bridges.

AASHTO Specs and AASHTO LRFD do not take into account the influence of side railings on concreteslab bridges.
DESCRIPTION OF BRIDGE CASES
Typical simply-supported one-span, one-lane,
and two-lane reinforced concrete slab bridge cases
were analyzed in this investigation. Four single span
lengths were considered in this parametric study: 7.2,
10.8, 13.8, and 16.2 m (24, 36, 46, and 54 ft) withcorresponding slab thicknesses of 450, 525, 600, and675 mm (18, 21, 24, and 27 inches), respectively.
The concrete slab thicknesses were calculated using
the AASHTO equations reported in earlier sections.
The overall slab widths were assumed to be: 4.2 m(14 ft) for one lane, and 7.2 m (24 ft) for two lanes.
The base case for the standard railings size
adopted from previous research was 200 mm (8 in)wide and 760 mm (30 in) high above slab [7].
Another parameter considered in this study wasvarying the railings stiffness, which is represented
by the moment of inertia of the railing (I) computedat the bottom of the railing section.

AASHTO BENDING MOMENTS AND SLAB
THICKNESS
For simply-supported concrete slab bridges,
AASHTO Standard Specifications (2002) suggest
three approaches in determining the live-loadbending moment but only one procedure is used inthis study that was compared with the finite-element
analysis results.

M = 13,500S for S ≤ 15m(1)

M = 1,000(19.5S − 90) forS > 15m(2)

Where:
S = span length in m
M = longitudinal bending moment per unit width in
N-m/m

bh 3
h
bh 3
+ bh( ) 2 =
122
3∴ I (bottom ) = 4 I (center )I (bottom ) = I (center ) + Ad 2 =AASHTO LRFD Section 4.6.2.3 (2012) provides
an equivalent strip width procedure to design
reinforced concrete slab bridges that is comparable
to procedures specified in the Standard
Specifications. However, the AASHTO LRFD
Section 3.6.1.2 requires the use of HL93 (addition ofHS20 Truck plus lane loading) live loading. Thisapproach is to divide the total bending moment by
an equivalent width to obtain a statically design
moment per unit width. The equivalent width “E” oflongitudinal strips per lane for both shear andmoment is determined using the following formulas:
Width for one lane loaded is:
E = 250 + 0.42 L1× W 1

Five stiffness factors are considered including
X0,
X1, X2, X3, X4, and X0.5, along with X0case with no railings).
(reference
Where:
X0 No Railings, Reference case = 0
X0.5 Half the base case moment of inertia = 2Ic
X1 Moment of inertia of base case = 4Ic
X2 Twice the base case moment of inertia = 8Ic
X3 Triple the base case moment of inertia = 12Ic
X4 Four times the base case moment of inertia =
16Ic

(3)

Width for multi-lanes loaded is:
E = 2,100 + 0.12 L1× W 1(4)

Where:
E = equivalent width of longitudinal strips per lane,“mm”
L1 = span length in “mm”, the lesser of the actual
span or 18,000 mm
W1 = edge-to-edge width of bridge in “mm” taken
to be the lesser of the actual width or 18,000 mm for
multi-lane loading, or 9,000 mm for single-laneloading.

Fig. 1

Various railing sizes (X0, X1, X2, X3, X4,
X0.5).

Various railings sizes are shown in Fig.1. Figure
2 shows a typical cross-section and plan-view of
two-lane bridge cases with/without railings (basecase, X1), with HS20 trucks placed transversely

498

SEE-Osaka, Japan, Nov. 21-23, 2016close to one edge of the slab deck with minimum
spacing between trucks (Edge loading condition).

Fig. 2[10]. A previous study which investigated theinfluence of railings, showed that railings modeled
as beam elements placed “eccentrically” along theslab edges with the second moment of area
calculated about its base, gave similar results forlongitudinal moments for models where railings
were modeled as shell elements placed orthogonallyon top and along the edges of each slab which
represent a realistic geometric model [7]. Therefore,
the simpler eccentric beam element was adopted tomodel the railings in this study. Figure 3 illustrates
a typical finite-element model with thecorresponding longitudinal bending moment
contours for a 10.8 m (36 ft) span, two-lane bridge,
in the presence of two railings, and subject to HS20
Edge loading condition.

Typical cross-section and layout for a twolane bridge subject to Edge loading
condition with base case railings (X1).

Fig. 3

BRIDGE LOADINGThe bridge cases considered in this study were
subjected to AASHTO HS20 design trucks assuming
to be traveling in the same direction when
considering multiple lanes. AASHTO HS20 design
trucks were placed longitudinally and transversely to
produce maximum bending moments. The results ofa previous study indicated that the Edge loading
condition is more critical than the Centered loading
condition [7]. Therefore, only the Edge loading
condition was adopted in this study. Figure 2 shows
the Edge loading condition for the two-lane bridgecase where the first design truck was placed close to
one edge of the slab, such that the center of the left
wheel of the left most truck is positioned at 0.3 m (1ft) from the left edge of the slab, and the other trucks
were placed side-by-side with a distance 1.2 m (4 ft)
between the adjacent trucks in order to produce theworst live loading condition on the bridge.

FEA longitudinal bending moments (KNm/m) in a 10.8 m (36 ft) span, two-lanebridge, with base case railings (X1) subject
to Edge loading condition.

FINITE-ELEMENT ANALYSIS RESULTS
The FEA results are reported in terms of the
maximum longitudinal bending moments at criticallocations in the concrete slab bridges. The FEA
results for bridges with railings of different stiffness
factors were compared with reference bridge cases
without railings as well as with AASHTO Standard
Specifications and LRFD procedures.
FEA Results vs. AASHTO
Figure 4 shows sample plots of the FEA
longitudinal bending moment at the critical sections
for all the two-lane bridge cases in combination withthe four span lengths (S) with base case railings (X1).
Figure 5 shows the bending moment plots for all thetwo-lane bridges with 10.8 m (36 ft) span length,with different railing configurations (X0, X0.5, X1,
X2, X3, X4), along with the AASHTO moments.
The maximum FEA longitudinal moments in Fig. 5
for the concrete slabs was defined as the first peakvalue occurring after the maximum value at theleftmost edge which is assumed to be resisted by theedge beam.

FINITE ELEMENT MODELING
A total of 80 slab bridge cases were investigatedusing the FEA. The computer program SAP2000(version 17) was used to discretize the bridge into a
convenient number of square four-node shellelements with six degrees of freedom at each node499

SEE-Osaka, Japan, Nov. 21-23, 2016

Fig. 4

AASHTO overestimates FEA moments by about
20%. This is more pronounced with more lanes andlonger spans, where AASHTO underestimates FEA
moments reaching up to 20% for two lanes withspans greater than 12 m (40 ft). When base caserailings (X1) are present in a concrete slab, the FEA
slab moments decrease significantly and AASHTO
overestimates or gives similar moments in almost allcases, reaching 100% for the one-lane bridges withspans less than 12 m (40 ft), and gives similar
moments for two-lane bridges with spans longer
than 12 m (40 ft). Also, as the stiffness factor ofrailings increases as the FEA moments decrease anda more significant AASHTO overestimation isobserved. This overestimation reaches 170% for
one-lane bridges and is around 70% for two-lanebridges with (X4) railings stiffness factor.

FEA longitudinal bending moments for
two-lane bridges for all spans (S), with basecase railings (X1).

Table 2 Comparison of FEA Maximum SlabLongitudinal Bending Moments and
AASHTO LRFD Moments
Numberof Lanes

Span
Length(m)

FEA Maximum Longitudinal Moments (KN-m/m) and Percent
Difference with AASHTO LRFD
Stiffness Factor
X0

Fig. 5

FEA longitudinal bending moments for a
10.8 m (36 ft) span, two-lane bridge, withvarious railings sizes (X0, X0.5, X1, X2,
X3, X4), with AASHTO Specs and LRFD.

1

Numberof Lanes

Span
Length
(m)

1

7.2
10.8
13.8
16.2

FEA Maximum Longitudinal Moments (KN-m/m) and Percent
Difference with AASHTO Specs
Stiffness Factor
X1
X2
X0
74.5
30%
44.8
117%
39.0
149%
131.0
11%
75.9
92%
59.6
145%
188.8
-1%
119.0
57%
91.8
103%
235.1
-4%
162.8
39%
128.1
76%

2

7.2
10.8
13.8
16.2

92.3
159.0
226.6
280.6

1

7.2
10.8
13.8
16.2

2

7.2
10.8
13.8
16.2

5%
-8%
-18%
-19%

65.9
111.3
168.8
222.9

47%
31%
10%
1%

60.5
92.4
139.4
188.3

36.5
51.8
77.3
107.8

166%
181%
141%
110%

35.2
47.3
68.2
94.4

176%
209%
173%
139%

58.0
82.2
121.4
165.2

68%
77%
53%
37%

56.5
76.4
109.3
148.5

72%
91%
70%
52%

X3

97.2
145.8
186.3
225.9

52.2
93.1
144.1
191.2

86%
57%
29%
18%

97.2
145.8
186.3
225.9

73.4
128.6
192.0
247.6

33%
13%
-3%
-9%

97.2
145.8
186.3
225.9

X4

70%

44.8

182%

39.0

224%

126.5

10.8

131.0

62%

75.9

180%

59.6

256%

212.4

13.8

188.8

50%

119.0

138%

91.8

208%

283.1

16.2

235.1

44%

162.8

108%

128.1

164%

338.9

7.2

92.3

18%

65.9

65%

60.5

79%

108.5

159.0

29%

111.3

84%

92.4

122%

205.2

13.8

226.6

30%

168.8

74%

139.4

111%

293.9

16.2

280.6

31%

222.9

65%

188.3

95%

367.7

1

7.2
10.8
13.8
16.2

36.5
51.8
77.3
107.8

246%
310%
266%
214%

35.2
47.3
68.2
94.4

259%
350%
315%
259%

52.2
93.1
144.1
191.2

142%
128%
96%
77%

126.5
212.4
283.1
338.9

2

7.2
10.8
13.8
16.2

58.0
82.2
121.4
165.2

87%
150%
142%
123%

56.5
76.4
109.3
148.5

92%
169%
169%
148%

73.4
128.6
192.0
247.6

48%
60%
53%
48%

108.5
205.2
293.9
367.7

X4

X0.5

With reference to Table 2, AASHTO LRFD
overestimates the FEA slab moments in almost all
bridge cases with or without railings. AASHTOLRFD overestimates the FEA slab moments byabout 50% for one-lane bridges and about 30% for
two-lane bridges. This overestimation decreases
with the increase in span length. When base caserailings (X1) are present, the AASHTO LRFD
overestimation of the FEA slab moments becomes
more significant reaching an average high of 150%
in one-lane bridges or 70% in two-lane bridges. Thisoverestimation is further increased as the railings
stiffness factor increases where it reaches 250% for
one-lane bridges and around 150% for two-lanebridges with (X4) railings stiffness factor.

AASHTOSpecs
Moments(KN-m/m)
97.2
145.8
186.3
225.9

61%
58%
34%
20%

74.5

X3

Table 1 Comparison of FEA Maximum SlabLongitudinal Bending Moments and
AASHTO Specs Moments

X2

7.2

10.8

2

Table 1 summarizes the increase or decrease inpredicting bending moments in the concrete slabs
when comparing the maximum FEA with the
AASHTO Specs moments for all the bridge cases.

X1

AASHTOLRFD
Moments(KN-m/m)

X0.5

Using Table 1, it can be observed that, for bridgecases with no railings (X0), AASHTO Standard
Specifications generally tends to give similar results
to the FEA slab moments, with the exception of onelane with spans less than 12 m (40 ft) where the

FEA Results with Railings vs. No Railing
The maximum slab bending moments are
summarized in Table 3 for all bridge cases in termsof ratios of FEA results for cases with various
500

SEE-Osaka, Japan, Nov. 21-23, 2016

railings stiffness factors to the corresponding cases
without railings (reference case, X0). Table 3 showsthat the presence of railings reduces the maximum
longitudinal slab moment and this increase is more
pronounced as the railings stiffness factor increases.
For one-lane bridges, maximum longitudinal
moment reduces by 40% when adding railing withstiffness factor (X1) and it reduces by 60% with
(X4) railing stiffness factor. As for two-lane-bridges,
the slab moment reduces by 25% with X1 railingstiffness factor and by about 50% with X4 railingstiffness factor. Worth mentioning that the rate of
the increase of the reduction decreases as the railingstiffness factor increases.

REFERENCES[1] AASHTO (2002). Standard specifications forhighway bridges, 17th Ed., American
Association of State Highway and Transportation
Officials (AASHTO), Washington, D.C.
[2] AASHTO (2012). LRFD bridge design
specifications, 5th Ed., American Association ofState Highway and Transportation Officials(AASHTO), Washington, D.C.
[3] Akinci, N.O., Liu, J., and Bowman, M.D.
(2008). “Parapet strength and contribution tolive load response for super load passages.” J.
Bridge Eng., 13(1), 55-63.
[4] Chung, W., Liu, J., and Sotelino, E.D. (2006).
“Influence of secondary elements and deckcracking on the lateral load distribution of steel
girder bridges.” J. Bridge Eng., 11(2), 178-187.
[5] Conner, S., and Huo, X.S. (2006). “Influence ofparapets and aspect ratio on live-loaddistribution.” J. Bridge Eng., 11(2), 188-196.
[6] Eamon, C., and Nowak, A. (2002). “Effects ofedge-stiffening elements and diaphragms on
bridge resistance and load distribution.” J.
Bridge Eng., 7(5), 258-266.
[7] Fawaz, G., Waked, M., Mabsout, M., andTarhini, K. (2016). “Influence of railings onload carrying capacity of one- and two-lane
concrete slab bridges.” Sixth Annual
International Conference in Civil Engineering,
Athens, Greece.
[8] Mabsout, M., Tarhini, K., Frederick, G., andKobrosly M. (1997). “Influence of sidewalks andrailings on wheel load distribution in steel girderhighway bridges.” J. Bridge Eng., 2(3), 88-96.
[9] Mabsout, M., Tarhini, K., Jabakhanji, R., andAwwad, E. (2004). “Wheel load distribution in
simply supported concrete slab bridges.” J.
Bridge Eng., 9(2), 147-155.
[10] SAP2000 (version 17). Computers andStructures Inc., Berkeley, California.

Table 3. Comparison of FEA Results with Railings
to Reference Case without Railings
Numberof Lanes

Span
Length(m)

Ratio of FEA Maximum Longitudinal Moment with Railings toReference Case without Railings
Stiffness Factor
X0

1

2

X1

2

X2

7.2

74.5

1.00

44.8

0.60

39.0

0.52

74.5

10.8

131.0

1.00

75.9

0.58

59.6

0.46

131.0

13.8

188.8

1.00

119.0

0.63

91.8

0.49

188.8

16.2

235.1

1.00

162.8

0.69

128.1

0.54

235.1

7.2

92.3

1.00

65.9

0.71

60.5

0.66

92.3

10.8

159.0

1.00

111.3

0.70

92.4

0.58

159.0

13.8

226.6

1.00

168.8

0.74

139.4

0.62

226.6

16.2

280.6

1.00

222.9

0.79

188.3

0.67

280.6

0.70
0.71
0.76
0.81
0.80
0.81
0.85
0.88

74.5
131.0
188.8
235.1
92.3
159.0
226.6
280.6

X3

1

Reference
Moment X0

7.2
10.8
13.8
16.2
7.2
10.8
13.8
16.2

36.5
51.8
77.3
107.8
58.0
82.2
121.4
165.2

X4
0.49
0.40
0.41
0.46
0.63
0.52
0.54
0.59

35.2
47.3
68.2
94.4
56.5
76.4
109.3
148.5

X0.5
0.47
0.36
0.36
0.40
0.61
0.48
0.48
0.53

52.2
93.1
144.1
191.2
73.4
128.6
192.0
247.6

SUMMARY AND CONCLUSIONSAASHTO
Standard
Specifications
andAASHTO LRFD empirical equations do not accountfor the presence of railings as integral parts of abridge slab, and these elements are neglected during
the design stage. Based on the finite-element
analysis, it is clearly evident that these elements
increase the capacity of the bridges if they aremodeled as integral parts of the slab. It was foundthat the maximum slab moment was reduced due tothe presence of two railings. This reduction in theslab moment decreases with the increase in thenumber of lanes, and increases with the increases in
the railing stiffness. These railings can be used as
one alternative strengthening technique to upgrade
existing bridges that require rehabilitation or toallow permit vehicles on the bridge.
ACKNOWLEDGMENT
This research was supported by a grant from the
University Research Board (URB) at the American
University of Beirut to whom the authors areindebted and thankful.
501

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Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

A SIMULATION OF RISK MANAGEMENT IN INFORMATIONSYSTEM PROJECTS FOR INDUSTRIAL ENGINEERINGPOSTGRADUATES
Sakgasit Ramingwong1,2 and Lachana Ramingwong2
Excellence Center in Logistics and Supply Chain Management, Chiang Mai University, Thailand;
2
Department of Computer Engineering, Faculty of Engineering, Chiang Mai University, Thailand

1

ABSTRACT
Risks management is an essential element which can help increasing success rate in engineering projects.
Undeniably, efficient implementation of this process requires not only knowledge but also real experience in the
project context. In information system projects, which are widely known for its challenging and unique nature,
the importance of risk management increase substantially. It is significant that all stakeholders, either at
technical, management or other levels, need to realize the potentials of major risks. This research reports a result
from an implementation of a simulation on risk management in information system projects based on asimulation called ARMI: A Risk Management Incorporation for industrial engineering postgraduate students.
The results show that the simulation can be effectively implemented for participants with non-technicalbackground.
Keywords: Information system development, Risk management, Simulation, Case study

information system development processes [10].
Originally, it was developed as a tool for teachingrisk management in project management course forundergraduate computer engineering student. The
results of past simulations show that this simulation
can help moderating the participants’ perception
towards risks. After completing the activity, theparticipants learn the process of risk management,
information system development as well as potential
risks and impact on the project.
This research implements ARMI in a different
domain. Instead of computer engineers, industrial
engineering students are the participants on thisresearch. Thus, the results from this research islikely to reflect the viewpoints from the management
side in an information system project than the usualtechnical counterpart. Statistical analyses reveal
several interesting findings which are later discussed
in this paper.
The second section of this paper reviews ARMI,
the main simulation, and its past implementation.
Then, the research methodology and background of
the participants are described in section three. The
fourth section discusses the results and findings.
Finally, the fifth section concludes this paper.

INTRODUCTION
Information system is arguably one of the mostimportant foundation of modern business. An
efficient information system can provide a sharp
competitive edge for organizations [1], [2].
However, interestingly, it has been reported that thesuccess rate of information system development israther unsatisfactory. The report by Standish Groupshows that the overall success rate of software
projects was only 19% in 2015 which is inferior to
the years before [3], [4]. The numbers reveals that,
although with current technologies, approaches,
attempts and advanced development processes, thismediocre rate of success shows no significant
improvement.
It is obvious that risks, although usually
undesired, inhibit in most engineering projects [5].
Different type of projects involve in different types
and effects of risks [6]. Management of risks in an
unfamiliar project context could be more thanchallenging. Such difficulties could escalate inprojects which is highly intangible such as
information system projects [7]. Indeed, increase inknowledge towards the project nature could help
increasing the chance of success [8]. Additionally,
since these projects usually involve a number ofstakeholders, e.g. executives, managers, consultants,
users, engineers, sponsors and vendors, it isimportant that all of them realize the potential risks
so they can contribute their efforts towards
appropriate mitigation strategies [9].
ARMI: A Risk Management Incorporation is asimulation based on risk management and

INFORMATION SYSTEM DEVELOPMENT
AND ASSOCIATED RISKS
The development of an information system ischallenging. Reports reveal that their success rate is
far from acceptable [3], [4]. Indeed, unlike otherforms of engineering project, the development of502

SEE-Osaka, Japan, Nov. 21-23, 2016

information systems heavily relies on several
intangible components, especially software [11].
This leads to unique risks and mitigation strategies.
To improve the survival rate of the project, it iscritical that all stakeholders need to realize theimportance and nature of these challenges.
The phases of information system development
are indifferent from general engineering projects. It
involves collecting of requirements, translate therequirements into design, develop the system fromthe design and finally test for the product’s quality[12]. Typical information systems consists of threemajor components, e.g. hardware, software andnetworking [13]. Indeed, the most mysterious partof the system is the software. Due to its intangibility,
tracking progress of software can be complicated[14].
Moreover, although the hardware andnetworking seems be mainly related on physicalequipment, they inevitably involve abstract
processes such as configuration. This, too, could
also lead to major drawbacks in the projects.
Both researchers and practitioners have been
proposing major risks in information systemdevelopment [6], [15]–[17]. From the technicalpoint of view, continuously expanding of
requirements or “Scope creep” has been perceived as
the more, if not the most, important risk [18]. Thisis because many stakeholders do not realize thateven minor changes can cause major impact to thestructure of the information systems, which could
further lead to other problems such as defects, delay
and inefficiency of the products. This problem is
not likely to happen often in other engineering
scenarios which almost every critical elements canbe physically seen.
Inexperienced staff is another risk whichhighlight the uniqueness of information systemdevelopment [19]. When developing an information
system, every attempt which translates the inputs tothe output in each phase is design. Requirement
engineering, system analysis and designing, coding
and testing all involve design of certain products.
As such, unskilled labors are mostly irrelevant in
information system project. Positioning staffs withinappropriate experiences could also cause damage
to the project.
As aforementioned, realizing of potential risks
could greatly moderate the perspectives of
stakeholders in information system projects. A
simulation could be an effective tool to bridge thegap between these perceptions. This not only
improve the success but also the efficiency of theentire development.

ARMI:
A
RISK
INCORPORATIONMANAGEMENT

ARMI is developed to serve as an activity whichcoaches computer engineering students on risk
management of software project [10]. All six phasesof risk management, i.e. identification, analysis,planning, tracking, control and learning, arerepresented and repeated. On the technical side,
ARMI simulates an entire cycle of an information
system development project. This development
cycle follows the classic Waterfall Model for its
simplicity. As a result, the stages of systemdevelopment defined in this simulation involve
requirement, design, implementation, testing, andmaintenance. ARMI is designed to be ideally playedby three teams of participants. Each team consistsof 2-8 persons.
An equal amount of risk
management fund is distributed amongst them. The
team which completes the simulation with the mostremaining fund wins.
ARMI follows each stage of system development
in sequence. This results in 5 turns of simulation. In
each turn, the participants brainstorm and identify
potential risks which may surface during thatdevelopment stage from a list of 25 risks which arerecognized as top threats in information systemdevelopment project. The followings designate
potential risks which could be materialized in
ARMI:•
Inexperienced staff•
Delay of schedule•Lacks of executive involvement•
Lacks of user involvement•
Lacks of user IT skills•
Scope creep•
Inadequate development facilities•
Inadequate staffing•
Staff turnover•
Inefficient management•
Missing of payment from clients•
Unable to fulfill customer’s objectives•
Cost escalation•
Low software performance•High number of defects•
User resistance•
Incompatibility to the legacy system503

SEE-Osaka, Japan, Nov. 21-23, 2016

perceptions therefore it could be an effective tool tohelp shaping stakeholders’ perception towards risks
in information system development projects.

•
Unable to integrate modules•
Increased number of users•
Inappropriate system design•
Inaccurate requirement analysis•
Conflicts between internal staffs•
Conflicts between stakeholders•
Low stability of new technology•
Lack of external communication
The participants are expected to analyze forpotential impacts and probabilities of occurrence of
the identified risks. In order to save the valuable
resources, less important and irrelevant risks are
expected to be ignored. Expert’s opinions are given
as a guideline to assist them in this process. They
are notified that the expert’s opinions could bewrong and misleading sometimes. After that, theteams prioritize the risks and choose the mostappropriate mitigation strategies for each of them.
There are four mitigation strategies to be chosen in
ARMI. Firstly, Method A, this strategy costs mostbut can prevent any upcoming penalty if the risk
actually surfaced. Secondly, Method B, this strategy
costs less but can mitigate only 50% of theconsequence. For instance, if the team choose thispractice and the related risk is materialized, they are
required to pay half of the damage caused by thisrisk. Thirdly, Method C costs even less but only
cover 20% of the penalty. Finally, the teams canalso choose to not pay for any protections and suffer
the full impact of the risks.
After the mitigation bill is concluded, arepresentative from each team draws a number
which indicates the number of materialized risks.
Then, the representatives draw risk cards from thedeck of risk. Although this seems random, thenumber of risks in the deck is actually controlled.
Subsequently, the moderator announce thematerialization of the risks. At this phase, the teamcan argue if they feel that certain risk is not relevantto that development stage. If they win the argument,
the risk is considered void so they do not need to pay
for penalties. Otherwise, the teams then pay foreach impacts of the risks which they fail to mitigate.
The participants learn the risk management process
and nature of risk in information systemdevelopment along with the repetition of these
activities in each turn.
A pretest and a posttest revealed noticeablechanges of the participants’ risk pre- and postanalyses. Their perceptions towards risks seemed tobe moderated by the ratio of risks in the deck. Thissuggests that ARMI may influence the players’ risk

RESEARCH METHODOLOGYThis research attempts to study the effectivenessof ARMI when being applied to less-technicalgroups of stakeholders. Seventeen postgraduate
students on a master degree on logistics and supply
chain management participated in the experiment,using the standard rules. Only one of them hadsome real experience in information systemdevelopment, as a web developer. Others know
about technologies and general knowledge on
information systems but not from the development
perspective. Prior to the simulation, the students
were asked to anonymously rate each risk, on a scaleof 1 to 5, for their overall probabilities and impacts
on information system development project. Their
perceived risk exposures were recorded and ranked.
After the simulation, the students were asked toretake the survey. Some additional questions on
their opinion towards the simulation was alsoinquired. Then, the results were comparatively
analyzed and interpreted.
RESULTS AND DISCUSSION
Table 1 and Fig. 1 summarize risk exposures ofthe selected risks from the pre and post survey aswell as their ranks.
Table 1 Risk exposures of the selected risks fromthe pre and post survey
Risk
Scope creep
Delay of schedule
Cost escalation
Lack of ex. commun.
Conflict b/w staffs
High number of defects
Low stability of tech.
Missing of payment
Conflict b/w stakehold.
Inaccurate req. analysis
Staff turnover
Inappropriate design
Inexperienced staff
Lacks of user involve.
Incompat. to the legacy
Unable to fulfill obj.
Unable to integrate

504

Pretest
RE
#
15.1
1
14.5
2
13.2
4
13.3
3
10.8 2012.9
6
11.9 1113.1
5
11.9 1211.2 16
9.2 2412.6
911.8 1312.8
7
11.5 1410.9 1711.5 15

Posttest
RE
#
23.1
1
21.4
2
20.3
3
17.2
4
15.9
5
15.8
6
14.8
7
14.7
8
14.7
9
14.7 1014.4 1114.2 1214.1 1313.8 1413.8 15
13.6 16
13.5 17

SEE-Osaka, Japan, Nov. 21-23, 2016

Inefficient management
Low soft. performance
Inadequate facilities
Lacks of exec. Involve.
Lacks of user IT skills
User resistance
Inadequate staffing

12.8
10.8
10.5
10.4
12.3
10.9
9.7

8
19
21
22
10
18
23

13.3
13.2
13.2
12.6
11.9
11.1
10.6

18
19
20
21
22
23
24

Increased users
8.4 25
8.6
Note: RE = Risk Exposure; # = Risk Rank

25

25
20
15
10
5
0

PretestFig. 1

Posttest

Risk exposures of the selected risks from the pre and post survey.

It can be seen from Table 1 that, although theorder of the top four perceived risks remains almost
the same, several changes can be found in the lower
ranked risks. Some of these changes are significant.
Few notable mentions include the plunge in ranking
of incompatibility to the legacy system (from 7th to14th), user resistance (from 8th to 18th) and lacks of
executive involvement (from 10th to 22nd). On theother hand, sharp rises in rankings are found in
missing of payment from clients (from 20th to 5th),lacks of user involvement (from 11th to 7th) andlacks of user IT skills (from 16th to 10th). As
previously denoted, all of these changes reflects thematerialized risks during the simulation. Since therisks were randomly drawn during the simulation,some of them unexpectedly materialized while otherof them did not. Likewise, some of them had more
impact than the participants’ anticipation while otherof them did not cause much problems to the project.
As a result, the more often the risk occurs, the higherscores they earn at the posttest. Among these, themissing of payment from clients is exceptional.
Although it only occurred once during the entire
simulation, this risk brought the highest loss on the
project. One of the team almost went bankrupt fromthis single risk because they failed to mitigate. This
scenario alone proves that the simulation caneffectively moderate the perception of theparticipants.
Further customization to specificenvironment can help bridging the perception of the
project stakeholders.
Another major difference between the pretest andposttest is the degree of risk exposures. Figure 1
reveals that the exposures of most risks are
significantly higher in the posttest. This suggeststhat the participants become more aware on eachrisk than before the simulation. Certain risks whichwere frequently materialized in the workshop, suchas scope creep, delay of schedule and cost escalation,
become major concerns for the students.
Table 2 further investigates the differences
between pretest and posttest’s perceptions. One-way
ANOVA is used to compare the means of each risk
exposure. Five significances are found between themeans of pretest and posttest’s risk exposures. Thisfurther fortifies that although the ranks of the top
risks remain approximately the same after thesimulation, participants became much more concern
with them. At a p level of 0.05, it can be seen thatmeans of scope creep, delay of schedule, costescalation, conflicts between internal staffs and staff
turnover between the pretest and the posttest are
significant. This is a direct result from the quantityof risk cards drawn during the simulation.
505

SEE-Osaka, Japan, Nov. 21-23, 2016

Anonymous feedbacks from the participants
still be too random. They also suggested that ansuggested several benefits from the simulation. The
introducing of some beneficial risks could evenplayers indicated that the simulation is not only
improve the depth and strategic facet of theeducating but also stimulating. They found that thesimulation.
activities encourage communication, team working
and exchanging of ideas. However, the participants
criticized that although the probabilities of the risks
are partly controlled, the materialized item could
Table 2 Comparison on perceptions toward risks from pre and post survey
Posttest
Pretest
Risks
Rank
Rank
F
1 (-)
1
Scope creep
25.4282 (-)
2Delay of schedule
12.553
4
Lack of external communication
3 (↑)
3.405
3
Cost escalation
4 (↓)
14.35420
Missing of payment from clients
.605
5 (↑)
6 (-)
6
High number of defects
1.682
11
Lacks of user involvement
.209
7 (↑)
5
Inefficient management
8 (↓)
.073
12
Inappropriate system design
9 (↑)
.411
16
Lacks of user IT skills
10 (↑).050
24
Low stability of new technology
2.130
11 (↑)
9
Conflicts between stakeholders
12 (↓)
1.617
13 (-)
13
Inexperienced staff
2.169
7
Incompatibility to the legacy system
1.277
14 (↓)
14
Unable to integrate modules
15 (↓).937
17
Inaccurate
requirement
analysis3.355
16 (↑)
15
Unable to fulfill customer’s objectives
17 (↓)
2.450
8User resistance18 (↓).008
19 (-)
19
Low software performance
1.512
21
Conflicts between internal staffs
20 (↑)
6.382
22
Inadequate development facilities
2.272
21 (↑)
10Lacks
of
executive
involvement
1.032
22 (↓)
18
Inadequate
staffing
23 (↓).348
23
Staff turnover
24 (↓)
7.003
25 (-)
25
Increased number of users.010
Note :* = Statistically significant at p=0.05, (-) = Unchanged in ranking, (↑) = Increased in ranking,

Sig.
.000*
.001*
.074
.001*
.443
.204
.650
.789
.526
.824
.154
.213
.151
.267
.340
.076
.127
.927
.228
.017*
.142
.317
.559
.013*
.922

(↓) = Decreased in ranking
CONCLUSION
When being asked whether they gain new
knowledge on information system development fromthe simulation, the participants denoted that theygain insights on the phases of development,
importance and impact of risks, and importance ofcommunication. They also admitted that some of
the critical risks were previously unforeseen andthey realized that such risks can occur in every phaseof the project.
The participants further stated that in the view ofrisk management, they learned the importance ofeach activity. Moreover, they acknowledged thatappropriate management of risk could yield more
benefits and losses. In addition, they realized that“learning” is the most important phase in risk
management.

One major challenge of information systemdevelopment is the gap between technical andmanagement stakeholders. This is due to different
perspectives and lack of knowledge on the nature of
the project. Bridging this gap could be an efficient
strategy to increase the success rate.
This research attempts to implement a risk
management simulation which was originally fortechnical staff on the management counterpart. This
includes seventeen postgraduate students on logistics
and supply chain management from Chiang Mai
University, Thailand. Most of them have little tonone experience on actual software development.
The results are analyzed from their pretest, posttest

506

SEE-Osaka, Japan, Nov. 21-23, 2016

risk analysis as well as an anonymous questionnaireat the end of the session.
Statistical analyses reveal several interestingfindings from the simulation. Firstly, the risk
exposures from the posttest are generally higher thanthose from the pretest. This indicates the growing
caution on the participants’ perceptions. Some ofthese changes are statistically significant. Further
analysis reveals that there are many changes inranking of the risks between the pretest and posttest.
This reflects the effectiveness of the controlledelements in the simulation.
The participants denote in the questionnairethat they experience several key learning points fromthe simulation.
This includes the nature of
information system development, its risks, as well as
the importance of each risk management processes.
These results suggest that implementing thesimulation could be a strategic step to bridge the gap
between stakeholders and thus lead to improving
rate of success in information system development
projects.

[8] Bowers J and Khorakian A, “Integrating Risk
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Oper. Manag., vol. 38, pp. 1–13, 2015.
[10] Ramingwong S and Ramingwong L, “ARMI: A
Risk Management Incorporation,” in 2014 11th
International
ConferenceonElectricalEngineering/Electronics,
Computer,
Telecommunications
andInformation
Technology, ECTI-CON 2014, 2014.
[11] Khatavakhotan AS and Ow SH, “Developmentof a Software Risk Management Model using
Unique Features of a Proposed Audit
Component,” Malaysian J. Comput. Sci., vol. 28,
no. 2, 2015.
[12] Sommerville I, Software Engineering, 10th ed.
Pearson, 2015.
[13] Vermaat ME, Sebok SL, Freund SM, Campbell
JT, and Frydenberg M, Discovering Computers.
Cengage Learning, 2016.
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the Progress and Completion of a Project Basedon a Bayesian Network,” 20160004982, 2016.
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Development Risks in Strategic Information
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Computing Risk Assessment: A Systematic
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no. 1, pp. 42–50, 2007.

REFERENCES[1] Rainer RK, Prince B, and Cegielski CG,
Introduction
toInformation
Systems:
Supporting and Transforming Business. 2013.
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System as a Competitive Weapon,” Commun.
ACM, vol. 27, no. 12, pp. 1193–1201, 1984.
[3] The Standish Group International, “CHAOS
Report 2015,” 2015.
[4] Project Smart, “The Standish Group Report
CHAOS,” 2014.
[5] Lessard DR and Miller R, “Understanding andManaging Risks in Large Engineering Projects,”
Int. J. Proj. Manag., vol. 19, no. 8, pp. 437–443,
2001.
[6] Sonchan P and Ramingwong S, “Top Twenty
Risks in Software Projects: A Content Analysis
and Delphi Study,” in 2014 11th International
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[7] Gibson D, Managing Risk In Information
Systems. 2010.

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Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

ENHANCED PHOTOCATALYTIC DEGRADATION OF PHENOL BY
NEODYMIUM-DOPED ZINC OXIDE HIERARCHICALMICRO/NANOSPHERES UNDER FLUORESCENT LIGHT
IRRADIATION
Jin-Chung Sin1, Sze-Mun Lam2 and Abdul Rahman Mohamed3
Department of Petrochemical Engineering, Faculty of Engineering and Green Technology, Universiti
Tunku Abdul Rahman, Perak, Malaysia.
2
Department of Environmental Engineering, Faculty of Engineering and Green Technology, Universiti
Tunku Abdul Rahman, Perak, Malaysia.
3
School of Chemical Engineering, Universiti Sains Malaysia, Pulau Pinang, Malaysia.
1

ABSTRACT
There are growing concerns about the increasing trends of emerging phenols in the environment due to theirpotential negative impacts on natural ecosystems and humans. The photocatalytic degradation of phenol wasstudied in aqueous solution using neodymium-doped ZnO hierarchical micro/nanospheres (Nd/ZnO). The
catalysts were prepared using a facile and surfactant-free chemical precipitation method with zinc nitratehexahydrate and neodymium nitrate hexahydrate as precursors. The products were characterized by X-ray
diffraction, field-emission scanning electron microscopy, energy-dispersive X-ray spectroscopy, transmission
electron microscopy, high-resolution transmission electron microscopy, UV–visible diffuse reflectancespectroscopy, nitrogen adsorption-desorption and photoluminescence spectroscopy. The results showed that theas-prepared products were well-crystalline and accumulated by large amount of interleaving nanosheets. It wasalso observed that the Nd doping improved the light absorption ability of the catalysts and increased theseparation efficiency of electron-hole pairs. The photocatalytic studies revealed that the Nd/ZnO exhibited
excellent photocatalytic degradation of phenol compared with the pure ZnO, ZnO nanorods (ZNRs) andcommercial TiO2 under fluorescent light irradiation. The photocatalytic enhancement of Nd/ZnO products was
attributed to the high charge separation efficiency and hydroxyl radical generation ability as evidenced by thephotoluminescence spectra. By using several radical scavengers, hydroxyl radical was determined to play pivotal
role for the phenol degradation. In addition, the photocatalytic studies also showed that the effects of initialphenol concentration, solution pH and light sources exerted their individual influence on the phenol degradation.
Keywords: ZnO, Neodymium, Phenol, Hierarchical, Photocatalysis

harmless compounds to eliminate the environmental
pollution. ZnO is a promising semiconductor
because of its wide band gap, catalytic andphotochemical properties along with its low cost [3].
In particular, three-dimensional ZnO hierarchicalmicro/nanostructures have become a class of
attractive materials owing to their peculiar structure
and unique properties [3,4]. For example, flowerlike ZnO hierarchical microarchitectures have beensynthesized with an economical citrate-mediatedhydrothermal method and showed excellent ability
to remove dye pollutants compared with the othernanostructured ZnO powders of nanoparticles,
nanorods and nanosheets [4]. Previous work
revealed that the unique hierarchical porous
structure of ZnO hierarchical micro/nanospheres
offered greater opportunity for the diffusion andmass transportation of organic molecules andreactive radicals in the photodegradation [3].
However, the low quantum yields and the lack ofvisible light utilization limited its wide applications.

INTRODUCTION
Water pollution is a serious problem experienced
by nations throughout the developed and developing
countries. In the last few decades, the contaminationof water bodies due to organic pollutants including
phenols, dyes and pesticides has considerablyincreased in view of global industrialization andincreasing human population. Phenol is an endocrine
disrupting chemical which is produced worldwide in
millions of tons each year and widely used in
manufacturing of resins, insulation panels, pesticides,
paints and lubricants. Widespread occurrences ofphenol in surface waters have been reported atconcentrations up to 7.8 µg/L [1]. Numerous studies
have demonstrated positive results on the increased
chromosome aberrations in spermatogonia andprimary spermatocytes of mice treated with phenol
solution[2].
The
semiconductor-mediatedphotocatalysis reaction has become a desirable
method to convert the organic pollutants into
508

SEE-Osaka, Japan, Nov. 21-23, 2016

To address this lapse, much efforts have been madeto improve the photocatalytic efficiency of ZnO
including doping with metal or non-metal ions andcoupling with semiconductors [5,6,7]. Recently,
some studies have reported that ZnO doping withrare earth ions can produce impurity energy levels
within the band gap and expanded its visible light
response [5]. Moreover, rare earth doping can
produce traps for photogenerated charge carriers andreduced the electron–hole (ecb−−hvb+) pairs
recombination rate [5,7]. Hitherto, the scientificreports regarding the application of rare earth-doped
ZnO hierarchical structure are still lacking andinsufficient.
On the basis of the above consideration, thiswork reports on the synthesis of Nd-doped ZnO
hierarchical micro/nanospheres (Nd/ZnO) by asimple chemical solution route without any organic
solvent or surfactant. The as-synthesized ZnO
products were characterized by different techniques
and used for the photocatalytic degradation ofphenol under fluorescent light irradiation. The
effects of initial phenol concentration, solution pH
and light sources on the photocatalytic activities of
Nd/ZnO were investigated. The mechanisms ofinfluence on the photocatalytic activity of the
Nd/ZnO were also discussed.

magnetically stirred for 1 h in the dark to get theadsorption-desorption
equilibrium.
The
concentration of phenols was determined using a
HPLC (Perkin Elmer Series 200) at given timeintervals after the ZnO products were centrifuged.
Meanwhile, the comparison studies with commercial
TiO2 (100% anatase) and ZnO nanorods (ZNRs)
prepared by the solvothermal method [5] were also
conducted.
The roles of photogenerated positive charged
hole (hvb+), hydroxyl radical (•OH) and superoxideanion radical (O2•−) in the photocatalytic reactions
were evaluated by adding 0.2 mM of different
scavengers in a manner similar to the above
photocatalytic experiment. In a separate experiment,
terephthalic acid photoluminescence (TA-PL)
probing technique was also used in the detection of•OH. The detailed TA-PL experiment was similar to[6].
RESULTS AND DISCUSSION
Characterization Of The As-synthesized Products
Fig. 1 is the XRD patterns of as-synthesized
products. The diffraction peaks in the XRD spectra
indicated that the synthesized products had typicalhexagonal wurtzite structures and no peaks weredetected from any other impurities. The sharp andnarrow peaks also showed that the products obtained
to be well in a crystallized form. In addition, the
XRD pattern of Nd/ZnO showed the shifting ofdiffraction peaks slightly toward the lower angles,
indicating the substitution of Nd partly in the
crystalloid of ZnO. Since the ionic radii of Nd3+
(0.098 nm) was larger than that of Zn2+ (0.074 nm),doping of Nd ion into the ZnO can cause theexpansion of ZnO lattice and thus, led to a shift ofZnO peaks to lower angles as also observed by otherresearchers [7,8].

EXPERIMENTAL
In the experiment, 5.0 mmol zinc nitratehexahydrate (Zn(NO3)2·6H2O) and 0.1 mmol
neodymium(III)
nitratehexahydrate(Nd(NO3)3·6H2O) were dissolved in 80 mL ofdeionized water. Then 30 mmol NaOH was added
into the above solution and stirred continuously for 3
h at room temperature. After stirring, the as-formed
precipitates were filtrated, washed with deionizedwater for several times, dried at 60oC in air for 12 h
and finally calcined at 450oC in air for 2 h. Pure
ZnO was also prepared by the same procedure
without the addition of Nd(NO3)3·6H2O.
The obtained products were characterized by Xray
diffraction(XRD,
Philips
PW1820diffractometer), field-emission scanning electron
microscopy with energy dispersion X-ray (FESEMEDX, Quanta FEG 450), transmission electron
microscopy (TEM, Philips CM 12), high-resolution
transmission electron microscopy (HRTEM, Tecnai20), UV-vis diffuse reflectance spectroscopy (UVvis DRS, Perkin Elmer Lambda 35), N2 adsorption–
desorption (Micromeritics ASAP 2020) andphotoluminescence spectroscopy (PL, Perkin Elmer
Lambda S55).
The photocatalytic experiments were performed
as follows: 100 mL of 20 mg/L phenol in thepresence of catalysts (100 mg) was exposed to the
55 W compact fluorescent lamp positioned 12 cm
away from the vessel after the mixture wasFig. 1 XRD patterns of pure ZnO and Nd/ZnO.
Inset is the magnified region of (002) peak.

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The specific surface area of catalysts wasdetermined from nitrogen adsorption-desorption.
The specific surface area of the synthesized Nd/ZnO
was measured to be 21.0 m2/g, which was larger
than those of the pure ZnO (17.4 m2/g), ZNRs (7.3
m2/g) and other reported nanostructured ZnO [6,9].
Figs. 2a and b show the FESEM images of theas-synthesized products. It was clear that thesynthesized products were spherical shape and had
sizes in the range of several hundred nanometers toseveral micrometers. It can also be seen that the
microspheres had hierarchical structure accumulated
by lots of interleaving nanosheets with average
thickness of ~17 nm. The nanosheets intersectedwith each other, which resulted in a net-likemorphology with porous structure. Furthermore,
doping of the ZnO hierarchical micro/nanosphereswith Nd did not show any significant effect on theoverall morphology. The formation of thehierarchical micro/nanospheres was achieved via a
two-stage nucleation-growth process, the details of
which could be found in [10]. Further evidence ofthe formation of Nd/ZnO came from the EDX
analysis. The Zn, O and Nd peaks can be easily
observed (Fig. 2c). The weak C peak was originatedfrom the supporting carbon tape.

Fig. 3 (a) TEM and (b) HRTEM images of
Nd/ZnO.
Fig. 4a shows the UV–vis DRS spectra of the assynthesized products. It was noticeable that the Nd
doping led to red shift in the absorption band andimproved the visible light absorption ability of thecatalysts. Furthermore, the Nd/ZnO (at 473, 527 and581 nm) has much absorption bands in agreementwith the visible-light absorbability. These peaks
were attributed to the Nd characteristic of 4f electrontransitions [12]. The optical band gap energies of assynthesized ZnO products were calculated according
to the equation Eg (eV) = hc/λ = 1240/λ (nm), where
Eg is the band gap energy (eV), h is the Planck’s
constant (4.135667 x 10-15 eVs), c is the velocity oflight (3 x 108 m/s) and λ is the wavelength (nm) ofabsorption onset [6]. Using the equation, themeasured band gap energies of the pure ZnO and
Nd/ZnO were 3.26 and 3.18 eV, respectively. The
observed narrower band gap of Nd/ZnO was
originated from the charge transfer between the ZnOvalance band and the Nd ion 4f level [12]. From Fig.
4b, it can be seen that the Nd/ZnO gave lower PL
intensity as compared to pure ZnO. A lower PL
intensity implied a lower photogenerated ecb−−hvb+
recombination rate, revealing more photogenerated
ecb− and hvb+ can participate in the oxidation andreduction reactions. Therefore, the observed PL
spectra showed that the radiative recombination was
lowered by doping with Nd, leading to weakrecombination of photogenerated charge carriers,
which will benefit the photocatalytic reaction.

Fig. 2 (a) FESEM image of pure ZnO, (b) FESEM
image of Nd/ZnO and (c) EDX spectrum of Nd/ZnO.
Fig. 3a shows the typical TEM image of thesynthesized Nd/ZnO. The TEM examination of theas-synthesized products further confirmed the
FESEM observations. It was clear from theexamined TEM image that the microstructure of the
product was consisted of a large number ofnanosheets. The HRTEM image in Fig. 3b showedthat the ZnO products had very clear lattice fringes
with interplanar spacing of 0.26 nm. Moreover,pores were found in the nanosheets, which could be
the result of loss of volatile gases during the heat
treatment [11]. From the TEM and HRTEM images,
it can be confirmed that the synthesized ZnO
products have highly crystalline structure, which isessential for excellent photocatalytic materials.

Fig. 4 (a) UV-vis DRS and (b) PL spectra of pureZnO and Nd/ZnO.

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Furthermore, the increase in phenol concentration
also decreased the path length of photon entering
into the phenol solution and this can essentiallyreduce the degradation efficiency of phenol whenhigh concentrated phenol was used [5].
The effect of solution pH on photocatalytic
degradation of phenol was studied in the pH range of
3.0 to 10.0 (Fig. 6b). The range covered the pH atpoint of zero charge (pzc) of Nd/ZnO measured byzeta potential (Fig. 6c) and pKa of phenol whichwere 8.7 and 7.9, respectively. Here, pH 5.6 was thepH value of phenol solution in deionized water
without using any pH adjustor. The pH of thesuspension was adjusted by adding small amount ofequimolar H2SO4 or NaOH before irradiation and it
was not controlled during the course of the reaction.
It was observed that the unadjusted phenol solution
was the best pH for the degradation process using
the Nd/ZnO. The interpretation of pH effects on theefficiency of the photocatalytic process is an
intricate task since it has multiple roles. First,
dissociation ions from pH adjustors could createcompetition with the phenol molecules on thesurface of catalyst. It was noted that in acidic
condition, SO42- ions from H2SO4 might have beenadsorbed on the surface of catalyst and decreased thephenol degradation [13]. On the other hand, inalkaline condition, the competitive adsorption of theions from NaOH salt might also result in lower
photocatalytic activity [5]. In addition, bothphotocatalyst and phenol at higher pH were
negatively charged, developing repulsive forces
between them and opposed the degradation ofphenol. For pH 5.6, the electrostatic attraction
betweenpositively
chargedsynthesized
photocatalysts with molecular form of phenol
molecules led to a maximum degradation efficiencyof phenol.
Plot of photocatalytic degradation of phenol
under fluorescent light and natural sunlightirradiation as a function of time is presented in Fig.
6d. The photocatalytic degradation efficiency ofphenol was higher under natural sunlight than underfluorescent light. At 30 min of reaction time using
Nd/ZnO, maximum degradation of phenol undersunlight and fluorescent light were found to be 100%
and 25.6%, respectively. However, with pure ZnO,
62.7% and 13.2% degradation was obtained undersunlight and fluorescent light, respectively at thesame duration. Above results revealed that the
Nd/ZnO synthesized by this facile method waspromisingforpractical
applications
inenvironmental cleanup and solar energy conversion.

Photocatalytic Activity
Fig. 5 shows the photocatalytic activities of theas-synthesized ZnO products towards phenol
degradation. The blank tests revealed that theremoval of phenol under dark adsorption and phenol
photolysis were extremely slow. However, in thepresence of photocatalysts and light irradiation,
61.8% of phenol degraded by pure ZnO within 300
min irradiation, whereas only 48.8% and 39.7%
degradation were obtained for ZNRs andcommercially available TiO2, respectively at thesame duration. The high photocatalytic activity ofthe synthesized ZnO hierarchical micro/nanospheres
can be attributed to the unique hierarchical porous
surface and large surface area, thus increasing thesurface activation sites available to participate in thephotocatalytic degradation of phenol. When the
Nd/ZnO was used under the same conditions, 90.6%
degradation occurred. This demonstrated thepromoting effect of Nd modification that was
beneficial to charge separation and agreed well withthe results of PL spectra. The mechanism for thephotocatalytic enhancement of Nd/ZnO will also be
discussed in detail below.

Fig. 5 Photocatalytic degradation of phenol using
different catalysts under fluorescent light ([Phenol]= 20 mg/L; catalyst amount =100 mg; pH 5.6).
The effect of initial substrate concentration forthe degradation of phenol on Nd/ZnO was studied
over a range of 20 mg/L to 80 mg/L. Fig. 6a showsthat the degradation efficiency decreased with anincrease in the concentration of phenol. The
degradation efficiency related to the active species
formation on catalyst surface and probability ofactive species reacting with phenol molecules. The
increase of phenol concentration can occupy agreater number of active sites of photocatalysts,
which then suppressed the generation of the active
species and resulted in lower degradation efficiency.

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terephthalic acid solution were measured after 180
min fluorescent light irradiation. The result showedthat an obvious PL signal at about 425 nm wasobserved, revealing that •OH radicals were formed
during the photocatalytic reactions, which wasconsistent with the results in Fig. 7a. The peakintensity of pure ZnO and Nd/ZnO is shown in Fig.
7b. It was clear that the formation rate of •OH on the
Nd/ZnO was higher than the pure ZnO. This impliedthat the former has higher photocatalytic activity
than the latter, which also agreed well with theresults of PL emission spectra in Fig. 4b. The
observed TA-PL result also suggested that thedoping of Nd on ZnO was a good route to accelerate
the interfacial charge transfer and inhibited therecombination of ecb−−hvb+ pairs, which resulted in
the increase of •OH formation.

Fig. 6 (a) Effect of initial substrate concentration
on photocatalytic degradation of phenol over
Nd/ZnO (catalyst amount = 100 mg; solution pH =5.6). (b) Effect of solution pH on photocatalytic
degradation of phenol over Nd/ZnO ([Phenol] = 20
mg/L; catalyst amount = 100 mg). (c) Zeta potential
analysis of Nd/ZnO as a function of pH. (d) Effect ofvariation of light source on photocatalytic
degradation of phenol over Nd/ZnO ([Phenol] = 20
mg/L; catalyst amount =100 mg; solution pH = 5.6).

Fig. 7 (a) Effects of different scavengers on
degradation of phenol in the presence of Nd/ZnO([Phenol] = 20 mg/L; catalyst amount =100 mg; pH
5.6) and (b) PL spectra of the aqueous basic solutionof terephthalic acid with an excitation at 315 nm for
180 min irradiation under fluorescent light.

Possible Mechanism Of Phenol Degradation OverNd/ZnOIn general, photogenerated active species
including hvb+, •OH and O2•− were involved in thephotocatalytic process. Therefore, the effects ofdifferent scavengers on the degradation of phenol
were investigated in an attempt to elucidate thephotocatalytic mechanism. In this study, sodium
iodide (NaI), ethanol and p-benzoquinone (BQ),
were adopted as the scavengers of hvb+, •OH andO2•−, respectively [10]. As a consequence ofquenching, the photocatalytic reaction of phenol
degradation will be suppressed. The extent ofdecrease in the phenol degradation efficiency
induced by the scavenger indicated the importanceof the corresponding active species. Fig. 7a showsthat the photocatalytic degradation of phenol was
significantly suppressed when ethanol was added
into the reaction system. The degradation of phenol
was also suppressed by the addition of NaI and BQ,
but it was not as significant as that with ethanol
added. Therefore, •OH was the main active species
responsible for phenol degradation.
The formation of •OH on the as-synthesized ZnO
products was further confirmed by the TA-PL
technique. The PL emission spectra of pure ZnO and
Nd/ZnO products excited at 315 nm from

Combining our experiment results with therelated literatures [5,7,12], a possible mechanism forthe enhanced photocatalysis of Nd/ZnO could be
proposed in Fig. 8. Under the irradiation, the ecb− areexcited from the valence band to the conduction
band of ZnO leaving behind hvb+. Nd3+ doping in
ZnO being strong Lewis acid, apparently aresuperior to the O2 molecules in the capability of
trapping ecb−. This suggested that the Nd dopant can
act as effective electron scavenger to trap the ecb−
and inhibit the recombination with hvb+. The ecb− cantransfer to the adsorbed O2 promoting the O2•formation and then converted to active •OH. At thesame time, the photogenerated hvb+ can trap on the
catalyst surface undergoing charge transfer withadsorbed water molecules or with surface boundhydroxide species to generate active •OH. The •OH
radicals have been formed by many semiconductors
like TiO2, ZnO, etc. via effective separation ofecb−−hvb+ pairs under irradiation [6,12], which can act
as strong oxidizing agents to degrade the phenol
molecules. Thus, the separation of the charge
carriers was attributed to such trapping by Nd
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dopant in ZnO. Subsequently, enhanced the yield of•OH quantities in the degradation of phenol, whichfurther improved the photocatalytic activity of
Nd/ZnO.

Fig. 8 Possible
Nd/ZnO.

photocatalytic

mechanism[2] Fawell JK, Hunt S, Environmental Toxicology:
Organic Pollutants. Chichester: Ellis Horwood
Limited, 1988.
[3] Sin JC, Lam SM, Lee KT, Mohamed AR, “Selfassembly fabrication of ZnO hierarchical micro/
nanospheres for enhanced photocatalytic
degradation of endocrine-disrupting chemicals”,
Mater. Sci. Semicond. Process., Vol. 16, 2013,
pp. 1542–1550.
[4] Lu HB, Wang SM, Zhao L, Li JC, Dong BH,
Xu ZX, “Hierarchical ZnO microarchitecturesassembledbyultrathinnanosheets:hydrothermal
synthesis
andenhancedphotocatalytic activity”, J. Mater. Chem., Vol.
21, 2011, pp. 4228–4234.
[5] Sin JC, Lam SM, Lee KT, Mohamed AR,“Preparation and photocatalytic properties ofvisible light-driven samarium-doped ZnOnanorods”, Ceram. Int., Vol. 39, 2013, pp.
5833–5843.
[6] Lam SM, Sin JC, Abdullah AZ, Mohamed AR,“Transition metal oxide loaded ZnO nanorods:
preparation, characterization and their UV–vis
photocatalytic activities”, Sep. Purif. Technol.,Vol. 132, 2014, pp. 378–387.
[7] Yayapao O, Thongtem T, Phuruangrat A,
Thongtem S, “Ultrasonic-assisted synthesis of
Nd-doped ZnO for photocatalysis”, Mater. Lett.,Vol. 90, 2013, pp. 83–86.
[8] Yayapao O, Thongtem T, Phuruangrat A,
Thongtem S, “Sonochemical synthesis of Dydoped
ZnO
nanostructures
and
their
photocatalytic properties”, J. Alloy. Compd.,
Vol. 576, 2013, pp. 72–79.
[9] Gu CP, Huang JR, Wu YJ, Zhai MH, Sun YF,
Liu JH, “Preparation of porous flower-like ZnOnanostructures and their gas-sensing property”,
J. Alloy. Compd., Vol. 509, 2011, pp. 4499–
4504.
[10] Sin JC, Lam SM, Lee KT, Mohamed AR,“Preparation of cerium-doped ZnO hierarchicalmicro/nanospheres
withenhancedphotocatalytic
performanceforphenoldegradation under visible light”, J. Mol. Catal.
A: Chem., Vol. 409, 2015, pp. 1–10.
[11] Liu SW, Li C, Yu JG, Xiang QJ, “Improved
visible-light photocatalytic activity of porous
carbon self-doped ZnO nanosheet-assembled
flowers”, CrystEngComm, Vol. 13, 2011, pp.
2533–2541.
[12] Štengl V, Bakardjieva S, Murafa N,“Preparation and photocatalytic activity of rareearth doped TiO2 nanoparticles”, Mater. Chem.
Phys., Vol. 114, 2009, pp. 217–226.
[13] Liang HC, Li XZ, Yang YH, Sze KH, “Effects
of dissolved oxygen, pH, and anions on the 2,3dichlorophenol degradation by photocatalytic
reaction with anodic TiO2 nanotube films”,
Chemosphere, Vol. 73, 2008, pp. 805–812.

ofCONCLUSION
In the absence of any surfactants, neodymiumdoped
ZnO
hierarchicalmicro/nanospheres(Nd/ZnO) were successfully obtained by a facile
chemical precipitation method and confirmed by
XRD, FESEM, EDX, TEM, HRTEM, UV-vis DRS,
N2 adsorption-desorption and PL measurements. The
investigation of photocatalytic ability showed that
the Nd/ZnO exhibited excellent photocatalytic
degradation of phenol compared with the pure ZnO,
ZNRs and commercial TiO2 under fluorescent lightirradiation. The photocatalytic enhancement of
Nd/ZnO was attributed to the high charge separation
efficiency and •OH generation ability as evidenced
by the PL spectra. Furthermore, the photocatalysis
worked best at low pollutant concentration and the
optimum solution pH for phenol degradation was
found to be 5.6. The Nd/ZnO also exhibited highdegradation ability of phenol under sunlight,
showing great potential for practical applications insunlight photocatalysis.
ACKNOWLEDGEMENTS
This work was supported by Universiti Tunku Abdul
Rahman(UTARRF/2015-C1/L02
andUTARRF/2015-C1/S04) and Ministry of Higher
Educationof
Malaysia(FRGS/1/2015/TK02/UTAR/02/2).
REFERENCES[1] Schmidt-Bäumler K, Heberer Th, Stan HJ,“Occurrence and Distribution of Organic
Contaminants in the Aquatic System in
Berlin.Part II: Substituted Phenols in Berlin
Surface Water”, Acta Hydrochim. Hydrobiol.,Vol. 27, 1999, pp. 143–149.
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Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

TRANSITION METAL OXIDE (WO3, CuO, Nb2O5)-LOADED ON ZnO
NANORODS WITH ENHANCED VISIBLE-LIGHT CATALYTIC
ACTIVITY IN ERASURING PHENOL
Sze-Mun Lam1, Jin-Chung Sin2, Abdul Rahman Mohamed3
Department of Environmental Engineering, Faculty of Engineering and Green Technology, Universiti Tunku
Abdul Rahman, Jalan Universiti, Bandar Barat, 31900 Kampar, Perak, Malaysia.
2
Department of Petrochemical Engineering, Faculty of Engineering and Green Technology, Universiti Tunku
Abdul Rahman, Jalan Universiti, Bandar Barat, 31900 Kampar, Perak, Malaysia.
3
School of Chemical Engineering, Universiti Sains Malaysia, Engineering Campus, 14300 Nibong Tebal, Pulau
Pinang, Malaysia.
1

ABSTRACTOver the years, the surge of industrial activities that inevitably resulted in an increasing flux of pollutants inthe environment still remains an intricate challenge for nations. Heterogeneous photocatalysis, particularly ontransitional metal oxide loaded on one dimensional (1D) ZnO nanorods (ZNRs) as promising heterostructured
photocatalysts were employed to treat a recalcitrant pollutant, namely phenol. In this study, ZNRs have been
prepared using a hydrothermal method and different transition metal oxides (WO3, CuO and Nb2O5) were loadedon the photocatalysts using a co-precipitation method. The samples were characterized by X-ray diffraction,transmission electron micrograph, high resolution transmission electron micrograph, energy dispersive X-ray
analyzer, UV-vis diffuse reflectance spectra, surface analytical method and photoluminescence spectra. The
results showed that the crystallized transition metal oxide-loaded ZNRs had a hexagonal phase with therespective transition metal oxides being attached on ZNRs. The photoabsorption of the transition metal oxideloaded ZNRs were responsive to visible light. The photocatalytic activity of transition metal oxide-loaded ZNRs
towards phenol degradation under visible light irradiation were investigated and compared with pure ZNRs. The
reactivity was in the order of WO3 > Nb2O5 > CuO. The different photoreactivities were ascribed to the combine
effects of relative energy band position of metal oxides and predominant oxidation species generated in thephotocatalysis. It was worth nothing that the cooperative photocatalytic mechanism of the transition metaloxides-loaded ZNRs was also discussed.
Keywords: Transition metal oxide, ZnO Nanorod, Photocatalysis, Phenol

presents ‘green’ treatment approach since toxic
organic pollutants are converted into carbon dioxide
and water using light energy. Zinc oxide (ZnO) as
one of the most extensively investigatedphotocatalysts has been shown relatively highcatalytic efficiency, low cost, non-toxicity andenvironmental stability [3]. Nevertheless, owing to
its large band gap (∼3.3 eV), ZnO is mostly
responsive to UV irradiation, which greatly impedes
its practical applications. Additionally, the lack ofeffective surface area and low transfer rate of charge
carriers also limit the photocatalyst developments.
The photocatalytic activity of ZnO has been
improved by various techniques such as
modification of ZnO by structural morphology, nonmetal doping, addition of transition metals as well as
use of coupled semiconductors [3–5]. To date,various ZnO has been synthesized with variety ofwell-definednanostructureswithvariousmorphologies including nanorods, nanowires,
nanosheets, nanobelts and nanotubes [3]. Our
previous reports have also demonstrated that the

INTRODUCTION
Phenol is widely used as a monomer for the
manufacture of disinfectants, fertilizers, explosives,
lubricants, rubbers, textiles and plastic plasticizers[1]. During product manufacturing and wasteland
filling, the phenol chemicals easily migrate andmake their way into the surface water bodies,groundwater and soils. In Malaysia, the main
sources of phenol pollution has been identified aseffluents from rubber processing factories, timbersawmills, motor and battery workshops, engineering
workshops and pig farms areas (0.8–53.6 μg/L) [2].
For example in the Seremban municipality, the levelof phenols in the Linggi River exceeded therecommended Malaysian standard of 2.0 μg/L for
raw water [2]. Since phenol is termed recalcitrant
pollutant, one relevant challenge for science
concerns to the study and the development ofpollution-degradation strategies is indispensable.
In recent years, heterogeneous photocatalysis has
been emerged as a potential technology because it
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morphologies of the ZnO nanostructures can greatly
affect their effective surface areas, their interaction
with organic molecules, their photodegradation
capability of organic molecules and consequently
the whole photocatalytic activities [6,7]. However,structural morphology modification is still notsatisfactory, which can be attributed to short e––h+pair lifetime. To further improve its photocatalytic
activity, semiconductor coupled with ZnO
photocatalysts has been proposed. The coupled
semiconductor materials have two different energylevel systems which play an important role inachieving charge carrier separation. Coupling ofdifferent transition metal oxides could reduce theband gap, extending the absorbance range to visible
light region and thus, leading to e––h+ pair separation
under irradiation [8,9].
In the present study, three different transition
metal oxides (WO3, CuO and Nb2O5)-loaded ZNRs
photocatalysts were prepared via a hydrothermalprecipitation method and their photocatalytic
performance was tested by phenol degradation undervisible light irradiation. The relationship between thephotocatalytic activities and the structural features ofthe prepared catalysts were investigated throughvarious systematic characterization analyses. The
cooperative photocatalytic mechanism by whichtransition metal oxides enhanced photocatalytic
activities was also discussed.

35) and photoluminescence (PL, Perkin Elmer
Lambda 35).
In a typical experiment, 1.0 g L–1 of the sample
was dispersed in 100 mL of 20 mg L–1 phenol
solution in a 150 mL beaker. During all experiments,
air was bubbled through the solution at a fixed flowrate of 6 mL min–1 using an air pump. The
suspensions were continuously stirred with the aid ofa magnetic stirrer. The heterogeneous mixture was
equilibrated for 1 h in the dark. Subsequently, thesolution was irradiated under a 55 W compact
fluorescent lamp (World Lighting, Germany). The
average light intensity striking the surface of thereaction solution was about 14,500 lux as measured
by a digital luxmeter. This light was fixed about 12
cm above the reaction solution. At specific timeintervals, 2 mL of the sample was withdrawn fromthe system, centrifuged and then the concentrationsof the phenol and products were monitored by
HPLC. The detailed photocatalytic process was
similar to our previous report [1]. The analysis ofhydroxyl radicals (•OH) formation on the sample
under visible light irradiation was performed using
terephthalic acid with photoluminescence (TA–PL)
techniques. Experimental procedures were similar to
the measurement of photocatalytic activity exceptthat phenol solution was replaced by the 5 × 10–4 M
TA aqueous solution with a concentration of 2 × 10–
3 M NaOH solution.

EXPERIMENTAL

RESULTS AND DISCUSSION

In a typical procedure, 2.0 g of ZnO powder(Acros Organics) was weighted into Teflon-lined
stainless steel autoclave of 200 mL capacity. Then,
150 mL of 30 vol % H2O2 solution was added inwith stirring. The autoclave was sealed andmaintained at a temperature of 180 °C for 24 h andthen allowed to cool to room temperature naturally.
The as-formed precipitates were filtrated, washedwith deionized water (DI) and ethanol for several
times and finally dried in air. 1.0 g of prepared
ZNRs was dispersed in 50 mL DI and the suspension
was ultrasonicated for 30 min. Subsequently, 0.24
or
mmol
of
(NH4)6·(H2W12O40)·nH2O
Cu(NO3)2·6H2O or NbCl5 in 0.9 mL of NH4OH (25wt.% NH3) was added to the ZnO suspension andstirred for 12 h. The precipitates were collected bycentrifugation, washed with DI and ethanol, dried in
air and finally calcined at 400oC for 2 h.
The obtained product was characterized by Xray
diffraction(XRD,
Philips
PW1820diffractometer), transmission electron microscopy(TEM, Philips CM-12), high resolution transmission
electron microscopy (HRTEM, Fei Tecnai 20)
energy dispersion X-ray spectrum (EDX, Quanta
FEG 450) analysis, UV-vis diffuse reflectancespectroscopy (UV–vis DRS, Perkin Elmer Lambda

The crystal structure of pure ZNRs andtransition metal oxide-loaded ZNRs was examined
by XRD as shown in Fig. 1. The XRD patternrevealed sharp peaks, indicating the high degree ofcrystallinity. The XRD pattern of all samples
matched closely with their characteristic peaks
according to the data base of the Joint Committee on
Powder Diffraction Standards (JCPDS). HexagonalZnO (JCPDS 36-1451) [8], monoclinic WO3(JCPDS 72-1465) [5], monoclinic CuO (JCPDS 50661) [9] and monoclinic Nb2O5 (JCPDS 37-1468)[10] were the major phases detected on the XRD
patterns. The signals assigned to the respective
transition metal oxides were extremely weak andprobably due to their amount present too low anddispersed. Moreover, the XRD peaks belonging to
ZnO in all the catalysts do not shift compared withthe pure ZNRs, implying that the transition metaloxides did not substitute into the ZnO lattices for theZn.
TEM and HRTEM images of pure ZNRs andtransition metal oxide-loaded ZNRs are shown in
Fig. 2. As shown in Fig. 2a, pure ZNRs indicatedrod-like structures with width ranging from 23–111
nm and their length from several hundred515

SEE-Osaka, Japan, Nov. 21-23, 2016

Fig. 1 XRD patterns of the (a) pure ZNRs, (b) 2.0%
WO3/ZNRs, (c, 2.0% CuO/ZNRs and (d) 2.0%
Nb2O5/ZNRs.
nanometers to micrometers. The HRTEM image inthe Fig. 2b shows that the ZNRs have lattice spacingof 0.26 nm, which elongated along the direction of[0001] plane. For loaded ZNRs, it was observed thatmorphology of ZNRs did not have significant
changes after the modification with the studied
coupled metal oxides. In addition, spherical-shaped
nanoparticles of the coupled metal oxides wereobserved to be randomly deposited on the surface of
the ZNRs. The TEM image of 2.0% CuO/ZNRs
shown in Fig. 2c revealed that the CuO nanoparticles
were in the particle diameter range of 20–80 nm.
The HRTEM image in the Fig. 2d indicated that theindividual CuO nanoparticles had clear latticespacing of 0.27 nm corresponded to the (110) planeof CuO in a monoclinic crystal system. For the 2.0%
WO3/ZNRs (Fig. 2e), the WO3 nanoparticles had theparticle diameter of 27–93 nm. The lattice fringes of
0.37 nm can be attributed to the (020) plane of WO3
monoclinic phase as shown in the Fig. 2f. On theother hand, the Nb2O5 particle diameter in the 2.0%
Nb2O5/ZNRs (Fig. 2g) was in the range of 40–120
nm. Fig. 4f shows HRTEM image indicated that thelattice spacing of 0.25 nm and can be assigned to(007) plane of Nb2O5 monoclinic phase. The clear
lattice spacing obtained from the HRTEM image
also suggested that the transition metal oxide-loaded
ZNRs had highly crystalline structure, which wasessential for excellent photocatalytic materials.
The transition metal oxide-loaded ZNRs werealso confirmed by energy dispersive X-ray
spectroscopy (EDX) (data not shown). The transition
metal oxide-loaded ZNRs were composed of the Zn,
O and a small amount of transition metal (W, Cu andNb) elements. These results showed that eachconsidered metal oxides were indeed present in the
catalysts.
The specific surface areas of catalysts were
determined and the data are presented in Table 1.
When the surface area data of pure ZNRs andFig. 2 TEM and HRTEM images of (a–b) pure
ZNRs, (c–d) 2.0% CuO/ZNRs, (e–f) 2.0%
WO3/ZNRs and (g–h) 2.0% Nb2O5/ZNRs,
respectively (recorded from red circle was metaloxide nanoparticles).
transition metal oxide-loaded ZNRs were compared,
pure ZNRs was observed to have smaller surface
area than the metal oxide loaded catalysts. This was
attributed to the presence of metal oxide could
produce diminution in the crystallize sizes of ZnO
catalysts to a certain degree and consequently
increased the surface area of the transition metaloxide-loaded ZNR catalysts. The larger surface area
was found for CuO-loaded ZNR catalysts whencompared to WO3- and Nb2O5-loaded ZNR catalysts.
This implied that finer CuO particles would havebeen synthesized on the surface of ZNRs.
Fig. 3 shows the UV–vis DRS spectra as afunction of wavelength for loaded and pure ZNRs.
Compared to pure ZNRs, the transition metal oxideloaded ZNRs led to a more apparent red-shift withthe trailing edges in the region of 385–403 nm. The
absorption edges of the transition metal oxide loaded
ZNRs showed a red-shift in the order of CuO/ZNRs> WO3/ZNRs > Nb2O5/ZNRs. This red-shift can be
attributed to the fact that the different band gap
energies of metal oxides involved in the coupling ofthe ZNRs. Similar findings were also reported in theliteratures when different band gap metal oxides
were used to couple with ZnO and otherphotocatalysts [8,9,11]. From the spectra, the bandgap values for all the catalysts were calculated using
the Plank’s formula:(1)
Eg = hc/λ = 1243.1/λTable 1 BET surface area and band gap for the516

SEE-Osaka, Japan, Nov. 21-23, 2016

synthesized catalysts.
SamplePure ZNRs
CuO/ZNRs
WO3/ZNRs
Nb2O5/ZNRs

Bet surface
area (m2/g)
8.53
19.69
17.65
11.45

Band gap
(nm)
3.24
3.07
3.17
3.22

where Eg is the band gap energy (eV), h is the
Planck’s constant (4.135667 × 10–15 eV s), c is thevelocity of light (3 × 108 m s–1) and λ is the
wavelength (nm) of absorption onset. The results arelisted in Table 1. Loading with metal oxides candecrease the band gap of ZNRs. These results
implied that the photocatalytic activity of loaded
photocatalysts would be better than that of the pure
ZNRs with respect to the visible light irradiation.

Fig. 4 PL spectra of (a) pure ZNRs, (b) 2.0%
WO3/ZnO, (c) 2.0% CuO/ZNRs and (d) and 2.0%
Nb2O5/ZNRs.
The degradation of phenol decreased drasticallyafter turning on the fluorescent light. Forcommercial TiO2 and pure ZNRs, the degradation
percentages reached 50.6% and 57.2%, respectively.
Among the transition metal oxide loaded
photocatalysts, WO3/ZNR photocatalysts had thebest degradation performance (100%) in 5 h, which
was 1.75 times higher than of the pure ZNRs.
Nb2O5/ZNRs photocatalysts also achieved a highdegradation percentage of about 94.3%. For the
CuO/ZnO photocatalysts, the percentage was about
88.0%, about 30.8% higher than that of pure ZNRs.
The obtained degradation efficiencies were also
higher than the previously reported values based on
ZnO coupled photocatalysts [5,9]. For example, thedegradation efficiency was about 70% within 300
min in Ref. [9] and about 31.5% within 180 min in
Ref. [5].
From the results in the photocatalytic activitiesof transition metal oxide-loaded ZNRs, it was
obvious that the relative energy band position
between the coupled metal oxides and ZnO was animportant factor. For an ideal coupled photocatalysts,
Vinu and Madras [4] reported that the redox
potential of VB h+ for both two semiconductors mustbe sufficiently positive to generate •OH radicals andthat of the CB e– must be sufficiently negative togenerate O2•– radicals. Illustration of theheterojunction structures formed by transition metaloxide-loaded ZNRs based on the estimated CB and
VB positions is shown in Fig. 6.
In the WO3/ZNR heterojunction (Fig. 6a), the CB ofthe WO3 (+0.50 V) was positioned more positiveside than that of the ZnO (–0.50 V vs. NHE) [5].
With visible light irradiation to this system, bothZnO and WO3 were excited. The e– in the CB ofZnO was then transported to the CB of WO3 because
the CB position of WO3 was lower than that of ZnO.
The e– at both side of ZnO and WO3 can then induce
various reduction reactions to form the O2•–, HO2•
and H2O2 as shown in Eqs. (2)–(4) [1,8].

Fig. 3 UV–vis DRS spectra of (a) pure ZNRs, (b)2.0% WO3/ZnO, (c) 2.0% CuO/ZNRs and (d) 2.0%
Nb2O5/ZNRs.
Fig. 4 demonstrates the PL spectra of pure
ZNRs and loaded samples. PL spectra patterns ofmetal oxide-loaded samples indicated the dramatic
decrease in emission yield compared to pure ZNRs.
The PL emission mainly resulted from therecombination of photogenerated e––h+, thus thelower PL intensity indicated the lower
recombination rate of e––h+. Based on the PL results,
the order of the photogenerated e––h+ recombination
which was as follows: WO3/ZNRs < Nb2O5/ZNRs <CuO/ZNRs < pure ZNRs. Such, it might be deduced
that the order of photocatalytic activities of samples
was WO3/ZNRs > Nb2O5/ZNRs > CuO/ZNRs > pure
ZNRs.
The photocatalytic activities of the all thesynthesized WO3, CuO and Nb2O5 loaded ZNRs
were examined towards the degradation of phenol
and the results are shown in Fig. 5. It can beobserved that the degradation of phenol without
photocatalysts was only 7.3% after 5 h of irradiation.

517

SEE-Osaka, Japan, Nov. 21-23, 2016

Fig. 5 Time course of the visible light degradation ofphenol under different experimental conditions([phenol] = 20 mg L–1; [catalyst] = 1 g L–1).
O2 + e− → O2•−, Eo = −0.33 V
O2 + H+ + e− → HO2•, Eo = −0.046 V
O2 + 2H+ + 2e− → H2O2, Eo = +0.682 V

(2)
(3)
(4)

Fig. 6 The schematic profile depicting the energy
band structure and occurrence of e– and h+ transfer
in (a) WO3/ZNRs, (b) CuO/ZNRs and (c)Nb2O5/ZNRs.

Considering that the CB position of WO3 waslower than the standard redox potential
Eo(O2/O2•−)(–0.33 V vs. NHE) and Eo(O2/HO2•)(–0.046 V vs. NHE), direct e– transfer to molecular O2
to form the O2•− and HO2• radicals will be difficult.
Thus, the e– in the CB of WO3 would be transported
to O2 species via the reactions described in the Eq.
(4). The resulted H2O2 could then undergo several
reactions to produce active •OH radicals to someextent. At the same time, the generated h+ in the
WO3 VB will be transported to that of ZnO. The h+at the VBs of ZnO (2.80 V vs. NHE) and WO3 (3.30
V vs. NHE) would further produce •OH radicals via
the Eqs. (5) and (6) that induced the degradation thephenol molecules [8,11].
OH− + h+ → •OH, Eo = +1.99 V
H2O + h+ → H+ + •OH, Eo = +2.72 V

In the Nb2O5/ZNR heterojunction system (Fig.
6c), the VB of the Nb2O5 (–0.60 V) [1] waspositioned at a more negative side than that of ZnO
VB. With irradiation of visible light to this coupledsystem, both the ZnO and Nb2O5 were excited. In
this case, the e– in the CB of Nb2O5 transferred to the
CB of ZnO. Meanwhile, the generated h+ in the ZnO
VB will be transported to that of Nb2O5 VB. Boththe e– and h+ then underwent all the reactions shownin Eqs. (2)–(6) (except Eq. (6) for Nb2O5) due to theinsufficient potential of h+ at the VB of Nb2O5 tooxidize surface adsorbed H2O to •OH radicals
Eo(h+/H2O) (2.72 V vs. NHE). It is well known thatthe oxidation of h+ with OH– and H2O to form •OH
radicals was a single-step reaction, whereas the O2•−,
HO2• and H2O2 reacted with e– to produce •OH
radicals involved multi-step conversions [3,4]. Thus,
this mechanism can describe higher •OH radicals
generation for WO3/ZNR than those of Nb2O5/ZNR
and CuO/ZNR photocatalysts.
To support the charge carrier transfer at theloaded ZNRs heterostructure interface (as shown in
Fig. 6), TA–PL analysis was performed to detect•OH radicals formed on the catalysts. The PL spectrachanges observed during the visible light irradiationof the transition metal oxide-loaded ZNRs in the
aqueous solution of TA are shown in Fig. 7.
Typically, PL intensity at about 425 nm was
proportional to the amount of produced •OH radicals[11]. It can be easily seen that all the transition metaloxide-loaded ZNRs showed higher PL intensity thanpure ZNRs, suggesting that loading of metal oxideon the surface of ZNRs was a good way tophotogenerated charge carriers, which led to the of

(5)
(6)

For the case of CuO/ZNR heterojunction (Fig.
6b), the CB (+0.46 V) and VB (+2.16 V) of the CuO
were located between the band gap of ZnO [9].
Under visible light irradiation, both e– in the ZnO
and CuO were excited to their CBs and the e– in the
CB of ZnO transported to the CB of CuO. Hereagain, the e– in CuO can only reduce the molecular
O2 to H2O2 because the CB level of CuO was
positioned with more positive than the standard
potential of Eo(O2/H2O2)(0.682 V vs. NHE). On theother hand, the h+ in VB of the ZnO will betransferred to the VB of CuO. The h+ in the VB of
CuO can then oxidize the OH– groups because of its
VB was positioned more negative than the standard
redox potential of Eo(h+/OH–)(+1.99 V vs. NHE).
The phenomenon as described in CuO/ZNRs also
led to the belief that favoured the increase of charge
carriers on the CuO [12].
518SEE-Osaka, Japan, Nov. 21-23, 2016accelerate the separation and transfer of the increase•OH radicals formation. Additionally, the amount of•OH radicals produced by the WO3/ZNRs was larger
than that of other transition metal oxide-loaded
ZNRs. This result implied that the former has higher
photocatalytic activity than the latter, which was
also consonant with the results of the PL emission
spectra.

[1] Lam SM, Sin JC, Satoshi I, Abdullah AZ,
MohamedAR.
“Enhanced
sunlight
photocatalytic performance over Nb2O5/ZnO
nanorod composites and the mechanism study”,
Appl. Catal. A: Gen. Vol. 471, 2014, pp. 126135.
[2] Abdullah MDP, Nainggolan H. “Phenolic waterpollutants in a Malaysian river basin”, Environ.
Monit. Assess. Vol. 19, 1990, pp. 423-431.
[3] Lam SM, Sin JC, Abdullah AZ, Mohamed AR.
“Degradation of wastewaters containing organicdyes photocatalysed by zinc oxide: a review”,
Desalin. Water Treat. Vol. 41, 2012, pp. 131169.
[4] Vinu R, Madras G. “Environmental remediationby photocatalysis”, Journal of Indian Inst. Sci.
Vol. 90, 2010, pp. 189-231.
[5] Chen LC, Tu YJ, Wang YS, Kan RS, Huang
CM. “Characterization and photoreactivity of
N-, S- and C-doped ZnO under UV and visible
light illumination”, J. Photochem. Photobiol. A:
Chem. Vol. 199, 2008, pp. 170-178.
[6] Lam SM, Sin JC, Abdullah AZ, Mohamed AR.
“Green hydrothermal synthesis of ZnOnanotubes for photocatalytic degradation of
methylparaben”,
Mater. Lett. Vol. 93,
2013, pp. 423-426.
[7] Sin JC, Lam SM, Satoshi I, Lee KT, MohamedAR.
“Sunlight
photocatalytic
activityenhancement and mechanism of novel
europium-doped
ZnO
hierarchicalmicro/nanospheres for degradation of phenol”,
Appl. Catal. B: Environ. Vol. 148-149, 2014, pp.
258-268.
[8] Liu W, Wang ML, Xu CX, Chen SF, Fu XL.
“Ag3PO4/ZnO: An efficient visible-lightsensitized composite with its application inphotocatalytic degradation of Rhodamine B”,
Mater. Res. Bull. Vol.48, 2013, pp. 106–113[9] Paz DS, Folletto EL, Bertuol DA, John SL,
Collazzo GC, Silva SSD, Filho CO. Nascimento
CAOD. “CuO/ZnO coupled oxide films
obtained by the electrodeposition technique andtheir photocatalytic activity in phenol
degradation under solar irradiation”, Water Sci.
Technol. Vol. 68, 2013, pp. 1031–1036.
[10] Graca MPF, Meireles A, Nico C, Valente MA,“Nb2O5 nanosize powders prepared by sol–gel –Structure, morphology and dielectric properties”,
J. Alloy Compd. Vol. 553, 2013, pp. 177–182.
[11] Liu W, Wang ML, Xu CX, Chen SF. “Facile
synthesis of g-C3N4/ZnO composite withenhanced visible light photooxidation andphotoreduction properties”, Chem. Eng. J. Vol.
209, 2009, pp. 386–393.
[12] Bessekhouad Y, Robert D. Weber JV.
“Photocatalytic
activityof
Cu2O/TiO2,
Bi2O3/TiO2 and ZnMn2O4/TiO2 heterojunctions”,
Catalysis Today, Vol. 101, 2005, pp. 315–321.

Fig. 7 PL spectra of the TA solution with an
excitation at 315 nm under pure ZNRs and transition
metal oxide-loaded ZNRs.

CONCLUSION
Tungsten, copper and niobium oxides loaded
ZNR catalysts were synthesized successfully by ahydrothermal-precipitation method. XRD, TEM,
HRTEM and EDX measurements confirmed theexistence of transition metal oxides over ZnO
semiconductor surface. It was found that the band
gap energies of ZNRs were narrowed by loadingwith studied metal oxide as estimated using UV–vis
DRS spectra. All ZnO samples loaded withtransition metal oxides displayed excellent
photocatalytic activities toward the degradation ofphenol under visible light irradiation. Among theloaded ZNRs, WO3/ZNRs exhibited the best
photocatalytic performance. The enhancement of thephotocatalytic activity was mainly brought by theinter-semiconductor e– and h+ transfer due to theheterojunction structural as evidenced using PL and
PL–TA measurements.

ACKNOWLEDGEMENTS
This work was supported by the UTARRF schemes(UTARRF/2015–C1/L02 and UTARRF/2015–
C1/S04) and Fundamental Research Grant Scheme(FRGS/1/2015/TK02/UTAR/02/2).

REFERENCES

519

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

RELIABILITY ANALYSIS OF
REINFORCED CONCRETE SLAB BRIDGES
Ali Mahmoud1, Shadi Najjar2, Mounir Mabsout 3 and Kassim Tarhini41
Master’s candidate, American University of Beirut, Lebanon
Email: aam70@mail.aub.edu
2
Associate Professor, Dept. of Civil and Envir. Engineering, Amer. Univ. of Beirut, Lebanon.
Email: sn06@aub.edu.lb
3
Professor, Dept. of Civil and Envir. Engineering, Amer. Univ. of Beirut, Lebanon.
Email: mounir@aub.edu.lb
4
Professor, Dept. of Civil Engineering, U.S. Coast Guard Academy, New London, CT 06320, USA.
Email: Kassim.M.Tarhini@uscga.edu

ABSTRACT
Empirical expressions for estimating the wheel load distribution and live-load bending moment are typicallyspecified in highway bridge codes such as the AASHTO procedures. The objective of this paper is to assess thereliability levels that are inherent in concrete slab bridges that are designed based on the simplified empirical live
load equations in the AASHTO LRFD procedures. To achieve this objective, typical one and two-lane straight
bridges with different span lengths were modeled using finite-element analysis (FEA) subjected to HS20 truck
loading, tandem loading, and standard lane loading per AASHTO LRFD procedures. The FEA results werecompared with the AASHTO LRFD moments in order to quantify the biases that might result from thesimplifying assumptions adopted in AASHTO. A reliability analysis was conducted to quantify the reliability
index for bridges designed using AASHTO procedures. To reach a consistent level of safety for one lane and twolane bridges, the live load factor in the design equation proposed by AASHTO LRFD needs to be revised byincreasing the live load factor to 2.07 for one lane and 1.8 for two lanes. The results will provide structural
engineers with more consistent provisions to design concrete slab bridges or evaluate the load-carrying capacityof existing bridges.
Keywords: Concrete Slab Bridges, Finite-Element Analysis, Load-Carrying Capacity, Reliability Analysis.

LRFD code provisions used for calculating thebending moment due to live loads. AASHTO
provisions tend to either over-estimate or underestimate the bending moment due to live loads whencompared with the resulting maximum bending
moment obtained using finite element analysis. In
addition, finite element analyses show that byalternating the position of the truck loads
transversely, the resulting bending moments tend toincrease as the applied live loads come closer to thetransverse edge of a bridge (Mabsout et al., 1997;
Mabsout et al., 2004) [3]-[4].
Reliability analysis has been proven to be aneffective tool for developing and assessing new andexisting design codes. AASHTO LRFD code wascalibrated to create new load and resistance factors
to reach a pre-selected safety target based on areliability analysis using the basic design Eq. (1)(Nowak,1999) [5]:INTRODUCTION
The design of highway bridges in the UnitedStates conforms to the American Association ofState Highway and Transportation Officials(AASHTO) Standard Specifications for Highway
Bridges (Specs) or AASHTO Load and Resistance
Factor Design (LRFD) Bridge Design Specifications[1]-[2]. The analysis and design of any highway
bridge must consider live loads such as HS20 (truckor lane) or HL93 (combination of truck or tandem,
and lane loading). To analyze and design reinforced
concrete slab bridges, AASHTO specifies a
distribution width for live loading that simplifies thetwo-way bending problem into a beam or one-way
bending problem. Empirical expressions for
estimating the wheel load distribution and live-loadbending moment are typically specified in highway
bridge codes such as the AASHTO standards. Theseequations do not take into account the many factorsthat govern the actual live load such as thetransverse position of a truck or tandem on a specificlane, leading to either over-estimation or underestimation of the live-load bending moment. The
objective of this paper is to assess the AASHTO∑ γ i X i < φRn(1)

Where γ i represents a set of load factors that are
greater than one and that are applied to the different
load effects X i , while ϕ represents a resistance factor
520

SEE-Osaka, Japan, Nov. 21-23, 2016that is generally less than one and that is multipliedby the nominal resistance R n .
In the first step in the analysis conducted in thispaper, a finite element analysis was performed toevaluate numerically the maximum bending
moments of single span, one and two lane bridges,
with different span lengths and various slab
thicknesses subjected to AASHTO LRFD live loads.
Next, the bending moments were calculated using
the simplified AASHTO LRFD provisions. The ratioof the FEA moments to the LRFD moments (α LL )was then quantified for the different bridge cases
analyzed.
The second step involved defining the statisticalcharacteristics of the different load effects andresistance as per Nowak (1995) [6]. This wasfollowed by a reliability analysis that is aimed atquantifying the reliability levels that are inherent in
the traditional LRFD design methodology as per theload and resistance factors that are recommended by
AASHTO LRFD. The quantification of thereliability level was accomplished using Monte
Carlo simulations whereby the reliability index of
the bridge design was evaluated for the different
bridges analyzed. The reliability analysis was thenrepeated while correcting the nominal LRFD live
load moments to account for the more representative
moments that were obtained from the finite element
analysis.
The final step involves proposing modifications
to the live load factors of the AASHTO LRFD
equation to achieve a target reliability index of 3.5
for all the concrete slab bridges analyzed in thisstudy.

bridge and the first truck while the separation
distance for two side by side trucks are taken to be 4
ft. Figure 1 shows a typical arrangement for HS20
trucks for centered and edge cases, respectively.
Tandem loads were assumed as 4 point loads
with a transverse separation distance of 6 ft. and alongitudinal separation distance of 4 ft. Tandem load
positions were assumed to be either centered on eachlane, or near the edge of a lane with the sameseparation distances as the HS20 truck load case.
Figure 2 shows a typical setup for a tandem load forthe centered and edge cases, respectively. Lane loads
were assumed to be uniform loads centered in eachlane with a magnitude of 640 pounds-ft/ft.
Results from the finite element analysis arepresented in Table 1 for all the bridge cases analyzed.
Results indicate that the maximum moment based on
a combination of tandem loads and lane loads
governs in short spans (24 and 36 ft) while themaximum moment found from the combined effectof the HS20 truck loads and lane loads governs in
the longer spans. Results also show that the
moments that were calculated for the edge loadingcase are generally larger than the moments
calculated for a center loading case. This isapplicable for the cases of shorter and longer spans,
respectively.

FINITE ELEMENT ANALYSISThe finite element method was used toinvestigate the effects of live loads on concrete slab
bridges. The bridges are modeled as simply
supported slabs divided into shell elements. The sizeof each shell element is taken to be 1 ft. x 1 ft. The
spans length chosen in this study for each bridge are24, 36, 46, and 52 ft. Lane widths are taken to be 14
ft for a single lane bridge (this takes into account a 1
ft offset on each side) and 24 ft for two-lane bridges.
Slab thicknesses are calculated to take into accountthe deflections.
Live loads are simulated in this analysis as either
a combination of HS20 trucks and lane loads, ortandems with lane loads. HS20 loads are taken to be
4 kip point load per tire for the front axles while themiddle and rear axles are taken to be 16 kips point
load per tire for each axle. The maximum moment
developed by the HS20 truck or tandem loads arecalculated based on several truck positions. The
truck positions are assumed as either centered ineach lane or located close to the edge of a lane witha 1 ft of separation distance between the edge of theFig. 1

Typical Concrete Slab Bridge with Truck
Loading.

Fig. 2

Typical Two Lane Concrete Slab Bridgewith Tandem Loading.

Table 1. FEA Maximum Longitudinal Moment vs
AASHTO LRFD Moment
Span length
(ft)
24
36
46
54
24
36
46
54

521

Lane

One

Two

FEA center
Kip-ft/ft
23.65
38.45
54.49
69.35

FEA edge
Kip-ft/ft
24.21
39.1
56.91
72.91

LRFD
Kip-ft/ft
34.95
49.44
60.68
69.84

α LL
(FEA/LRFD)
0.69
0.79
0.94
1.04

27.29
44.72
63.26
80.63

29.34
47.07
67.86
86.52

29.97
47.85
63.19
75.82

0.98
0.98
1.07
1.14

SEE-Osaka, Japan, Nov. 21-23, 2016

To allow for a one to one comparison between
the FEA bending moments and the bending
moments calculated from the simplified AASHTOLRFD method, the maximum bending moments thatwere obtained from the simplified method weredivided by the equivalent width (E) for each span.
The equivalent width could be determined from Eq.
(2) and Eq. (3) such that:E=E=

10 + 5 L1W1
1284 + 1.44 L1W1
12

The total nominal maximum live load moment(M LL+IL ) was calculated as the summation of thestatic live load moment (M LL ) and the
dynamic/impact live load (M IL ). AASHTO LRFD
defines the ratio of the dynamic load allowance as
33% of the static moment of the truck or tandem
components of the static live load (M LL ) only. To
calculate the impact load, the contribution of thetruck/tandem load to the static live load was isolated
and multiplied by a factor of 0.33. Table 3 shows thevalues of the static, impact, and total nominal live
load moments.
Given the nominal dead load and live load
moments, the AASHTO LRFD design Eq. (1) can beapplied to calculate the nominal moment resistance(R n ) for each bridge such that:

(2)

(3)

Where:
L 1 = span length in ft, the lesser of the actual span or
60 ft and W 1 = edge-to-edge width of bridge in ft
taken to be the lesser of the actual width or 60 ft for
multi-lane loading, or 30 ft for single-lane loading
In this study and for the purpose of comparison,
it was assumed that the largest value of the
maximum longitudinal moment governs the span.
The maximum bending moments that were
calculated using the simplified AASHTO LRFD
procedures are presented in Table 1. These results
indicate that for a single lane, the moments
calculated using the simplified LRFD procedure forshorter spans deviate from the FEA moments forboth the centered and edge loading cases. For thecase of one lane, the ratio between the FEA
moments and the AASHTO moments (α LL ) ranges
from 0.67 to 1.04. In the case of two lanes, the two
moments tend to be closer to each other with α LL
range of 0.98 to 1.14.

Rn =(1.25M DC + 1.5M DW + 1.75( M LL + M IL )(4)
0.9

Table 2. Dead Load Moments due to Concrete (DC)and Wearing (WC)
Span length
(ft)
24
36
46
54
24
36
46
54

Lane

Slab thickness Moment DC

One lane

Two lanes

(ft)
1.5
1.75
2
2.25

(kip-ft/ft)
15.66
41.11
76.71
118.92

1.5
1.75
2
2.25

15.66
41.11
76.71
118.92

Wearing
Moment DW
surfacethickness(ft)(kip-ft/ft)
0.25
2.52
0.25
5.67
0.25
9.26
0.25
12.76
0.25
0.25
0.25
0.25

2.52
5.67
9.26
12.76

Table 3. Static (M LL ) and Dynamic (M IL ) Nominal
Live Load Moments
Span length
(ft)
24
36
46
54

DESIGN USING AASHTO LRFD

24
36
46
54

The design of the bridge slab using Eq. (1)(LRFD) requires knowledge about the nominal
values of the bending moments due to dead load,
live load, and impact load. The nominal bending
moment due to dead loads includes the effects of thedead load coming from the slab’s own weight (DC)and the weight of the wearing surface above it (DW).
To determine the stress due to the own weight of theslab, the thickness of the slab was multiplied by theunit weight of concrete (0.145 kcf as per AASHTO
LRFD, table 3.5.1-1). Similarly, the stress due to thewearing surface was calculated as the product of the
thickness (0.25 ft) and the unit weight of 0.14 kcf.
The nominal bending moment due to thecomponents of the dead load was then determinedbased on the simply supported moment equation.
Table 2 shows a summary of the bending moments
determined based on the different dead load
components.

Lane

One lane

Two lanes

Width
(ft)
14
14
14
14

Governing
MLLsource
TandemTandem
Truck
Truck

MLL
(kip-ft/ft)

24
24
24
24

TandemTandem
Truck
Truck

29.97

7.69

37.66

47.85

10.23

58.08

63.19

14.71

77.90

75.82

14.57

90.39

MIL
(kip-ft/ft)

M(LL+IL)(kip-ft/ft)

34.95

9.84

44.79

49.44

13.13

62.57

60.68

18.93

79.61

69.84

18.77

88.61

RELIABILITY ANALYSIS
Monte Carlo simulations were utilized to conduct
a reliability analysis for concrete slab bridges thatare designed based on the AASHTO LRFD design
equation. Failure was defined using the performance
function shown in Eq. (5).
g = R − DC + DW + ( LL + IL)(5)

Where R, DC, DW, and (LL+IL) were assumed
to be random variables. The probability of failure(P f ) was determined from the Monte Carlosimulations by counting the realizations with (g < 0)and dividing them by the total number ofsimulations (1,000,000 simulations). The reliability522

SEE-Osaka, Japan, Nov. 21-23, 2016index β, which is a measure of structural safety, wasthen calculated as:

β = φ −1 ( P f )Finally the statistical parameters for the moment
capacity for reinforced concrete slab bridges wereadopted from Kulicki et al. (2007) [7] based on abias factor λ R of 1.14 and a V R of 0.13.
In the reliability analysis, the moments due toslab weight, wearing surface, and total live load
were assumed to be normally distributed as per therecommendations of Kulicki et al. (2007) [7]. Alongthe same lines, the moment capacity was taken to belognormally distributed.

(6)

Where Φ-1 constitutes the inverse of the standard
normal cumulative distribution function. The
probabilistic models and the statistical parameters(mean and standard deviation) describing theuncertainty in the different design variables are
discussed in the following sections.

Results of the Reliability Analysis

Statistical Load and Capacity Models

The first set of reliability analyses wereconducted to assess the reliability levels that are
inherent in concrete slab bridges that are designed inaccordance with the current LRFD design equation
which is based on a live load factor of 1.75. The
results of this set of analyses are presented in Fig. 3aand indicate that the reliability index β ranges from
2.6 to 3.0 for the cases involving single lane bridges
and is slightly below 3.5 for the cases involving twolane slab bridges. The results of the single lane
concrete bridges reflect reliability levels that fallshort of the target reliability index of 3.5 that was set
by AASHTO LRFD, Nowak (1995) [6]. On theother hand, the results of the two-lane bridges arecloser to the target reliability level.
Results on Fig. 3b point to the need for revising
the AASHTO LRFD live load factors if a reliability
index as high as 3.5 is to be targeted. This isparticularly important for the case involving single
lane bridges. As a result, the reliability analysis was
repeated assuming different live load factors in an
attempt to identify the factors that would ensure thedesired level of reliability in the design. Results
indicated that for single lane bridges, a live loadfactor that is as high as 2.07 is required to ensurethat bridges with all span lengths would achieve atarget reliability index of 3.5. For the two laneloading case, the LRFD load factor needs to be
increased slightly from 1.75 to 1.8 to achieve thetarget reliability level. The revised LRFD design
equations for the single and double lane scenarios
are presented in Eq. (9) and Eq. (10), respectively.
The resulting reliability levels for the revised cases
are presented in Fig. 3b.

The statistical parameters (bias λ and coefficientof variation V) for the bending moments due to slab
weight and wearing surface were adopted from
(Nowak, 1995) as λ DC = 1.05 and V DC = 0.1 andλ DW = 1.0 and V DW = 0.25, respectively. The bias
factor is defined as the ratio of the mean of a given
parameter to the nominal value of that parameter. As
a result, the mean values for DC and DW for all
bridges considered can be defined from λ DC and λ DW
together with the nominal values shown in Table 2.
The bias factors λ LL of the static live load
moments (M LL ) were presented by Nowak (1995)[6] and are dependent on the number of lanes andspan lengths, while the coefficient of variation of(M LL ) has been found to be constant with a value of
0.12. Table 4 shows the bias factor of the live load
moment for each span and the corresponding meanvalues of the total live load.
Table 4. Live Load Statistical Parameters
No. of lanes

Span
(ft)

λLL

V(MLL)

Mean of
M(LL+IL)

Standard
Deviation
M(LL+IL)

V
M(LL+IL)

1

24
36
46
54

1.38
1.39
1.37
1.36

0.12
0.12
0.12
0.12

61.80
86.97
109.01
120.5

9.77
13.36
18.14
18.85

0.158
0.154
0.166
0.156

2

24
36
46
54

1.16
1.19
1.19
1.18

0.12
0.12
0.12
0.12

43.68
69.11
92.70
106.65

7.43
10.66
14.83
15.85

0.170
0.154
0.160
0.149

The mean and standard deviation of the total live
load M (LL+IL) are determined according to Equations(7) and (8) (Kulicki et al., 2007) by combining thestatistics of the static live load and the impact load.
In Eq. (8), the values of 0.12 and 0.8 represent thecoefficients of variation of the static live load andthe dynamic impact load, respectively. The resultingmeans and standard deviations of the total live load
for the cases analyzed in this study are presented inTable 4 together with the corresponding estimates of
the coefficient of variation of the M (LL+IL) [7].
Mean of M (LL+IL) = λLL ∗ M ( LL + IL )For single lane bridges:

φRn = 1.25M DC + 1.5M DW + 2.07( M LL + M IL ) (9)For two lane bridges:

φRn = 1.25M DC + 1.5M DW + 1.8( M LL + M IL ) (10)(7)
nominalSt. Dev. M (LL+IL) = (0.12λ LL M LL ) 2 + (0.8M IL ) 2 (8)523SEE-Osaka, Japan, Nov. 21-23, 2016

AASHTO LRFD Live Load Moments(Current AASHTO Live Load Factor)

Reliability Index, β

5
4.5
4
3.5
3
2.5
2
1.5
1
0.5
0

Fig. 3

Target βg = R − ( DC + DW + α LL ( LL) + IL)

20

30

40

Span Length (ft)50

60

AASHTO LRFD Live Load Moments(Revised Live Load Factors)
Target β

one lane, LL, factor = 2.07
two lanes, LL, factor = 1.80
20

30

40

Span Length (ft)

50

(11)

The results of the reliability analysis that was
conducted using the revised performance functionthat is presented in Eq. (11) are shown in Fig. 4.
Results pertain to the conventional live load factorof 1.75 that is recommended by AASHTO LRFD.
As expected, the calculated reliability indices for the
single lane bridges with the shorter span lengths of
24 and 36 ft increased significantly compared withthe earlier results (Fig. 3a). This increase in thereliability index (up to values of 3.8) is directly
correlated to the smaller α LL ratio (average of 0.74)
which indicates that the simplified AASHTO LRFD
procedure overestimated the maximum live load
moments on the bridge. For the single lane bridges
with the longer spans, the reliability indices were
found to be still less than the target reliability index
since the α LL ratio for these cases was close to 1.0.
For the two lane bridges, results in Fig. 4a
indicate that the target reliability index was achieved
for the shorter spans, but fell short of achieving atarget reliability index of 3.5 for the longer spans forthe case where the conventional AASHTO LRFD
load factor of 1.75 was adopted.
To ensure a target reliability index of 3.5 for the
longer spans, the LRFD live load factors need to berevised for the single lane and the two-lane bridgecases. Results from the reliability analysis indicatedthat for the one-lane case with longer spans, the live
load factor has to be increased from 1.75 to 2.07,
even if the live load moments are corrected based on
the FEA results. As for the two lane bridge cases,
the target reliability levels for the longer spans cases
could be ensured with a revised live load factor of
1.95 as shown in Fig. 4b. Thus, it is recommended
that Eq. (12) and Eq. (13) in the design of single andtwo lane reinforced concrete bridges with longer
spans, respectively.

one lane, LL, factor =1.75
two lanes, LL, factor =1.75

Reliability Index, β

5
4.5
4
3.5
3
2.5
2
1.5
1
0.5
0

simplified AASHTO LRFD procedure wasmultiplied by α LL as reflected in the modified
performance function shown in Eq. (11):60

Reliability Indices for Concrete SlabBridges per Simplified AASHTO LRFD
Moments for (a) AASHTO Live Load
Factors and (b) Revised Live Load Factors.

The results presented in Fig. 3 pertain to bridge
designs that are based on the live load moments M LL
that are calculated using the simplified procedure
recommended by AASHTO LRFD. Resultspresented in Table 1 indicate that these M LL values
could deviate from the more representative finite
element values, particularly for cases involving
single lane bridges with relatively shorter spans (24ftand 36ft). To account for this discrepancy in thevalue of M LL , the reliability analyses were repeatedsuch that the simplified AASHTO live load
moments were corrected by multiplying these
moments by the ratio α LL (see Table 1). For thecases involving single-lane bridges with shorter
spans (24, 36 ft) where the tandem/lane combination
governed, an α LL value of 0.74 (average of the two
α LL values for the two span lengths) was adopted.
For a single lane with longer spans (46, 54 ft) where
the HS-20 truck/lane combination governed, an α LL
value of 0.99 was adopted. For the two lane bridgecases, the α LL ratios of 0.98 and 1.11 were adopted
for the shorter and longer spans, respectively. To
incorporate the ratio α LL in the reliability analysis,
the static live load moment that is based on the

For single lane bridges:

φRn = 1.25M DC + 1.5M DW + 2.07( M LL + M IL ) (12)For two lane bridges:

φRn = 1.25M DC + 1.5M DW + 1.95( M LL + M IL ) (13)524

SEE-Osaka, Japan, Nov. 21-23, 2016

Reliability Index, β

5
4.5
4
3.5
3
2.5
2
1.5
1
0.5
0

Reliability Index, β

5
4.5
4
3.5
3
2.5
2
1.5
1
0.5
0

Fig. 4increasing the live load factor to 2.07 for one laneand 1.8 for two lanes.
When the difference between the moments
obtained from AASHTO LRFD and FEA is
incorporated in the reliability analysis, the results
showed acceptable target reliability levels for shorter
span bridges and relatively inferior reliability indicesfor longer spans. To achieve the target reliability
levels for these cases, the load factors in the
AASHTO LRFD provisions needed to be increased
to 2.07 for a single lane with longer spans and to
1.95 for two lanes with longer spans.

Finite Element Live Load Moments(Current AASHTO Live Load Factor)
Target β

one lane, LL, factor = 1.75
two lanes, LL, factor = 1.75
20

30

40

Span Length (ft)5060

REFERENCES[1] AASHTO (2002). Standard Specifications for
Highway Bridges, 17th Ed., American
Association of State Highway and Transportation
Officials (AASHTO), Washington, D.C.
[2] AASHTO (2012). LRFD Bridge Design
Specifications, 5th Ed., American Association ofState Highway and Transportation Officials(AASHTO), Washington, D.C.
[3] Mabsout, M., Tarhini, K., Frederick, G., andTayar C. (1997). “Finite element analysis of steel
girder highway bridges.” J. Bridge Eng., ASCE,
2(3), 83-87.
[4] Mabsout, M., Tarhini, K., Jabakhanji, R., andAwwad, E. (2004). “Wheel load distribution in
simply supported concrete slab bridges.” J.
Bridge Eng., ASCE, 9(2), 147-155.
[5] Nowak A. (1999). “Calibration of LRFD Bridge
DesignCode”.
NCHRP
Report368,
Washington, D.C.
[6] Nowak A. (1995). “Calibration of LRFD bridge
code.” J. of Struct. Eng., 121(8), 1245-1251.
[7] Kulicki J., Prucz Z., Clancy C., Mertz D., andNowak A. (2007). “Updating the Calibration
Report for AASHTO LRFD Code.” NCHRP
Report 20-7/186, Washington, D.C.
[8] SAP2000 (version 17). Computers andStructures Inc., Berkeley, California.

Finite Element Live Load Moments(Revised Live Load Factor for Long
Spans)
Target β

one lane, LL, factor = 2.07
two lanes, LL, factor = 1.95
20

30

40

Span Length (ft)50

60

Reliability Indices for Concrete SlabBridges where the AASHTO LRFD Live
Load Moments are Corrected using the
FEA Results for (a) AASHTO Live Load
Factors and (b) Revised Live Load Factors.

SUMMARY AND CONCLUSIONS
The method used to calculate the bending
moment in AASHTO LRFD tends to overestimate
the live load moments for shorter spans in one andtwo lane bridges when compared to the moment
obtained from the finite element analysis. For longer
spans, the bending moment obtained from AASHTOLRFD provisions tends to slightly underestimate themoment when compared with the FEA moment for
one and two lane reinforced concrete bridges.
The reliability analysis performed in this study isused to check the level of safety for the reinforced
concrete bridges that are designed with the
AASHTO LRFD provisions. The results of thereliability analysis showed that the reliability index
is slightly lower than the target reliability index fortwo lane bridges. The reliability indices for one lane
reinforced concrete bridges were considerably lower
than the target reliability index. To reach aconsistent level of safety for one lane and two lanebridges, the live load factor in the design equation
proposed by AASHTO LRFD needs to be revised by525

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

VENDOR MANAGED INVENTORY MODEL FOR SINGLE-SUPPLIER
MULTI-BUYERS SUPPLY CHAINS
Chaowalit Hamontree
Department of Industrial Engineering, Faculty of Engineering
King Mongkut’s Institute of Technology Ladkrabang, Thailand

ABSTRACT
Vendor managed inventory (VMI) is a supply chain coordination mechanism that has been gaining a lot of
attention. This paper develops model for a single supplier and multiple buyers with VMI policy that model isderived from financial perspective called Net Present Value (NPV) under deterministic condition. Under the
proposed strategy, the supplier specified common replenishment periods and requires all buyers to replenish onlyat those time periods. In order to reduce costs through coordination in the supply chain, the technique ofcommon replenishment epochs model (CRE) or periods is utilized by the supplier. The supplier is able tocombine several replenishment orders from the buyers, and save on order processing and delivery costs. The
proposed model will be compared with classic model to find the optimal solution including of optimal lot-size,
cycle replenishment time, and total cost. The numerical results are conducted to show the utility of the proposedmodel.
Keywords: Vendor managed inventory, Supply chain coordination, Financial perspective, Replenishment policy

Under VMI concept, the supplier makes
replenishment decisions on behalf of the buyer, andpays for the cost of replenishment decision-making.
The agreement also provides the supplier with dataon the final customer demand. When there are
multiple buyers, the supplier may choose to
implement VMI with 𝑛𝑛 buyers to reduce production
and holding costs at his warehouse. Furthermore, thesupplier may wish to deliver large quantities toachieve economies of scale in production cost.
In financial perspective analysis, the Net Present
Value (NPV) framework is broadly accepted as analternative valid framework for studying production
and inventory systems. In NPV technique, all cash
flows are applied that related to activities are valuedby their time of occurrence using discount rate,
which represents the opportunity cost of the next
best alternative for the firm. NPV is presented [6]that the capital costs of inventories in the various
stages of a supply chain can then be retrieved fromthe linearized NPV or Annuity Stream (AS) of thiscash-flow function. NPV has been used in thismanner in quite a number of studies, see also [2],and [6].

INTRODUCTION
Vendor Managed Inventory (VMI) is acollaborative buyer-supplier partnership whereby the
supplier is authorised to manage the buyer’s
inventory. In VMI, the buyer instead provides the
supplier with Point of Sale (POS) and inventory
status data on a real time basis. The supplier will use
this information to coordinate its own replenishment
actions with the replenishment service provided tothe buyer. The supplier takes responsibility for theoperational management of the inventory within amutually agreed framework of performance targets,
which are constantly monitored and updated tocreate an environment of continuous improvement[4]. In a VMI system, the operations of the buyer
and supplier can be integrated through information
sharing by using the technologies such as Electronic
Data Interchange (EDI) or internet-based protocols.
The supplier can use this information to plan
production, schedule deliveries, and manage
inventory levels at the buyer.
As a consequence, system cost can likely be
reduced while capacity utilization will be increased.
These benefits of VMI have been widely recognizedin different industries, especially in the retailindustry. The popularity of VMI has led to the claimthat it is a vital policy for the future and that thisconcept will revolutionize the tactical decisions in
the distribution channel. For further discussion of
the VMI system, we refer the reader to [3], [5], [7],and [8].

ASSUMPTIONS AND NOTATIONSThe system studied consists of a single supplierwith multiple buyers. In order to reduce costs
through coordination in the supply chain, thetechnique of or periods is utilized by the supplier.
The supplier is able to combine several

526

SEE-Osaka, Japan, Nov. 21-23, 2016average cost per unit time incurred by the 𝑖𝑖 𝑡𝑡ℎ buyer
can be expressed in Eq. (1):The buyer’s average cost:

replenishment orders from the buyers, and save onorder processing and delivery costs.
It is assumed that the buyers have constantdemand rates, and buyer’s demand parameters are
known to the supplier. The other assumptions are:both parties have perfect information about the otherplayer’s characteristics and the transportation
charges paid out to a third party 3PL; shortages are
not allowed; lead-time is zero; the supplier produces
at (in) finite production rate; there are no capacity
constraints. The replenishment interval for eachretailer should be an integer multiple of the common
replenishment period 𝑇𝑇 , that minimise the total
average costs.

𝑨𝑨𝑨𝑨𝒃𝒃 = 𝒔𝒔𝒊𝒊

𝒅𝒅𝒊𝒊
𝑸𝑸𝒊𝒊
− 𝒉𝒉𝒊𝒊
𝑸𝑸𝒊𝒊
𝟐𝟐

(1)

The holding costs of buyer and supplier is 𝒉𝒉𝒊𝒊 =𝜶𝜶(𝒘𝒘𝒊𝒊 + 𝒕𝒕𝒊𝒊 ) and 𝒉𝒉𝒔𝒔 = 𝜶𝜶𝜶𝜶.

Where the first term in Eq.(1) represents the setup costs, the second the holding costs. The holding
cost for the buyer is valued at 𝑤𝑤 and 𝑡𝑡 where themoney is invested for keeping product at inventory
stock.

The following notational scheme is made (𝒊𝒊 = 𝒃𝒃 for
buyer, 𝒋𝒋 = 𝒔𝒔 for supplier):

𝑸𝑸∗𝒊𝒊 = �𝒅𝒅𝒊𝒊 : The demand rate for buyer 𝒊𝒊 ∈ 𝑵𝑵;
𝑫𝑫: Total demand rate 𝑫𝑫 = ∑𝑵𝑵
𝒊𝒊=𝟏𝟏 𝒅𝒅𝒊𝒊 ;𝑹𝑹: The supplier’s production rate (𝑹𝑹 > 𝑫𝑫);
𝑵𝑵: The set of buyers {𝟏𝟏, . . . , 𝒏𝒏};
𝒄𝒄 : The supplier’s variable cost per product forbuyer 𝒊𝒊 ∈ 𝑵𝑵;
𝒔𝒔𝒊𝒊 : The fixed order processing cost for buyer 𝒊𝒊 ∈ 𝑵𝑵;
𝒉𝒉𝒊𝒊 : The holding cost per product per year for
buyer 𝒊𝒊 ∈ 𝑵𝑵;
𝜶𝜶𝒊𝒊 : The buyer’s internal annual holding cost rate;
𝒕𝒕𝒊𝒊 : The variable transport cost per product forbuyer 𝒊𝒊 ∈ 𝑵𝑵;
𝑸𝑸𝒊𝒊 : The lot-size between supplier and buyer;
𝑸𝑸: The total number of items dispatched fromsupplier to all buyers 𝑸𝑸 = ∑𝑵𝑵
𝒊𝒊=𝟏𝟏 𝑸𝑸𝒊𝒊 ;𝑸𝑸𝒔𝒔 : The supplier’s optimal lot-size;
𝒔𝒔𝒔𝒔 : The fixed order (set-up) processing cost per
supplier’s acquiring order;
𝒔𝒔𝒑𝒑 : The supplier’s fixed order processing cost perbuyer’s order;
𝒉𝒉𝒔𝒔 : The supplier’s holding cost per product peryear;
𝜶𝜶𝒔𝒔 : The supplier’s internal annual holding cost rate;
𝑸𝑸𝒔𝒔 : The supplier’s lot-size;
𝑻𝑻: The ordering cycle time of buyer 𝒋𝒋 ∈ 𝑵𝑵.
𝒎𝒎: The integer multiplication (𝑸𝑸𝒔𝒔 = 𝒎𝒎𝑸𝑸𝒃𝒃 , 𝒎𝒎 ≥ 𝟏𝟏);𝑻𝑻∗ =𝟐𝟐𝑺𝑺𝒊𝒊 𝒅𝒅𝒊𝒊
𝜶𝜶𝒃𝒃 (𝒘𝒘𝒊𝒊 + 𝒕𝒕𝒊𝒊 )

(2)

𝑸𝑸∗𝒊𝒊
𝟐𝟐𝑺𝑺𝒊𝒊�
𝒅𝒅𝒊𝒊 𝒅𝒅𝒊𝒊 𝜶𝜶𝒃𝒃 (𝒘𝒘𝒊𝒊 + 𝒕𝒕𝒊𝒊 )(3)

The supplier’s average cost:

In the perspective of supplier, the supplier faces ademand rate of 𝐷𝐷 = 𝑑𝑑1 + 𝑑𝑑2 + ⋯ 𝑑𝑑𝑛𝑛 and need tosatisfy the delivery of 𝑄𝑄𝑖𝑖 unit of stock to the 𝑖𝑖𝑡𝑡ℎ unitsof time. The largest possible amount of ordering faceby the supplier is that all the buyers replenish at thesame time in the total of ordering of ∑𝑛𝑛𝑖𝑖=1 𝑄𝑄𝑖𝑖 unit ofstock. The supplier average cost can be expressed as:
𝑺𝑺𝒔𝒔

𝑨𝑨𝑨𝑨𝒔𝒔 = (𝒎𝒎+ 𝑺𝑺𝒑𝒑 )𝑫𝑫

𝑸𝑸𝒊𝒊− 𝒉𝒉𝒔𝒔 [(𝒎𝒎 − 𝟏𝟏)(4)

The first term in Eq.(4) represents the set-up costs,
and the other two terms in 𝑄𝑄𝑖𝑖 /2 are the inventory
holding costs.

The supplier accepted the optimal lot-size 𝑄𝑄𝑖𝑖∗ fromeach buyer and then determines the optimal value of𝑚𝑚 where is the number of shipments from supplierto buyer during the supplier’s production cycle
based on his own profit function.

In the models, the annuity stream for the buyer isdenoted as 𝐴𝐴𝐴𝐴𝑏𝑏 and the annuity stream for
supplier 𝐴𝐴𝐴𝐴𝑠𝑠 . These approximations are obtained byMaclaurin expansion of the exponential terms in 𝛼𝛼𝑖𝑖 ,where 𝑘𝑘 ∈ {1, 𝐷𝐷/𝑅𝑅, 𝑚𝑚}, and then linearization of the
expansion in 𝛼𝛼𝑖𝑖 (𝑖𝑖 ∈ {𝑏𝑏, 𝑠𝑠})

The supplier’s optimal 𝑚𝑚∗ is thus:

THE CLASSIC INVENTORY MODEL

𝒎𝒎∗𝒊𝒊 = 𝒎𝒎𝒎𝒎𝒎𝒎 ��

Assume there are 𝑛𝑛 buyers and under the
independent policy model, each buyer would
determine his own optimal policy. The buyer’s

𝑫𝑫
𝟐𝟐𝑺𝑺𝒔𝒔 �𝟏𝟏 + 𝜶𝜶 𝑹𝑹�

𝑹𝑹(𝑺𝑺𝒃𝒃 + 𝑺𝑺𝒑𝒑 )(𝑫𝑫 − 𝟏𝟏)

, 𝟏𝟏�

(5)

The index 𝒊𝒊 denotes that it is derived from the classic
527

SEE-Osaka, Japan, Nov. 21-23, 2016

framework.
Where 𝑚𝑚∗ , as always, should be again rounded
up to 1 if it is smaller, and otherwise rounded to thenearest higher or lower integer, whichever gives thehighest profit function value.

The Maclaurin expansion of the exponential termwith respect to 𝜶𝜶𝒃𝒃 𝑻𝑻 gives:
𝟏𝟏 𝜶𝜶𝒃𝒃
𝑻𝑻
𝑨𝑨𝑺𝑺𝒃𝒃 = (𝒔𝒔𝒃𝒃 + 𝒘𝒘𝒘𝒘𝒘𝒘) � ++ 𝑶𝑶 �𝜶𝜶𝟐𝟐𝒃𝒃 ��
𝑻𝑻 𝟐𝟐
𝟏𝟏𝟏𝟏

THE FINANCE MODEL WITH NPVGiving the following linearization in 𝜶𝜶𝒃𝒃 of theannuity stream:

Following [6], the NPV of an activity for firm
𝑗𝑗 is generally the Laplace transform of a cash-flow
function 𝑎𝑎𝑗𝑗 (𝑡𝑡) where the Laplace frequency is thecontinuous capital rate 𝛼𝛼𝑗𝑗 of the firm:𝒕𝒕

𝑵𝑵𝑵𝑵𝑽𝑽𝒋𝒋 = � 𝒂𝒂𝒋𝒋
𝟎𝟎(𝒕𝒕)𝒆𝒆−𝜶𝜶𝒋𝒋 𝒕𝒕

𝒅𝒅𝒅𝒅

�����
𝑨𝑨𝑺𝑺𝒃𝒃 = 𝒔𝒔𝒃𝒃

(6)

∞

𝑫𝑫
𝑸𝑸𝒃𝒃
𝒔𝒔𝒃𝒃
− 𝜶𝜶𝒃𝒃 𝒘𝒘− 𝜶𝜶𝒃𝒃
𝑸𝑸𝒃𝒃
𝟐𝟐
𝟐𝟐

𝑸𝑸∗𝒃𝒃 = �

𝟐𝟐𝑺𝑺𝒃𝒃 𝑫𝑫
𝜶𝜶𝜶𝜶

(7)

𝟎𝟎

This aim is to derive functions for buyer andsupplier to evaluate their profit when they would act
independently, and a profit function for their joint
supply chain. These functions are defined as annuity
streams and thus represent a continuous stream of
cash-flows with the same NPV as the real set of cash
flows encountered. Linearization of these functionsin the discount rate can be directly compared withaverage profit models. The inventory model for
supplier and buyer with NPV is shown in Fig. 1 andcash flow diagram for both supplier and buyer isshown in Fig. 2.

Fig. 1Inventory model for supplier and buyer

Fig. 2

Supplier and buyer cash-flow over time

The buyer average cost is:∞

𝑨𝑨𝑺𝑺𝒃𝒃 = 𝒑𝒑𝒑𝒑 − (𝒔𝒔𝒃𝒃 + 𝒘𝒘𝒘𝒘𝒘𝒘)(� 𝜶𝜶𝒃𝒃 𝒆𝒆−𝒊𝒊𝜶𝜶𝒃𝒃 𝑻𝑻 )This can be rewritten as:

(8)

𝒊𝒊=𝟎𝟎

𝜶𝜶𝒃𝒃
𝑨𝑨𝑺𝑺𝒃𝒃 = (𝒔𝒔𝒃𝒃 + 𝒘𝒘𝒘𝒘𝒘𝒘)()
𝟏𝟏 − 𝒆𝒆−𝜶𝜶𝒃𝒃 𝑻𝑻(11)

The buyer’s optimal lot-size is thus:

The cash-flow function represents all the costs
and revenues, and their exact timing that will be
incurred in relation to the executing of the activitiesof the firm in the context of the supply and deliveryof these products. The annuity stream function 𝐴𝐴𝐴𝐴𝑗𝑗 ,for an infinite horizon model, is then definedas 𝐴𝐴𝐴𝐴𝑗𝑗 = 𝛼𝛼𝑗𝑗 𝑁𝑁𝑁𝑁𝑁𝑁𝑗𝑗 . The Maclaurin expansion of the
exponential terms in the decision variables leads tomore tractable analytical models. In particular, thelinear approximation in 𝛼𝛼𝑗𝑗 is often leading to modelsof comparable complexity as those arrived at fromthe classical inventory modelling principles which it
can be written as:

𝑨𝑨𝑨𝑨 = 𝜶𝜶 � 𝒂𝒂(𝒕𝒕)𝒆𝒆−𝜶𝜶𝜶𝜶 𝒅𝒅𝒅𝒅

(10)

(9)

528

(12)

SEE-Osaka, Japan, Nov. 21-23, 2016

The average cost function where ℎ𝑏𝑏 = 𝛼𝛼𝑏𝑏 𝑤𝑤 isequal to the first four terms of the annuity stream
approximation. The last term −𝛼𝛼𝑏𝑏 𝑠𝑠𝑏𝑏 /2 measures theaverage interest costs related to set-up payments. It
is well known that such terms appear in annuity
streams with set-up costs. Since it is a constant term,
it is of lesser importance.

The supply chain average cost is:𝒏𝒏

𝟏𝟏 𝑺𝑺𝒔𝒔
𝒉𝒉𝒔𝒔 𝑫𝑫𝑫𝑫
𝑨𝑨𝑨𝑨𝒔𝒔𝒔𝒔 = ( + �(𝑺𝑺𝒃𝒃 + 𝑺𝑺𝒑𝒑 )) −[(𝒎𝒎 − 𝟏𝟏)
𝑻𝑻 𝒎𝒎
𝟐𝟐
𝒊𝒊=𝟏𝟏

𝒏𝒏

(20)

𝑫𝑫
𝑫𝑫𝑫𝑫
−(𝒎𝒎 − 𝟐𝟐) ] + � 𝒉𝒉𝒔𝒔
]
𝑹𝑹
𝟐𝟐
𝒊𝒊=𝟏𝟏

The supplier average cost can be expressed as:

The optimal common cycle time is:∞

𝑨𝑨𝑺𝑺𝒔𝒔 = �−𝒔𝒔𝒑𝒑 + 𝒘𝒘𝒘𝒘𝒘𝒘� �� 𝜶𝜶𝒔𝒔 𝒆𝒆−𝒊𝒊𝜶𝜶𝒔𝒔 𝑻𝑻 � − (𝑺𝑺𝒔𝒔 + 𝒄𝒄𝒄𝒄𝒄𝒄𝒄𝒄)
𝒊𝒊−𝟎𝟎

∞

𝑫𝑫
�� 𝜶𝜶𝒔𝒔 𝒆𝒆−𝒊𝒊𝜶𝜶𝒔𝒔 𝒎𝒎𝒎𝒎 � − (𝒎𝒎 − 𝟐𝟐) ]𝑹𝑹𝑻𝑻∗ = �

(13)

𝒊𝒊−𝟎𝟎

𝜶𝜶𝒔𝒔
𝑨𝑨𝑺𝑺𝒔𝒔 = �−𝒔𝒔𝒑𝒑 + 𝒘𝒘𝒘𝒘𝒘𝒘� �
� − (𝑺𝑺𝒔𝒔
𝟏𝟏 − 𝒆𝒆−𝜶𝜶𝒔𝒔 𝑻𝑻
𝜶𝜶𝒔𝒔+𝒄𝒄𝒄𝒄𝒄𝒄𝒄𝒄) ��𝟏𝟏 − 𝒆𝒆−𝜶𝜶𝒔𝒔𝒎𝒎𝒎𝒎(14)∗ (𝒎𝒎∗

𝒎𝒎

𝟐𝟐

(16)

+ 𝑶𝑶 linearization
�𝜶𝜶 � ��� in 𝜶𝜶𝒃𝒃 of theGiving the following
annuity stream:

The buyer's annuity stream for average cost is:∞

𝑨𝑨𝑪𝑪𝒃𝒃 = [(𝒔𝒔𝒊𝒊 + 𝒕𝒕𝒊𝒊 𝑫𝑫𝑫𝑫) � 𝜶𝜶𝒃𝒃 𝒆𝒆−𝜶𝜶𝒃𝒃𝑻𝑻 ]𝒆𝒆−𝜶𝜶𝒃𝒃𝑳𝑳
𝒊𝒊=𝟎𝟎

(17)

𝑨𝑨𝑪𝑪𝒃𝒃 = [(𝒔𝒔𝒊𝒊 + 𝒕𝒕𝒊𝒊 𝑫𝑫𝑫𝑫) �

The common model is proposed by [1]. Under
this model, all buyers replenish cycle time 𝑇𝑇𝑏𝑏 andthe supplier’s production cycle is an integer
multiplier 𝑚𝑚.

𝟏𝟏
𝑻𝑻

𝑨𝑨𝑪𝑪𝒃𝒃 = �(𝒔𝒔𝒊𝒊 + 𝒕𝒕𝒊𝒊 𝑫𝑫𝑫𝑫)( +

(18)

(24)

𝜶𝜶𝒃𝒃
𝑻𝑻
+ 𝑶𝑶 �𝜶𝜶𝟐𝟐𝒃𝒃 ��
𝟐𝟐
𝟏𝟏𝟏𝟏

(25)

The linear approximation can be written as:

The supplier average cost can be expressed as:

𝑨𝑨𝑨𝑨𝒕𝒕𝒔𝒔 =𝜶𝜶𝒃𝒃
�]𝒆𝒆−𝜶𝜶𝒃𝒃𝑳𝑳
𝟏𝟏 − 𝒆𝒆−𝜶𝜶𝒃𝒃𝑻𝑻

Maclaurin expansion of the exponential term withrespect to 𝜶𝜶𝒃𝒃 𝑻𝑻 gives:

The buyer average cost is:𝒔𝒔𝒊𝒊 𝒉𝒉𝒊𝒊 𝒅𝒅𝒊𝒊 𝑻𝑻
−
𝑻𝑻
𝟐𝟐

(23)

This can be rewritten as:

THE COMMON CYCLE REPLENISHMENT

𝑨𝑨𝑨𝑨𝒕𝒕𝒊𝒊 =(22)

THE PROPOSED WITH VMI MODEL

𝑻𝑻

𝑺𝑺𝒔𝒔 𝑫𝑫�����
𝑨𝑨𝑺𝑺𝒔𝒔 = (𝒘𝒘 − 𝒄𝒄)𝑫𝑫 − �𝑺𝑺𝒑𝒑 + �
𝜶𝜶 𝒄𝒄(𝒎𝒎𝒎𝒎 𝑸𝑸𝒃𝒃 𝒔𝒔
𝑸𝑸𝒃𝒃
− 𝟏𝟏)
𝟐𝟐
𝜶𝜶𝒔𝒔
𝑸𝑸𝒃𝒃
�𝑺𝑺 + 𝑺𝑺 � + 𝜶𝜶 (𝒘𝒘 𝒄𝒄)

𝟏𝟏𝑫𝑫
𝒉𝒉 𝒅𝒅 + 𝟐𝟐 − 𝟏𝟏)
𝑹𝑹
𝑫𝑫𝒉𝒉𝒔𝒔 𝒊𝒊 𝒊𝒊− 𝟏𝟏) ≤
𝑫𝑫 𝒏𝒏
(𝟏𝟏 − 𝑹𝑹)�∑𝒊𝒊=𝟏𝟏(𝑺𝑺𝒃𝒃 + 𝑺𝑺𝒑𝒑 )�
≤ 𝐦𝐦∗ (𝐦𝐦∗ + 𝟏𝟏)
𝑺𝑺𝒔𝒔 (

Under the common cycle approach, all the buyers
are forced to order every 𝑇𝑇𝑏𝑏∗ unit of time. Accordingto [1], since the deliveries to all the buyers can bemade at the same time, the order processing anddelivery cost can be reduced. This leads to a lower
system cost.

(15)

𝟏𝟏 𝜶𝜶𝒔𝒔
𝑨𝑨𝑺𝑺𝒔𝒔 = �−𝒔𝒔𝒑𝒑 + 𝒘𝒘𝒘𝒘𝒘𝒘� � +
𝑻𝑻 𝟐𝟐

(21)

The optimal integer multiplier 𝒎𝒎 = 𝒎𝒎∗ satisfies

The Maclaurin expansion of the exponential termwith respect to 𝜶𝜶𝒃𝒃 𝑻𝑻 gives:
𝟏𝟏
𝜶𝜶𝟐𝟐
𝒎𝒎𝒎𝒎
− �𝑺𝑺𝒔𝒔 + 𝒄𝒄𝒄𝒄𝒄𝒄)(++ 𝑶𝑶 �𝜶𝜶𝟐𝟐𝒔𝒔 ����
𝒎𝒎𝒎𝒎 𝟐𝟐𝟏𝟏𝟏𝟏

𝑺𝑺
𝟐𝟐(𝒎𝒎𝒔𝒔 + ∑𝒏𝒏𝒊𝒊=𝟏𝟏(𝑺𝑺𝒃𝒃 + 𝑺𝑺𝒑𝒑 )𝑫𝑫
𝒉𝒉𝒔𝒔 𝑫𝑫[(𝒎𝒎 − 𝟏𝟏) − (𝒎𝒎 − 𝟐𝟐) 𝑹𝑹 + ∑𝒏𝒏𝒊𝒊=𝟏𝟏 𝒉𝒉𝒔𝒔 𝒅𝒅𝒊𝒊

𝒔𝒔𝒊𝒊
𝒔𝒔𝒊𝒊
𝒅𝒅𝒊𝒊 𝑻𝑻∗ −𝜶𝜶𝜶𝜶�����
𝑨𝑨𝑪𝑪𝒃𝒃 = � ∗ − 𝜶𝜶𝒃𝒃 − 𝜶𝜶𝒃𝒃 (𝒕𝒕𝒊𝒊 )
� 𝒆𝒆
𝑻𝑻
𝟐𝟐
𝟐𝟐

𝒏𝒏

𝟏𝟏 𝑺𝑺𝒔𝒔( + � 𝑺𝑺𝒋𝒋 )
𝑻𝑻 𝒎𝒎
𝒊𝒊=𝟏𝟏
𝒉𝒉𝒔𝒔 𝑫𝑫𝑫𝑫−[(𝒎𝒎 − 𝟏𝟏)
𝟐𝟐
𝑫𝑫

(26)

The first term in Eq.(26) represents the orderingcosts, the second is the average interest cost of set-

(19)

529

SEE-Osaka, Japan, Nov. 21-23, 2016up payments, and the third is the transportation costs.
In this case, the buyer’s holding cost is paid bysupplier.

NUMERICAL RESULT
We present the set of data to study a single
supplier multiple buyers from for numerical results.
The problem instance is used from [1] for single
supplier and 5 buyers.

The supplier’s annuity stream for average cost is:𝜶𝜶𝒔𝒔⎡ �𝑫𝑫𝑫𝑫 − 𝒔𝒔𝒑𝒑 �⎤
𝟏𝟏 − 𝒆𝒆−𝜶𝜶𝒔𝒔𝑻𝑻 ⎥
⎢
𝑫𝑫𝑫𝑫
⎢
⎥
𝜶𝜶𝒔𝒔 𝒆𝒆𝜶𝜶𝒔𝒔 𝑹𝑹⎥ 𝒆𝒆−𝜶𝜶𝒔𝒔 𝑳𝑳−𝒔𝒔𝒔𝒔
𝑨𝑨𝑪𝑪𝒔𝒔 = ⎢
−𝜶𝜶
𝒎𝒎𝒎𝒎
𝒔𝒔
𝟏𝟏 − 𝒆𝒆⎢⎥⎢⎥−𝜶𝜶𝒔𝒔 𝒎𝒎𝒎𝒎𝒎𝒎
𝑫𝑫𝑫𝑫
𝑹𝑹
𝟏𝟏
−
𝒆𝒆
𝜶𝜶𝒔𝒔 ⎥
⎢
𝑹𝑹
−𝒄𝒄𝒄𝒄
𝒆𝒆
⎣
⎦
𝟏𝟏 − 𝒆𝒆−𝜶𝜶𝒔𝒔𝒎𝒎𝒎𝒎

Table 1 Problem instance characteristics(27)

Instances

𝟏𝟏

𝜶𝜶

�
𝒔𝒔𝒔𝒔
𝑫𝑫
⃓
𝒏𝒏
⃓
⃓𝟐𝟐 �𝒎𝒎 �𝟏𝟏 + 𝜶𝜶𝒔𝒔 𝑹𝑹 � + ∑𝒊𝒊=𝟏𝟏(𝑺𝑺𝒃𝒃 + 𝑺𝑺𝒑𝒑 )�
𝑻𝑻∗ = ⃓⃓
𝑫𝑫⃓⃓
𝜶𝜶𝜶𝜶𝜶𝜶 �(𝒎𝒎 − 𝟏𝟏) + 𝜶𝜶𝒔𝒔 𝒄𝒄(𝒎𝒎 − 𝟐𝟐) �⃓𝑹𝑹⃓+ ∑𝒏𝒏𝒊𝒊=𝟏𝟏 𝜶𝜶𝒃𝒃 (𝒄𝒄)𝒅𝒅𝒊𝒊⎷

𝒔𝒔𝒔𝒔

Table 2 Independent strategies and optimal policies
from Classic framework

(28)

No.
Buyers12
3
45

𝑄𝑄𝑏𝑏 ∗

200
224
110
100
321

𝑚𝑚∗
3
2
2
2
2

Classic model𝑇𝑇 ∗𝐴𝐴𝐴𝐴𝑏𝑏158.11
32.68
35.11
35.31
31.80

1.6
2.0
1.1
1.0
2.24

𝐴𝐴𝐴𝐴𝑠𝑠

4.76
9.65
14.36
16.83
20.94

𝐴𝐴𝐴𝐴𝑠𝑠𝑠𝑠

6.36
13.26
19.07
22.53
28.90

Table 3 Independent strategies and optimal policies
from Classic with NPV framework
(29)

No.
Buyers12
3
45

𝑄𝑄𝑏𝑏 ∗

200
224
110
100
321

Classic with (NPV) model𝑚𝑚∗
𝑇𝑇 ∗𝐴𝐴𝐴𝐴𝑏𝑏𝐴𝐴𝐴𝐴𝑠𝑠
3
2
2
2
2

50.62
37.14
41.63
42.05
36.86

1.6
2.0
1.1
1.0
2.24

4.25
8.01
10.7
12.9
19.1

𝐴𝐴𝐴𝐴𝑠𝑠𝑠𝑠
5.85
11.6
15.4
18.6
27.0

Table 4 Coordinated strategies and optimal policies
from Classic framework
No. ofBuyersThe optimal order quantity in the 𝐕𝐕𝐕𝐕𝐕𝐕 policy is:𝒔𝒔𝑫𝑫
𝟐𝟐 �𝑺𝑺𝒑𝒑 + 𝒎𝒎𝒔𝒔 �𝟏𝟏 + 𝜶𝜶𝒔𝒔 �� 𝑫𝑫
𝑹𝑹
𝑫𝑫
𝜶𝜶𝒔𝒔 𝒄𝒄(𝒎𝒎 − 𝟏𝟏) − 𝜶𝜶𝒔𝒔 𝒄𝒄(𝒎𝒎 − 𝟐𝟐) 𝑹𝑹 + 𝜶𝜶𝒔𝒔 (𝒄𝒄)

𝒔𝒔𝒑𝒑

𝒄𝒄

R

The supplier’s average cost in VMI is composedof the set-up costs in the first term. The second termis the average interest costs of set-up payments, andthe other three terms composed of the inventory
holding costs. Assuming from this policy supplier
will thus aim to determine the optimal lot-size basedon his own profit function obtained by the following
equations:

𝑸𝑸𝒔𝒔∗ = �𝒘𝒘𝒊𝒊

𝜶𝜶𝒃𝒃 𝒘𝒘

Giving the following linearization in 𝜶𝜶𝒃𝒃 of theannuity stream:
𝟏𝟏
𝒔𝒔𝒔𝒔
𝑫𝑫
⎡
⎤
�𝒔𝒔𝒑𝒑 + �𝟏𝟏 + 𝜶𝜶𝒔𝒔 ��
∗
𝑻𝑻
𝒎𝒎
𝑹𝑹
⎢
⎥
∗ ⎥
⎢
𝒔𝒔
+
𝒔𝒔
𝒅𝒅
𝑻𝑻
−𝜶𝜶𝒔𝒔 𝑳𝑳
𝒋𝒋
𝒔𝒔
𝒊𝒊
�����
𝑨𝑨𝑪𝑪𝒔𝒔 = ⎢ −𝜶𝜶− 𝜶𝜶𝒔𝒔 𝒄𝒄(𝒎𝒎 − 𝟏𝟏)
⎥ 𝒆𝒆
𝒔𝒔
𝟐𝟐
𝟐𝟐 ⎥
⎢
𝑫𝑫 𝒅𝒅𝒊𝒊 𝑻𝑻∗
𝒅𝒅𝒊𝒊 𝑻𝑻∗ ⎥
⎢
+𝜶𝜶
𝒄𝒄(𝒎𝒎
−
𝟐𝟐)
+
𝜶𝜶
(𝒄𝒄)
𝒔𝒔
𝒔𝒔
⎣
𝑹𝑹 𝟐𝟐
𝟐𝟐 ⎦

𝒔𝒔𝒃𝒃

1
8 20 0.04 0.025 40 250
215 15 0.045 0.025 40 250
3
10 6
0.05 0.025 40 250
45 10 0.05 0.025 40 250
520 18 0.035 0.025 40 250
For each instance: 𝜶𝜶𝒃𝒃 = 𝜶𝜶𝒔𝒔 = 𝟎𝟎. 𝟐𝟐, 𝒉𝒉s = 𝜶𝜶𝒔𝒔 𝒄𝒄; 𝒉𝒉b =The Maclaurin expansion of the exponential termwith respect to 𝜶𝜶𝒔𝒔 𝑻𝑻 gives:

𝒔𝒔⎡⎤�𝑫𝑫𝑫𝑫 − 𝒔𝒔𝒑𝒑 � � + �
𝑻𝑻 𝟐𝟐
⎢
⎥
⎢
⎥
𝟏𝟏
𝜶𝜶𝒔𝒔 𝑫𝑫𝑫𝑫
𝜶𝜶𝒔𝒔
−𝒔𝒔
�
𝟏𝟏
+
�
�
+
�
⎥ 𝒆𝒆−𝜶𝜶𝒔𝒔 𝑳𝑳
𝒔𝒔
𝑨𝑨𝑪𝑪𝒔𝒔 = ⎢
𝑹𝑹
𝒎𝒎𝒎𝒎
𝟐𝟐
⎢
⎥
⎢
𝒎𝒎𝒎𝒎𝒎𝒎𝒎𝒎𝒎𝒎𝒎𝒎𝒎𝒎𝟐𝟐 𝑫𝑫𝟐𝟐 𝑻𝑻𝟐𝟐 ⎥⎢−𝒄𝒄𝒄𝒄 �+ 𝜶𝜶𝒔𝒔− 𝜶𝜶𝒔𝒔�⎥
𝒎𝒎𝒎𝒎𝒎𝒎𝟐𝟐𝟐𝟐
𝟐𝟐𝑹𝑹𝟐𝟐 𝒎𝒎𝒎𝒎 ⎦
⎣

𝒅𝒅𝒊𝒊

2
3

(30)

4

5

(31)

530

𝑄𝑄𝑠𝑠

∗

2145
2145
2569
2569
2569
2757
2757
2757
2757
3406
3406
3406
3406
3406

𝑚𝑚

∗

3
3
2
2
2
2
2
2
2
2
2
2
2
2

Classic model𝑇𝑇 ∗𝐴𝐴𝐴𝐴𝑏𝑏𝐴𝐴𝐴𝐴𝑠𝑠

32.68
32.68
35.11
35.11
35.11
35.31
35.31
35.31
35.31
31.80
31.80
31.80
31.80
31.80

1.66
2.66
1.69
2.80
1.93
1.70
2.81
1.94
1.17
1.65
2.62
1.78
1.11
2.79

4.75
7.82
5.40
7.86
9.87
5.38
7.84
9.85
11.43
5.82
8.27
10.33
11.98
14.83

𝐴𝐴𝐴𝐴𝑠𝑠𝑠𝑠

6.41
12.14
7.09
12.35
16.29
7.08
12.34
16.29
19.03
7.47
12.54
16.37
19.14
24.78

SEE-Osaka, Japan, Nov. 21-23, 2016

in the financial holding cost to the buyer at thebuyer’s warehouse.
CONCLUSIONSThis paper proposed VMI model derived fromfinancial perspective with NPV and common
replenishment epochs or time periods (CREs) for asingle-supplier multi-buyers in supply chain. In
general problem, the supplier requires all buyers toplace replenishment orders at CRE to reduce a total
inventory cost. Deriving cost function from NPV
approach, the mathematical modeling has beendeveloped from cash-flows in order to derive theoptimal lot-size for buyer 𝑄𝑄𝑏𝑏 and supplier 𝑄𝑄𝑠𝑠 andminimize cost for supply chain system as theperformance measure. An extensive numerical study
was conducted to understand the influence of VMI
derived from NPV and CRE strategy lead to achieve
the optimal lot-size and also give the minimum
supply chain cost that better than classic model.

Table 5 Coordinated strategies and optimal policies
from Classic with NPV framework
No. ofBuyers

𝑄𝑄𝑠𝑠 ∗

870
870
1476
1476
1476
1584
1584
1584
1584
1957
1957
1957
1957
1957

2
3

4

5

Classic with (NPV) model𝑚𝑚∗
𝑇𝑇 ∗𝐴𝐴𝐴𝐴𝑏𝑏𝐴𝐴𝐴𝐴𝑠𝑠
3
3
2
2
2
2
2
2
2
2
2
2
2
2

37.14
37.14
41.63
41.63
41.63
42.05
42.05
42.05
42.05
36.86
36.86
36.86
36.86
36.86

1.73
2.91
1.81
3.17
2.23
1.82
3.20
2.25
1.29
1.72
2.89
2.01
1.19
3.07

3.99
5.89
4.30
5.40
5.88
4.26
5.36
5.83
6.78
4.77
5.99
6.65
7.73
12.02

𝐴𝐴𝐴𝐴𝑠𝑠𝑠𝑠

5.72
10.53
6.11
10.39
13.09
6.08
10.37
13.09
15.33
6.49
10.60
13.27
15.55
22.91

Table 6 VMI strategies and optimal policies
No. ofBuyers2
3

4

5

𝑄𝑄𝑠𝑠 ∗

870
870
1476
1476
1476
1584
1584
1584
1584
1957
1957
1957
1957
1957

Classic with (NPV) model𝑚𝑚∗
𝑇𝑇 ∗𝐴𝐴𝐴𝐴𝑏𝑏𝐴𝐴𝐴𝐴𝑠𝑠
3
3
2
2
2
2
2
2
2
2
2
2
2
2

37.14
37.14
41.63
41.63
41.63
42.05
42.05
42.05
42.05
36.86
36.86
36.86
36.86
36.86

0.54
0.40
0.48
0.36
0.14
0.48
0.36
0.14
0.24
0.54
0.41
0.16
0.27
0.49

5.18
9.74
5.63
9.71
12.75
5.61
9.71
12.76
14.77
5.95
9.80
12.73
14.74
19.51

𝐴𝐴𝐴𝐴𝑠𝑠𝑠𝑠

REFERENCES

5.72
10.68
6.11
10.55
13.74
6.08
10.54
13.74
15.98
6.49
10.75
13.84
16.12
21.38

[1] Banerjee, A., Burton, J., 1994. Coordinated vs.
independent inventory replenishment policies
for a vendor and multiple buyers. Int. J. of
Production Economics, 35, pp. 215-222.
[2] Beullens, P., Janssens G.K., 2011. Holding costs
under push or pull conditions – The impact of
the Anchor Point. European Journal ofOperational Research 215, pp. 115-125.
[3] Darwish, M. A., Odah O.M., 2010. Vendor
managed inventory model for single-vendor
multi retailer supply chains. European Journal ofOperational Research, 3(1), 473-484[4] Dong, Y, Xu, K., 2002, “A supply chain model
for a vendor managed in inventory system”,
Transportation Research and Logistics, Vol. 38,
No. 2, pp. 75-95.
[5] Goyal, S.K., 1995. “A One-Vendor MultiBuyer
Integrated Inventory
Model: Acomment.” European Journal of Operational
Research. 82(1), pp. 209-210.
[6] Grubbström, R.W., 1980. A principle fordetermining the correct capital costs of work-inprogress and inventory. Int. J. of Production
Research, 18(2). pp. 259–271.
[7] Gumus, M. Elizabeth, M., 2008. Impact ofconsignment inventory and vendor-managed
inventory for a two-party supply chain.
International Journal of Production Research
113, pp. 502-517.
[8] Yao, M.J., C.C. Chiou., 2004. On areplenishment coordination model in an
integrated supply chain with one vendor andmultiple buyers. European Journal ofOperational Research, 159, pp. 406-419.

From table 3 and 4, the numerical results showthat the optimal cost function constructed from theclassic and NPV approaches. In independent case,the classic framework presents the buyer’s optimal
lot-size 𝑄𝑄𝑏𝑏 and 𝑚𝑚∗ and also cost functions are equal
to obtain in the NPV framework, but it is different insupplier’s and supply chain’s cost functions as the
NPV framework gives minimum costs less than aclassical framework.
From table 4-6, the proposed policy from VMI
can achieved minimizes supply chain’s cost that
better than other frameworks. In this policy, thebuyers are gained benefit from all logistics andinventory costs that transferred to respond by the
supplier, but meanwhile supplier is facing increasing
costs at the same time. The buyer can earn lower
cost because he only pays for purchasing price to the
supplier when the products have been sold to thefinal customer. Meanwhile, the supplier faced
increasing cost from this policy because he need pay

531

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

FLOW CHARACTERISTICS FOR LOW PRESSURE SOLAR
PARABOLIC TROUGH COLLECTOR

Ahmad Hammad1, Wael Al-Kouz1, Aiman Alshare1, Suhil Kiwan2, and Ammar Alkhalidi3
1School of Applied Technical Science, German Jordanian University, Jordan;
2
Mechanical Engineering Department, University of Science and Technology, Jordan;
3
Energy Engineering Department, German Jordanian University, Jordan.

ABSTRACT
A finite volume code is used to solve for the steady-state two-dimensional laminar gaseous low pressure
flows in the annulus region between two concentric horizontal cylinders with an attached solid fin to theinner cylinder. Such flows can be found in the receivers of the solar Parabolic Trough Collectors (PTCs). It
is found that local heat transfer coefficient depends inversely on Knudsen number. In addition, it is found that
attaching a fin will enhance the heat transfer for such flows. Other flow characteristics also depend on
Knudsen Number, dimensionless vertical velocity decreases as Knudsen number increases for a certain limitof dimensionless radial distance, then it increases with Knudsen number. Moreover, when Knudsen number
increases, the temperature jump at outer cylinder surface will increase.
Keywords: Low Pressure, Rarefaction, Concentric Cylinders, Parabolic Tough.
INTRODUCTION

transfer in the parabolic trough solar receiver. AlKouz et al [5] investigated the low-pressure flows in
the annulus region between two concentric cylinders,
they studied the effect of rarefaction on the flow andheat characteristics of such flows. In addition, acorrelation for the conductivity ratio was proposed forsuch flows.

Rarefied flows had been studied in the past two
decades due to its wide industrial applications. It can
be classified based on Knudsen number (Kn) into four
regimes [1]; (I) continuum flows in which Knudsen
number is equal to zero, (II) slip flow in which
Knudsen number is greater than 0.01 and less than0.1, (III) transitional flow in which Knudsen number
is greater than 0.1 and less than 10, and (IV) freemolecular in which Knudsen number is greater than10.
One of the applications of the flow in the region
between two horizontally oriented concentric
cylinders is the parabolic trough collectors. The
effects of Rayleigh number and radius ratio on thecharacteristics of the flow in the annuli of two infinite
concentric cylinders using numerical techniques werestudied by El-Sherbiny [2]. Rayleigh number wasvaried between 102 to 106, and the radius ratio was
taking the values between 1.25 and 10.
The effect of fin conductivity ratio, Darcy number
and Rayleigh number on the average Nusselt number
for porous fins attached to the inner cylinder of theannulus between two concentric cylinders were
investigated by Kiwan et al. [3]. They found that theheat transfer is enhanced for the case of a porous fin,also it was found that for porous fin, unlike the solid
fins, the heat transfer decreases by increasing theinclination angle of the fin. The heat transfer of thisapplication was analyzed by Padilla et al. [4]. Basedon their model they presented correlations for the heat

In this work, Fluent16 is used to obtain thesolution for the flow characteristics between two
concentric horizontal cylinders. The inner cylinder is
attached to a solid fin and is subjected to a constanthigh temperature while the outer cylinder is held atconstant lower temperature. Effects of Knudsen
number (Kn) on the flow and heat transfer
characteristics are investigated.
MATHEMATICAL MODEL
In this study, a steady-state, two dimensional, andlaminarflow
isinvestigated.
Boussinesq
approximation is utilized to account for the buoyancy
force and all fluid properties are considered constant.
Figure (1) shows one of the most relevant
applications to our study; namely, the receiver of theparabolic trough collectors. Figure (2) illustrates thegeometry of the flow in the annulus region between
the two concentric cylinders in which the innercylinder is attached to a solid fin. In this study, theslip and temperature jump boundary conditions were
imposed at the boundaries and the slip flow regime isinvestigated.
532

SEE-Osaka, Japan, Nov. 21-23, 2016

fin that is attached to the inner cylinder of the annulus.
y-momentum:ρu  2v  2v 
v
v
P
 ρv

 ρg y  μ  2  2 
x
y
y
y 
 x

(3)

Energy:ρC p uFig. 1

  2T  2T TT ρC p v
 k 2  2 
x
y
y 
 x

(4)

where Cp is the specific heat, T is the temperature in
kelvin, and k is thermal conductivity.
The boundary conditions applied are the slip andtemperature jump at the inner and outer walls of theannulus as reported by Karniadakis et al. [1]. The
corresponding Knudsen number (Kn) is defined asfollows:

Receiver of the parabolic trough collectors.

Kn 

λ
Lg

(5)

where λ is the molecular mean free path, and Lg is thegap spacing between the inner and outer cylinders.
Thermal boundary conditions are imposed at innerand outer annulus radii such that:

Fig. 2(6)

at r  ro , T  To

(7)

where ri and ro are the inner and outer annulus radius
respectively, and Ti is the hot surface temperature
measured at inner annulus surface and To is the cold
surface temperature measured at outer annulus
surface.
The average heat transfer coefficient along thewall of the inner cylinder is calculated fromThe geometry of the annulus region between
the two concentric cylinders.

The governing equations that describe theproblem under investigation are summarized asfollow; conservation of mass:

u v

0
x y

at r  ri , T  TiQhi 
(Ti  T ) Ai

(1)

(8)

where hi is the average heat transfer coefficient, Q isheat transfer per unit length, and Ai is the area of theinner annulus surface.

where u and v are the velocities in x direction and y
direction respectively. The x-momentum:

CODE VERIFICATION  2u  2u 
u
u
P
ρu
 ρv

 μ 2  2 
x
y
x
y 
 x

(2)

The mathematical model solved numerically using
finite volume technique. Figure 3 shows a sample ofthe mesh of the domain of the problem. It consists ofa simple two-dimensional mesh. To verify thenumerical code, results of the current code are tested
and compared with the results obtained by Kuehn andGoldstein [6] as was documented in AL-Kouz etwhere ρ is the density of air given by ideal gas
equation, P is the pressure, and µ is the dynamic
viscosity. Note that the x component of the gravity is
not equal to zero since there is a rotation for the solid
533

SEE-Osaka, Japan, Nov. 21-23, 2016

al.[5] with an acceptable error. Figure 4 illustrates thek effcomparison between k r obtained by thekcurrent code and that obtained by Kuehn andGoldstein [6]. The results show a matching of morethan 93%.

heat transfer coefficient for angles less than 30
degrees. The graph also shows that attaching a fin to
the inner cylinder will enhance the local heat transfer
coefficient.

Fig. 5

Fig. 3

Variation of the local heatcoefficient along with the angle.

transfer

Figure 6 shows the dimensionless verticalvelocity Vy variations with the dimensionless radial
distance r* for different values of Knudsen numbers.
It is obvious from the graph that the higher the
Knudsen number, the lower dimensionless verticalvelocity for cases where r* is less than one. The
opposite will occur for the cases where r* is higher
than unity, the higher Knudsen number will result in
lower dimensionless vertical velocity.

The adaptive grid system used in calculation.

4.5
4.0
Present work
Kuhen et al.

3.5

Kr

3.0
2.5
2.0
1.5
1.0
0.5
0.5

1.0

1.5

2.0

2.5

3.0

3.5

4.0

4.5

Ram

Fig. 4Comparison between current data andKuhen et al. data.

RESULTS AND DISCUSSION

Fig. 6

Figure 5 illustrates the variation of the local heattransfer coefficient along with the angle phi. The
figure shows that as phi increases then the local heattransfer coefficient increases. Also, the figure showsthat as Knudsen number increases then the heattransfer represented by the local heat transfer
coefficient will decrease. In addition, the graph showsthat there is no effect for the angle phi on the local

In Fig. 7, the dimensionless temperature
distribution T* is plotted against the dimensionlessradial distance r*. The graph shows that as Knudsen
number increases then the temperature jump at theouter cylinder surface will increase.
534

Variation of the dimensionless verticalvelocity Vy with the dimensionless radial
distance r* for different values of Knudsen
numbers.

SEE-Osaka, Japan, Nov. 21-23, 2016

characteristics also depend on Knudsen Number;dimensionless vertical velocity decreases as
Knudsen number increases for a certain limit ofdimensionless radial distance, then it increases
with Knudsen number. Also, when Knudsen
number increases, the temperature jump at outercylinder surface will increase.
REFERENCES

Fig. 7[1] G. Karniadakis, A. Beskok, and N. Aluru, 2005,
Microflows and Nanoflows, Springer.
[2] A. El-Sherbiny, Natural convection in air layers
between horizontal concentric isothermal
cylinders, Alexandria Engineering Journal., 43(3) (2004), 297-311[3] S. Kiwan, O. Zeitoun, Natural convection in ahorizontal cylindrical annulus using porous fins,
International Journal of Numerical Methods for
Heat & Fluid flow, 18 (2008), 618-634.
[4] R. Padilla, G. Demirkaya, D. Goswami, E.
Stefankos, Heat transfer analysis of parabolic
trough solar receiver, Applied Energy, 88(2011),
5079-5110.
[5] Al-Kouz W, Alshare A, Alkhalidi A, and Kiwan
S, 2016, Two dimensional analysis of low
pressure flows in the annulus region between two
concentric cylinders, Springerplus (2016) 5:529.
[6] T. H. Kuehn and R. J. Goldstein., Correlating
equations for natural convection heat transfer
between horizontal circular cylinders, Int J. Heatand Mass Transfer., 19 (1976), 1127-1134.

Variation of the dimensionless temperature
distribution T* with the dimensionless radial
distance r* for different values of Knudsen
numbers.

CONCLUSIONS
A flow analysis for low pressure solar parabolicthrough collector in which the inner surface is
attached to a solid fin is carried out using fluent16.
The flow could be modeled as a steady, twodimensional low-pressure laminar flow between two
concentric cylinders. It is found that as Knudsen
number increases then the heat transfer represented
by the local heat transfer coefficient will decrease.
Also, attaching a fin to the inner cylinder will enhance
the local heat transfer coefficient.
Moreover, it is concluded that flow

535

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

ENSEMBLE MLP NETWORKS FOR VOICES COMMAND
CLASSIFICATION TO CONTROL MODEL CAR VIA PIFACEINTERFACE OF RASPBERRY PI
Narissara Eiamkanitchat1, 2, Nontapat Kuntekul1 and Phasit Panyaphruek1
1
Department of Computer Engineering, Faculty of Engineering;
2
Social Research Institute;
Chiang Mai University, Thailand
ABSTRACTThis research, exploration displays the aftereffects of utilizing the blend of the multi-layer perceptron network
system to classify Thai speech. The parameters of the training process are used in the mobile application to using
Thai voice commands to control the model car. The PiFace interface of the Raspberry Pi is attached to the model
car for receiving the command from mobile and control the model car. The 1,000 Thai voice commands of both
men and ladies are used as the training set in the experiment. The preliminary experiments have been done to findthe best possible structure of the classification model, and the appropriate proportion of classes in the training set.
From the experiment results using 1 network for one voice command, the average accuracy of the classification
results in the environment without noise is higher than 80%, which considered favorable in the speech recognition
field of study.
Keywords: Thai voices command, MLP neural network, Speech recognition, Classification.
INTRODUCTION

in table 1.
Each word have 200 voices of both men andwomen, with various pronunciations. The details of
the preparatory analysis are described in thefollowing section including and the normalization
method and subtle elements of the MLP structure.
The consequences of the preparatory tests are lead tothe general basic configuration of the framework,
describe in overall structure section. Section
experimental results demonstrate the Thai voicecommand classification results in various
circumstances. The final section is the conclusion of
the propose structure and suggestion for future work.

There are many researches using voice command
to control electronic devices [1]-[5]. One of the useful
application, is use voice command to control
wheelchair for some handicap person who not able touse hand to control the wheelchair. Usually, userneeds to ware headphone and speak their command in
the headphone. In this research, we try to utilize themobile phone those most people already have one, touse as the input device. Anyway, most voicecommands are using the English language, and still
have problem for Thai people who cannot speak
English fluently. The Thai voice command is used inthis research, in order to facilities Thai handicap
people.

THE PRELIMINARY EXPERIMENTThe feature extraction process in speech
recognition is techniques for converting an analog
signal to the digital signal. In processing forconverting MFCC algorithm has a quality point, witha particular deciding objective to work properly to thehuman sound. The MFCC is a procedure to convert
an ordinary frequency to the Mel frequency. The
frequency of human discourse has a lower frequency
by utilizing the Mel scale can increase the low
frequency scale range meanwhile decrease the rangeof high frequency. The processing of MFCC is shownin Fig. 1. The process begins from the sampling signal
process for converting an analog signal to thecomputerized signal. Next stride the data ispartitioned to form a frame where every frame ischanged over by Fast Fourier Transform (FFT) totransform data to time domain, frequency spectrum.
The information from FFT is sampled by using
triangular overlapping windows converted from hertz
unit to Mel-scale unit. The Mel-scale value calculated

Table 1 Thai word use to control the model car.
Thai
word

Pron.

Englishmeaning

ซ้าย

Ŝāy

Left

ขวา
หน้า
หลัง

K̄hwā

Right

H̄n̂ā

Front

H̄lạng

Back

หยุด

H̄yud

Stop

Activity of model car
Turn left 90 degrees thenmove forward
Turn right 90 degrees
then move forward
Move forward
Turn right 180 degrees
then move forward
Stop moving

The Mel-Frequency Cepstral Coefficients(MFCC) for speech recognition in many researches[6]-[8] is used as the features extraction in thisresearch. Short 5 Thai words are used as the input tocontrol the model car. The commands are displayed
536

SEE-Osaka, Japan, Nov. 21-23, 2016

the power and take logarithm. Finally, data isreconverted by the Discrete Cosine Transform (DCT)
and results the MFCC feature vector, in thisprogression the quantity of DCT can be assigned.
Accuracy

Classification results of "H̄n̂ā" voice command
100.00%95.00%
90.00%
85.00%
80.00%
75.00%
70.00%

84.66%

78.00%
1

86.00%
82.33%

76.66%

78.00%

2

3

1 Hidden layer
2 Hidden layers

Fig. 2
Fig. 1

The feature extraction process using MFCC.

Since the objective of this research is to apply thevoice command classification to use with model car
via the PiFace interface of Raspberry Pi, theprogramming language must be considered. The
typical procedure of classification, including learning
phase and testing phase. The learning phase using a
training dataset to modify the parameters. The testing
phase is receiving the value of parameters fromlearning process and use to classify unseen data. The
consequences of using programming language as apart of learning and testing process are shown in table
2.

The number of DCT utilizing as a part of thisresearch is 21, which mean 21 of MFCC feature
vectors. Subsequent to dissecting the estimation of allfeatures, 6 features need to normalize the quality. The
normalization by decimal scaling is applied in thesefeatures. The new value is figured by
f

f
10 k

The comparison of the classification resultsof 2 MLP structures.

(1),

where f is the original value of feature,k is the minimal value that makes v  1 .

Table 2 The results of using different programming
language in learning and testing process.

The MLP is popular algorithm to use as theclassification model for the voice command [9]-[12]and other applications [13-15]. The first experimentis to locate the appropriate structure of the MLP. The
principle objective is to find the superior structurewith less complexity, so the number of hidden layers
is not more than 2 layers. The Thai voice command
to use in the experiment is the word “H̄n̂ā”, whichmean front. The first MLP structure has 3 layers
including, input layer number of nodes equivalent to
the number of input features. The hidden layer has 3
nodes and the output layer has 1 node. The second
MLP structure has 4 layers including, input layer, 2hidden layers and output layer. The nodes of input
layer equivalent to number of input features. The
following layers has 3 nodes, 2 nodes and 1 node
respectively. Three experiments have been done, eachexperiment using 10 fold cross validation to check the
precision. The experimental results appear in figure 2.
Clearly seen from every experiment displayed infigure 2 that, the MLP with 2 hidden layers havefavored execution over MLP with 1 hidden layer.
Notification of the parameters results of every
experiments the weight estimation of input feature 1
is converted to small value almost equivalent 0. The
experiment that eliminates the first input feature isdone and the outcomes is approximately the same, so
the 1 feature is considered not imperative for theclassification and deleted.

Expt. No.
12
3
4

Learning
MatlabMatlab
PythonJava

Testing
Matlab
PythonPythonJava

Accuracy
85.33%
27.80%
84.67%
84.67%The results in table 2 demonstrated that using
Matlab as a part of both phase is the most astoundingclassification result. Nonetheless, in experimental 2,
clearly seen that using training parameters from
Matlab cannot classify voice command when
implement by Python. This research is utilizes the
Python in both learning and testing phase. The reason
is a Raspberry Pi can use Python [16], [17] toimplement and using Python results the same highaccuracy as using Java, as found in experiment 3 and4.
The objective of the next preliminary experimentis to locate the portion of classes in the training data
set. The preparation of the training data set in thisresearch is for the specific purpose, to classify 5 Thai
voice command. Normally perception, the desire
class need to have the highest portion. The ratio using
in the experiments is 80:20 of the desire class versus
other classes, and 20:80 of the desire class versus
other classes. Totally 3 experiments are done to each537

SEE-Osaka, Japan, Nov. 21-23, 2016

other classes, result to higher miss classification. On
the other hand, the portion 20:80 with the same
example the 50 voices of “H̄n̂ā” are added in the
training data set. The voices of other classes,
including, H̄lạng, Ŝāy, K̄hwā, and H̄yud are added in
the training dataset totally 200 voices. The neuralnetwork has enough sample of other classes to learn,
result to higher accuracy of classification.

voice. The average of 5 fold cross validation is used
to verify the classification accuracy. The 80:20 ratio
results are displayed in figure 3, and results of 20:80
are displayed in figure 4 separately.
Desier class 80 : Other classes 20
100
95
Accuracy

90
85
80
75

78
74

78

78
74 74

72

76

78

80

THE OVERALL STRUCTURE

80
76

74

74

As the prior mansions, the objective of the Thai
voice command development is aimed to be able toapply to utilizing mobile and the PiFace interface ofRaspberry Pi. The overall structure is appeared infigure 5.

70

70
65
60

หน้า(H̄n̂ā) หลัง(H̄lạng) ซ้าย(Ŝāy)
Expt. 1

Fig. 3

Expt. 2

ขวา(K̄hwā) หยุด(H̄yud)

Expt. 3

The training dataset ratio 80: 20.

Figure 3 shown the average accuracy from 5 foldcross validation of training dataset ratio 80:20 of
desire class and other classes. The most noteworthy
accuracy form 3 experiments of ratio 80:20 of eachvoice are 74.60%, 75.30%, 74.60%, 77.30% and76.60%. The average accuracy from all voices of thistype of ratio is 75.68%.
Desier class 20 : Other class 80
100
95
Accuracy90
85

Develop
MLP byPythonGenerate
MFCC
featuresvectorCreate 20:80
training
dataset for all
voices.

Voicecommandclassification
process

Developclassification
models on
Raspberry Pi

Car model
usage

Developinterface formobile.

Install PiFace& Raspberry
Pi on modelcar

Movingactivity

Analyzevoicecommandfrom mobile

Control
movement ofmodel car

90
84 84

86
82

82

80

80

86

84
78

84

80

86 86
82

Fig. 575

The overall structure of the Thai voicecommand application system.

70
65
60

หน้า(H̄n̂ā) หลัง(H̄lạng) ซ้าย(Ŝāy)
Expt. 1

Fig. 4

Expt. 2The structure in figure 5 comprises of 4 mainprocesses. The first process is to discover theparameters to classify the Thai voice command using
MLP. The second process is to implement the voicecommand classification models using the parametersfrom the training process to install in Raspberry Pi.
The third process is the mobile application
implementation and the car model execution. The lastprocess is the moving activity process, the voicecommand from mobile is send to classify the order by
Raspberry Pi and control the movement of the car by
PiFace.
The multi-layer perceptron neural network is usedas the classification model in this research. Each
network can have numerous layers, and each layer
can have multiple perceptron or neural. The structureof 1 perceptron is consists of the input values, weights
between perceptron, bias of each perceptron and 2
computation functions. The first function willconsolidate the value of all inputs those alreadyขวา(K̄hwā) หยุด(H̄yud)

Expt. 3

The training dataset ratio 80: 20.

Figure 4 shown the average accuracy from 5 foldcross validation of training dataset ratio 20:80 ofdesire class and other classes. The highest accuracy
form 3 experiments of ratio 20:80 of each voice are
83.30%, 82.60%, 80.60%, 86.60% and 84.60%.
The average accuracy from all voices of this typeof ratio is 83.54%. The results unmistakably
demonstrated that the ratio of desire class 20: otherclasses 80, results better accuracy in every
experiment. The reason is the portion 80:20, to createa training data set for voices “H̄n̂ā”, the 200 voices of“H̄n̂ā” are added in the training data set. The voicesof other classes, including, H̄lạng, Ŝāy, K̄hwā, andH̄yud are added in the training dataset totally 50
voices. The neural network has just a few sample of538

SEE-Osaka, Japan, Nov. 21-23, 2016

w(n)   (n) x(n)adjusted by weights. The second function is called
activation function or transfer function that willtransfer value from the first function to the output
value. The sigmoid is utilized as a transfer function inthis research, the output results from sigmoid isdisplayed in figure 6.

(5),

where  is learning rate , the local gradient isrepresented by  (n) , which can be separate into 2cases. The gradient for output layer calculate from
Eq. (6) and for hidden layer calculate from Eq. (7).

 (n)  e(n) ( z (n))(6),

where  ( z (n)) is the first derivative of the activation
function. For hidden layern  ( n) w ( n)

 (n)   ( z (n))

i

i

(7),

i 1

n

where

  (n) is the summation gradient of theii 1Fig. 6

adjacent layer. The weights of the next iteration is
updated by

The output from sigmoid function.

Firstly, all input features to each node are adjust
by multiply to weight it connected, and summarize
including with the bias of each node asw(n  1)  w(n)  w

The bias value of each neuron are updated
similarly to the weights as displayed in Eq. (5) to Eq.
(6). The initial parameters of learning rate is 0.1, themaximum iteration of the training process is 10,000
rounds. The sigmoid is utilized as the activation
function for every node. As the experimental results
shown earlier, the structure of MLP with 2 hidden
layers result preferable execution over 1 hidden layer.

n

z



wi xi  bias

(2),

i 1

xi represent the value of input feature, andwi is the weight connected to each input feature.

The value of z is fed to the sigmoid activation
function to calculate the output asf ( z) 

1(1  e  z )EXPERIMENTAL RESULTS(3).
The primary experiment is to find the best neuralnetwork structure for 5 voices commandclassification. Three analyses have been done tocompare whether using 1 model to classify 5 voices
or 5 models for 5 voices. The experimental results areappeared in table 3.

In the machine learning literature, the adaptive
learning is the most important function. The learning
process of MLP, delta rule is applied in the
backpropagation algorithm. The parameters of eachnode, including the weights and bias connected to it.
The small values call delta of weight (w) and deltaof bias (bias) are calculated from missclassification error and use for the parameter
modification. After the feed forward process, theerrors from output are calculated byen  tn  yn

(8).

Table 3. The average accuracy results of using 1
model comparing with using 5 models.
Expt.
No.
1
2
3

(4).

The output calculated from the feed forward
process is represented by yn , the target value isrepresented by t n . The error is used to calculate w
as Eq. (5).

5 fold cross validation of all
voices command
1 network
5 networks
78.80%
84.00%
78.00%
85.60%
79.20%
83.20%The structure of 1 network has 4 layers, including
input layer with 20 nodes, first hidden layer with 15
nodes, second hidden layer with 8 nodes and lastly an
output layer with 3 nodes. The other structure is the539

SEE-Osaka, Japan, Nov. 21-23, 2016combination of 5 networks. The nodes of input layer
are equivalent to input features. The first hidden layer
has 3 nodes, the second input layer has 2 nodes andoutput layer has 1 node for 1 voice command.
Agreeing from table 3, the outcomes from using 5
networks for classification are higher than using only
1 network in all experiments. Furthermore, thelearning time of using 1 network, is longer than using
5 networks in 1 structure. Along these lines, the final
structure of this research are as demonstrated in figure
7.

Utilizing blend gender voices in the training process
and test with female voices result the lowest accuracy
compared to all experiments.
.
CONCLUSION
From aggregate analyses in this research the best
proportion for creating a training data set is 20% of
desire class and 80% of all other classes. The
structure of neural networks is using 2 hidden layers
and using 1 network for classifying 1 voice command.
Obviously seen from experiment that using the samegender voices as a part of training and testing process
results better than using blend gender voices in the
training process. The proposed research results
demonstrated that the propose methodology isappropriate to apply to utilizing Thai voice command
to control the model car. Furthermore, can be used asa prototype model to implement for using Thai voicecommands to control a wheelchair or other electronic
appliances later on.
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J.A.,
Sathyamurthy,
A.,
Balasubramanyam, R., “An Open VoiceCommand Interface Kit”, IEEE Transactions on
Human-Machine Systems, Vol. 46, pp. 467- 473.
[2] Bartišiūtė, G., Ratkevičius, K., Paškauskaitė, G.,“Hybrid recognition technology for isolated
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[3] Srijiranon, K., Eiamkanitchat, N., “Applicationof neuro-fuzzy approaches to recognition andclassification of infant cry”, IEEE Region 10
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[4] Srijiranon, K., Eiamkanitchat, N., “Thai speech
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[5] Xiao, X. , Zhao, S. , Ha Nguyen, D.H. , Zhong,X. , Jones, D.L. , Chng, E.S., Li, H., “Speech
dereverberationforenhancement
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Eurasip Journal on Advances in Signal
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[6] Mannepalli, K., Sastry, P.N., Suman, M.,“MFCC-GMM based accent recognition system
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pp.87-93.
[7] Ali, S.M., Karule, P.T., “MFCC, LPCC,
formants and pitch proven to be best features indiagnosis of speech disorder using neuralFig.7 The overall structure of voices commands
classification model.
Next experiment using the structure in figure 7 toactualize in PiFace and Raspberry Pi to control themodel car and separated experiments into 4 sections.
The first experiment, using men voices in bothtraining and testing process. The second experiment,using women’s voices in both training and testingprocess. The third and fourth experiments utilizing
both men’s voices and women’s voices in the training
process and using men’s voices and women’s voices
in testing processing separately. The average of 5 foldcross validation, experimental results are shown intable 4.
Table 4 The experimental results based on gender.
Expt.
No.
1
2
3
4

Training

Testing

Avg. Acc.

Male
FemaleMale & Female
Male & Female

Male
FemaleMale
Female85.33%
80.67%
76.00%
74.67%The results in table 4 demonstrated that using
men’s voice as a part of both training and testingprocess result the most astounding precision.
540

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artificial neural network”, International Journalof GEOMATE, Vol. 4, April 2015, pp 423-428.
[14] Sakthivel P.B., Ravichandran A., Alagumurthi.
N., “MODELING AND PREDICTION OF
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AND FIBER REINFORCED CEMENTBASED COMPOSITES USING ARTIFICIALNEURAL NETWORK (ANN)”, International
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pp 1623-1635.
[15] Hafez Dahlia H., Mahgoub A.G., Abu Kiefa.
Mostafa A., “GENERAL REGRESSIONNEURAL NETWORK MODELING OF SOIL
CHARACTERISTICS FROM FIELD TESTS”,
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June 2016, pp 132-139.
[16] Guerra, H., Cardoso, A., Sousa, V., Leitao, J.,
Graveto, V., Gomes, L.M., “Demonstration ofprogramming in Python using a remote lab with
Raspberry Pi”, exp.at 2015 - 3rd ExperimentInternational
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OnlineExperimentation, 29 April 2016, pp. 101-102.
[17] Weychan, R., Marciniak, T., Dabrowski, A.,“Implementation aspects of speaker recognition
using Python language and Raspberry Pi
platform”, Signal Processing - Algorithms,
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pp. 162-167.

networks and SVM”, Vol. 11, March 2016, pp.
897-903.
[8] Borde, P., Varpe, A., Manza, R., Yannawar, P.,“Recognition of isolated words using Zernike
and MFCC features for audio visual speech
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[9] Zarrouk, E., Ben Ayed, Y., Gargouri, F., “Hybrid
continuous speech recognition systems by
HMM, MLP and SVM: A comparative study”,
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[10] Ben Nasr, M., Saoud, S., Cherif, A.,
Optimization of MLP using genetic algorithms
applied to Arabic speech recognition,
International Review on Computers andSoftware, Vol.8, February 2013, pp. 653-659.
[11] Park, J., Diehl, F., Gales, M.J.F., Tomalin, M.,
Woodland, P.C., “The efficient incorporation of
MLP features into automatic speech recognition
systems”, Computer Speech and Language, Vol.
25, July 2011, pp. 519-534.
[12] Pujol, P., Pol, S., Nadeu, C., Hagen, A.,
Bourlard, H., “Comparison and combination offeatures in a hybrid HMM/MLP and a
HMM/GMM speech recognition system”, IEEE
Transactions on Speech and Audio Processing,Vol. 13, January 2005, pp. 14-22.
[13] Kazuhiro O., Minsun L., Shotaro K., “Spatial
Interpolation of consolidation properties of
Holocene clays at Kobe Airport using an541

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

DOMESTIC RECHARGE WELLS FOR RAINWATER-HARVESTING
IN DENPASAR CITY, BALI - INDONESIA
Lilik Sudiajeng1, I Wayan Wiraga2, I Gusti Lanang Parwita 3, and Gede Santosa4
1

Civil Engineering Department, Politeknik Negeri Bali, Indonesia; 2Civil Engineering Department,
Politeknik Negeri Bali, Indonesia,3Civil Engineering Department, Politeknik Negeri Bali, Indonesia,
4
Mecanical Engineering Department, Politeknik Negeri Bali, Indonesia
ABSTRACTThis research is to create the design of shallow recharge wells for harvesting rainwater in Denpasar City,
Bali-Indonesia. The growth of the tourism industry is increasing rapidly. It has been able to accelerate theeconomic growth, but also followed by some negative effects, including rapid growth of population, changes inland use, reduced the catchment area and groundwater exploitation for tourism infrastructure development. The
result showed that in several strategic locations have shown an indicator of water crisis, especially in North andEast Denpasar. Based on the permeability analyses, the recharge area was in the north and a little part of west
Denpasar. The rainfall was between 1500 - 1750 mm/year with 4 wet months a year. The shallow groundwaterlevel reaches 16.10 m below ground surface in the North, while in the West was 18.2 m with the maximum
infiltration rate was 0.00000054 mm/sec. Based on those data, it has been designed the appropriate shallow
recharge wells for rainwater harvesting to offset the domestic water usage. The analyses showed that if all
220.150 households make at least one shallow recharge wells, it can harvest rainwater about 222.40 l/sec, and isable to return about 63.87% of water which should be recharge to the ground. In conclusion, making onerecharge wells for each household has not been able to recover the domestic water usage. It is recommended tocreate another innovation for water conservation program such as building the recharge wells along the drainage
tunnel.
Keywords: Recharge wells, Rainwater harvesting, Denpasar City-Indonesia.
Denpasar). The pumping test of 15 deep wells
showed that 5 wells (33%) indicated in a good
design and well developed (well loss value <0.5),
13% suffered minor damage (well loss value
between 0.5 - 1), 33% suffered severe damage withsome blockage (well loss value between 1-4), andthe rest was experienced heavy damage and difficult
to be restored (well loss values > 4). This isconsistent with the statement of the Bouwer [3] thatthe main cause of the global water crisis is partly
due to increased water demand, global climatechange, and lack of catchment areas. Wang et al. [4]reported that the exploitation of groundwater during
the years 1985 to 2010 led to a decrease in the depthof groundwater in Linze County. Meanwhile,
Adham at all [5] reported that the numericalsimulation showed the effect of climatic change on
the decreasing of groundwater quality. Liu et al. [6]reported that the land conversion in China Alagan
the period 1980-2000 has led to changes in flow andgroundwater levels. Meanwhile,
Water is essential for life. Abundant water
resources with good quality will lead all living
beings to a better life as well. Therefore all efforts
for the conservation of water resources must be fully

INTRODUCTION
In a few decades, Bali with a unique culture haschanged from an agricultural area became very
famous tourist areas. The growth of the tourism
industry are increasing rapidly been able toaccelerate economic growth, but also followed bysome negative impacts, including the rapid
increasing of population growth, changes in landuse, reduces catchment areas, and the exploitation ofnatural resources with less consideration to preserve
environment, including the exploitation ofgroundwater usage.
Strategic environmental assessment in 2010 atthe province of Bali has produced a map that shows
the high level of groundwater usage and there were
13 points area experienced seawater intrusion [1].
Following up the assessment in 2010, Denpasar
government, in cooperation with Politeknik Negeri
Bali (Bali State Polytechnic) has built researchcollaboration on Groundwater in Denpasar City
(2013-2014). As the result, it was identified that
there were indicators of water crisis in somestrategic area, especially in Panjer, Peguyanganvillage (North Denpasar), and Penatih Village (East542

SEE-Osaka, Japan, Nov. 21-23, 2016

supported. Changes in land use must be done
carefully so the deterioration in the green land area
can be avoided. Deforestation must be avoided sothat the sustainable rainwater harvesting is naturally
guaranteed as well as the sustainability of otherliving creatures. For example, the research done by
Ma, Le [7] has demonstrated that woodland has
potential positive effects on Margaritifera
margaritifera. Therefore, the protection of riparian
woodland is important for the conservation andmanagement of freshwater pearl mussels.
Ground water is renewable natural resource, but
un controlled exploitation with lack awareness topreserve it will lead to the water crisis as well as thedecreasing of the quality of life. Therefore it isimportant to undertake a program of conservation ofgroundwater and building awareness of society,especially in urban areas such as Denpasar City.
There are some ways for ground water conservation;
one simple program that can be done is harvesting
rainwater through recharge wells.

consisting of wetland covering 2,717 ha. and dry
land 10 051 ha. Dry land consists of 7,831 ha. yard
land, dry land 396 ha, pond/pool 10 ha, notcultivated 81 ha., 613 ha. of forest, 35 ha. ofplantation and others is 1,162 Ha. The topography ofthe city of Denpasar is generally skewed towards thesouth with a height ranging from 0-75m above sea
level. Morphology ramps with a slope of land mostly
range between 0-5% however on cut slope can reach
15% [8]
Research ApproachThis paper reported part of the research withfocused on the innovation design of recharge wells
for harvesting rainwater for domestic usage throughergo-hydrogeology approach. One of the factors
contributed on the changing of the groundwatercondition is the human activity. Therefore, indesigning the conservation program should put aman with all the activities, behavior and sociocultural background as a primary consideration inaccordance with the basic principles of ergonomics
SHIP approach as shown in Fig. 2.

MATERIAL AND METHODTime and Location
The research was started on 2013 and now is stillongoing. It was conducted in Denpasar City, one of
the strategic tourism destinations in Bali Fig. 1).

Fig. 2 The Model of Ergonomics SHIP
Approach [9]The design process was involved all parties
through Focus Group Discussion (FGD) which has
been held on July 31, 2015. The FGD brought
together all participants from local governments,
state companies, the private sector, and local
communities. The FGD participants were divided
into four groups - each consisting of representativesof every stakeholder. The result of FGD presented
lists of prioritized issues related to the existing water
resources management, expectations of the future, as
well as challenges and constraints in meeting those
expectations.

Fig.1 The map of Denpasar City
Denpasar city is located between 08 ° 35 "31'-08° 44 '49' south latitude and 115 ° 10" 23'-115 ° 16
"27 'east longitude. Denpasar City area is 12 778 ha,
2.18% of the total land area of Bali province. It is
divided into four sub-districts, North, East, South,
and West Denpasar. The largest of sub-districts isSouth Denpasar, followed successively by theNorthern, West and East Denpasar. The land use is

The hydrological approach was done to analyze
the capacity of the recharge wells based on the basic
formula of rainfall (R), permeability (K), infiltration
rate (I), and water discharge (Q).

543

SEE-Osaka, Japan, Nov. 21-23, 2016

Data collectingc.

General data on groundwater obtained from the
Public Works Department of Denpasar City,
included data of geography, hydrology, topography,hydrogeology, and the list of licensed deep bore
wells.
The primary quantitative data was collected
through assessments, included data of permeability(K) and infiltration rate (I), while the subjective data
was collected through questionnaire.
The technical data analyses were conducted byusing the basic formula of hydrology.

d.
e.
4.

Data Analyses
Descriptive Analyses
The results of questionnaire analysis, which isreinforced by the results of FGD show somestrategic issues as follows:
1. Prioritized of strategic issues on technicalaspects:a. Excessive exploitation of ground water byindustryb. Decreased groundwater quality andresourcesc. Increased seawater intrusiond. Lack of monitoring wells
e. Many buildings on the watershed
f. Decreased green spaces
2.

3.

Prioritized of strategic issues on Management
aspecta. Ground water drilling permits are easy toobtain, but many groundwater drilling
unlicensed
b. Monitoring system for groundwater
exploitation and quality is still weakc. Thedata
serieson
groundwater
characteristics are not yet available
d. Taxes groundwater utilization is too low
e. There are no regional regulations governing
the use of groundwater
f. Efforts to control the destructive force ofgroundwater resources is still weakg. Ground water conservation programs thathave been implemented less on target
h. There are many overlaps in the tasks andfunctions related agencies in theconservation of water resources
i. There are no clear SOPs for ground water
conservation activities
j. Less of public awareness

Recharge shallow wells need to be made in
every yard
Need to build reservoirs / artificial lake toaccommodate / rainwater harvesting
Need to develop green areas

Expectations on Managements Aspect
a. Necessary organizational restructuring
related efforts to conserve water resources
b. Required Groundwater Management Modelthat able to synergize all sustainable water
resource conservation programsc. Required a clear vision and mission related
to the preservation of water resources
d. Monitoring and control the utilization ofground water must be carried out
periodically and continuously
e. Need strict sanctions for those who violate
the rule of water resources
f. Need to build an IT data base systems
g. Need to improve the quality of humanresources
h. Keep in groundwater conservation efforts
i. Need enacted progressive tariff system, themore water utilization, higher tariffs
j. Need to be coordination between therelevant agencies in the implementation ofgroundwater conservation programk. The role of communities in groundwater
conservation needs to be improved
l. Need to be controlling and regulating theuse of groundwater

Quantitative Analyses
Characteristic of Shallow wells
Analyses was done for identified thecharacteristics of shallow wells spread over four
districts in the city of Denpasar as presented in Table
1. From Table 1 it can be seen that the maximum
depth of the water table wells in North Denpasar
achieved 16.10 m below the ground level (bgl); East
Denpasar 11.55 m bgl, South Denpasar 4.50 m bgl;
and West Denpasar 18.20 m bgl. Data depth of watertable wells will be used as a basis for determining
the depth of recharge wells.
Table 1. Characteristic of Shallow Wells
Sub-District
North
Denpasar
East
DenpasarSouth
DenpasarWest
Denpasar

Expectations on Technical Aspect
a. Engineering effort required to overcome theproblem of groundwater
b. Drilling
groundwater
shouldbeaccompanied by building a recharge well
544

Span
Average
Span
Average
Span
Average
Span
AverageGroundwatertable(m-bgs)0.80 – 16.10
5.63
0.40 – 11.55
4.06
0.45 – 4.50
1.53
2.40 – 18.20
7.41

Debt ofwells(m-bgs)2.60 – 24.10
10.24
1.90 – 20.55
7.22
2.00 – 6.40
3.54
8.90 – 21.20
12.41

SEE-Osaka, Japan, Nov. 21-23, 2016

Recharge Area
The results of the analysis and mapping of soil permeability indicate that the recharge area is located in thenorth of Denpasar area with a maximum permeability (K) of 0.0434 m / day (Fig. 3)

Fig. 3. Map of Recharge Area in Denpasar Regency
Based on the recommended recharge area, thenthe design of recharge wells was based on thecharacteristics of the groundwater in the area ofNorth Denpasar.

= 10.368.000 second
Effective rainfall :R (Ef) = R/Wm
= 375 mm/month= 0.0001447 mm/second= 0,00000015 m/second

Rain Water Harvesting Analyses
1.

Effective Rainfall (R (Ef))
Rainfall (R)R = 1500 mm/year= 375 mm/month= 0.0001447 mm/sec

2.

Wet months (Wm)
= 4 month/year

Rainwater Harvesting (Q1)
Rainwater harvesting was analyzed for 100
m2 of catchment area (estimation of covered
land/household)Q1545= A * R(Ef)= 100 * 0,00000015

SEE-Osaka, Japan, Nov. 21-23, 2016

= 0.000015 m3/sec.
= 1,296 m3/day-

Statistic data of Denpasar City showed that
there are 220,150 households with 4 person
average in each household.

The Capacity of rechrge wells

If each household harvest at least 20% of
rainwater, it means that the effective rainwater
harvesting = 0.20 * 1,296 m3/day= 259.2 m3/day/household
3.

Data :
Diameter (d) = 1 m
Debt of recharge wells (L) = 9 m
The water volume in the recharge wells (V)Domestic ground water usage
The water needs of each person (N)N

Rainwater that fell in the courtyard flows
through the intake tunnel into thesedimentation pond, the mud will besettled to the bottom of the pond, the waterflows to the filtration pond, filtered andfed into the recharge wells

V= 165 l/person/day

Water needs
l/day/household
Total water needs

= 165
=
=
=
=

*

4

660 l/day/household
0.66 m3/day/household
0.66 * 220.150
145.299 m3/day=

1/4 π d2* 9 m=¼ π * 1 m2 * 9 m=

7,07 m3

Rainwater harvesting (Q1) = 1,296 m3/day
The estimate effective that will fulfill the rechargewells is 70%

The analyses of effective rainwater harvesting andtotal water needs/household showed that Denpasar
will never meets the water crisis, but the fact
showed in contrary. Therefore, the water
conservation program is still needed.

The period needs to fulfill the recharge wells (T1)
T1=

70% * V / Q1 = 7.79 days

Recharge Wells Design
Based on the results of technical analysis that
includes data characteristic of shallow groundwater,
soil permeability, infiltration rates, and the result of
FGD, produced designs of recharge wells (Fig. 4)
with technical specification as followed:
1. It made from concrete pipes with 1 m diameter
2. The debt is at least 1 m above the groundwatertable, in this research, it was assigned 9 m
3. The filtration pond was constructed around the
top of wells to ensure the quality of incomingwater to the wells meet eligibility standards
4. To facilitate operations and maintenance, as
well as the safety and health considerations,recharge wells equipped with a ladder made ofgalvanized pipe diameter of 1 ".
5. From the socio-cultural aspects of Bali, thewells designed and positioned to blend with thesurrounding beauty and fulfilling aspects ofasta-Kosala-Kosali, ie the spatial arrangement
based on the culture of Bali.
6. The charging process are as follows:- Rainwater that falls directly on thefiltration pond will be filtered and fed into
the well through pipes that installed in thebottom of the pond

Analyses showed that the average infiltration rate in
the region of North Denpasar is:If546= 0.00000054 mm/sec.
= 0.001944 m/hourSEE-Osaka, Japan, Nov. 21-23, 2016

The water infiltration volume (Q2)
Q2

and reservoirs that seep through the soil into thelane saturated through hydrological processes [10].
Arimitsu at all [11] found out that hydraulicgradients between 100 cm depth and the soilbedrock interface were indicating that subsurface
water flowed from the upper area to the lower endof the slope at all times. These results indicate thatthe saturation occurred after very small amounts ofrainfall, regardless of soil moisture conditions.
Under ideal conditions, the hydrological cycle will
naturally maintain a balance between inputs,
savings and output, but the development of theindustry as well as changes in activity/humanbehavior disturbing the balance so that there arises
the issue of global water crisis. The main cause of
the global water crisis is partly due to increased
water demand, global climate change, the lack of
catchment areas or the lack of surface water storage[3] [4] [5]. The main problem in the management ofgroundwater, especially in developing countries isthe limited supply of water from surface water
sources due to land conversion, exploitation ofgroundwater due to industrial development, thebehavior of people who are less concerned about
the preservation of the environment which
ultimately led to the decline of groundwater, sea
water intrusion, groundwater pollution, and land
subsidence. This is similar to the results of researchby Tirtomihardjo and Setiawan [12]. It wasreported that the changing in land use in Bali have
led to a decline in groundwater levels up to 60-73
m below ground surface (bgs). Meanwhile,
Sudiajeng et all. [13] reported that the exploitationof groundwater through deep bore wells by thehotel and supporting industries in Denpasar reacheddepths between 70-200 m bgs and caused thecritical potencies of groundwater resources.
Exploitation of groundwater on a large scale
through the deep bore wells can cause the seawater
intrusion and degrade groundwater quality.
Sudiajeng [2] reported that in the whole area ofDenpasar has been experienced of seawater
intrusion. Based on the 134 wells tested, 89.06%
had Electrical Conductivity (EC)<1000 μmhos/cm and 10.94% between 1000-2079 μ
mhos/cm (Figure 2. & Figure 3.). Moreover,Sukaarsana et al. (2015) [14] reported that in theregion of North Kuta - Badung Bali, an EC of 60
samples had reached 1,677 μ mhos/cm. those data
showed that the EC in most of area in Bali,
including Denpasar regency had already in theupper limit, even exceeding the threshold limit (EC<2000 μ mhos/cm). One of the simple programs toincrease the water level as well as the quality ofgroundwater is by building domestic rechargewells.
Building the domestic recharge wells is simple
and easy, but one of the obstacles is the lack ofawareness of people. This could happen because= ¼ π x 1 * 1 * 0.001944= 0.0110322 m3/hour= 0.2647728 m3/day ~ 0,265 m3/day

Thus, the time required absorbing water until all thewater in the recharge wells entirely permeated (T2)
T2

= 7,07/0.265 = 26,68 day ~ 27 day

If each household makes 1-recharge wells, the total
volume of water infiltration (Q3) during wet month(4 months = 120 days)
Q3

=
=
=
=

Total household*Wm/T2*V
220.150 * 4/27) * 7.07
6.917.602 m3/year
18.952,33 m3/day = 222,40 l / sec

Deficit of recharge water
The average of daily needs in Denpasar City is 165
l/day/person.
The wet months (Wm) is 4 months/year
Total water needs
Q4= Total household*Wm*Dn= 220.150 x 4 x 165= 150.552.600 l/day = 1.742 l/sec

The daily needs that supplied by local government
company is 478 l/sec. Thus, the ground water
usage (Q5)Q5 ==1.742 l/sec - 478 l/sec
1.264 l/sec

The obligation to restore ground water is at least
20% of usage (Qr) = 0.2 * 1.264 l/sec = 252,8 l/sec
Rainwater harvesting Q3 = 222,40 lt/dt (87.975%
Qr)
Then the groundwater deficit that has not been
recovered is:
Q6 =
=
=

252 l/sec - 222,40 l/sec
30.4 l/sec
12.025% Qr.

DISCUSSION
Groundwater comes from rainwater infiltration
through pores or cracks in rock formations as well
as of the flow of surface water such as rivers, lakes,
547

SEE-Osaka, Japan, Nov. 21-23, 2016

people did not know how important is the water
conservation program and they were not directly
involve both in the identification of problems,
building plan and implementation for solutions.
Therefore, this research used the ergonomics
approach that puts all stakeholders to participate in
the planning process as well as the implementation
programs so the sustainable implementation of thedomestic recharge wells for harvesting rainwater
can be assured. All the stakeholders contributed
their opinion in the FGD through Systemic,
Holistic, Interdisciplinary, and Participatory(SHIP) approach. Systemic means that the planshould be analyze through a system; Holistic meansthat each teamwork should interrelate with otherteam works; Interdisciplinary means that theanalyses should be utilized by all related discipline;
and Participatory means that all relevant
stakeholders should be involved. The main goal ofergonomics SHIP approach is to attain the humaneand sustainable work system [15][16]. By
synergizing the principle of ergonomics approachwith the science of hydrology, is expected to have adomestic recharge wells in which emphasizes theadvantages, limitations, and the permissibility ofhuman as a subject in each phase of the design andimplementation. As the result, it can be designed an
appropriate technology which is humane, fit withthe local socio-culture, friendly to environment, andpreserve energy. Through the ergonomic SHIP
approach, this research has changed the mind-set
that the wells are not always there in the back yard
with slum condition, but it can be placed in thefront yard, together with the beauty of the house.
With this mind-set, people will have selfmotivation to build the domestic recharge well in
their yard and finally increasing the awareness tothe environment.
The application of ergonomics in various
aspects began to grow rapidly. This is emphasizedby some implementation of ergonomics in theworking system that has been shown the increasingawareness of stakeholders on the sustainable
development programs [7][17][18].
Hydrogeological analyses showed that thedomestic recharge wells could harvest the rainwater
about 1,296 m3/day or recovered about 87.975% of
the obligation of recharge water for domestic usage
with assumption that each household build about
100 m2 of the house. It is expected to increase thegroundwater level as well as the water quality.
Refers to the Stiefel and Melles [19], rainwater
harvesting was improve the water quality throughthe dilution of chemical constituents ingroundwater. In addition, the rainwater harvestingis still safe to drink and can be a potential
alternative source of water supply [20].
Currently, in the ongoing research is being
built two prototype domestic recharge wells andwill be measured empirically about its effectivenessin recharging water into the ground. It is expectedthat rainwater harvesting through the domestic
recharge wells will reduces the effect of seawater
intrusion as well as increases the groundwater level
in Denpasar Regency. The previous researchshowed that all area in Denpasar regency
experienced of seawater intrusion, although someof area were still under threshold limit, but someothers were already in the upper limit, even out of
the limit, especially in South Denpasar, which is
directly adjacent to the sea.
Water is life. Groundwater is a renewable
resource, but it is not infinite. If the sustainability ofgroundwater resource is threatened, our lives will
be in danger. Therefore, groundwater conservation
programs are very important ranging from thesimplest things such as domestic recharge wells to
injection wells in high technology.
CONCLUSSION
1.

2.

Ergonomic SHIP approach has changed themind-set that the wells are not always there in
the back yard with slum condition, but it can beplaced in the front yard, together with thebeauty of the house.
Hydrogeological analyses showed that thedomestic recharge wells could harvest the
rainwater about 1,296 m3/day or recovered
about 87.975% of the obligation of recharge
water for domestic usage.

RECOMMENDATION
1.
2.
3.
4.

Law-reinforcement is needed to build
awareness of people on the conservation
program.
People that build more than 100 m2 should
build more than one recharge wells or bigger
dimension of recharge wells.
It is needed water conservation to meet the
groundwater
exploitationbyindustry,
especially tourism industry.
Socialization about “saving water” should bedone started from the early age.

ACKNOLEDGMENT
This research paper is made possible throughthe help and support from everyone, especially the
Public Work Department of Denpasar City and the
Directorate General of Research and Development– Ministry of Research, Technology, and Higher
Education.

548

SEE-Osaka, Japan, Nov. 21-23, 2016

Layers on the Hillslope Behind Important
Cultural Asset. International Journal of
Geomate, June, 2016, Vol. 10, Issue 22,
pp.2109-2115[12]. Tirtomihardjo, H. and Setiawan, T. 2011.
SimulationofDenpasar-Tabanan
Groundwater Basin Flow, Bali Province.
Indonesian. Journal of Geology, Vol. 6, No.
3, September 2011. Page. : 145-163 (written
in Indonesia).
[13]. Sudiajeng, Lilik. 2015.
The Study on
Ground Water Conservation in Bali
Province. Keynote paper in the National
SeminarofIndonesianGeologists
Association (IAGI), Denpasar, April 25,2015 (written in Indonesia).
[14] Sukaarsana, I Made; Dharma, I Gusti Bagus
Sila; and Nuarsa, I Wayan. 2015. The Studyon the Sewater Intrussion in Coastal Area
North Kuta Sub-Regency, Badung Regency.
Ecotropic : journal of Environmental
Science, Vol. 9, No. 2 (2015), 72-78; 22
September 2015. University of Udayana
Press. (Written in Indonesia).
[15] Manuaba, A. 2007. Total Ergonomics
Approach on Product and Development toattain Humane, competitive, and Sustainable
Work System and Product. National Seminaron
Ergonomics
2007.
Ergonomics
Integration on Product Development.
Bandung – Indonesia. July 26-28, 2007.
[16] Zink, Klaus. 2007. Ergonomics in the Past
and the Future: from a German Perspective
to an International One. Ergonomics, Vol.
23. Taylor & Francis. London.
[17] Sudiajeng, Lilik. 2010. Ergonomics SHIP
Approach for Sustainable Development ofWoodworking Workshop. Proceeding ofInternational Conference on APCHIErgofuture 2010, Bali – Indonesia, 2 – 5August 2010.
[18] Sudiajeng, Lilik; Adiputra, N.; Lebbrandt, R.
2012. Ergonomics Work Station Decreases
the Health Impairment and Save Electrical
Energy at the Woodworking Workshop in
Bali, Indonesia. Journal of Human Ergology,
Vol. 41, No. 1,2, 2012. Japan.
[19] Stiefel, John M. and Melesse, Assefa M.
2009. Effect of rainwater-harvesting-induced
artificial recharge on the groundwater ofwells in Rajasthan, India. Hydrology Journal(2019), 17:2061-2073.
[20] Payus, Carolyn and Meng, Kui Jun.
Consumption of Rainwater Harvesting inTerm of Water Quality. International Journalof Geomate, Dec., 2015, Vol. 9, No. 2 (Sl.
No. 18), pp. 1515-1522.

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Made; Wiraga, I Wayan.; Andayani, Kt.
Wiwin. 2014. Analyses of Recharging Area
for Ground Water Conservation in Denpasar
Regency. Proceeding of the 2nd National
Conference on Vocational Civil Engineering.
Bali – Indonesia, 18 – 19 September 2014
(written in Indonesia).
Bouwer, Herman. 2001. Artificial rechargeofgroundwater:hydrogeology
andengineering, Hydrogeolosy Journal (2001)
Vol. 10. Page : 121-142.
Wang, Jinfeng; Gao, Yanchun; Wang,
Sheng. 2015. Land Use/Cover Change
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Adham,
A.K.M.;
Kobayashi,
Akira;
Murakami, Akira. 2011. Effect of Climatic
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Liu, Hai-Long; Bao, An-Ming; Pan,
Xiang-Liang; & Chen, Xi. 2013. Effect ofLand-Use Change and Artificial Recharge on
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Basin. Water Resour Manage (2013)
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Ma, Le. 2016. The Links Between Land Useand Water Quality for Freshwater Pearl
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Esk, Scotland. International Journal of
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2222-2227.
Denpasar
Regency.
Available
atwww.denpasarkota.go.id
Sudiajeng, Lilik; Sumetri, Wayan; Rumini,
Inten; and Paramita, Patricia. 2007. Total
Ergonomics Approach in Developing
Sustainable Mangrove Forest Action Projectin Bali. Proceeding of Agriculture
Ergonomics
Development
Conference.
Malaysia, 26-29 November 2017.

[10]

Toth, J. 1990. Introduction to Hydrogeology.
Geology Department, Faculty of Science,
University of Alberta, Edmonton, Canada.
[11]. Arimitsu,
Yuuki; Fujimoto, Masamitsu;
Hiraoka, Nobutaka; Danjo, Toru; Ishida,
Yuko; and Ryoichi Fukagawa. 2016.
Characteristics of Rain Infiltration in Soil
549

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

ESTABLISHMENT OF JET INDEX Ji FOR SOIL ERODIBILITY
COEFFICIENTS USING JET EROSION DEVICE (JEd)
Saerahany L. Ibrahim1, Jazuri Abdullah1, Khairulafinawati Hashim2 and Junaidah Ariffin1
Faculty of Civil Engineering, Universiti Teknologi MARA, Shah Alam, Malaysia, 2Faculty of Civil
Engineering, Universiti Teknologi MARA, Pulau Pinang, Malaysia

1

ABSTRACT
Soil erodibility has been identified as one of the major factors that govern threshold of resistance to erosion.
Accurate measurement of soil erodibility in the field is indeed important for the determination of critical shear
stresses. Critical shear stress is the stress that initiates particle movement that promotes shifting of the bankline.
An attempt to establish soil erodibility parameters was successfully carried out using a newly fabricated Jet
Erosion Device (JEd) based on soil properties. Soil erodibility coefficients are introduced to represent theerodibility of the soils under study. Statistical test is used to confirm the validity and accuracy of the proposed
technique. Field data measurements were carried out on 3 rivers. Empirical models were developed using datafrom Selangor river and validated using data from Bernam and Lui rivers and other secondary river data.
Analyses have shown high correlations and the parameters were further examined and analysed for thedevelopment of a predictive relationship for Ji. The most accurate model was selected based on the adjusted R2,
standard error of the estimate and discrepancy ratio to illustrate its significance. Selection of the predictive
variables was based on their ability to explain the variation of J i . The models established could significantly
reduce the cost, time and usage of water supply for field data collection using JEd.

Keywords: Jet index, soil erodibility coefficients, Jet Erosion Device (JEd), statistical analysis

determination of erodibility [7].
There are a number of measurement techniques to
identify the soil erodibility. One of the methods
which can be employed both in the laboratory and in
the field is the Jet Erosion Test (JET). This study
particularly utilized the newly developed equipment
fabricated from the aforementioned JET namely Jet
Erosion Device (JEd) as shown in Fig. 1 which wasintroduced briefly by [8] and explained
comprehensively by [9] on the method procedures,calibration and verification of the fabricatedequipment and appropriate analysis chosen. This
paper involves the relationship of soil erodibility
parameters established from the Jet Erosion Device(JEd) to the soil properties obtained through thelaboratory and in situ tests. Statistical regression
analysis were performed on these parameters against
the erodibility coefficients to assess whether basic
soil properties results could be used to represent theerodibility of a particular river as an extension of theJEd results.

INTRODUCTION
Increased in river bank erosion and lateral migration
rates are conceivably due to the increasing of
hydraulic shear or increasing of bank erodibility [1].
The evaluation of critical shear stress and erodibility
is of main importance for modelling river bankerosion problems.
Most relationship for soil erodibility is shown either
through equations or lists of parameters. The
variables reviewed indicated that the most
repetitively mentioned variables for soil erodibility
are critical shear stress, bulk density, shear strengthand particle size distribution (percentages of clay,
silt and sand). The three latter values can beobtained directly through laboratory experiments.
Critical shear stress, τc determination requires
indirect measurement and calculations. Besides thementioned variables, erodibility coefficient, K or k d
is also used as a representation of soil erodibility
which consists of various different variables.
However, it is found that established relation oferodibility coefficient, k d are mostly for surface
erosion. (e.g. [2]). Most fluvial erosion studies werefocused on critical shear stress relationship to soil
properties. Some researchers had linked τc to k d (e.g.
[3]-[6]). Soil properties such as water content anddensities tests were also identified in the

STUDY AREA
Three different rivers located in the state of
Selangor, Malaysia were chosen for this study. Eachriver was reported to experienced series of flood
events that causes riverbank erosion and bank550

SEE-Osaka, Japan, Nov. 21-23, 2016

failures. JEd tests were conducted on different pointsof locations and soil samples were taken at eachpoint.

using a pocket penetrometer.
Some of these physical properties influence thecohesive soils erosion [10]. Some riverbank erosion
studies incorporate soil properties characteristics toenhance the analysis results such as the effect of
seepage behavior due to water fluctuations onriverbank stability [11]. There are substantial
differences between the effects of soil parameters
towards erodibility of cohesive and noncohesive
soils [12] where the erodibility of cohesive soils are
influenced by grain size distribution, bulk density,
clay type and clay content, organic matter content,
and pore and water chemistry [11]. Reference [13]stated that the soil properties shown to be mostimportant in noncohesive soils erosion, which iscontrolled primarily by gravitational forces, grain
size distribution, grain shape, and particle density.
The selection of variables for the soil properties tobe tested is based upon the works of previous
researches on channel erosion such as [14], [15],[10], [16], [17], [18] and [12]. More recent
relationship established are from [19], [20] and [21].

Fig. 1. JEd test at field location
JEd Testing and Soil Properties Determination
Riverbanks at each site of Selangor River,
Bernam River and Lui River were tested in situ
using the Jet Erosion Device (JEd) to obtain the soil
erodibility parameters of Jet Index (J i ) anderodibility coefficient (k d ). Undisturbed or disturbed
soil samples at each location were either tested insitu or were collected and tested in the laboratory toobtain the soil properties values. Disturbed soil
samples were extracted from each location of
selected sites using a hand auger at locations where
Jet Erosion Device (JEd) tests were conducted (Fig.
2). In total, 30 samples were collected from each site
and taken to the laboratory for further testing prior to
the required basic soil parameters.

DATA ANALYSIS
Jet Erosion Device (JEd) Test Analysis
Data from the JEd tests were evaluated todetermine soil erodibility coefficients, k d , following
the procedures of [22] and [23]. Initially jet indiceswere obtained from the plotted graph of D s /t versus
U o (t)-0.931 where D s is the maximum depth of scourfor each time interval (cm) and U o is the velocity of
the jet at the nozzle (m/s) and t is time in seconds.
The equation kd =0.003e385Ji introduced by [24]where k d is the erodibility coefficient (cm3/N-s) andJ i is the jet index were used to assess the category of
the JEd results. The physical soil properties results
were also compared. The results indicated thecategories of resistance to erosion from moderate
resistance to high resistance based on the Jet Index
values. Selangor River and Bernam River seem tohave a mixture of moderate and high resistancecategories while Lui River was dominated by thehigh resistance category.
Graphs in Fig. 3(a) and 3(b) depicts theboxplots of Jet Index, J i and erodibility coefficient,k d data range for all three rivers. The vast difference
in k d variability between Bernam River, Selangor
River and Lui River can be observed in both figures.
The jet index and erodibility coefficient values ofBernam River are wider in range as compared toSelangor River and Lui River. This most probably
caused by the variability of the soil condition of thelocations selected in performing the JEd tests. The
large variability of both values measured in the fieldsuggest that changes in streambank surface soils due
to subaerial processes play a significant role indetermining the minimum shear stress required toFig. 2. Post JEd test soil condition
The soil samples laboratory analysis using
ASTM standards were conducted to identify thebasic soil properties such as the moisture content(WC(%)), soil classification (%Sand, %Silt, %Clay),
Atterberg limits consisting of plastic limit (PL),liquid limit (LL) and plasticity index (PI), specificgravity (SG), bulk density (ρ b ) and dry densities(ρ d ). In situ tests for the undrained soil shear
strength (S u ) were also conducted at each test points
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SEE-Osaka, Japan, Nov. 21-23, 2016

value are summarized in Table 1. The coefficients
produced from the analysis were then verified using
a total of 45 combined data sets obtained from Jet
Erosion Device (JEd) field measurement for Lui
River and Bernam River with additional secondary
data from [12] to vary the data hence giving a morereliable relationship. Based on this step, the accuracyof the equation is measured using discrepancy ratio(DR) distribution of 0.5 – 2.0 limit. The developedmodels showed the DR value ranging from 67.4% to72.1% for the combined data sets for the accuracy
evaluation of the equations. The equations anddetails statistical outputs for the models are shown in
Table 2.
Out of the all eight models, Model 2, Model 4
and Model 7 gave highest DR values of 72.1%.
However, the lowest significance of p-value isshown for Model 7 which is 0.06. The rule of thumbof statistical evaluation specified that p-value greaterthan 0.05 will give a poor fit for the linear curve.
Therefore, Model 7 is considered the best-fit linear
equation model for this relationship although its pvalue slightly higher than 0.05 and low R2. However,other models could also be considered due to DR
values higher than 50% and depending on theavailability of soil properties information provided
for each specific site locations. Graphs of thepredicted erodibility coefficient to observed
erodibility coefficient for each linear equation are
given in Fig. 4. The plotted graphs show that therange of observed and predicted data falls within the
DR distribution limits.

initiate sediment movement for cohesive soils. The
variability of these results could be caused byvariety of variables such as the presence of gravel orroots at the JEd site, differences in moisture content,
or soil heterogeneity. Subaerial processes and soil
heterogeneity are the most possible variability
occurrence mentioned by previous studies ([4] and[19]).
Statistical Analysis of Overall Data Set
The field data were analyzed using statisticalanalysis to observe the correlation between
parameters by using the Pearson’s correlation
coefficient calculation which include Pearson’s r forthe entire data set of erodibility coefficient, k d withthe corresponding p-value. For clarity, only thosecoefficients greater than 0.3 with p-values less than
0.05 are considered. Results from this analysis
indicated k d was negatively correlated to percentage
of water content (%WC; r = -0.336, p = 0.045), void
ratio (e; r = -0.442, p = 0.007) and porosity (n; r = 0.46, p = 0.005). Soil k d is positively related to thebulk density (ρ b ; r = 0.516, p = 0.001) and dry
density (ρ d ; r = 0.452 , p = 0.006).
Having over 50% of the variance in each erosion
parameter, bulk density appeared to have thegreatest influence and positively related to k d . Thisfinding endorses the observations made during jet
erosion test field data collection that density of soils
influences the scour depths of each tests. It was
found that little scour occurred on high density soils
during jet tests [19]. However, the Pearson
correlation indicated the other significant soil
parameters were strongly correlated to soil watercontent though the contradicting results do not affectthe development of the erodibility parameters
relationship to soil properties. Attempts were madeto establish the relationship of J i to the observed soil
properties as published in the past ([12], [25] and[21]).

CONCLUSION
Erodibility parameters using Jet Erosion Device(JEd) can be measured directly through a designatedanalysis of ASTM-D5852 standard or by [22] and[26]. However, the method requires the availabilityof the specialized equipment and also the results aresite specific. Therefore, an attempt was made toallow for results of in situ and laboratory testing ofsoil materials to be used to quantify the erodibility
parameters. The establishment of this relationshipwould significantly limits the cost and time spent forfield data collection studies. Additionally, it would
also allow for the extension of the erodibility
parameters throughout the upstream to downstreamof a studied river assuming that the site geology andmeasurable soil material consists of homogeneous
properties.

Model Regression and Validation
The statistical analysis was utilized to assess the
goodness fit and the goodness prediction of aregression model in order to choose the best model.
In the linear multiple regression models considered
for J i , the predictors selected are soil water content(%), bulk density (Mg/m3), dry density (Mg/m3),
void ratio, particle size distribution (% clay, silt andsand), plasticity index (PI) and activity which is the
PI divided by the clay percentage of the soil. The
selection of these variables is based on the reported
Pearson correlation analysis.
The Selangor River data were regressed using
simple linear regression backward method. The
models developed with the coefficient ofdetermination, R2, significance of F value and p-

ACKNOWLEDGEMENT
This research was financially supported by the
project: “Soil Erodibility Assessment for Stream
Bank Erosion and Stability. (600-RMI/RAGS 5/3(172/2014))” funded by the Ministry of Higher
Education, Malaysia.
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SEE-Osaka, Japan, Nov. 21-23, 2016

(a)

(b)
Fig. 3. Boxplot of Jet Index, Ji (a) and soil erodibility, kd (b) measurements for Bernam River, Selangor
River and Lui River

Table 1 Model equations and verification statistical output details
No.

Model

R2

F

pvalueDiscrepancy
Ratio, DR

0.418

0.879

0.57

67.4

0.418

1.076

0.44

72.1

0.408

1.279

0.33

69.8

0.407

1.599

0.22

67.4

0.392

1.933

0.15

72.1

0.377

2.418

0.09

67.4

J i = 0.02 + 0.0004 w% − 0.022 ρb + 0.022 ρ d − 0.015e

1+ 1.44 × 10−5%clay − 4.01 × 10−5% silt − 8 × 10−5% sand− 0.0001PI + 0.0015 Act
J i = 0.021 + 0.0004 w% − 0.021ρb + 0.02 ρ d − 0.015e2− 5.06 × 10−5% silt − 8.60 × 10−5% sand − 9.17 × 10−5 PI+ 0.0013 Act

J i = 0.0087 + 0.0002 w% + 0.028 ρb − 0.0092e

3− 4.56 × 10−5% silt − 8.11 × 10−5% sand− 6.59 × 10−5 PI + 0.0013 Act

456

J i = 0.014 + 0.0002 w% − 0.106e − 4.60 × 10−5% silt
− 8.01 × 10−5% sand − 6.21 × 10−5 PI + 0.0012 Act
J i = 0.013 + 0.0002 w% − 0.012e − 3.96 × 10−5% silt
− 5.62 × 10−5% sand + 0.0007 Act
J i = 0.012 + 0.0002 w% − 0.011e − 2.2 × 10−5% silt
− 3.45 × 10−5% sand7

J i = 0.011 + 0.0002 w% − 0.011e − 2.47 × 10−5% sand

0.351

3.061

0.06

72.1

8

J i = 0.08 + 0.0002 w% − 0.009e

0.300

3.856

0.04

67.4

553

SEE-Osaka, Japan, Nov. 21-23, 2016

Fig. 4. Predicted J i versus Observed J i
International Conference on Advances in Civil
and Environmental Engineering (ACEE 2015)
Conference Proceedings, 28th – 30th July 2015,
pp. D-128-D-133[9] Ibrahim SL, Ariffin J, Abdullah, J, andMuhamad NS, “Jet Erosion Device (JED) Measurement of Soil Erodibility Coefficients”,
Jurnal Teknologi (Sciences & Engineering)
78:5–5, 2016, pp. 63–67[10] Grissinger EH, “Bank erosion of cohesivematerials”, In: Hey, R. D., J. C. Bathurst, and C.
R. Thorne, eds.: Gravel-bed Rivers, John Wiley& Sons: Chichester, UK, 1982, pp. 273-287.
[11] Oya1 A, Bui HH, Hiraoka N, Fujimoto M and R.
Fukagawa, “Seepage Flow-Stability Analysis of
The Riverbank of Saigon River Due To River
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[12] Allen PM, Arnold J, and Jakubowski E,“Prediction of stream channel erosion potential”,
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3, 1999, pp. 339-351.
[13] Graf WH, “Hydraulics of Sediment Transport”,
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[14] Lyle WM and Smerdon ET, “Relation ofcompaction and other soil properties to theerosion resistance of soils”, Transactions of theASCE, v. 8, n. 3, 1965, pp. 419-422.
[15] Thorne CR, “Processes and mechanisms of riverbank erosion.” Gravel- bed rivers, R. D. Hey, J.
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[2] Grabowski RC, “The erodibility of finesediment deposits in lowland chalk streams”,
PhD Thesis submitted In Geography: Queen
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[3] Osman AM and Thorne CR, “Riverbank
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Hydraulic Engineering, V. 114, 1988, pp. 134150.
[4] Hanson GJ and Simon A, “ Erodibility ofcohesive streambeds in the loess area of theMidwestern USA”, Hydrol. Proc. 15(1), 2001,
pp. 23-38.
[5] Wynn TM, “The effects of vegetation on stream
bank erosion.” Doctor of Philosophy, Biological
Systems Engineering, Virginia Polytechnic
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[6] Karmaker T and Dutta S, “Erodibility of finesoil from the composite river bank ofBrahmaputra in India”, Hydrological Processes,
vol. 25, no. 1, 2011, pp. 104–111.
[7] Hanson GJ, “Field and laboratory jet test testing
method for determining cohesive material
erodibility”, Proc. Of Federal Interagency
Sedimentation Conference, Reno, Nevada, 2001.
[8] Ariffin J and Ibrahim SL, “Jet Erosion Device
For
Bank
Erodibility
Measurement”,
554

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cohesive soils” Journal of the Hydraulics
Division, ASCE, 91(HY1), 1965, pp.105–139.
[17] Samad MA, Baird DC, Vermeyen TB, andMefford BW, “Erosion Characteristics ofCohesive Sediments”, Water Resources
Engineering: Proceedings of the FirstInternational Conference, ASCE, 1995, pp.425429.
[18] Roberts J., Jepsen R., Gotthard D., and Lick W.
1998, Effects of particle size and bulk density
on erosion of quartz particles. Journal of
Hydraulic Engineering, Vol. 124, No. 12, pp.
1261–1268.
[19] Wynn TM, Henderson MB, and Vaughan DH,“Changes in streambank erodibility and critical
shear stress due to subaeriel processes along aheadwater
stream,southwest
Virginia,
USA”,Geomorphology, 97(1), 2008, pp.69-82.
[20] Thoman RW, and Niezgoda SL, “Determining
erodibility, critical shear stress and allowable
discharge estimates for cohesive channels: Casestudy in the Powder River basin of Wyoming.”
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[21] Egwuonwu
CCandOkereke
NAA,“Characterization of erodibility using soil
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[22] Hanson GJ, “Development of a jet index tocharacterize erosion resistance of soils inearthen spillways”, Transactions of the ASCE, v.
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[23] ASTM, Annual Book of ASTM Standards,
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channels at high stresses: I. Open channels
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[25] Potter KN, de Velázquez-Garcia J, Torbert HA,“Use of a submerged jet device to determine
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555

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

ESTIMATING FLEXURAL RELIABILITY OF CARBONATED RC
BRIDGE BEAMS USING PARTICLE FILTER
Jonathan Sanchez1, Samantha Louise Jarder2, Nestor de Ocampo3,
Allen Cyro Teruel4 and Lessandro Estelito O Garciano5
1
Undergraduate student, De La Salle University;1-4 Associate Professor, De La Salle University;5

ABSTRACT
Many of our reinforced concrete structures today are ageing at the same time subjected to carbonation. It
occurs when atmospheric carbon dioxide reacts with the components of the hydrated cement. In this regard, theauthors estimated the probability of flexural failure of a deteriorated reinforced concrete (RC) beams subjected tocarbonation. In the reliability analysis, the resistance degrades over time due to a change in the concrete
compressive strength caused by carbonation. The load was modeled as a uniformly distributed on a simply
supported beam. The results of the Monte Carlo simulation of an example bridge showed a decrease in thecompressive strength due to carbonation. To estimate the present state of the RC beams, particle filter was usedin conjunction with observation data from rebound hammer tests on the bridge.
Keywords: Carbonation, Monte Carlo, reinforced concrete, reliability analysis

Kwon, S-J, Chaudhuri, S. M., and Shinozuka, M,2011). However studies on how the probability offlexural failure (P f ) degrades over time due tocarbonation-induced change in the compressive
strength of concrete is lacking.
Consider a time variant reliability problem
shown in Fig. 1 where M S and M R (t) are the randomload and resistance, respectively. Due to thedeteriorating nature of M R (t), the probability of
failure (p f ) increases over time. If the mathematicalmodels (and the parameters) for M R (t) and M S areprescribed, simulation techniques such as Monte
Carlo simulation will suffice to determine p f .

INTRODUCTION
Several studies have shown that carbonation canaffect the durability of concrete (Chi, J. M. Huang, R.
and Yang, C. C., 2002, Saetta, A.V., and Vitaliani, R.
V., 2004) as well as its service life (Liang, M., Qu,
W., and Liang, C., 2002, Liang, M., Huang, R., andFang, S., 2013). Carbonation occurs whenatmospheric carbon dioxide (CO 2 ) reacts with thecompounds of hydrated cement such as calcium
hydroxide, di-calcium silicate, and tri-calcium
silicate (Claisse, P. A., Elsayad, H. I., and Shaaban, I.
B., 1999). As carbonation progresses to the concrete
layer surrounding the reinforcing steel, the pH ofthis high alkaline layer drops initiating corrosion.
Over time the surrounding concrete spalls or crack
leading to a higher probability of serviceability
failure or service life reduction.
The rate carbonation is affected by thetemperature, relative humidity, water-cement ratio,
aggregate-cement ratio and CO 2 concentration.
Carbonation also shrinks the volume of concrete dueto the change in the morphology of the C-S-H gelfrom fibrous to dense. This causes the coarse poresto change into much finer pores. Water also initiates
carbonation process and occurs mostly on
submerged foundation and underwater reinforced
concrete (RC) columns. In this case the amount ofcarbonates in water is far less so the rate ofcarbonation is significantly lower (Gode, K. andPaeglitis, A., 2009). Reliability assessment on theeffects of carbonation depth to the performance ofRC structures have also been studied (Hagino, T.,
Akiyama, M., and Frangopol, D, 2014, Akiyama, M.,
Frangopol, D. M., and Yoshida, I, 2010; Na, U.J.,

Fig.1Time dependent reliability problem
In this paper, the authors estimate the p f of asimply supported RC bridge using Monte Carlosimulation subjected to a random moment load and acarbonation-induced
deteriorating
moment556

SEE-Osaka, Japan, Nov. 21-23, 2016

Furthermore if inspection data related to any of therandom variables of M R (t) can be obtained, then p f
can be updated using Bayesian updating techniquesuch as particle filter (Garciano and Yoshida, 2011).

resistance. In Figure 1 the resistance is deteriorating
while the load varies randomly. At a specific time t 1
the p f is low but at t 2 it increases. The above results(at a specific time T) can be updated using particle
filter when data related to carbonation such ascompressive concrete strength and relative humidity
are observed as shown in Figure 2.

Resistance of RC beam
Moment Resistance of beam
The moment resistance M R (t) of a RC
rectangular section can be described as

M R (t ) = 0.85 f c (t )(b)(a )(d − a / 2 )(14)

where a is the depth of the stress block, effective dof the reinforcement, b is the width of the RC
section and fc(t) is the compressive strength of
concrete at time t. In the research, three bridges wereconsidered, but in this paper only one will be shown.
The design parameters of the chosen bridge are as
follows:
Dungon Bridge
This bridge runs through a small river and thecolumns are under water. The beams were alsoclassified under both exposure class 1 and 3 with amean RH of 53%. It has been in service for 33 years
and is still being used for vehicular traffic.

Fig. 2 Updated P f conditioned on the observation
Depending on the severity of the observed data,
the previously estimated p f can either be under orover estimated. Thus with this new information andthe carbonation-induced deteriorating RC beammodel an updated curve can be obtained. This paper
is organized as follows: (a) the general filtering
problem and its usage in the present problem ofcarbonation, (b) reliability analysis of a RC beam (c)analysis and results of the research and finally (d)some recommendations.

Table 1 Bridge Characteristics
Variables
service life (years)

Value
33

length in (m)27w (kN/m)

11

RELIABILITY ANALYSIS

span (m)13.5

Limit state function

base (mm)400

height (mm)550

concrete cover (mm)75

depth (mm)475

no. of steel reinforcements

4

reinforcement diameter (mm)28

f y (MPa)

276

relative humidity (mean)

53%

exposure class classification

RH < 70, e c1 /Consider a limit state function of the formg (t ) = M R (t ) − M S ,(11)with the probability of failure as

p f = p( g (t ) < 0) .

(12)

If the distribution and parameters of M R (t) and M S
are known then Monte Carlo simulation will suffice
to determine p f (or the reliability index). If n s is thetotal number of sample realizations of G while n o is
the sample realizations where G< 0, then the p f is
obtain using Eq. 13 below.

pf ≈

zo
z

e c3
For the exposure class (e c ), four classes forcarbonated-induced corrosion were used (Silva
1984):(13)557

SEE-Osaka, Japan, Nov. 21-23, 2016

k = 0.556c − 3.602ec − 0.148 f c + 18.734

e c1 – permanently dry / wet concrete,
e c2 – concrete with long periods in contact withwater,
e c3 – concrete in open air structures sheltered fromrain,
e c4 – concrete in open air structures not shelteredfrom rain.
The value of e c depends on the distance of thestructure from the shoreline or any other large bodyof water.

(17)

Where c is the carbon dioxide content in perecent.
However if RH > 70% Eq. 18 is used.

k = 3.355c − 0.019C − 0.042 f c + 10.83(18)

where C is the clinker content (kg/m3).
Load

Carbonation rate
The maximum moment of a simply supported
beam subjected to a uniform load is given as:

The relationship between carbonation depth andthe compressive strength of concrete can be modeled
as follows (Breccolotti M., Bonfigli, M. F. andMaterazzi, A. L., 2013 and AIJ, 1983):

f c (t ) =fc
1 + a11 y a12

𝑺𝑺 = 𝑴𝑴𝒔𝒔 = 𝒘𝒘𝒍𝒍𝟐𝟐 /𝟖𝟖(19)
where w is the deterministic uniformly distributedload and l is the length of the beam

(15)

where: ɑ 11 < 0 and ɑ 12 > 0 are constants (shown in
Tables 2 and 3), y is the carbonation depth and f c isthe 28th day compressive strength of concrete.

Observation Equation
The relationship between the rebound number
and the compressive strength can be represented by
the equation (Shang 2012) below

Table 2 ɑ 11 values

𝑓𝑓𝑐𝑐 (𝑡𝑡) = 0.032509𝑅𝑅1.94172 × 10−0.00789𝑦𝑦(𝑡𝑡)Age (days)ɑ
less than 28
1.0
28-182
0.9 – 1.0 (varies linearly)
greater than 182
0.9(Tanigawa, Baba and Mori, 1984)

where R is the rebound number and y(t) is the
carbonation depth at time t.
ANALYSIS AND RESULTS

Table 3 Proposed ɑ 12 by AIJ
Age (days)
28
50
70
100
200
500
1000
3000
(AIJ, 1983)

Time updating process
To evaluate the resistance, a total of 1000
sample realizations for every random variable weregenerated for each time step until t = 100 years. The
parameters used in the Monte Carlo simulation areprovided in the table below.

ɑ 12
1.0
0.87
0.84
0.78
0.72
0.67
0.65
0.63

Table 4.Statistics of the random variables

The depth of carbonation y can be determined asfollows:

y=k t

(20)

Variable

Distribution Typemean

std. dev.

cNormal

0.80%

0.3

C

Normal

281.7

0.3

fc

Normal

21

0.3

(16)
The results of the simulation show a logarithmic
relationship between time and carbonation depth(Fig. 3). Attention is directed to the upper right of
the graph with e c1 and RH < 70% which shows thehighest carbonation depth from 122.9 mm to 131
mm at t = 100 years. The bottom right of the graph

0.5

where k is the carbonation coefficient (mm/year ).
The carbonation rate (when RH≤ 70%) is estimatedusing the following equation (Silva, 2014):

558

SEE-Osaka, Japan, Nov. 21-23, 2016

with RH < 70% and e c4 had the lowest results ofcarbonation depth of 58.9 mm. This is due to the wet
and dry cycles that tend to vary the amount of CO 2that penetrated into the structure.

Case 1 with a bending capacity of 398.74 kN - m,
and finally exposure class 4 with a bending capacityof 399.1 kN - m. Having a mean bending strength of
401.11 kN - m computed from the simulation, theRC beam lost 0.75% of its bending capacity solely
due to carbonation. Figure 6 shows the plot between
the resistance and the load at t = 25 years. The 45
degree line of each sub-graph is the limit state (R =S) for each exposure class and RH value.

Fig.3 Carbonation growth over timeFig.6 R vs. S (t = 25 years)
In Figure 7 the different probabilities of failure
for all four cases under a uniformly distributed loadof 14.175 kN/m are shown. As can be seen from thisfigure, exposure class 1 had the highest P f in 100
years, at 0.032. This is followed by exposure class 3
with P f = 0.007, followed by RH > 70% with P f =0.004 and finally exposure class 4 had the lowest P f= 0.001.
These flexural probabilities of failure werebased on the carbonation equations coupled with
Monte Carlo simulations and the severe case
(exposure class) will be the case considered in theparticle filter. The next step is to estimate the present
state of the bridge RC beams conditioned on
observations obtained from the rebound hammer
tests. The succeeding section updates the P f using
observation data from rebound hammer tests andparticle filter.

Fig.4 Compressive strength over time

Fig.5 Bridge beam bending capacity over time

The compressive strengths of concrete as time
progresses were estimated considering an increasing
carbonation depth as simulated earlier (see Fig. 4).
These results correspond to a reduction in thebending capacity of the beam. Since all the variables
in Eq. 14 have been calculated, the bending capacityof the RC beam is calculated as shown in Fig. 5.
Exposure class 1 produces the lowest bending
capacity of 398.08 kN-m, followed by exposure
class 3 with a bending capacity of 398.58 kN - m.

Fig.7 Failure Probabilities over time559

SEE-Osaka, Japan, Nov. 21-23, 2016at any given time t can under-estimate or overestimate the present state of the RC beam. Using anappropriate observation equation, particle filter andthe results from rebound hammer tests the predictedprobability of failure can be updated. In this case at t
= 33 years, p f = 0.004.

Observation updating process
In the observation updating process, on-site
rebound hammer tests on the underside of the RC
beams of Dungon bridge. A total of 150 reboundhammer tests were conducted. The results are shownin Figure 8 which has a mean is 54.84 with varianceof 46.55. These statistics are then used in particle
filter.

ACKNOWLEDGEMENTS
The authors would like to acknowledge theassistance of Mr. Dyland Moises and Engr. Bryan
Peroy during the site inspections. We also
acknowledge the help extended by the Departmentof Public Works and Highways (DPWH) office ofIloilo City during the bridge inspection.
REFERENCES[1] Architectural Institute of Japan (1983). AIJ
manual of nondestructive test methods for theevaluation of concrete strength.
[2] Akiyama, M., Frangopol, D. M., and Yoshida, I.
(2010). “Time-dependent reliability analysis ofexisting RC structures in a marine environment
using hazard associated with airborne chlorides,"Engineering Structures, 32(11), 3768 - 3779.
[3] Breccolotti, M., Bonfigli, M. F., and Materazzi,
A. L. (2013). Influence of Carbonation Depth on
Concrete Strength Evaluation Carried Out Using
the SonReb Method. NDT&E International, 59,
pp. 96 - 104.
[4] Chi, J. M., Huang, R., and Yang, C. C. (2002).
“Effects of Carbonation on Mechanical
Properties and Durability of Concrete Using
Accelerated Testing Method," Journal of Marine
Science and Technology, 10(1), 14 - 20.
[5] Claisse P. A., Elsayad H. I., Shaaban I. G. (1999).
Permeability and Pore Volume of CarbonatedConcrete, Materials Journal. 96(3), 378 – 381.
[6] Garciano, L. E. and Yoshida, I. (2011):
Reliability Analysis of a Brittle Facture due to
Crack Instability using Sequential Monte Carlo
Simulation. In Faber, M. H., Jochen, K., andNishijima, K. (eds.), Proceedings of the 11th Int’lConference on the Application of Statistics andProbability in Civil Engineering (ICASP11) pp.
2949 - 2956. Zurich, Switzerland. CRC Press
LLC.
[7] Gode K., and Paeglitis A. (2009). Investigationof Environmental Influence on Carbonation and
Chloride Ingress in Concrete Bridge Structures.
Proceedings of the International Baltic Road
Conference. pp. 1- 5. Riga, Latvia.
[8] Hagino, T., Akiyama, M., and Frangopol, D.
(2014).Reliability Assessment of RC Structures
Subjected to Carbonation by Incorporating
Spatial Variations, Proceedings of theInternational Conference on
Sustainable
Development of Critical Infrastructure. ASCE.

Figure 8.Dungon Bridge rebound hammer data

With data available from hammer tests (for t =33 years) the p f is then updated. Figure 9 shows theresult before updating and after updating. The model
predicted a p f equal to 0.003 but site observations
show that this is under-estimated by around 0.001.

Figure 9. Updated p f of Dungon Bridge

CONCLUSION
Carbonation is one of several environmental
factors that contribute to the deterioration of RC
beams. This paper emphasizes the estimation of theflexural reliability of RC bridge beams subjected tocarbonation using Monte Carlo simulation andparticle filter. In general, the results show that the
time-variant probability of flexure failure of RC
beams due to carbonation can be estimated using anappropriate state equation model. The present state
therefore, in terms of the probability of failure, P f ,is 003. However the predicted probability of failure560

SEE-Osaka, Japan, Nov. 21-23, 2016

pp. 115 – 122, Shanghai, China.
[9] Liang, M., Qu, W., and Liang, C. (2013).
Mathematical Modeling and Prediction Methodof Concrete Carbonation and its Applications.
Journal of Marine Science and Technology,
10(2), 128-135.
[10] Liang, M., Huan, R., and Fang, S. (2013).
Carbonation Service Life Prediction of Existing
Concrete Viaduct / Bridge Using Timedependent Reliability Analysis. Journal of
Marine Science and Technology, 21(1), 94-104.
[11] Na, U. J., Kwon, S-J., Chaudhuri, S. M. andShinozuka, M. (2011). Stochastic model forservice life prediction of RC structures exposed
to carbonation using random field simulation.
KSCE Journal of Civil Engineering, 16(1), 133143.
[12] Saetta A. V. and Vitaliani R. V. (2004).
Experimental Investigation and Numerical
Modeling of Carbonation Process in Reinforced

Concrete Structures Part I: Theoretical
Formulation, Cement and Concrete Research(34), 571 – 579.
[13] Shang, H.S., Yi, T. H. and Yang, L. S. (2012).
Experimental Study on the Compressive Strengthof Big Mobility Concrete with Nondestructive
Testing Method. Advances in Materials Scienceand Engineering. (2012): 6 pages.
[14] Silva A., Neves, R., and de Brito J. (2014).
Statistical modeling of carbonation in reinforced
concrete, Cement & Concrete Composites. (50):pp. 73 – 81.
[15] Tanigawa, Y., Baba, K., and Mori, H. (1984).
Estimation of concrete strength by combined
nondestructive testing method, American
Concrete Institute. (82): pp. 57 – 76.

561

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

ENHANCED OIL RECOVERY USING BIOTRANSFORMATIONTECHNIQUE ON HEAVY CRUDE OIL
Abdullah Al-Sayegh1, Dr. Yahya Al-Wahaibi1, Prof. Saif Al-Bahry2, Prof. Abdulkadir Elshafie2, Dr. Ali AlBemani1, Dr. Sanket Joshi3
1

Department of Petroleum and Chemical Engineering, Sultan Qaboos University, Oman
2
Department of Biology, Sultan Qaboos University, Oman
3
Central Analytical and Applied Research Unit, Sultan Qaboos University, Oman

ABSTRACT
Abundance of heavy crude oil resources and costly enhanced oil recovery (EOR) techniques necessitate
development of inexpensive heavy oil recovery methods. Microbial EOR (MEOR) techniques areenvironmentally friendly and need little input of energy to produce MEOR agents. One potential application of
MEOR is in the biotransformation of heavy oil where bacteria break heavier fractions of heavy crude oil tolighter compounds; thus, improving oil recovery. In this study, two spore forming bacteria: Bacillus subtilis AS2
and Bacillus licheniformis AS5, which were isolated from heavy oil (13.3 °API) contaminated soil samples froma heavy oil field, Oman, were tested for their biotransformation abilities. Bacterial growth was analyzed by
optical density measurements and heavy crude oil recovery was determined by core flooding experiments. At
aerobic biodegradation flask experiments, M2 medium spiked with glucose had the highest bacteria growth andcrude oil biodegradation in comparison with: (1) M2 medium with no added chemicals and (2) M2 medium
spiked with sodium thiosulfate. At anaerobic in situ conditions Berea sandstone core flooding experiments,
additional 2.9% and 3.1% of residual oil saturation was recovered by B. subtilis AS2 and B. licheniformis AS5
respectively after one week of incubation. By increasing the incubation time and inoculation percentage forisolate AS5, the oil recovery increased to 5.0%. When glucose was added to M2 medium, AS5 oil recovery
increased to 16.4%.The results showed that locally isolated bacterial strains have the potential forbiotransformation of heavy oil and enhanced oil recovery.
Keywords: Enhanced oil recovery, Heavy oil, Biotransformation, B. subtilis, B. licheniformis

a substrate for introduced microbiologicalpopulation [7] and alteration of physical properties
through bioproducts [4]. Molds, yeasts, algae andprotozoa are not suitable for in situ reservoir
conditions because of their size or inability; only
bacteria are applicable at such conditions [5]. There
are more than 175 genera of bacteria that are able togrow using hydrocarbons as sole or major carbon
source [8]. Crude oils are essentially complex
mixtures of hydrocarbons and other organic andinorganic compounds. Carbon is the main
constituent of crude oils representing 85% to 90% of
the crude, followed by hydrogen (10% to 14%) andnon-hydrocarbon elements such as nitrogen, sulfur
and oxygen and organo-metallic compounds [9-12].
Heavy crude oil contains substantial quantities ofcomplex hydrocarbons, heteroatoms and metal
contents, which are costly to process. [13, 12].
Soil contamination with crude oil drasticallychanges the soil’s physical and chemical properties
to the extent that it jeopardizes the safety of
constructions on contaminated soil [14]. It also
causes microbial (archaea, bacteria and fungi)

INTRODUCTION
Low quality heavy crude oil resources are
estimated at seven times that of conventional crude
oils [1] and are hard and costly to produce since
expensive enhanced oil recovery (EOR) techniques
are needed to extract the viscous crude oil to surface.
In comparison to other EOR techniques, microbial
EOR (MEOR) needs little input of energy to
produce oil recovering agents, i.e. themicroorganisms and their metabolic products at suchtechnique. Also, they do not directly depend on the
global crude oil price [2]. MEOR is environmentallyfriendly compared to conventional EOR [3]-[4].
Biotechnological applications at the petroleum
industry include a very wide range of applications
suchasbiotransformation,biosulfurization,
biodenitrogenation and biocatalysis [5].
Microbial biotransformation of crude oil include
all activities that make it easier to produce andtransport, as well as the chemical changes that
increase the value of the oil [6]. Crude oil
biotransformation involves utilization of crude oil as
562

SEE-Osaka, Japan, Nov. 21-23, 2016

K 2 HPO 4 , 1.0; KNO 3 , 0.5; MgSO 4 ·7H 2 O, 0.5; yeast
extract, 0.5. The concentrations of trace elements ofM2 were (g/l): ZnSO 4 ·7H 2 O, 2.32; MnSO 4 ·4H 2 O,
0.56;
CuSO 4 ·5H 2 O,
1.00;
1.78;
H 3 BO 3 ,Na 2 MoO 4 ·2H 2 O, 0.39; CoCl 2 ·6H 2 O, 0.42; EDTA,
1.00; NiCl 2 ·6H 2 O, 0.004 and KI, 0.66. The viscosityand density of the sampled heavy crude oil were 968
cP and 0.961 g/cc, at 40 °C respectively. The crude
oil had 13.3 °API and 5.5% asphaltene content. Oilcontaminated soil samples were collected fromheavy crude oil field oil-sludge pits (Fig. 1).

community shifts [15] in favor of microbes which
could feed on or at least adapt to the type of crude
oil contaminant. Thus, oil contaminated soils arerich sources for biotransformation bacteria.
At an earlier study, 15 spore forming Bacillus
species bacteria were isolated from contaminatedsoil samples at an Omani heavy oil field andidentified [16]. Soil samples were heated at 80°C at
100 ml of distilled water at 250 ml flasks in order toeliminate all bacteria that cannot withstand the heatand retain only the spore forming bacteria sincethese could survive the harsh in situ reservoir
conditions. All bacteria growth media did notcontain carbon, which is an essential element for thegrowth of living organisms. The only carbon source
was is the heavy crude oil; thus, obliging bacteria toutilize the heavy crude oil and biodegrade it. M2
medium was proven the most suitable medium andbiotransformation results were encouraging.
Many strains of Bacillus subtilis and Bacillus
licheniformis species were reported as effective
crude oil biodegraders. Bacillus subtilis DM-04
strain that was isolated from North-East India wasused effectively for in situ bioremediation [17]. Also,a bacterial consortium of five strains including a
Bacillus licheniformis strain achieved 48%
biodegradation of asphaltene [18]. Asphaltene is themost difficult crude oil compound to biodegrade.
Generally, biodegradability of crude oil components
decreases in the following order: n-alkanes,
branched-chain alkanes, branched alkenes, lowmolecular weight n-alkyl aromatics, monoaromatics,
cyclic alkanes, polycyclic aromatic hydrocarbons(PAHs) and asphaltenes [19].
For biodegradation to occur, bacteria should gain
direct cell contact with the substrate which could befacilitated by producing biosurfactant in order toincrease substrate bio-availability [20]. Bacillus
species could produce biosurfactants that aid
degradation process by increasing oil emulsificationand its accessibility [21-23] if suitable nutrients andgrowth conditions are present.
In this study, Bacillus subtilis AS2 and Bacillus
licheniformis AS5 bacteria were tested for theirbiotransformation abilities at aerobic flask
conditions (which could be used for bioremediation
purposes if properly optimized at later stages)
considering the M2 medium spiked with different
chemicals. The bacteria were also tested at anaerobic
conditions using Berea sandstone core flooding
experiments to test the pursued in situ MEOR
biotransformation objective.

Aerobic Flask Experiments
The experiments were conducted in order toevaluate bacterial growth of each bacteria at M2
medium when other compounds are added. 3%
glucose was added to M2 medium as asupplementary source of carbon since M2 does notcontain a carbon source to kick start bacterial growthand biotransformation. At another set, 3% of sodium
thiosulfate was added to M2 medium to oxidize thePAH present at the crude oil into a morebioavailable form [24]. 2 ml of bacteria in Luria
Bertani (LB) seed medium were inoculated in 250
ml flasks containing 100 ml of M2 medium and 1 gof the heavy crude oil. M2 flasks were incubated at
40°C in shaker set at 160 rpm. 1 ml samples weretaken daily from each flask to measure opticaldensity at 660 nm (OD 660 ).
Anaerobic Core Flooding ExperimentsCore flooding experiments were run to evaluate
the ability of the isolated bacteria to biotransformheavy crude oil at in situ anaerobic conditions using
Berea sandstone cores. Enhancement in oil recovery
was quantified from the residual oil production.
The cores were cleaned by using the soxhlet
extraction method with methanol and dried at 65 °C
for 24 hours before usage. The cores were saturated
with filtered reservoir water (i.e. formation brine)
using vacuum desiccators and pore volume (PV) was
determined using the dry and wet weights of thecores. The cores were flooded with oil at 0.4
cm3/min until no more water was produced. The oil
initially in place (OIIP) which was determined bymeasuring the displaced volume of water. The core
was subjected to water flood (WF) at 0.4 cm3/min.
The residual oil was calculated by measuring theamount of oil produced from the water flood.
Bacteria were inoculated from LB seed medium to
M2 production medium and then the mixture ofbacteria and nutrients were injected into the cores(i.e. bacteria and nutrients flooding; BNF). The
tertiary recovery of extra oil was calculated bymeasuring oil that was produced by water flooding

MATERIALS AND METHODS
Minimum Salt Medium and Crude Oil
The composition of the used minimum salt
medium (MSM) M2 was (g/l): KH 2 PO 4 , 1.0;563

SEE-Osaka, Japan, Nov. 21-23, 2016

the core after incubation of bacteria (i.e. WF after
BNF). Core floods were conducted at 40°C.

M2 medium (top) and M4 medium (bottom) at petri
dishes.

RESULTS

Aerobic Flask Experiments

Minimum Salt Medium and Crude Oil

AS2 and AS5 growth curves are shown at Fig. 3.
M2 medium spiked with 3% glucose had the highest
bacteria growth and crude oil biodegradation incomparison with M2 medium with no added
chemicals and M2 medium spiked with 3% sodium
thiosulfate.
The sodium thiosulfate that was supposed toenhance biodegradation, inhibited bacterial growthin comparison to the M2 medium bacterial growth
where no chemicals were added.

The MSM M2 performed as expected showing
rapid bacterial growth of small circular colonies inless than 3 days. Other media were tested however
resulted in slow growing rhizoidal colonies thatneeded at least a week to grow and had low
biodegradation level. Figure 2 shows samples ofobserved bacterial cultures at M2 medium (circularcolonies) and M4 medium petri dishes (rhizoidal
colonies).

AS2 and AS5 Growth
3

OD660

2

1

0
0

2

4

6

Day
AS2 M2AS5 M2

Fig. 1: The oil-sludge pit where the soil samples
were collected.

AS2 M2+ 3% glucose
AS5 M2+ 3% glucose
AS2 M2+ 3% sodium thiosulfate
AS5 M2+ 3% sodium thiosulfate

Fig. 3: AS2 and AS5 growth curves.
Anaerobic Core Flooding Experiments
At anaerobic in situ conditions Berea sandstonecore flooding experiments, additional 2.9% and3.1% of residual oil saturation was recovered by B.
subtilis AS2 and B. licheniformis AS5 respectively
after one week of incubation at the core and 5%
inoculation from LB seed medium as shown at Fig.
4 and Fig. 5 respectively. Since it had a higher
percentage of oil recovery, further experiments
focused on the AS5 bacteria.
By increasing the incubation time of AS5bacteria from 1 week to 2 weeks and increasing
inoculation percentage from 5% to 20%, oilrecovery increased to 5.0% as shown at Fig. 6.
When glucose was added to M2 medium, AS5 oilrecovery increased to 16.4% after 2 weeks of
incubation and to 18.3% after 6 weeks of incubation(Fig. 7).

Fig. 2: Samples of observed bacterial cultures of564

SEE-Osaka, Japan, Nov. 21-23, 2016

AS5 Core Flooding
60%

50%
Cumultive RF (%)

Cumultive RF (%)

AS2 Core Flooding
40%
30%
20%
10%
0%
0

2

4

6

8

10

12

14

16

18

16.4% Additional RF(2 weeks)

50%
40%

18.3% Additional RF(6 weeks)

30%
20%
10%
0%

PV injected (PV)

0

2

4

6

8

10

12

14

16

PV injected (PV)WF

BNF

WF after BNF
WF (2 weeks)

Fig. 4: AS2 core flooding (1-week incubation; 5%
inoculation).

BNF (2 weeks)
WF after BNF (2 weeks)
WF (6 weeks)

Cumultive RF (%)

AS-5 Core Flooding

BNF (6 weeks)

50%

WF after BNF (6 weeks)

40%
30%

Fig. 7: AS5 core flooding (20% inoculation andglucose was added).

20%
10%
0%
0

2

4

6

8

10

12

CONCLUSION

14

PV injected (PV)WF

BNF

B. subtilis AS2 and B. licheniformis AS5
bacteria isolated from soils contaminated with heavy
crude oil were successfully able to biotransformheavy crude oil at both aerobic and anaerobic
conditions.
Addition of glucose at aerobic conditions wasfound beneficial to the bacterial growth as AS2 andAS5 bacterial growth increased by 3.9 and 4.1 folds
respectively. However, addition of sodium
thiosulfate was detrimental as AS2 and AS5bacterial growth decreased by 40% and 37%
respectively in comparison to the base M2 growth.
The anaerobic in situ core flooding results
confirmed the effectiveness of the glucose additionas oil recovery by the AS5 bacteria increased morethan 3 folds in comparison to the base M2 recovery.
Increase of incubation time increased recovery;
however, the increase was limited to below 3%
recovery at all cases.
The results confirm that environmentallyfriendly and reasonably priced biotransformation
process is an effective method for utilizing heavy
crude oil resources if suitable medium and optimum
growth conditions are taken into account.

WF after BNF

Fig. 5: AS5 core flooding (1-week incubation; 5%
inoculation).

Cumultive RF (%)

AS-5 Core Flooding
50%
40%
30%
20%
10%
0%
0

2

4

6

8

10

12

14

PV injected (PV)WF

BNF

WF after BNF

Fig. 6: AS5 core flooding (2-weeks incubation;
20% inoculation).

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Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

SIMULATION–OPTIMIZATION TRUCK DISPATCH PROBLEM
USING LOOK – AHEAD ALGORITHM IN OPEN PIT MINES
Achmad Yusaq Faiz Fadin1, Komarudin2 and Armand Omar Moeis3
Systems Engineering, Modeling, and Simulation Laboratory, Department of Industrial Engineering
1,2,3
Industrial Engineering, Universitas Indonesia, Indonesia

ABSTRACT
Material transportation in open-pit mines area contributes to 50% of the operating costs. Therefore, efficiency
on the material transportation, specifically in truck dispatching problem needs to be done in order to get the best
dispatching rules for the allocation of trucks and loaders. This research uses look-ahead algorithm approach as a
new method to solve truck dispatch problem in open-pit mines area. The proposed approach was developed bysimulation and optimization model in solving the truck dispatch problem using real data-situation. The
dispatching result aims to answer the question where and when should a truck go so that could maximize thenumber of production and provide significant operating cost savings to the mining industry. This study uses a
discrete event simulation to test several scenarios methods of truck dispatch, including LP-Gap, the percentage
of LP-Gap, multi-stage algorithm and look-ahead algorithm. The results of the research shows that the lookahead algorithm scenario gives the highest result with the number of production, productivity of loaders,
productivity of trucks with block and without block; 43,533 ton, 64.44%, 80.53% and 63.47%.
Keywords: Discrete Event Simulation, Look-Ahead Algorithm, Simulation and Optimization, Truck Dispatch
ProblemMoreover, the energy mix of coal has increased
the portion of the year 2013 by 24% to 2025 by 31%[3]. It shows that the coal in Indonesia has a very
important role for national energy security, as arevenue generator for the Indonesian economy.
However, since the year 2011 to 2016 there has been
decreasing of the coal price index by 63.4% from thehighest price in 2011 (139.05 USD) [4]. Decreasingof coal prices led to the coal company declining in
profits. Therefore, it needs to improve efficiency inorder to make profit.
One of the efficiencies that can be done throughefficiency on the operational side. As mentioned by
Alarie & Gamache [5] and Ercelebi & Bascetin [6]the material transportation represents 50 per cent of
the operating costs for an open pit mine. Therefore,
one of the efficiencies that can be done and has asubstantial impact through efficient on truck
dispatching problem in the mine area. Zhang and
Xia [7] stated that truck dispatch system, where thetransport of material from the mine site to the dump
area for further processing, plays an essential role on
the issue of open-pit mining.
Therefore, one of the steps of efficiency for thecompany to survive by increasing operational
performance on truck dispatch problems in coalmine area through optimization and simulation
approach.

INTRODUCTION
Indonesia became
one
of
the
richestcountries in energy and mineral resources. With anarea of 1,910,931 km2, Indonesia has abundantresources such as petroleum, natural gas, nickel, coaland others. Based on Mineral Resources and Energy
Ministry [1] in 2011 the availability of coalresources Indonesia reached 120,338 million tons
and reserves of 28,017 million tons. This amount isspread in several parts of Indonesia, both South
Sumatra and East Kalimantan was the two regionsthat have the resources and the largest coal reservescompared to other areas. In addition, Indonesia also
has one of the largest coal producers in the world asmuch as 281.7 million tons have been successfully
produced in 2014 as the third world rankings after
China (1844.6 million tons) and the United States(507.8 million tons) [2].
As one of the highest coal producing countries,
Indonesia has a reliance on the use of coal as a
power plant, it can be seen from the General Plan ofPower-Owned National Electricity Company in2013-2022 states that the total capacity of power
plants in Indonesia reached 47 GW in 2015 with 25
GW of which are coal-fired power plants. Proven bya report from Indonesia Energy Outlook [3] there
was a significant increase to the growth of new coalfired plants of 2014 amounted to 0.76 thousand MW
by 2016 of 1.86 thousand MW and forecast to 2020
by 7.16 thousand MW.
567

SEE-Osaka, Japan, Nov. 21-23, 2016

needs of each shovel to transport and based on a
production target that has been set.
Look-ahead procedure is an approach used insolving the problems to dispatch the truck to lookahead what will happen near future in a system
based on previous information gathered, as areference to decide the scheduling for entities thatexist in back of the queue [17]. A look-ahead cansave a lot of information about the system status,
such as information about what is scheduled in thenear future with great accuracy, which can be used
to control manufacturing operations.
Look-ahead could predict two or more of thetruck’s destination. In general, it can be narrowed
down to two steps as can be seen in Fig. 1, i.e.
Look-ahead procedure and level of evaluation
function [14].
Look ahead dispatching procedure apply limited
tree search in giving alternatives or suggestions inorder to make the combination of assignment to anentity that will be assigned. The size of the lookahead tree would increase exponentially as thesearch depth increases, so it is impossible to explore
the whole search space [14]. To overcome thisdrawback, we impose limitation both on the depth of
the tree search and on the number of children
generated for each branch node. So there are only alimited few combinations to be inspected on thelook-ahead tree, to be able to build a search tree
consisting of branches that are very promising in thehope of leading to a high-quality solution [14].
Evaluation function in the look-ahead algorithm
has to evaluate the function of each node resulting
from the previous procedure on the look-ahead tree.
Possible future system conditions further assessed
based on the stages of evaluation function [17]. So at
this stage of the evaluation function, as can be seenin Fig. 1 has a function as a determinant of decisionrules in determining the combinations of existingnodes in accordance with the desired or expected
criteria of the modeler.

METHODS
Truck dispatch problem occur in somecircumstances practical in the real world, both in themining industry or any industry outside of it,
especially in industries that require their settings
fleet use, as quoted from Subtil, Silva, and Alves [8]as an example of the shipping industry and deliveryof goods [5], oil and gas product delivery [9],transportation of raw materials [10] and etc.
Transportation and material movements by truck
and loader particularly in coal represent 50-60% of
operating costs in the mining industry [6]-[7].
Based on Alarie and Gamache [5] said that thetruck dispatch problem in mining industry is trying
to answer the question of "Where should this truck
when it go and leave this place?” Therefore, become
important thing to decide where the best destination
to send a truck and when, in order to meet therequirements of production targets and minimize
operating costs.
In addition, a lot of the mining industry still
applies one strategy assignment truck called Fixed
Truck Assignment (FTA) approach as a best practiceto Truck Dispatching Policy in the area of mining
operations [7],[11]. FTA approach is truck assigned
to a fix route between the loaders and dump point
during operational shift work [12]. FTA caused very
long queues in the area of loaders for theirrandomness of equipment breakdown and thestochastic nature of the haulage process [12].
In answer to these challenges, there was a
research done by He et al [13] with optimization of
the number of trucks in the mine area by using
Genetic Algorithm. Different to other researcher,
Subtil, Silva & Alves [8] discussed about maximize
the amount of mine production by using Multistage
Algorithm (Allocation Planning & Dynamic
Allocation). Another issue Zhang and Xia [7] havealready done by minimize operating costs truckusing Integer Programming - Lower Stage (Truck
Assignment for Shovel).
Completion by using the above methods havebeen carried out and the impact is quite effective tothe objectives to be achieved. However, solving theabove problem has not been able to predict the
future of the optimal routes for truck toward loader
in real-time and optimal to meet production target.
Therefore, look-ahead algorithm method becomes
one of method which could apply to the truck
dispatch problem in open pit mine area. This method
has been widely used for utilization of container
relocation problem by Jin, Zhu, & Lim [14] and Zhu& Lim [15]. Look-ahead method aims to take into
account and react to changes in real-time systems[16]. Hence through this method two to five trucks
behind the queue before it reaches the point for
dispatching, the trucks have to know in advance theloader point which will be addressed based on the

Fig.

1

Look-Ahead

algorithm

structure.

In addition, this study will compare the results of
the use of multi-stage method to methods that havebeen developed by a company called LP-Gap
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SEE-Osaka, Japan, Nov. 21-23, 2016

method and the percentage of LP-Gap. LP-Gap
method is the development of a model to optimize
the dispatch of the truck to loader based on the
difference of the truck needs (LP-Truck) in each
shovel compared to the number of trucks being andheading to shovel point. The percentage of LP-Gap
method is to calculate the percentage of LP-Gap ateach loader by dividing the number of LP-Gap ateach loader with number of LP-Truck in each loader.
The objective of this study aims to obtain best
assignment rules for the allocation of the truck andloader used in the mining industry through the
optimization and simulations are conducted toincrease production targets and reduce operating
costs.

LP-Gap Method

MODEL CONSTRUCTION

LP-Truck =In the logistic business, trucks are importantvehicle type used for transporting of goods [18].
Defining the speed limits based on the concept of
optimal speed of road transport systems has asignificant part in the speed management of vehicles[18]. Based on research which has been conductedby Outapa, Kondho & Thepanondh [18] stated thatspeed of truck which gave the best optimal result interms of logistic business was 40 km/hr. But the
behavior of a system built on the model inaccordance with the real situation where the speedsof truck vary widely due to the standard deviation of
the traveling time is very high in each of the routes.
First step of model construction is gathering dataand collecting data. The data area mentioned asfollows i.e. truck cycle time, travelling time truck,hauling time truck, the quantity of load, loader
maneuver time, loader loading time and loader
spotting time.
Referring to the behavior of a system that has
been described, this research conducts a conceptualmodel that describes the characteristics of the modelbuilding process. The conceptual model consists of
input, process and output in running models. The
output variables generated are the number of
production, loader productivity, truck productivity
with blocks and truck productivity without block.
The input variables used are the number of trucks
used, the amount of the existing loader, truck cycle
times, and service time loader. The objective of thismodel is to get the best dispatch rules for the
allocation of truck and loader to be able to increase
the amount of production. This model consists of
one dumping point, one intersection point and threepoint loader which has 3 different routes. In theconceptual model, there are four methods ofscenario as a strategy to solve the problems in thearea of the mine truck assignment among which LPGap, Percentage LP-Gap, Multi-Stage Algorithm,
and Look-Ahead Algorithm.

i = Route option

In the scenario method LP-Gap, in the earlystages will be calculated on the LP-Truck or thetruck needs at each loader by using a comparison
between the cycle time in each the truck loader
divided by spotting and loading time of each loader.
LP-Gap itself is the result of the calculation of thedifference between the number of trucks on theneeds of each loader with the number of trucks thatwere to and heading in each loader. This method canbe calculated both in dumping point and intersection
point. It was called Reassignment Calling Point(RCP). This method would dispatch the truck loader
which has the biggest LP-Gap.

LP-Gap = α – β
α = Amount of LP-Truck i
β = Trucks heading to and being in the loader i

(1)

(2)

Percentage of LP-Gap Method
In the scenario method percentage LP-Gap
generally have the same stage with LP-Gap method.
In the next stage is to calculate the percentage of LPGap in respective loader by dividing the number of
LP-Gap at each loader with the number of LPTrucks in each loader. This method has been used;
due to a loader could be less utilization. Then, it wasdone because there are others loader who have agreater LP-Gap. This method can be calculated bothin dumping point and in intersection point. It wascalled Reassignment Calling Point (RCP). Thismethod would dispatch the truck loader which has
the largest percentage of LP Gap.
Percentage of LP-Gap =i = Route option(3)

Multi-Stage Algorithm
In the scenario method Multi-Stage algorithm
based on Subtil, Silva, & Alves [8] there were twostages to be conducted. In the initial phase, find a
maximum production capacity of the mine area anddetermine the optimal number of the truck required
to achieve production targets. In the second phase,
dynamic allocation, the allocation algorithm islooking for the best schedule to request assignment
to comply with the allocation plan, using heuristic
dynamic delivery using multi-criteria and discrete
simulation.
Stage 1 is called with the allocation planning.
Allocation planning is to determine the needs of569

SEE-Osaka, Japan, Nov. 21-23, 2016

each truck loader by calculating hourly load rate
shovel.

PLWi

HLRS =(4)
Look Ahead method also considers the numberof queues resulting from each of route option
combination. The combination of route option
previously is generated on the limited tree searchthat has been built on the model algorithm.
Therefore the route option obtained is a combinationof routes options which have high loader
productivity and minimize the number of queues.
Through this method, the algorithm will be tested at
the dumping point and also at the intersection point.
This algorithm tries to predict what will happen
next and keep updating for real time condition.
Therefore, the information on this system will be
constantly updated to make it more accurate andable to predict events that will happen next.

HLRS = Hourly load rate shovel
i = Route option
Next, calculate the difference between therequirement hourly load rate shovel with the numberof trucks that have been dispatched to each loader.
Loader which has the biggest difference will beassigned to its loader’s route. Moreover, there are
two other constraints are considered to determine thedecision in dispatching a truck on this method, i.e.
considering the loader idle status and the number ofqueues at each loader.
In this method will be recalculated at the point ofintersection. Therefore by doing these calculations
could be information which has been received fromthe system will be much more accurate. It canincrease productivity in the field. Stage 2 is dynamic
allocation. This phase runs every time the truck
asking for allocation i.e. when one finishes dumping,when a truck starts to work, and when the loader has
been idle. It aims to find an allocation for the trucks
that best meets the allocation planning, i.e., finds the
allocation to meet the following goals are: toimprove truck productivity, to minimize queuing
time at the loader, and to minimize the loader idle
time; all of these goals are treated considering all theoperational constraints at the mine [8].

RESULTS AND DISCUSSION
The model was being verified by debugging on
the simulation model and examining the conformityof the model with the model formulation to showthat the model is appropriate to the model
conceptualization and ensure that it works correctly.
Then the model was also being validated bycomparing the model configuration to the factual
data. The configurations which are compared areamount of coal production, loader productivity,
truck productivity with block and without block. All
methods used have been developed using discrete
event simulation by using software ProModel 7.5.
Simulations have been run for 11 hours / 660
minutes / 39600 seconds with a precision clocked
0.001 seconds and replicated 30 times.
Figure 3 shows boxplot chart of the overall
scenario methods that have been done on thesimulation and optimization models. It is calculated
based on the amount of daily production withreplicated 30 times. Through the boxplot, it can beconclude that look-ahead algorithm method is able
to give the best results compared to other scenarios
method. It can be seen from the median production
quantities are in the range of 43,000 to 44,000.
While the amount of production in other scenarios
method (LP-Gap and Percentage LP-Gap) lie in therange of 38,000 to 42,000. In addition, from theboxplot could be seen that each algorithm which isdone recalculation at the intersection point (RCP) or
the calculation only at the intersection point showed
better results than the calculation which is done atthe dumping point only. The condition is caused dueto the information obtained by the algorithm in realtime condition will be more accurate if thecalculation at the intersection point.
Table 2 shows the results of output indicators of
the whole scenario methods that have been done.

Look-Ahead Algorithm
Look-Ahead algorithm implement tree search
limited in providing an alternative to create a
combination order of assignment to an entity thatwill be assigned. In this study is limited to 5 trucks
backward will be calculated. This study has threeroute options, the combination of route options thatwill be generated as many as 243 combinations ofroutes option.
After created 243 a combination of route options,the next step is determining the choice of the route
to be selected based on the criteria of evaluation
function. Evaluation function in the look-aheadalgorithm tasked to evaluate each node resulting
from the previous procedure on the look-ahead tree.
Furthermore, the possibility of future conditions inthe system assessed based on the stage of evaluation
function.
The evaluation function used in this study istaking into account productivity each loader andloader queue. The formula of productivity loader
calculation could be seen in the below.
Loader Productivity == Prediction duration trucks and shovel
work= Combination route option

(5)

570

SEE-Osaka, Japan, Nov. 21-23, 2016

From the table, it can be seen that scenarios lookahead algorithm method is better than othermethods. This can be demonstrated on the averageloader productivity produced by 64.44%. The
condition is caused due to look-ahead algorithm try
to resolve the truck dispatch problem by looking
forward (look-ahead) what will happen on near
future. It is done based on the information
previously collected as a reference to decide thescheduling for entities that are behind the queue.
Look-ahead algorithm is also able to predict every
five trucks to carry out the assignment to the loader
in need.
Moreover, Look-ahead algorithm not only
focuses on productivity loader as the evaluation
function of the basis for decision making but also
focuses on the number of queues generated on eachloader. Both look-ahead algorithm and multi-stagealgorithm has been simulated to eliminate the aspectof 'myopic' or short sited decision making as definedby the Alarie and Gamache [5], where the dispatchof the current truck strongly considers its effect on
the next requests.
Percentage of Productivity is generated in
scenario methods which do the calculations at theintersection point have a greater value than the
scenario method performed calculations on the
dumping point only. It can be conclude that if thecalculation carried out on the intersection point will
give the greater and more accurate result.

Based on the analysis from simulationoptimization models truck dispatch problems in the
open pit area mining, it can be concluded that lookahead algorithm provides the best result compared tothe other scenarios method. It showed that coalproduction generated at 43,532.50 tons per day withproductivity of loader on average by 64.44% and the
productivity of the truck without a block by 80.53%
and with the block by 63.47%
Multi-stage algorithm also showed better results
than the method LP-Gap and percentage LP-Gap,
because the method is not only based on the needs oftruck in each loader every hour but also strongly
considers status of utilization loader (idle or no idle
status) and also consider to the number of queues ineach loader.
Each algorithm method of scenario calculations
performed recalculation at the intersection point or
the calculation only at the intersection point showed
better results than the calculation is only done at the
dumping point.
On top of these results, the use of the look-aheadalgorithm for truck dispatch problem has shed newlight on the solving the material transportation
specifically on truck dispatch problem in open pit
mine. The model was able to generate the best
output indicators result that presents the
improvement of production targets and reduce
operating costs.
ACKNOWLEDGEMENTS

CONCLUSIONS
The authors greatly appreciate the support withtechnical support from the Systems Engineering,
Modeling and Simulation Laboratory Universitas
Indonesia (SEMS UI). Financial support of thisresearch was granted by Directorate of Research andCommunity Service Universitas Indonesia.

This research proposes the use of look-aheadalgorithm method as the new method to obtain best
assignment rules for the allocation of the truck andloader used in the mining industry through the
optimization and simulations.

Table 1 Simulation results all scenario method of truck dispatch problem
Scenario Method
Indicator

LP-Gap
RCP% LP Gap
RCP

LP-Gap% LPGap

Multi-Stage
Algorithm

Look-Ahead
Algorithm
Dumping

Look-Ahead
Algorithm
Intersection

Coal Production

39,58741,51937,84739,56542,96842,87943,533Loader 1
Loader 2
Loader 3
LoaderProductivity
Loader 1
Loader 2
Loader 3
DT Productivity
without block
DT Productivity
with block

11,139
11,215
17,92813,091
12,40816,7089,642
9,642
18,677

12,775
11,51915,772

15,786
14,471
13,306

16,164
14,66812,703

16,537
15,057
12,60655.93%

58.98%

49.26%

53.14%

63.90%

63.21%

64.44%

59.36%
59.90%
48.52%

66.93%
65.37%
44.64%

48.93%
48.27%
50.59%

59.91%
54.31%
45.20%

79.68%
74.24%
37.77%

80.38%
74.19%
35.07%

82.85%
75.21%
35.25%

84.28%

84.36%

82.97%

83.73%

81.26%

81.23%

80.53%

61.44%

62.89%

58.27%

60.03%

63.59%

63.39%

63.47%

571

Amount of production (ton)SEE-Osaka, Japan, Nov. 21-23, 2016

Scenario Method Comparison
47,00045,00043,00041,00039,00037,00035,00033,000LP Gap RCP% LP Gap
RCP

LP Gap% LP Gap

Multi-Stage
Algorithm

Look-Ahead Look-Ahead(Dumping) (Intersection)

Scenario Method

Fig. 2 Boxplot chart comparison to the scenario method.
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411-429.
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Worrall S, Nebot E, “Heuristic rule for truck
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Kementrian Energi dan Sumber Daya Mineral.
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Pengkajian dan Penerapan Teknologi. 2014[4] Trading Economics. Trading Economics | 3000
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for Open Pit Mines”, Int. J. of Surface Mining,
Reclamation, and Environment, Vol. 16, Mar.
2002, pp. 59-76.
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the Southern African Institute of Mining andMetallurgy, Vol. 109, Jul. 2009, pp. 433-439.
[7] Zhang L, Xia X, ”An Integer Programming
Approach for Truck-Shovel Dispatching
Problem”, Energy Procedia, Vol. 75, Aug. 2015,
pp. 1779-1784.
[8] Subtil RF, Silva DM, Alves JC, “A Practical
Approach to Truck Dispatch for Open Pit
Mines” 35TH Apcom Symposium, Sept. 2011,
pp. 765-777.
[9] Gendreau M, Guertin F, Potvin JY, Seguin R,“Neighborhood search heuristics for a dynamic
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[10] Rego C, Roucairol C, “Using tabu search forsolving a dynamic multi-terminal truck
dispatching problem”, European J. of572

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

DESIGNING LINER SHIPPING NETWORK IN INDONESIA WITH
DEMAND UNCERTAINTY

1,2,3

Komarudin1, Ayudya Triastika2, Irvanu Rahman3
System Engineering, Modeling, and Simulation Laboratory, Department of Industrial Engineering
Faculty of Engineering, University of Indonesia, Indonesia

ABSTRACTThe problem of maritime logistics in Indonesia lies on the unbalanced trade flow between west and east regionof Indonesia. Since the east region does not have many comodity to be transported, to accommodate the demandon the east region liner shipping companies have to face the increasing amount of operational costs which makes
the company failed to achieve the optimal profit. According to that situation, liner shipping companies needs aservice network design which accomodate demand on each ports and give maximum profit. This research uses
stochastic modeling to best portray the real condition of maritime logistics by taking demand uncertainty into
consideration. The algorithm used in this research aims to determine the ship routes, ship types, and the cargo
allocation that yields higher profits. The result was presented as a comparison between deterministic and stochastic
modeling. The result shows that companies can yield higher profit if they use stochastic modeling approach fromthe initial decision making stage. The proposed solution method was designed to optimize Indonesian liner
shipping services.
Keywords: Liner Shipping, Demand Uncertainty, Container Shipment, Stochastic Model(Wang, 2013). This issue has not been well-addressedin the growing research concern in maritime logistics
studies. This paper aims to generate a model that
optimizes liner shipping network in Indonesia by
including cargo demand uncertainty in order tomaximize the profit of liner shipping company.

INTRODUCTION
Indonesia’s logistics costs are quite high, which is
27% of its GDP, if compared to other countries(Meeuws, Sandee, & Bahagia, 2013). Even though
there is fluctuation over the years, in average thetransportation cost component gives the biggest
contribution (State of Logistics Indonesia, 2013). Oneof the factors influencing the high logistics costs inIndonesia is the unbalanced trade flow between thewest and the east region.
The trading activities take place in the westernpart of Indonesia, mostly in Java and Sumatera, while
there are not much trading activities going on in theeastern part of Indonesia (BAPPENAS, 2011). The
commodities for Eastern Indonesia are actuallyshipped from the western regions. This might due tolacks of industrial development in Eastern regions. Ina frequent basis, ships sailing to the Eastern regions
have to sail back with empty containers because there
is no commodity to pick up. As a result, shipping
companies must spend a high amount of operationalcosts. This leads to the elevation of prices in themarket.
This issue emphasizes the importance ofdesigning a better liner shipping network that is
potent to solve the problem above. However, theuncertainty of demand becomes the main challenge insolving maritime logistics problems. Moreover,Wang and Meng (2010) point out that cargo demand
has a quite high level of uncertainties and makes
container shipment is hardly done in precise way

LITERATURE REVIEW
There are three types of service in the shipping
market: industrial shipping, tramp shipping, and liner
shipping (Lawrence, 1972). In liner shipping, thecompany determines which demand to fulfill bywhich ships schedule. Liner shipping is widely usedsince it is carries containers. Liner shipping aims todetermine which port that will be visited and in whatorder (Wang, Meng, Niu, & Tan, 2013). In liner
shipping there are three levels of decision making:strategic level, tactical level, and operational level(Pesenti, 1995). Since the decisions made on eachlevel are strongly related to each other, it is importantto solve the problem simultaneously. This research
are made based on Mulder and Dekker’s research on
2014 which offered a formulation to solve theproblems on each decision making level
simultaneously.
In this research we develop deterministic modeland stochastic model. Deterministic model is a model
which predict the output of an event by using known
parameter, while stochastic model predicts several
possible output based on the event’s characteristics(the characteristics are usually described as573

SEE-Osaka, Japan, Nov. 21-23, 2016𝑦𝑠probabilityin stochastic model is a series of stochastic
events along with the probability of the event’s
realization (Bisschop, 2016).

Integer variable that denotes thenumber of times the route is used;
Direct cargo flow on ship route s ∈S between ports h1 ∈ H and h2 ∈ H;
Transhipment flow on ship route s∈ S between port h1 ∈ H andtranshipment port t ∈ T withdestination port h1 ∈ H;
Transhipment flow on ship route s2∈ S between transhipment port t ∈T and destionation port h ∈ H,
where the flow to transhipment portt ∈ T was transported on ship routes1 ∈ S;Transhipment flow on ship route s2∈ S between transhipment port t1 ∈T and transhipment port t2 ∈ T withdestination port h ∈ H, where theflow to transhipment port t1 ∈ T
was transported on route s1 ∈ S;
Total cargo flow on ship route s1 ∈S between ports h1 ∈ H and h2 ∈ H.

𝑥ℎ𝑜𝑑1,ℎ2,𝑠

RESEARCH METHOD

𝑥ℎ𝑜𝑡1,𝑡,ℎ2, 𝑠This research uses stochastic modeling because it
includes the uncertainty of container demand.
𝑥𝑡𝑡𝑑
1 ,𝑡2 ,ℎ2 ,𝑠1 ,𝑠2

Problem Formulation
The stochastic model used in this research isdeveloped based on the liner shipping network
problem formulation made by Mulder and Dekker(2014).

𝑥𝑡𝑡𝑡1,𝑡2,ℎ2,𝑠1,𝑠2Setsh ∈ H,t ∈ T ⊆ H,s ∈ S,
j ∈ J,k ∈ K,

Set of ports;
Set of transhipment ports;
Set of ship routes;
Indicator set denoting whether aship passed both ports h1 ∈ H andh2 ∈ H on ship route s ∈ S, where j= (h1,h2,s);Indicator set denoting whether porth2 ∈ H is directly visited after port
h1 ∈ H on ship route s ∈ S, where k= (h1,h2,s);𝑥ℎ𝑡𝑜𝑡
1 ,ℎ2 ,𝑠Linear programming formulation𝒐𝒕
𝒎𝒂𝒙 ∑ ∑ ∑ 𝒓𝒉𝟏, 𝒉𝟐 (𝒙𝒐𝒅𝒉𝟏 ,𝒉𝟐 ,𝒔 + ∑ 𝒙𝒉𝟏 ,𝒕,𝒉𝟐,𝒔 )𝒉𝟏 ∈ 𝑯 𝒉𝟐 ∈ 𝑯 𝒔 ∈ 𝑺𝒕∈𝑻𝒐𝒕− ∑ 𝒄𝒉𝒉𝟏 (∑ ∑ ∑[𝒙𝒐𝒕
𝒉𝟏 ,𝒕,𝒉𝟐 ,𝒔 + 𝒙𝒉𝟐 ,𝒕,𝒉𝟏 ,𝒔]Parameters
𝑟ℎ1 ,ℎ2,𝑠𝑐𝑡𝑡𝑐ℎℎ𝑑ℎ1 ,ℎ2𝑏𝑠𝑝𝑎𝑡ℎ
𝐼ℎ ,ℎ ,ℎ ,ℎ ,𝑠
1

2

3

𝑓𝑠
𝑑𝑖𝑠𝑡ℎ1,ℎ2
∈H
𝑓
𝑓𝑠

4

𝒉𝟏 ∈ 𝑯𝒕 ∈ 𝑻 𝒉𝟐 ∈ 𝑯 𝒔 ∈ 𝑺𝒐𝒅+ ∑ [𝒙𝒐𝒅
𝒉𝟏 ,𝒉𝟐 ,𝒔 + 𝒙𝒉𝟐 ,𝒉𝟏 ,𝒔])

Revenue of transporting one TEU
from port ℎ1 ∈ 𝐻 to ℎ2 ∈ 𝐻
Cost of transhipping one TEU intranshipment port 𝑡 ∈ 𝑇
Cost of (un)loading one TEU in
origin or destination port ℎ ∈ 𝐻
Demand with origin port ℎ1 ∈ 𝐻
and destination port ℎ2 ∈ 𝐻
Capacity on ship route 𝑠 ∈ 𝑆(0/1) parameter that takes the value𝒉𝟐 ∈ 𝑯𝒕𝒅− ∑ 𝒄𝒕𝒕𝟏 ( ∑ ∑ ∑ ∑ 𝒙𝒕𝒕
𝒕𝟏 ,𝒕𝟐 ,𝒉𝟐 ,𝒔𝟏 ,𝒔𝟐 + ∑ ∑ ∑ 𝒙𝒕𝟏 ,𝒉𝟐 ,𝒔𝟏 ,𝒔𝟐 )𝒕𝟏 ∈ 𝑻𝒕𝟐 ∈ 𝑻 𝒉𝟐 ∈ 𝑯 𝒔𝟏 ∈ 𝑺 𝒔𝟐 ∈ 𝑺

𝒉𝟐 ∈ 𝑯 𝒔𝟏 ∈ 𝑺 𝒔𝟐 ∈ 𝑺− ∑ 𝒇𝒔 𝒚𝒔
𝒔∈𝑺𝒇− ∑ ∑ 𝒅𝒊𝒔𝒕𝒉𝟏 ,𝒉𝟐 𝒚𝒔 𝒇𝒔(𝟏)𝒔∈𝑺𝒌∈𝑲s.t.:
𝒐𝒅∑𝒕∈𝑻 ∑𝒔∈𝑺 𝒙𝒐𝒕
𝒉𝟏,𝒉𝟐 ,𝒔 + ∑𝒔∈𝑺 𝒙𝒉𝟏 ,𝒉𝟐 , 𝒔 ≤ 𝒅𝒉𝟏 ,𝒉𝟐 , 𝒉𝟏 ∈ 𝑯, 𝒉𝟐 ∈𝑯 (𝟐)𝒙𝒉𝟏 ,𝒉𝟐,𝒔 ≤ 𝒃𝒔 𝒚𝒔 (𝒉𝟏 , 𝒉𝟐 , 𝒔) ∈ 𝑲 (𝟑)1 if a ship passes consecutive ports
h3 ∈ H and h4 ∈ H when sailingfrom port h1 ∈ H to port h2 ∈ H on
ship route s ∈ S
Fixed cost of using route s ∈ S
Distance from sailing from port h1
to port h2 ∈ H
Fuel price of ship s ∈ S per nautical
miles

𝒕𝒅
∑ 𝒙𝒐𝒕
+ ∑ ∑ 𝒙𝒕𝒕
𝒕𝟐 ,𝒕𝟏 ,𝒉𝟐 ,𝒔𝟐 ,𝒔𝟏 − ∑ 𝒙𝒕𝟏 ,𝒉𝟐 ,𝒔𝟏 ,𝒔𝟐 −
𝒉𝟏 , 𝒕𝟏 ,𝒉𝟐 ,𝒔
𝒉𝟏 ∈𝑯

𝟏

𝒕𝟐 ∈𝑻 𝒔𝟐 ∈𝑺

𝒔𝟐 ∈𝑺∑ ∑ 𝒙𝒕𝒕
𝒕𝟏 ,𝒕𝟐 ,𝒉𝟐 ,𝒔𝟏 ,𝒔𝟐 = 𝟎 (𝒉𝟏 , 𝒉𝟐 , 𝒔) ∈ 𝑲 (𝟒)𝒕𝟐 ∈𝑻 𝒔𝟐 ∈𝑺
𝒑𝒂𝒕𝒉

𝒙𝒉𝟏,𝒉𝟐 ,𝒔 − ∑ ∑ 𝒙𝒕𝒐𝒕
𝒉𝟑 ,𝒉𝟒,𝒔 𝑰𝒉 ,𝒉 ,𝒉 ,𝒉 ,𝒔𝒉𝟑 ∈𝑯 𝒉𝟒 ∈𝑯

𝟑

𝟒

𝟏

𝟐

= 𝟎 (𝒉𝟏 , 𝒉𝟐 , 𝒔) ∈ 𝑲 (𝟓)

𝒐𝒅
𝒐𝒕
𝒙𝒕𝒐𝒕
𝒉𝟏,𝒉𝟐 ,𝒔𝟏 − 𝒙𝒉𝟏 ,𝒉𝟐,𝒔𝟏 − ∑ 𝒙𝒉𝟏,𝒉𝟐 ,𝒉𝟑 ,𝒔𝟏 −𝒉𝟑 ∈𝑯Decision Variables
𝑥ℎ1,ℎ2,𝑠∑ 𝒙𝒕𝒅
𝒉𝟏,𝒉𝟐 ,𝒔𝟐 ,𝒔𝟏 −𝒔𝟐 ∈𝑺∑𝒉𝟑 ∈𝑯 ∑𝒔𝟐 ∈𝑺 𝒙𝒕𝒕
𝒉𝟏 ∈ 𝑯, 𝒉𝟐 ∈ 𝑯, 𝒔𝟏 ∈𝒉𝟏,𝒉𝟐 ,𝒉𝟑 ,𝒔𝟐,𝒔𝟏 = 𝟎
𝑺 (𝟔)𝒙𝒉𝟏,𝒉𝟐 ,𝒔 ≥ 𝟎 (𝒉𝟏 , 𝒉𝟐 , 𝒔) ∈ 𝑲 (𝟕)𝒙𝒐𝒅𝒉𝟏 ∈ 𝑯 𝒉𝟐 ∈ 𝑯, 𝒔 ∈ 𝑺 (𝟖)𝒉𝟏,𝒉𝟐 ,𝒔 ≥ 𝟎

Cargo flow on ship route s ∈ S
between consecutive ports h1 ∈ H
and h2 ∈ H;
574

SEE-Osaka, Japan, Nov. 21-23, 2016

𝒙𝒕𝒕𝒕𝟏 ,𝒕𝟐 ,𝒉,𝒔𝟏 ,𝒔𝟐 ≥ 𝟎 𝒉 ∈ 𝑯 𝒔𝟏 ∈ 𝑺, (𝒕𝟏 , 𝒕𝟐 , 𝒔𝟐 ) ∈ 𝑱 (𝟗)𝒙𝒕𝒅𝒔𝟏 ∈ 𝑺 (𝒕, 𝒉, 𝒔𝟐 ) ∈ 𝑱 (𝟏𝟎)𝒕,𝒉,𝒔𝟏 ,𝒔𝟐 ≥ 𝟎
𝒙𝒉𝒐𝒕𝟏,𝒕,𝒉𝟐 ,𝒔 ≥ 𝟎 𝒉𝟐 ∈ 𝑯 (𝒉𝟏 , 𝒕, 𝒔) ∈ 𝑱 (𝟏𝟏)shows if there is an error by showing the line number
and describing what kind of error on that line. The
first verification step, debugging, is done by using theembedded function within the program.
The verification process is later done byevaluating the process which the model performs. It
is done by checking whether the desired processinside the models are running as planned in theconcept or not.
The verification process were done for each stageof decision. There are two stages of decision making
in a stochastic model. In this research, the first stage
decision is to decide which route and type of ships touse. After running the model we can see that it issuccessfully generate the first stage decision; routeand ships type to use.
In this research, the second stage decision is todecide the amount of container shipped based on the
scenario. The container shipment has worked wellboth for direct shipping and transhipment. The
containers are sent to its destination ports. The model
also showed that it does the loading and unloading
process based on the container destination. All of
those process were successfully built inside the model.
Table 1 shows the result of the verification process.

The objective function (1) maximizes the profit,
which is equal to the revenue minus all costs; fuelcosts, transhipment costs, handling costs and fixed
costs. Constraints (2) make sure that the cargoshipped between every combination of ports doesn
not exceed the demand for those combinations.
Constraints (3) make sure that the amount of cargotransported on each leg does not exceed the capacityof the ship sailing this route. Constraints (4) ensurethat all containers which have to be transhipped will
also be loaded on another route. Constraints (5) define
the amount of flow between two consecutive ports.
Constraints (6) define the total flow between each two
ports in the same cycle. Constraints (7) – (11) all
make sure that cargo flow is nonnegative.
Algorithm Used to Design Liner Shipping Service
Network with Demand Uncertainty
The above-mentioned linear programing
formulation was translated into a mathematicalprogramming on Netbeans IDE 8.1 using Java
programming language optimized by using Gurobi
Optimizer 6.5.0. The following passage would
explain how we create a liner shipping service
network design in Indonesia under demand
uncertainty:
1. Generate combinations of back and forth route
between 6 ports and 5 types of ships. There willbe 75 routes combination as a result.
2. For each route, calculate the optimal speed by
setting the route duration such that the route
duration is an integer number of weeks or as
close as possible. The sailing speed has to be set
between the maximum and minimum speed.
3. Determine the number og ships needed for eachroute by assuming that the number of ships
needed is equal to the rote duration in weeks(rounded above).
4. Calculate the total fuel costs by calculating thesailing costs and idle costs.
5. Calculate fixed costs of each route.
6. Use the calculation result from step 4 and 5 as an
input in deterministic model.
7. Generate scenario of stochastic container
demand from the data.
8. Include the scenario inside the model in order to
get the stochastic model as a result.
9. Check the profit yielded from deterministic andstochastic models.

Table 1 Model verification
No.
1.
2.

3.

4.
5.
6.
7.
8.
9.
10.

Process
Container shipmentusing direct shipping
Container shipmentfrom origin port totranshipment port
Container shipmentfrom transhipment port
to destination port.
Revenue calculation
Handling costs
calculation
Transhipment costs
calculation
Fuel costs calculation
Fixed cost calculation
Profit calculation
Determining whichroute to use

ResultSuccessful
Successful

Successful

Successful
Successful
Successful
Successful
Successful
Successful
Successful

Validation
The model was validated by comparing its result
to Meijer’s result (2015). Meijer’s research was also
about designing liner shipping network design inIndonesia by using the same 6 ports mentioned in thisresearch. The comparison between model’s result and
Meijer’s result can be seen at Table 2.
There are 4 components that was validated,revenue, handling costs, transhipment costs, andweekly profit. The main idea of validation process is

Verification
Netbeans IDE 8.1 facilitates its users to check
whether there is a code error inside a model or not. It
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SEE-Osaka, Japan, Nov. 21-23, 2016

to the error percentage between model and Meijer’s
result. The error was calculated by subtracting theresult of both mentioned models. As shown in Table
2, the model are able to produce the same result as
Meijer. Revenue, handling costs, and transhipment
costs are showing exactly the same output as Meijer’s
produce in his research. However, there is a slightly
difference on the weekly profit. The error is 1%
which means the model is validated because thenormal limit of error is 5%. Therefore, we canconsider that the model is quite representative toportray Indonesian maritime logistics.

scenarios, that is why the demand is different on eachscenario. The extreme condition appearing in the
scenarios makes the model yield lower profit.
However, it is important to note that the profit
resulted by stochastic model is more realistic. A liner
shipping company has to make a plan based onreality. The use of stochastic model helps company
have a more precise estimation of container demand,
thus, it helps the company to make a realistic
decision.
Weekly Profit

Table 2 Result from model and result from Meijer(2015) in comparison

Revenue
Handling
cost
Transhipment cost
WeeklyprofitResultfrom Model$12,062,360

Meijer’s
Result (2015)$12,062,360

%
error
0%

$3,815,072$3,815,072

0%$68,510$68.5100%

6,150,000
6,100,000
6,050,000
6,000,000
5,950,000
5,900,000
5,850,000
5,800,000
5,750,000
N=100$6,094,145$6,184,309

1%

Deterministic

Fig. 1RESULT AND DISCUSSION
The analysis of the result simulation is divided
into three parts. The first part compares the result of
deterministic model with the result of predeterminedroute stochastic model. The second part compares theresult of predetermined-route stochastic model withthe result of stochastic model. The third part discusses
the analysis of sensitivity, which compares threedifferent stochastic models distinguished by a variety
number of scenario and level of standard deviation.

N=50

N=10

Predetermined Route Stochastic

Comparing profit of deterministic model andstochastic model (in USD)

Comparison of Results of Stochastic Model andPredetermined-Route Stochastic Model
Predetermined route stochastic model uses routeand type of ships that is generated from thedeterministic model, while stochastic model has nopredetermined route. Those two types of stochastic
models are created to analyze what happens if ashipping company uses stochastic model from the
beginning of planning period. The results of those twodifferent stochastic models are shown in Figure 2.

Comparison of Results of Deterministic Modeland Stochastic ModelAs shown in Figure 1, deterministic model tends
to yield higher profit than stochastic model.
Compared to stochastic model with 100 scenarios(N=100), deterministic model yields profit USD
151,374.55 higher, or, 2.5% higher. Compared tostochastic model with 50 scenarios (N=50),
deterministic model yields profit USD 162,853.76
higher, or, 2.7% higher. At last, compared tostochastic model with 10 scenarios (N=10),
deterministic model yields profit USD 207,675.10
higher, or, 3.5% higher.
The result shown in Figure 1 is common to befound when comparing deterministic and stochastic
model. Deterministic model uses average demand as
the model input which shows the same number every
week, while stochastic model uses probability anduncertainty on the container demand. Stochastic
model shows different conditions through its

Weekly Profit
5,980,000
5,960,000
5,940,000
5,920,000
5,900,000
5,880,000
5,860,000
5,840,000
Stochastic
N=100

Stochastic
Fig. 2576

Stochastic
N=50

Stochastic
N=10

Predetermined-Route Stochastic

Comparing profit of stochastic Model andpredetermined route stochastic modelSEE-Osaka, Japan, Nov. 21-23, 2016

Figure 2 shows that, with the same number ofscenarios, the average profit of stochastic model ishigher than the average profit of predetermined route
stochastic model. Not only differs in generating theamount of profit, the models are also differs ingenerating the routes.
In the result, stochastic model suggested to use
route [69], unlike the predetermined route stochastic
model that uses route [56]. Again, as stochastic model
uses scenarios, it generates the routes based on
various conditions of container demand. It is logicalto say that the routes being used in stochastic model
is better because it could tackle various conditions ofcontainer demand and yet yields higher profit than thepredetermined route stochastic model. It gives astrong proof that using stochastic model from the
beginning would be more beneficial for liner shipping
company. The different routes being used in bothmodels are shown in Figure 3 and Figure 4.

Fig. 3Fig. 4of scenario used the lesser the gap between best
bound and best objective. The less gap shows that themethod is effective.
Table 3 Statistics of various scenarios in stochastic
model
NBest objective

Best bound

Gap

10

5,919,764.74

5,924,893.06

0.09%

50

5,952,043.96

5,952,043.96

0.00%

100

5,959,340.97

5,959,340.97

0.00%

Not only takes effect on the gap between best
objectie and best bound, using different number ofscenario also takes effect on computation time. The
more scenarios used in the model, the ore time needed
for the software to generate solution. There is tradeoff between optimal solution and computation time.
That is why in creating stochastic model researchers
have to use sufficient number of scenarios and it is
not allowed to exceed the computer’s ability toprocess the model.
This research used a personal computer with Intel(R) Core (TM) i7-4930K CPU 3.40 GHz 3.70 GHz
with 16.0 GB RAM under Windows 7. The
comparison between computation time on different
number of scenarios is shown in Table 4 below.

Routes generated by deterministic model isused in predetermined route stochastic
model

Table 4 Comparing computation timedifferent number of scenario
N

Computation Time10

20 sec50

2 min 55 sec

100

10 min 8 sec

among

The effect of using different number of scenario
on company’s profit can be observed on Figure 5. The
graphic shows that models with more scenarios
generate higher profit. Take a look back at the gap ofeach series, stochastic model with more scenario also
generates lesser gap which means the high profit
generated by more scenario is acceptable.

Routes generated by stochastic model

The difference lies on the route between Tanjung
Perak and Banjarmasin. Stochastic model shows that
it is better to use bigger ship on that route (Panamax
2400). This result further confirmed that it is more
beneficial for liner shipping companies to use
stochastic model from the beginning as it generates
better routes and higher profit.
Sensitivity Analysis of the Number of Scenario
Used in Stochastic Model
The stochastic models uses 10, 50, and 100
scenarios inside the model, N={10,50,100} which
was formulated by using sample averageapproximation method. Table 3 shows the gap oneach number of scenario. The result gathered byrunning the model using Gurobi Optimizer 6.5.0.
Based on the table, we can see that the more number

Fig. 5577

Effects of using different number of scenario
to profit of stochastic modelSEE-Osaka, Japan, Nov. 21-23, 2016

between optimal solution and effectie computation
time.
Variability on container demand scenario hassignificant effect on the solution. Increasing standard
deviation resulting on decreased profit. Thus, we canalso conclude that information about container
demand is very important for liner shipping company.
According to the coclusions, the suggestions
given for the future reearch is to create a stochastic
model for liner shipping network design by taking
other ports into considerations. Future research canalso use route combinations other than back and forthor to create a multi-period stochastic model for
maritime logistics in Indonesia.

Analyzing Stochastic Model with Various Level ofStandard Deviation
Figure 6 shows comparison between profit on
deterministic model and profit on stochastic modelwith different level of standard deviation. The
average profit generated by stochastic model
decreases as the level of variance in container demand
increase. It confirmed that the information related tocontainer demand is significant for liner shipping
company. The less the standard of deviation, the lessvariance on container deman, which means thecontainer demand data is accurate. By usign the
precise estimation of container demand, liner
shipping company can make a decision based onreality and gain more benefits.

REFERENCES[1]

Weekly Profit Stochastic Model[2]

6,150,000
6,100,000[3]

6,050,000
6,000,000
5,950,000
5,900,000[4]5,850,000
Standard
Deviation
10%

Fig. 6

Standard
Deviation
50%

Standard
Deviation
100%

Comparing profits in stochastic models withDifferent Level of Standard Deviation[5]

CONCLUSION[6]Based on the analysis explained beforehand, we
can see that compared to deterministic model,
stochastic model yields lower profit. However, it isbetter for liner shipping company to rely on stochastic
model as it is uses scenario that portray the varianceand extreme condition of container demand.
Stochastic model shows result which is closer toreality.
Using stochastic model from the beginning ofplanning period yields higher profit thanpredetermined stochastic model that used the routegenerated by deterministic model. It confirms thatusing stochastic model from the beginning is
considered more beneficial for liner shipping
companies.
The number of scenario influences the effectivityof solution generated by the model. The morescenario being used, the less gap appears whichmeans the solution is nearly optimum. However,using more scenario needs more computation time.
That is why researchers have to carefully choose

[7]

[8]

578

Meeuws R, Sandee H, & Bahagia N, “State of
Logistics Indonesia 2013”, 2013.
BAPPENAS, “Infrastructure Development
Strategy in Indonesia”, Jakarta, 2011.
Wang S, & Meng Q, “Liner shipping fleet
deployment with cargo transshipment anddemand uncertainty”, in 1st International
Conference on Logistics and Maritime Systems
Korea, 2010.
Wang T, Meng Q, Niu B, & Tan Z, “Hub-andspoke liner shipping network design withdemand uncertainty”, in International Forum on
Shipping, Ports and Airports (IFSPA) 2013:
Trade, Supply Chain Activities and Transport:
Contemporary Logistics and Maritime Issues,
2013, pp. 1–13.
Lawrence S, International Sea Transport: The
Years Ahead. Lexington: Lexington Books,
1972
Pesenti R, “Hierarchical resource planning forshipping companies”. European Journal ofOperational Research, Vol. 86(1), pp. 91–102.
Mulder J, & Dekker R, “Methods for strategic
liner shipping network design”. European
Journal of Operational Research, Vol. 235(2),2014, pp. 367–377.
Bisschop J, AIMMS Optimization Modeling.
Bellevue: AIMMS B.V., 2016.

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

MULTI-PERIOD MARITIME LOGISTICS NETWORKOPTIMIZATION USING MIXED INTEGER PROGRAMMING
Komarudin1, Mellianna Fiannita C. Purba2, Irvanu Rahman3
Faculty of Engineering, Universitas Indonesia, Indonesia

1,2,3

ABSTRACT
Indonesia, as an archipelago country, is dependent to maritime logistics on transporting goods andtransportation. However, its performance is still poor, indicated by high cost of logistics. Designing maritime
logistics network is crucial for shipping company on developing their business. The objective of this research is
to design a liner shipping logistics network on multi-period planning horizon using mixed integer programmingwith maximizing profit as objective function. Three given scenarios (fixed route and fleet size, fixed route but
fleet size may increase, and random route and fleet size) are analyzed for ten years within three different
conditions of demand (demand equals to forecasted demand, demand equals to forecasted demand certain period,
and demand is constant). The result shows that the second scenario give the most satisfying result of objectivefunction in profit and fleet allocation variables. The third scenario gives the highest profit on every condition andfirst scenario has the lowest number of vessels. The profit margin between the third and second scenario on eachconditition are 2.99%, 1.32%, and 0.004 % and fleet allocation gap between the first and second scenario are 1
ship, 1 ship, 0 ship respectively.
Keywords: Maritime Logistics, Liner Shipping, Multi-Period, Mixed Integer Programming.

for optimization technology for an effective costplanning in operating and enhancing their fleets.
This plan is intended to match the capacity of the
fleets with container demand effectively. However,in a multi-period planning, the container demand
between ports may vary from one period to another.
To cope with container demand pattern from one
period to another, liner shipping company has toadjust their fleet planning, including fleet size, mix
and allocation of vessels periodically.

INTRODUCTION
According to Meeuws and Bahagia (2012),
Indonesia as an archipelago country is dependent tomaritime-based logistics for transporting goods andtransportation. However, its performance are stillpoor. According to Logistics Performance Index
2014 from World Bank, the score of Indonesia’slogistics performance is 3.08. The indicators are:customs, infrastructure, international shipments,
logistics competence, tracking and tracing,timeliness. The score puts Indonesia in 53rd placeworldwide and 5th place in ASEAN. Furthermore,logistics cost in Indonesia is relatively high.
According to State of Logistics 2013 from World
Bank, Indonesia logistics cost until 2011 made up
24.64 percent of Indonesia GDP.
The growth of Indonesia is centralized in thewestern part, especially in Java Island. This cause
the imbalance trade activities on both parts ofIndonesia. Moreover, often times the ships from theeast have to go back empty loaded. That is why thecost of logistics in Indonesia become high. Hence, it
leads to the disparity of commodity price in thewestern and eastern part of Indonesia.
Liner shipping is the fastest growing sector
among shipping services. Liner shipping company
usually operates on various fleet or various size ofvessels on many routes that creates shipping
networks on regular basis, to transport containers
between ports. Liner shipping company is seeking

BASIC THEORY
Maritime logistics networks are the main
channels for transporting goods with large volume
on long distance. Three distinctions are made in the
shipping market: tramp shipping, industrial shipping
and liner shipping (Lawrence, 1972). The cargoowners on industrial shipping are also the owners of
the ships who strive to minimize the cost oftransporting container between ports. On tramp
shipping, vessels are sent to ports according to theavailability of container demand. Goods carried in
tramp shipping are bulk cargo. Liner shipping is thecommon container shipping type where there are
fixed routes on regular schedules. The focus of thisresearch is on liner shipping.
Operation of liner shipping is based on
characteristics associated with routing andscheduling of transporting containers and cargo.
Liner shipper is a company that owns or operates
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SEE-Osaka, Japan, Nov. 21-23, 2016fleets of container ships. Liner shipping usuallyoperates on close routes, loading and unloadingcargo at any ports of destination.
The purpose of liner shipping services is todesign network services that can provide a stable
and regular service schedule and also operations thatgenerate profit (Carranza, 2008). The decision
making in the liner shipping consists of threedifferent time-horizon level by Pesenti (1995):
strategic level (3-5 years), tactical level (4-12months) and operational level (1-4 weeks). Strategiclevel has the longest time-horizon. On a strategiclevel optimal fleet size is determined. Planning on atactical level is done in several months and it
involves determining the routes used. While on theoperating level that has the shortest span of time,planning the allocation of cargo must be done.
Liner shipping company usually operates on
various fleets or various size of vessels on manyroutes that creates shipping networks on regularbasis, to transport containers between ports. Linershipping company is seeking for optimization
technology for an effective cost planning inoperating and enhancing their fleets. This plan isintended to match the capacity of the fleets withcontainer demand effectively. However, in a multiperiod planning, the container demand between ports
may vary from one period to another. To cope withcontainer demand pattern from one period to another,liner shipping company has to adjust their fleet
planning, including fleet size, mix and allocation ofvessels periodically.
Traditional multi-period liner ship fleet planning
begins with a forecasted or estimated container
shipment demand pattern for each single periodusing some demand forecasting techniques such as
regression and time series models. However, aforecasted container shipment demand pattern as anecessary input of the multi-period liner ship fleet
planning problem can never be forecasted withcomplete confidence. It is almost impossible toprecisely match estimated demand with the one
realized. In reality, the container shipment demandat one period has effect on the future demand, whichindicates that the container shipment demand isdependent on the demand in previous periods (Mengand Wang, 2015).
There have been many studies on multi-period
fleet planning problems over the last few decades.
Cho and Perakis (1996) developed an integer linear
programming model for a long-term liner ship fleet
planning to determine the optimal fleet size, mix androute allocation. However, the model is a periodindependent model. Xinlian et al. (2000) thus
reformulated the model as a dynamic programming
model. They divided the multi-period planninghorizon into single periods. Integer linear
programming was used for each period to determine

the optimal fleet size, mix, and routes allocation inorder to minimize cost. However, the annual
operating cost and capacity of each vessel on eachroute were assumed constant. This assumption is
unrealistic because the costs are voyage-dependent.
Recently, Meng and Wang (2011) formulated multiperiod liner shipping fleet planning problem as a
scenario-based dynamic programming model.
However, the study did not consider containertransshipment into account.
METHODS
On the strategic level, the composition of the
fleet has to be determined, we call it fleet-design
problem. In this research, it is assumed that thecompany has no fleet in the beginning and thecompany is the sole container shipment provider tofulfill all of demand.
Constructing the network design is the main
problem on the tactical planning level. It consists of
two problems: the construction of the shipping
routes and the assignment of the different types ofships to the routes. For the construction of routes,
several types of routing are possible. One can makeuse of a feeder network, port-to-port routes andbutterfly routes. In this research, the route that isused is port-to-port.
In the case of intra Indonesian shipping, it might
be a good decision to select hub ports as the ports
with the largest throughput. The ports used in thisresearch are Belawan, Tanjung Priok, Tanjung Perak,
Banjarmasin, Makassar, and Sorong. Aggregation ofports are based on throughput and geographicalposition of each ports.
Hence, there are 15 combinations of ship routes.
There are 5 types of vessels that are used on thisresearch, therefore the total of routes become 75
combinations.
The main problem on the operational planninglevel is the assignment of cargo to the ships sailingto the determined routes. This problem is called thecargo-routing problem and can be formulated as alinear programming model.
Mathematical model that is used in this research
was made by Mulder and Dekker (2014) withmodification of objective function and few
constraints by Meijer (2015). By rewriting theobjective funtion and some of the constraints themodel changes to a mixed integer programming
problem and can be used to determine the optimal
fleet, routes and cargo-allocation.
Sets, parameters, decision variables, andequation that are used in this research, are listed in
the following.

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SEE-Osaka, Japan, Nov. 21-23, 2016Sets:h ∈ H,t ∈ T ⊆ H,s ∈ S,
j ∈ J,k ∈ K,

Parameters:
𝒓𝒉𝟏,𝒉𝟐,𝒔𝑐𝑡𝑡𝑐ℎℎ
𝑑ℎ1 ,ℎ2𝑏𝑠𝒑𝒂𝒕𝒉
𝑰𝒉 ,𝒉 ,𝒉 ,𝒉 ,𝒔
𝟏

𝟐

𝟑

𝟒

𝒇

𝒇𝒔

Variables:
𝑥ℎ1,ℎ2,𝑠𝑜𝑑𝑥ℎ1,ℎ2,𝑠

Set of ports
Set of transhipment ports
Set of ship routes
Indicator set denoting whether shippasses both ports ℎ1 ∈ 𝐻 andℎ2 ∈ 𝐻 on ship route 𝑠 ∈ 𝑆, wherej = (h1, h2, s)
Indicator set denoting whether portℎ2 ∈ 𝐻 is directly visited after port
ℎ1 ∈ 𝐻 on ship route 𝑠 ∈ 𝑆, wherek = (h1, h2, s)

𝑥𝑡𝑡𝑑
1 ,ℎ2 ,𝑠1 ,𝑠2

𝑥𝑡𝑡𝑡1,𝑡2,ℎ2,𝑠1,𝑠2

Revenue of transporting one TEU
from port ℎ1 ∈ 𝐻 to ℎ2 ∈ 𝐻
Cost of transhipping one TEU intranshipment port 𝑡 ∈ 𝑇
Cost of (un)loading one TEU in
origin or destination port ℎ ∈ 𝐻
Demand with origin port ℎ1 ∈ 𝐻
and destination port ℎ2 ∈ 𝐻
Capacity on ship route 𝑠 ∈ 𝑆(0/1) parameter that takes theTranshipment flow between port
ℎ1 ∈ 𝐻 and transhipment port𝑡 ∈ 𝑇 on ship route 𝑠 ∈ 𝑆
Transhipment flow on ship route𝑠2 ∈ 𝑆 between transhipment port𝑡 ∈ 𝑇 and destination port ℎ2 ∈ 𝐻
where the flow to transhipment
port 𝑡 ∈ 𝑇 was transported on shiproute 𝑠1 ∈ 𝑆
Transhipment flow on shiproute 𝑠2 ∈ 𝑆 between transhipment
port 𝑡1 ∈ 𝑇 and transhipment port
𝑡2 ∈ 𝑇 with destination portℎ2 ∈ 𝐻 , where the flow totranshipment port 𝑡1 ∈ 𝑇
wastransported on route 𝑠1 ∈ 𝑆

The objective function (1) maximizes the profit,
which is equal to the revenue minus all costs; fuelcosts, transshipment costs, handling costs and fixed
costs. Constraint (2) makes sure that the cargoshipped between every combination of ports does
not exceed the demand for those combinations.
Constraint (3) makes sure that the amount of cargotransported on each leg, does not exceed the capacityof the ship sailing this route. Constraint (4) ensuresthat all containers which have to be transhipped, will
also be loaded on another route. Constraint (5)defines the amount of flow between two consecutive
ports. Constraint (6) defines the total flow between
each two ports in the same cycle. Constraints (7) (11) all make sure that cargo flow is nonnegative.
The model was runned using Gurobi andNetbeans software. CPU used in running the
optimization model is Intel Core i3 U 380 1.33 GHz.
Model simulation are based on three conditions:(1) demand equals to forecasted demand, (2)demand equals to forecasted demand until certain
period then constant, and (3) demand is constant.
Each conditions also have three scenario: (1) fixedroute and fleet size, (2) fixed route but fleet size may
increase, (3) random route and fleet size.

value 1 if a ship passes
consecutive ports h3 ∈ H and h4 ∈H when sailing from port h1 ∈ H
to port h2 ∈ H on ship route s ∈ S
Fixed cost of using route s ∈ S
Distance from sailing from port h1∈H
to port h2 ∈ H
Fuel price of ship s ∈ S per
nautical miles

𝒇𝒔𝒅𝒊𝒔𝒕𝒉𝟏 ,𝒉𝟐

𝑦𝑠𝑜𝑡
𝑥ℎ1,𝑡,ℎ2,𝑠Cargo flow on ship route 𝑠 ∈ 𝑆
between consectutive ports ℎ1 ∈ 𝐻
and ℎ2 ∈ 𝐻
Integer variable that denotes thenumber of times the route 𝑠 ∈ 𝑆 is
used
Direct cargo flow between portsℎ1 ∈ 𝐻 and ℎ2 ∈ 𝐻 on ship route𝑠∈𝑆

Objective Function:otododmax ∑ ∑ ∑ rh1, h2 (xhod1 ,h2 ,s + ∑ xhot1 ,t,h2, s ) - ∑ chh1 (∑ ∑ ∑[xot
h1 ,t,h2 ,s +xh2 ,t,h1 ,s ] + ∑ [xh1 ,h2 ,s +xh2 ,h1 ,s ])h1 ∈ H h2 ∈ H s ∈ St∈Th1 ∈ Ht ∈ T h2 ∈ H s ∈ S

h2 ∈ H- ∑ ctt1 ( ∑ ∑ ∑ ∑ xttt1 ,t2,h2 ,s1,s2 + ∑ ∑ ∑ xttd1 ,h2 ,s1,s2 ) - ∑ fs ys - ∑ ∑ disth1 ,h2 ys ffs
t1 ∈ Tt2 ∈ T h2 ∈ H s1 ∈ S s2 ∈ S

h2 ∈ H s1 ∈ S s2 ∈ S

s∈S

581

s∈Sk∈K(1)

SEE-Osaka, Japan, Nov. 21-23, 2016

Subject to:od∑ ∑ xot
h1 ,h2 ,s + ∑ xh1 ,h2 , s ≤ dh1 ,h2

h1 ∈ H, h2 ∈ H

(2)

s∈S

t∈T s∈S

xh1 ,h2 ,s ≤ bs ys (h1 ,h2 ,s) ∈ K
ottt∑ xh1 , t1,h2 ,s1 + ∑ ∑ xt2,t1 ,h2 ,s2,s1 - ∑ xttd1 ,h2 ,s1,s2 - ∑ ∑ xttt1,t2 ,h2 ,s1,s2 = 0
t2 ∈T s2 ∈S
s2 ∈S
h1 ∈H
t2 ∈T s2 ∈S
pathtot
xh1 ,h2 ,s - ∑ ∑ xh3 ,h4 ,s Ih3 ,h4 ,h1 ,h2 ,s = 0 (h1 ,h2 ,s) ∈ K
h3 ∈H h4 ∈H(3)(h1 ,h2 ,s) ∈ K

(4)
(5)

ot
od
td
tt
xtot
h1 ,h2 ,s1 - xh1 ,h2 ,s1 - ∑ xh1 ,h2 ,h3 ,s1 - ∑ xh1 ,h2 ,s2 ,s1 - ∑ ∑ xh1 ,h2 ,h3 ,s2 ,s1 = 0 h1 ∈H, h2 ∈H, s1 ∈S (6)
h3 ∈H

s2 ∈S

h3 ∈H s2 ∈S

xh1 ,h2 ,s ≥ 0 (h1 ,h2 ,s) ∈ K
od
xh1 ,h2 ,s ≥ 0
h1 ∈ H h2 ∈ H, s ∈ S
xttt1,t2 ,h,s1,s2 ≥ 0h ∈ H s1 ∈ S, (t1 ,t2 ,s2 ) ∈ J
xtd
s1 ∈S (t,h,s2 ) ∈ Jt,h,s1 ,s2 ≥0ot
xh1 ,t,h2 ,s ≥0h2 ∈H (h1 ,t,s) ∈ J

Table 1 Comparison of fleet size at the beginning of
periodRESULT AND ANALYSISThe purpose of this study is to obtain maximum
profit for liner shipping company. Thus, the intial
step is analyzing profit generated in each scenarios.
Based on the results of the model, we can see thatthird scenario generate the highest profit, comparedto first scenario and second scenario, for eachcondition. Comparison of profit results is shown in
Figure 1.

Fig. 1

(7)
(8)
(9)
(10)
(11)

1st
scenario
2nd
scenario
3rd
scenario

1stcondition
17

2ndcondition
17

3rdcondition
16

13

15

16

16

16

16

At the beginning of period, first scenario has thehighest number of fleet size and second scenario has
the least. First scenario has the highest number offleet size because the optimal fleet size has to be
determined at the beginning of period and will havethe same number on each period. Whereas second
scenario has the least number because the number offleet size is adjusted in accordance to demand oneach period. Because on the second scenario, thenumber of fleet size can be fixed or increased astime goes by, based on demand and costs.
Comparison of fleet size at the end of period isshown in Table 2.

Profit comparison.

Third scenario has the highest profit because it
can adjust its route and the allocation of the fleet at
each period based on demand and costs so as toprovide maximum profit compared to first scenario,
which routes and fleet size are fixed, and second
scenario, which has a fixed route but allows the
addition of vessels on each period.
Thus, the next step is to conduct an analysis offleet allocation for each scenario on each condition.
Table 1 shows the comparison of fleet size at the
beginning of period.

Table 2 Comparison of fleet size at the end of
period1st
scenario
2nd
scenario
3rd
scenario582

1stcondition
17

2ndcondition
17

3rdcondition
16

18

18

16

23

21

18

SEE-Osaka, Japan, Nov. 21-23, 2016

From the table above, we can see that third
scenario has the highest number of fleet size incomparison to first and second scenario. Third
scenario has the highest number of fleet because it
can determine routes and allocate the fleet freely.
Thus, enabling fleet allocation randomly changes ineach period. This leads to the allocation of the fleet
in third scenario has greater number compared to
first scenario, which has been determined at the
beginning of the period and will remain until the endof the period, and also compared to second scenario,
which already has the fixed composition of the fleet
for each period but allows to increase the number offleet.
The addition of vessels is certainly a cost for thecompany. On the composition of the fleet in third
scenario it can be seen that each year, the number ofships needed are unstable. In addition, it tends toincrease the number of ships from one period toanother. The changing of demand makes third
scenario are likely to change and replace the fleet
composition, in order to achieve maximum profit.
First scenario has fixed routes and fleet size foreach period. In multi-period planning horizon where
demand will certainly change, the addition of ships
is necessary for shipping company. But first scenario
can not fulfill this condition.
Based on the results, it can be seen that the profit
margin of second scenario and third scenario isrelatively small. The profit margin between the thirdand second scenario on each conditition are 2.99%,
1.32%, and 0.004 % fleet allocation gap between thefirst and second scenario are 1 ship, 1 ship, 0 ship
respectively. The result shows that the second
scenario give the most satisfying result of objectivefunction in profit and fleet allocation variables.

Based on results, the scenario that is suitable formaritime logistics multi-period planning on liner
shipping services in Indonesia is the second
scenario.
REFERENCES[1] Bahagia N & Meeuws R, “Logistics Costs
Indonesia”, Jakarta: NEA in collaboration with
ITB, STC, and ALI, 2012.
[2] Logistics Performance Index [Internet].
Lpi.worldbank.org. 2014 [cited 14 February2016]. Available from: http://lpi.worldbank.org/[3] Lawrence S, “International sea transport: theyears ahead”, Lexington, Mass.: Lexington
Books, 1972.
[4] McLean Carranza A, “Discrete-event simulation
approach for the analysis of liner shipping
services of containerized cargo”, Louisville:
ProQuest Dissertations and Theses database,2008. (UMI No. 3308353).
[5] Pesenti R, “Hierarchical resource planning forshipping companies, European Journal ofOperational Research, 1995, pp. 86(1) , 91-102.
[6] Meng Q, Wang T, Wang S, “Multi-period liner
ship fleet planning with dependent uncertain
container shipment demand”, Maritime Policy& Management, 2013, pp. 42(1):43-67.
[7] Cho S, Perakis A, “Optimal liner fleet routeingstrategies”, Maritime Policy & Management,
1996, pp. 23(3):249-259.
[8] Xinlian X, Tengfei W, Daisong C, “A dynamic
model and algorithm for fleet planning”,
Maritime Policy & Management, 2000, pp.
27(1):53-63.
[9] Meng Q, Wang T, “A scenario-based dynamic
programming model for multi-period liner ship
fleet planning”, Transportation Research Part E:
Logistics and Transportation Review, 2011, pp.
47(4):401-413.
[10] Mulder J & Dekker R, “Methods for strategic
liner shipping network design”, European
Journal of Operational Research, 2014, pp.
235(2):367-377.
[11]
Meijer J, “Creating A Liner Shipping
Network Design (Bachelor Thesis)”, Rotterdam:
Erasmus University Rotterdam, 2015.

CONCLUSION
Planning a multi-period maritime logistics
network services plays an important role in thebusinesss development of shipping company. A
long-term planning is useful for liner shipping
company for decision support such as routes used,
fleet-design, fleet size, cargo allocation, vessels
purchase,etc. Scenarios help to give comparison forcompany to be considered in decision-making.

583

DEVELOPMENT OF FAN LAWS SYSTEM TRAINER FOR LYCEUM OF THE
PHILIPPINES UNIVERSITY – CAVITE MECHANICALENGINEERING LABORATORY
Ramon C. Maniago ME, Ariston M. Alimo-ot, Glenmour Bocar, Jim Rodger T. Navarro, and Engr. Eduardo M.
ManzanoCollege of Engineering, Computer Studies, and Architecture, Lyceum of the Philippines University – Cavite

Abstract. The purpose of this research is to design and construct a Fan Laws System trainer that can be used by Mechanicalstudents in Lyceum of the Philippines University Cavite. The speed and discharge varies on the system. Manometer was used by
the researchers for the measurements that can be used for evaluation. Third Fan Law equation was used to evaluate the system
which is H2/H 1 = (N 2 /N 1 )2. The results show that in terms of computation, the actual value which was measured is almost equal
to computed value. There are some discrepancies on the measurements since the Manometer was not calibrated. Hence, it canbe concluded that the trainer for Fan Laws is possible to design and construct with proper parameters. It was justified by theevaluation conducted. It is also concluded that the variation on speed will have a huge contribution on these laws. Added tothat, there are many options to be considered in order to increase the efficiency of fan laws system. It is recommended to use
other parameters by trying other variations that can be achieved by studying more about Fan Laws in order to develop thesystem more efficiently. It is also recommended to use other measuring equipment such as Pitot tube, or other kind of
Manometers like Differential Manometer and Inclined Manometer, since the researchers have already used a U-tube
manometer that is the most basic type of manometer, in order to have a precise and accurate measurements. It is also
recommended to have a different designs for the pipe in order to have a different measurements and to show more accurate
Fan Laws. Design a more presentable table and put key way on the step-pulley in order to lessen the vibration. Try to improve
the way of changing the belt in order to lessen the time it takes. Lastly, make the change in speed automatic since these system
is in manual operation.
Keywords: Fan Laws, LPU Cavite, Manometer, and System Trainer

will not only help the students, but also the
instructors.
The general scope of the study is todevelop a system trainer for affinity laws of fans.
Step-pulley is used to connect the motor andblower. Manometer is used for the measurements.
It will also covers the creation of laboratory
manual for operation and evaluation of thesystem.
However, this study will not cover theinternal circuit design of the motor and blower
and other parameters that are not mentioned in
the scope of the study.

INTRODUCTION

Fan Laws are rules governing fan
performance such as flow rate of fluid, head(pressure), and power. It can help in determining
thealternate
performance
criteriaordevelopment of a fan. According to da Cunha,
Strack, and Stricker (2008), Fans that are oversized
for their service requirements do not operate attheir best efficiency points.
Studying these laws are difficult tounderstand without experimenting the actual
process happening in a fan system. Thus, theories
and formulas may not be enough to fully
understand the subject matter. With this problem,
the researchers thought of having a system trainerof these laws that can be easily use by students. It

584

One end of the tube is connected with a gastight seal to a test pressure source. The other endof the tube is left open to the atmosphere and will
therefore be subjected to a pressure of
approximately 1 atmosphere (atm). If the test
pressure is greater than the reference pressure of
1 atm, the liquid in the test column is forced down
the column. This causes the fluid in the reference
column to rise by an equal amount.

LITERATURE REVIEWUse of the fan laws is based on a fixedsystem and a non-modified fan. Adding ordeleting system components such as dampers, orincurring density changes, will create completely
new system curves. Changing fan accessories suchas inlet boxes, evases, or inlet dampers will alter
the fan’s performance curve from standard. Thesevariables must be considered before the fan laws
can be applied.
During the process of system design, thefan laws can be helpful in determining alternate
performance criteria or in developing aminimum/maximum range. If safety factors areapplied to system calculations, it should berecognized that a 10% factor on volume will resultin an increase in horsepower of 33% according to
the third fan law. An evaluation should be madeweighing the necessity of the safety factor versus
the cost penalty incurred.

METHODOLOGY

Research Design
This study requires gathering of relevant
data from the specified documents and compilingdatabases in order to analyze the material and toarrive to deeper understanding of Fan Laws. The
researchers produced a trainer for fan laws thatcan be used to fully understand it.
Time and Place of the Study
The duration of the study is from the firstsemester to second semester of the Academic
year 2015-2016. The study was done mainly in
Lyceum of the Philippines University – Cavite andin some parts of Cavite.

A manometer may be any device thatmeasures pressure. However, unless otherwise
qualified, the term "manometer" most often
refers specifically to a U-shaped tube filled withfluid. This type of manometer can be easily built
as part of a laboratory experiment to demonstrate
the effect of pressure on a liquid column.
1. Construction
A simple manometer can be built by partiallyfilling a clear plastic tube with a colored liquid toallow the fluid level to be easily observed. The
tube is then bent into a U-shape and fixed in an
upright position. The levels of the fluid in the twovertical columns should be equal at this point, as
they are currently exposed to the same pressure.
This level is therefore marked and identified as
the zero point of the manometer.
2. Measurement
The manometer is placed against a measured
scale to allow any difference in the height of thetwo columns. This height differential can be useddirectly to make relative comparisons between
different test pressures. This type of manometercan also be used to calculate the absolutepressure when the density of the liquid in the
manometer is known.
3. UseData Gathering Procedure
Gathering of data is a very importantfactor on creating the system in order todetermine the efficiency and evaluation of thesystem. In this study, the researchers gathereddata by manual measurement throughmanometer since it is the first trainer to be
developed with the Fan Laws System. Aftermeasuring, the data collected were tabulated andused the available formulas related to Fan Laws
such as Fan Speed Variation formula and pressure
head in order to evaluate the system.
Project System Development
The system trainer for fan laws has six
components. These six components will worked
together in order to show the rules in fan laws. In
order to have a high efficiency of the system,
proper connections of the components must be
considered.

585

1. Designing of the Trainer. This study
includes the designing of components
to be used such as connection of
motor and blower in order to work,
diameter of step-pulley, and size ofbelt.
2. Working Principle. The motor andblower are connected by the used ofstep-pulley. The blower is connected
a ducting/piping system withmanometer
installed.
The
manometer is responsible for themeasurements.
3. Operation and Testing Procedures.
After the construction of the system,
it is important to test whether thecomponents of the system are ingood condition before its installation,
maintenance, adjustment, or repair.
The connections must be checked
whether it is properly installed and ingood working condition

220V, 1100W, 60Hz, 1.5 HP,
10.8A, 1740 rpm.
Specifications of Belt:• Mitsuboshi Automotive Belt B –40•

Evaluation Procedure
The system is evaluated with the use of
the Fan Speed Variations since the speed is varied,
constant fan size, and constant density. The
methodology of fan performance assessment will
be used in order to assess the efficiency of fan.
But before fan efficiency be calculated, theresearchers measured different parameters
including air velocity, pressure head, temperatureof air stream on fan side and electric motor kW. In
order to obtain correct operating figures it should
be ensured that the Fan and its components areoperating properly at its rated speed andoperations are at stable conditions.
Figure 4. Fabrication of Step-pulley and Blower

RESULTS AND DISCUSSION

The blower and step-pulley were
fabricated. As mentioned by the fabricator, Mr.
Junar, the step-pulley’s diameters are, 2,3,4,5 in.
The blower was fabricated by introducing a shaft
at center since most of the blowers are alreadyconnected with motor.

Presentation of Projecta. Designing of Components
The motor to be used by the researchers was
acquired on an available catalogue for motors.
Specifications of Motor:• Mindong Electric Capacitor Start
Motor Type YC90L-4

For the size of Pipe, the researchers aregoing to use the Equal-Friction method. This

586

Steps of Fan Performance Assessment:

method is very useful in computing the pipe
specifications.
Material: Sheet Metal Circular Pipe
Assign the following:a. Length of Ductb. Temperature of Air

1. Gas Density = 273x1.293/273+21.3 =1.199
2. Average Velocity = 0.85x√2x9.81x322.59x1.2041/1.2041 = 61.63
m/s

0.25 m20oC

Step 1. Find the Pressure Drop
Velocity, V = 13.88 m/s
Viscosity and Density

3. Volumetric Flow = 61.63 m/s xπ(0/0.0762)2/4 = 0.28 m3/s
4. Fan Mechanical Efficiency = (0.28x
322.59/102x1.1)x 100 = 80.50%

Look for Table 6-2 in Refrigeration(Stoecker, 1983) for Viscosity and Density of Dry
Air at Standard Atmospheric Pressure. At 20oC,
Viscosity µ = 18.178 µPa
Density= 1.2041 kg/m3
Reynold’s Number
Re = VDp/µ
Re = [(13.88 m/s) x (0.0762 m) x (1.2041
kg/m3)]/18.178 µPa
Re = 140, 500

TABLE 1. Methodology of Fan Performance
Assessment

Look for Table 6-1 in Refrigeration(Stoecker, 1983) for Absolute Roughness of Some
Surfaces. Roughness of Sheet metal = 0.00015 m
so, Relative Roughness Ɛ/D = 0.0005 m. From
Moody Chart Fig. 6-1, look for the friction factor.
Friction factor = 0.0195
Pressure Drop = f (L/D) (V2/2) p

Fan
Speed
Ratio

Air
Velocity
m/s

T air
Fan
side
oC
21.3
21.3
21.3

Motor
kW

17.36
9.26
5.21

PressureHead(in ofwaterx249.1)
3.25 = 809.58
0.95 = 236.65
0.4 = 99.64

4350
2320
1305
696

2.78

0.58 = 144.48

21.3

1.1

1.1
1.1
1.1

TABLE 2. Efficiency of Various Fans

Pressure Drop = (0.0195) x (1m/0.0762m) x(13.882m/s/2) x (1.2041kg/m3)
Pressure Drop = 59.36 Pa/m
Step 2. Compute for equivalent length of all runs
Since the design is just a straight duct, theequivalent length is equal to 0.25m.
Step 3. Divide the available pressure drop by theequivalent length59.36m/0.25 m = 237.45

Based on the table provided by BEE India
2004, for the efficiency of fan, the researchers fanused is on the peak efficiency range since theresearchers used Backward Curved centrifugal fan.
It means that the used is efficient enough for thesystem.

Step 4. Size of Pipe
For the size of Pipe, use Fig. 6-2 inRefrigeration (Stoecker, 1983). In the design, thedimension of the Pipe to be used is 3 in diameter.

587

Evaluation of the System

TABLE 5. Data gathered from testing 2320 vs 1305

The researchers used the formula toevaluate the system since the speed varies, andhave constant fan size and density.
TABLE 3. Values computed to be used forevaluation

Speed(N 2 /N 1 )24350 vs 2320

0.2842320 vs 1305

0.3161305 vs 696

0.284

4350 vs 2320

Head
H1

H2

Fully – Open (3)

1

3.5

2
2.25
1.5
0.75
Fully - Closed

Mano
meter

Head
H1

H2

Fully – Open (3)

1

1

2
2.25
1.5
0.75
Fully - Closed

TABLE 4. Data gathered from testing. 4350 vs
2320
Mano
meter

2320 vs 1305

H 2 /H 1(N 2 /N 1 )

1

0.286

0.284

3

0.9

0.3

0.284

1

5.2

1.5

0.288

0.284

2

5

1.4

0.28

0.284

1

5.7

1.6

0.28

0.284

2

5.5

1.5

0.28

0.284

1

5.8

1.6

0.276

0.284

2

5.6

1.6

0.286

0.284

1

6

1.7

0.283

0.284

2

6

1.7

0.283

0.284

H 2 /H 1(N 2 /N 1 )2

0.3

0.3

0.316

0.9

0.3

0.3

0.316

1

1.5

0.5

0.3

0.316

2

1.4

0.45

0.32

0.316

1

1.6

0.5

0.313

0.316

2

1.5

0.5

0.3

0.316

1

1.6

0.5

0.313

0.316

2

1.6

0.5

0.313

0.316

1

1.7

0.55

0.32

0.316

2

1.7

0.55

0.32

0.316

TABLE 6. Data gathered from testing 1305 vs 696

2

Head

1305 vs 696

Manome
ter

H1

H2

H2/
H1

(N 2 /N 1)2

Fully – Open (3)

1

0.3

0.08

0.27

0.284

2

0.3

0.08

0.27

0.284

1

0.5

0.14

0.28

0.284

2

0.45

0.13

0.29

0.284

1

0.5

0.14

0.28

0.284

2

0.5

0.14

0.28

0.284

1

0.5

0.14

0.28

0.284

2

0.5

0.14

0.28

0.284

1

0.55

0.15

0.27

0.284

2

0.55

0.15

0.27

0.284

2.25
1.5
0.75
Fully - Closed

Table 4, 5, and 6 show that the headgathered and computed were almost equal to thesquare of the speed. There are somediscrepancies, it is because of how manometers
were installed and how the researchers gathered
the measurements. Calibration is really an
important factor for the system to be moreaccurate. Therefore, the values gathered were agreat evidence that it is possible to develop thesystem since the values were near to the actual
value.

Table 3 shows the value to be considered
in order to evaluate the system that came fromthe formula. The formula states that the Head 2
over Head 1 should be equal to the square of
Speed 2 over Speed 1.

588

CONCLUSIONREFERENCES

The fans operate under a predictable setof laws concerning speed, power and pressure. Achange in speed of any fan will predictably change
the pressure rise and power necessary to operate
it at the new speed.

BOOKS
Bureau of Energy Efficiency (BEE), Government ofIndia.
Energy Efficiency Guide Book, chapter 5, p 93-112.
2004
Department of Energy, Mines, and Resources.
Fans and Blowers. Ontario, Canada.
Fantech. (2008). Fan Laws.
McPherson M,J. (n.d). Fans.
Miller, R. W. 1996. Flow Measurement
Engineering Handbook.3rd
Ed. McGraw-Hill Book Co., New York, N.Y.
Pruftechnik LTD. (2002). A Practical Guide to
Pulley Alignment. 4th
Ed. Ludeca Inc. Florida, USA.
JOURNALS
Daly W., (1992). Practical Guide to Fan
Engineering. Woods of Colchester.
Ellison G. (1995, October). Fan cooled Enclosure
Analysis Using First Order Method, Electronics
Cooling.
Turner M., (1996, May). All you need to know
about Fans. Electronics Cooling.
MANUALS
da Cunha I., Strack, T., Stricker, S. (2008). CEATIInternational Corp. Fans and Blowers: Energy
Efficiency Reference Guide. Ontario, Canada.
Dwyer Instruments Inc. (2010). Inclined andVertical Stationary
Manometers. Michigan City, USA.
USBR. 1996. Flow Measurement Manual. Water
Resources
Publications, LLC. Highlands Ranch Co.
INTERNET
Canadian Blower. Industrial Fans and Blowers,
Retrieved fromwww.canadianblower.com/blowers/index.html
FanAir Company, Product Presentation.
Retrieved fromwww.fanair.com/products.pdf
Ganasean, Indian Institute of Technology. Fans,
Pumps andCompressors
Northern Industrial Supply Company (NISCO),
Products – Fans and Blowers, New York Blowers.
Retrieved from www.nisco.net/nyb.html

The researchers able to design andconstruct a system that will incorporate Fan Laws
and it was justified by the evaluation conducted.
The evaluation was done with the use of the Third
Fan Law Equation which is H 2 /H 1 = (N 2 /N 1 )2
Based on the evaluation, the systemdeveloped was efficient enough because themeasured value is almost equal to the computed
value as stated on the equation given. It is also
concluded that the variation on speed will have ahuge contribution on these laws. Added to that,
there are many options to be considered in order
to increase the efficiency of fan laws system.
RECOMMENDATIONThe researchers recommend to use otherparameters by trying other variations that can beachieved by studying more about Fan Laws inorder to develop the system more efficiently. It isalso recommended to use other measuring
equipment such as Pitot tube, or other kind of
Manometers like Differential Manometer andInclined Manometer, since the researchers havealready used a U-tube manometer that is themost basic type of manometer, in order to have aprecise and accurate measurements. It is also
recommended to have a different designs for thepipe in order to have a different measurements
and to show more accurate Fan Laws.
Design a more presentable table that canlessen the vibration. Put key way on the steppulley in order to lessen the vibration. Try to
improve the way of changing the belt in order tolessen the time it takes. Lastly, make the change
in speed automatic since these system is inmanual operation.

589

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

RESOURCE USAGE PREDICTION BASED ON ARIMA-ARCH MODEL
FOR VIRTUALIZED SERVER SYSTEM

Biju R Mohan1, and G Ram Mohana Reddy2
1,2
Department of Information Technology,
National Institute of Technology Karnataka.Mangalore,Karnataka 575025, India

ABSTRACT
Performance degradation is unavoidable in server systems and this is because of factors such as shrinkage ofsystem resources, data corruption, and numerical error accumulation. The resource shrinkage leads to the system
failure due to the error propagation. Thus the resource prediction is useful to the administrator of the system sothat an accidental outage can be avoided. It has been observed in past that most of the failures occur due to theexhaustion of free physical memory, so here free physical memory of a server consolidation setup is observed. It
is also found that most of the studies in this direction were using the measurement-based approach with timeseries models for prediction. This paper reviews the effectiveness of such models and it examines whether
volatility is present in the data or not. It checks whether Gauss-Markov assumptions about homoscedasticity
holds good for the ordinary least square estimators of such models or not. This paper applies a combination of
AutoRegressive Integrated Moving Average - AutoRegressive Conditional Heteroskedastic (ARIMA-ARCH)
model to predict resource usage. Experimental results demonstrate that the goodness of fit of the ARIMA-ARCH
Model has improved when compared to the linear ARIMA model.
Keywords: Cloud Computing; Performance Degradation; Resource Exhaustion; Server Consolidation; ARIMAARCH Model

1. INTRODUCTION

dynamic in nature. The dynamic nature of
allocating resources in server virtualized system
makes resource prediction more challenging.
There are two types of server virtualization
which are most commonly used, the first one is
the full virtualization and the second one is theparavirtualization. The full virtualization is
popular among both because it offers better
isolation and security for VMs, and simplifies
migration and portability. Another advantage isthat full virtualization avoids the extra layer of
abstraction as in the case of paravirtualisation.

Resource usage prediction is essential in aserver virtualized system because Virtual
Machines (VMs) use resources on demand. The
other reason why resource prediction isimportant because of the progressive
performance degradation of long running server
systems. Performance degradation is due tooperating system's resource shrinkage [4] .The
most common causes for performancedegradation include memory resource leakages,
file descriptors which are not released anderrors which occur during numericalapproximation. From [1,2,3] , it is found thatmemory exhaustion contributes majorly to thesystem failure due to resource shortage. This is
the reason why the free available memory has
been chosen in the proposed work for thedetailed analysis of resource prediction.

It is common to use time series models to
predict the dynamic behavior of the resource
usage. The leading choices are linear models
like AutoRegressive (AR) models, Moving
Average (MA) models, AutoRegressive Moving
Average(ARMA)
and
AutoRegressive
Integrated Moving Average (ARIMA) models.
These models are successful in places where
resource usage do not show nonlinear dynamic
patterns like asymmetry, frequency amplitudedependence and volatility clustering. In thispaper, resource usage data shows volatility
clustering both at the beginning and at theHere a virtualized server system is used tocollect the free available memory. The reason
for selecting server virtualized system is due tothe increased popularity of cloud computing,and the resource allocation in such system is590

SEE-Osaka, Japan, Nov. 21-23, 2016beginning and at the end of system's lifetime.
This dynamic nature of the data prompted us to
use volatility model for resource prediction.

by integrating the goodness of the above studies.
The main lacuna in this paper is that it stands asa guideline rather than as an effective
methodology. The results for call availability
prediction of an industrial telecommunication
system were presented at the end of the paper.
The paper did not discuss the adequateness ofthe model for the results presented.
Yongquan Yan et al.[7] proposed a hybrid
model that combines autoregressive integrated
moving average (ARIMA) and artificial neuralnetwork (ANN) to improve the prediction
accuracy of resource consumption of an IIS
web server which suffered from software aging
problems. Their assumption was that the error
term was nonlinear in nature and they used the
ANN to model it. This paper did not discuss the
goodness of the fit for the linear component
using ARIMA model and further authors did
not throw light on the residual analysis.
Araujo et al. [8] proposed a method which
depends on multiple thresholds for ensuring asafe scheduling of rejuvenation actions. Thismethod ensured that there will be minimal
interference on system’s performance due totime series computation. The experiments wereconducted using the Eucalyptus cloudcomputing framework and thus they proved theefficacy of the method. The time series trend
analysis was done and compared actual virtual
memory utilization with the predicted results.
But their study did not consider the nonlinearity in the data.
Simeonov and Avresky [9] presented aframework, which is used for identifying
anomalies that lead servers to crash. Further
authors theoretically justified their proposed
framework. The experimental validation did notconsider the model adequacy. Matias [10]presented a full factorial design of experimentto predict the factors which were mostinfluential on apache web servers aging. They
found that page type and page size are theprimary causes for the memory size variation in
httpd processes. Further, no specific model was
been discussed by the authors.

The major contribution of the paper lies in thefact that it is the first work on using
AutoRegressive Integrated Moving Average AutoRegressive Conditional Heteroskedastic(ARIMA-ARCH)
model to analyze theresource usage data of any system. Most of theprevious work in this area using the time seriesmodel never considered the heteroscedastic
nature of data or the clustered volatility of thedata which is prevalent. Another worth point to
be noted is that no such study has happened
before on the server consolidated system. The
proposed model has reduced prediction error 55
times when compared to ARIMA model.
2. RELATED WORK

Next paragraphs discusses the merits anddemerits of the previous work in this area. It isclear that none of the works in this area studied
about the volatility and structural change of thedata. Moreover, the Gauss-Markov assumptions
about Ordinary Least Square (OLS) estimators
have violated in many cases.
Lei Li et al. [5] used time-series analysis
methods for identifying software performance
deterioration. Apache web server system, aLinux system status monitoring tool, and a web
server workload generator were used in theExperiment. Linear Regression and Sen's slope
estimation methods were used to detect anaging trend. An autoregressive exogenous(ARX) model was used to estimate the usage ofsystem resources and the result is comparedwith a linear regression model's estimation. The
non-linear nature of the data was not taken into
consideration. The goodness of fit of the ARX
model was not discussed in this paper.
Hoffmann et al. [6] integrated the best practices
from the experiences of two different studies;the first study was on how the selection ofvariables contributes more to model quality
than selecting a particular modeling technique.
In the second study, they compared five linear
and non-linear models and found that thesuperiority of non-linear model was not always
significant while comparing the model
complexity. They proposed a coherent approach

It is clear from the related work that the mostpopular model among the researchers studying
the resource exhaustion is time series models.
The reason is quite obvious because theresource utilization is collected against the time
which forms a time series. It is surprising that591

SEE-Osaka, Japan, Nov. 21-23, 2016none of the authors considered the clusteredvolatility generally prevalent in such data.

3.1 ARIMA Modeling
ARIMA(p,q,d) (Autoregressive Integrated Moving
Average with orders p,d,q) is used as the mean
process. The ARIMA(p,q,d) can be represented as in
Eq. (3)

3. PROPOSED METHODOLOGY

The major problem identified during theliterature survey is that none of the previous
works try to address the volatility in the system
resource data. This study focuses on modelingvolatility in the time series data. The structureof the volatility model can be described as
𝑥𝑥𝑡𝑡 = 𝜇𝜇𝑡𝑡 (𝜃𝜃) + 𝜀𝜀𝑡𝑡
𝜀𝜀𝑡𝑡 = 𝜎𝜎𝑡𝑡 𝑧𝑧𝑡𝑡
Where𝜇𝜇𝑡𝑡 (𝜃𝜃) = 𝐸𝐸[𝑥𝑥𝑡𝑡 | 𝐹𝐹𝑡𝑡−1 ],2
𝜎𝜎𝑡𝑡2 (𝜃𝜃) = 𝐸𝐸 ��𝑥𝑥𝑡𝑡 − 𝜇𝜇𝑡𝑡 (𝜃𝜃)� | 𝐹𝐹𝑡𝑡−1 �,𝒑𝒑

�𝟏𝟏 − � ∝𝒌𝒌 𝑩𝑩𝒌𝒌 � (𝟏𝟏 − 𝑩𝑩)𝒅𝒅 𝑿𝑿𝒕𝒕
𝒌𝒌=𝟏𝟏

𝒒𝒒

= �𝟏𝟏 + � 𝜷𝜷𝒌𝒌 𝑩𝑩𝒌𝒌 � 𝜺𝜺𝒕𝒕
𝒌𝒌=𝟏𝟏

(1)
(2)

(𝟑𝟑)

Where 𝑋𝑋𝑡𝑡 is the time series, ∝ and 𝛽𝛽 are theparameters/coefficients of autoregressive andmoving average terms with order p and q
respectively. 𝜀𝜀𝑡𝑡 are error terms generally
assumed to be independent, identically
distributed variables sampled from a normal
distribution with zero mean. 𝐵𝐵 is the difference
operator defined as follows by Eq. (4). Where dis the order of the difference operator.

𝑧𝑧𝑡𝑡 ~ 𝑁𝑁(0,1).

In Eq. (1), the time series 𝑥𝑥𝑡𝑡 is decomposed into
a conditional mean 𝜇𝜇𝑡𝑡 (𝜃𝜃) and a residual term 𝜀𝜀𝑡𝑡 .
The conditional mean 𝜇𝜇𝑡𝑡 (𝜃𝜃) may be an
ARIMA(p,d,q) where p is the order of theautoregressive terms, d is the order ofdifferencing and q is the order of moving
average terms. 𝐹𝐹𝑡𝑡 is the set of information
available at time t. It may include the current
and past values of 𝑥𝑥𝑡𝑡 , current and past values of
the residuals or any other variable known attime t. According to Eq. (2) , the residual term
𝜀𝜀𝑡𝑡 has a volatility conditional on theinformation available at time t-1 denoted by 𝜎𝜎𝑡𝑡 .
𝜃𝜃 is a vector of unknown parameters. The
variable 𝑧𝑧𝑡𝑡 follows normal distribution withmean zero and variance one. The overall
structure of the proposed methodology is shownin Fig. 1.

∆𝑿𝑿𝒕𝒕 = 𝑿𝑿𝒕𝒕 − 𝑿𝑿𝒕𝒕−𝟏𝟏 = (𝟏𝟏 − 𝑩𝑩)𝑿𝑿𝒕𝒕(𝟒𝟒)

The overview of the statistical analysis isgiven by the flowchart as shown in Fig 2.

Fig. 1. Overall structure of Proposed Methodology
Fig. 2. The flowchart for ARIMA Conditional Mean Modeling .

592

SEE-Osaka, Japan, Nov. 21-23, 2016

In order to find the series is stationary or not,the autocorrelation of the series has to be foundout. Autocorrelation, also known as serial
correlation, is the cross-correlation of a signal
with itself. Informally, it is the similarity
between observations as a function of the timelag between them. It is a mathematical tool forfinding repeating patterns, such as the presenceof a periodic signal obscured by noise, or
identifying the missing fundamental frequency
in a signal implied by its harmonic frequencies.
It is often used in signal processing foranalyzing functions or series of values, such as
time domain signals.
The autocorrelation between time 𝑋𝑋𝑡𝑡 and𝑋𝑋𝑡𝑡+𝜏𝜏 is given by the Eq. (5). Where 𝑋𝑋𝑡𝑡 and 𝑋𝑋𝑡𝑡+𝜏𝜏
are the time series with lag τ . µ is the mean of
the population. 𝜎𝜎𝑋𝑋𝑡𝑡 , 𝜎𝜎𝑋𝑋𝑡𝑡+𝜏𝜏 are standard
deviations at the time t and t + τ . 𝜌𝜌𝑘𝑘 is the
autocorrelation at lag ksquare estimators are commonly used toestimate the parameters.
For Model selection, three measures ofgoodness are used Akaike information criterion(AIC),
Akaikeinformation
criterion
corrected(AICc), Bayesian information criterion(BIC) [12]. The Akaike information criterion(AIC) deals with the trade-off between the
goodness of fit of the model and the complexityof the model. It offers a relative estimate of theinformation lost when a given model is used torepresent the process that generates the data.
AIC does not provide a test of a model in thesense of testing a null hypothesis; i.e. AIC cantell nothing about the quality of the model in an
absolute sense. Given a set of candidate models
for the data, the preferred model is the one withthe minimum AIC value. The Eq. (7) gives the
AIC measure.
(7).
𝐴𝐴𝐴𝐴𝐴𝐴 = 2𝑘𝑘 − 2 ln(𝐿𝐿)
Where k is the number of parameters and L
is the maximum value of the likely hoodfunction. Given a set of candidate models forthe data, the preferred model is the one with theminimum AIC value.
AICc is AIC with a correction for finite
sample sizes given by the Eq. (8) where n is the
sample size.
2𝑘𝑘(𝑘𝑘 + 1)
(8).
𝐴𝐴𝐴𝐴𝐴𝐴𝑐𝑐 = 𝐴𝐴𝐴𝐴𝐴𝐴 +𝑛𝑛 − 𝑘𝑘 − 1
Bayesian information criterion (BIC) or
Schwarz criterion (also SBC, SBIC) is acriterion for model selection among a finite setof models. It is based likelihood function and it
is closely related to the Akaike information
criterion (AIC). Both BIC and AIC resolve thisproblem by introducing a penalty term for thenumber of parameters in the model; the penalty
term is larger in BIC than in AIC. BIC is givenby the Eq. (9).

𝐸𝐸 [(𝑋𝑋𝑡𝑡 − 𝜇𝜇)(𝑋𝑋𝑡𝑡+𝜏𝜏 − 𝜇𝜇)](5).
𝜎𝜎𝑋𝑋𝑡𝑡 𝜎𝜎𝑋𝑋𝑡𝑡+𝜏𝜏The sample estimate 𝑟𝑟𝑘𝑘 of the same is given
by Eq. (6). X s the sample mean and 𝑁𝑁 is thenumber samples
1 𝑛𝑛−𝑘𝑘∑𝑡𝑡=1 (𝑋𝑋𝑡𝑡 − 𝑋𝑋�)(𝑋𝑋𝑡𝑡−𝜏𝜏 − 𝑋𝑋�)𝑁𝑁
(6)
𝑟𝑟𝑘𝑘 =
1∑𝑛𝑛𝑡𝑡=1(𝑋𝑋𝑡𝑡 − 𝑋𝑋�)2
𝑁𝑁 − 1
From Fig. 2. it is clear that the first step is toplot the resource variable against time, this is tofind any unusual observations. The next step inthe flowchart is to plot the autocorrelation
function and partial autocorrelation function of
the resource usage data. This is to check
whether the resource usage data is stationary ornot. If the plot shows that data is non-stationary,
the non stationarity of the data has to be
confirmed. This is done by doing a unit root
test. Here augmented dickey fuller test[11] hasbeen used as unit root test. Once the series isproved to be non-stationary then the series isdifferenced. By looking at the autocorrelation
function (ACF) and partial autocorrelation(PACF) plots of the differenced series, one cantentatively identify the numbers of AR and/or
MA terms that are needed. Once the number ofautoregressive terms,
the number ofdifferencing and moving average terms are
decided, parameters of the model have to be
estimated. The maximum likelihood or least𝜌𝜌𝑘𝑘 =𝐵𝐵𝐵𝐵𝐵𝐵 = −2. ln(L) + 𝑘𝑘. ln(𝑛𝑛)

3.2 ARCH Modeling(9).

(ARCH)
Autoregressive
conditional
heteroskedasticity models are used tocharacterize and model time series. ARCH
models assume the variance of the current error
term or innovation to be a function of the actual
sizes of the previous time periods' error terms:
often the variance is related to the squares of593

SEE-Osaka, Japan, Nov. 21-23, 2016

the previous innovations. So an 𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴 (𝑝𝑝)assumes that the conditional variance 𝜎𝜎𝑡𝑡2 (𝜃𝜃) is alinear function of the past p squared innovations
where 𝜃𝜃 is a vector of unknown parameterswhich could be estimated by maximum
likelihood estimators. 𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴 (𝑝𝑝) is given by Eq.
(10).

memory space, and 10 GB Hard disk space.
The esxtop command has been used to collectthe information about CPU usage, swap in andswap out rate, interrupts, context switches,
network statistics and power usage. In thisexperiment, the memory statistics alone has
been used for further analysis. In thisexperiment, httpref tool is used in order togenerate requests with constant time intervals
between two requests. Each request accesses
one specified file of size 5kb from the server.
httpref is used not only as a workload generator
but also used as a performance measuring tool.

𝛔𝛔𝟐𝟐𝐭𝐭 (𝛉𝛉) = 𝛚𝛚 + 𝛂𝛂𝟏𝟏 𝛆𝛆𝟐𝟐𝐭𝐭−𝟏𝟏 + ⋯ + 𝛂𝛂𝐩𝐩 𝛆𝛆𝟐𝟐𝐭𝐭−𝐩𝐩 = 𝛚𝛚 +∑𝐩𝐩𝐢𝐢=𝟏𝟏 𝛂𝛂𝐢𝐢 𝛆𝛆𝟐𝟐𝐭𝐭−𝐢𝐢 (𝟏𝟏𝟏𝟏).

According to Eq. 10., the conditional volatility
is assumed as moving average of squared
innovations 𝜺𝜺𝟐𝟐𝒕𝒕 . For the model to be welldefined and the conditional variance to bepositive, the parameters must satisfy thefollowing constraints: 𝝎𝝎 > 𝟎𝟎, and 𝜶𝜶𝒊𝒊 ≥ 𝟎𝟎, 𝒊𝒊 =𝟏𝟏, ⋯ , 𝒑𝒑 . The unconditional variance ofinnovation, denoted by 𝝈𝝈𝟐𝟐 , is the unconditional
expectation of 𝝈𝝈𝟐𝟐𝒕𝒕 : 𝝈𝝈𝟐𝟐 = 𝑬𝑬�𝜺𝜺𝟐𝟐𝒕𝒕 � = 𝑬𝑬�𝝈𝝈𝟐𝟐𝒕𝒕 �. It can𝝎𝝎.
be easily shown that 𝝈𝝈𝟐𝟐 =𝒑𝒑

The memory reclamation techniques[13] inVMware ESXi 5.0.0 like Transparent page
sharing(TPS),
Ballooning,
Hypervisor
swapping, and Memory compression has beenenabled to increase the dynamicity of theresource allocation, thus making resource
prediction more challenging. Transparent page
sharing reclaims memory by removing
redundant pages with identical content whileballooning reclaims memory by artificially
increasing the memory pressure inside the guest.
With memory compression, ESXi stores pages,
which would otherwise be swapped out to disk
through host swapping, in a compression cache
located in the main memory. Memory
compression outperforms host swapping
because the next access to the compressed page
only causes a page decompression, which canbe an order of magnitude faster than the disk
access. In the cases where ballooning,transparent page sharing, and memory
compression are not sufficient to reclaim
memory, ESXi employs hypervisor swapping toreclaim memory. Hypervisor swapping is aguaranteed technique to reclaim a specificamount of memory within a specific amount oftime. However, hypervisor swapping is used asa last resort to reclaim memory from the virtual
machine due to limitations on performance.

𝟏𝟏−∑𝒊𝒊=𝟏𝟏 𝜶𝜶𝒊𝒊

This shows that the process 𝜺𝜺𝒕𝒕 is covariancestationary only when sum of the autoregressive𝒑𝒑
terms less than one, i.e., ∑𝒊𝒊=𝟏𝟏 𝜶𝜶𝒊𝒊 < 𝟏𝟏.
4. RESULT ANALYSIS

The resource usage data collected from theexperimental setup discussed below is analyzed
here. The free physical memory and swap read
and write rates are the main focus because theseresources are major indicators of performancedegradation.
4.1 Experimental Setup and Data Collection

Experiments were done on an HP ProLaint
ML350 G6 machine, it has two processors with
6 cores in each processor. It has 24 logicalprocessors (when hyper threading enabled).
This Intel Xeon architecture processors work at
the speed of 2.40 GHz. 1 TB hard disk and 16
GB physical memory capacity are available forthe machine. The machine has 2 NIC cards toeffectively manage the network traffic.
VMware ESXi 5.0.0 is used as thehypervisor/Virtual Machine Monitor (VMM) in
this experimental setup. This VMM belongs totype 1 VMM or this is a bare metal Hypervisor.
25 virtual machines have loaded on top of thehypervisor. Virtual machines (VMs) use
Ubuntu 14.10 as the operating system. Each
VM is configured with 4 vCPUs, 1 GB physical

4.2 Analysis of Resource Utilization
Fig. 3. shows the time series plot of freephysical memory over a period of time. The
data is collected over a period of 10 days withthe time interval of 30 minutes.

594

SEE-Osaka, Japan, Nov. 21-23, 2016

Fig. 3. Free Physical memory collected over a period of 250 hours.

Fig. 6. Swap Mbytes Writes per Second against TimeThe memory over commitment during thisperiod is kept as 4.11. The Memory
Overcommitment during this period is shown as
in Fig. 4. The memory overcommit is given by
the Eq. (11). Where N is the number of VMs
switched on and 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸 is the total host
VMware Esxi memory.
∑𝑁𝑁
𝑖𝑖=1 𝑚𝑚𝑚𝑚𝑚𝑚𝑚𝑚𝑚𝑚𝑚𝑚𝑚𝑚
𝑚𝑚𝑚𝑚𝑚𝑚𝑚𝑚𝑚𝑚𝑚𝑚𝑚𝑚𝑚𝑚𝑚𝑚𝑚𝑚𝑚𝑚𝑚𝑚𝑚𝑚𝑚𝑚𝑚𝑚𝑚𝑚 =. (11)
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸

The huge swap read and write rates at 245thhour shows the free physical memory has
shrunk to a level, where the virtualized server
system has forced one or more VMs to virtual
space of the hypervisor. This forced the system
to fail, so this point is considered as the failure
point of the setup.
4.3. ARIMA Mean Modelling
The resource which is most vulnerable interms of the crash is free physical memory
because the system mainly crashes/hangs due tothe memory leakage. So here the variablechosen for time series analysis is free physicalmemory. In order to find the series is stationary
or not, the autocorrelation of the series has to befound out. Fig. 7. shows the Autocorrelogram
plot of Free Physical Memory against Lag.

It is clear from the Fig. 3. that at the 245thhour the Free Memory has increased from 1900
Mbytes to 14000 Mbytes. From Fig. 4., there isa clear indication that the Memory
Overcommitment (15 Minutes Average) has
decreased from 4.11 to zero, which clearlyshows that some VMs or all VMs has beenswitched off and swapped into the secondary
memory. It clearly gives an indication ofthrashing. For further investigation swap read
and write rates are plotted against time.

Fig. 7. Autocorrelogram of Free Physical Memory
Fig. 4. Memory Overcommit (15 Minutes Average) plottedagainst time

It is clear from the Fig. 7. that all the values up
to 25 lags are significant or above thesignificant band. This indicates a possibility of
nonstationarity in the series which has been
confirmed by the augmented dickey fuller test.
The augmented dickey fuller test confirms there
is no statistical evidence that series is stationary.
That means the series is nonstationary.

Fig. 5. and Fig. 6. gives swap read and write persecond respectively.

Before differencing the series, the partial
autocorrelation function has to be obtained. In
time series analysis, the partial autocorrelation

Fig. 5. Swap Mbytes Read per Second against time595

SEE-Osaka, Japan, Nov. 21-23, 2016

function (PACF) plays an important role inidentifying the extent of the lag in an
autoregressive model. The use of this function
was introduced as part of the Box–Jenkins
approach to time series modeling, whereby
plotting the partial autocorrelative functions one
could determine the appropriate lags p in an AR(p) model or in an extended ARIMA (p,d,q)model. Fig. 8. shows PACF of Free Physicalmemory.

ARIMA(2,1,0)7742.27

7643

7543

ARIMA(1,1,0)7739.277132.17564.1

ARIMA(1,1,1)7742.277432.17432

ARIMA(1,0,0)7732.76

7432

7679

ARIMA(0,0,1)

8598

8432.18564

4.4 ARCH Modelling

Analysis of residuals from the fitted model
gives a clue for modification. Here one modelwith less AIC values is selected for the analysis.
ARIMA(1,1,0) which is the best among theanalyzed models is selected for residual
analysis. Standardized residuals of this model
are plotted as shown in Fig. 9.

ACF and PACF slowly die down which gives a clear
indication of non-stationarity, So the time series has
to be differenced once. The ACF and PACF of thedifferenced series show no clues of non-stationarity.
The Augmented dickey fuller test was conductedagain on the differenced series, to know whether theseries is non-stationary or not. There is no statisticalevidence of non-stationarity in the time series.
From the ACF and PACF, ARIMA (0,1,1),
ARIMA(2,1,0),
ARIMA(1,1,0),
ARIMA(1,1,1),
ARIMA(1,0,0) are to be verified. These models arearbitrarily selected because the ACF and PACF
gives a clue that the series is random as there are no
significant terms in both ACF and PACF.

Fig. 9 Standardized Residual of ARIMA(1,1,0)

Fig. 9. shows that there is a huge variationin residuals, which is the indication ofheteroskedasticity. In order to test the normalityof the residual quantile-quantile plot is plottedfrom the residuals of ARIMA(1,1,0) model. Fig.
10. shows the quantile-quantile plot of theresiduals of ARIMA(1,1,0) model.
Fig. 10 clearly shows that the residual series
is not normal. It is clear from the Modeldiagnostics that the time series isheteroskedastic in nature.

Fig. 8 Partial autocorrelation function of free physical memory

To analyze the goodness of fit, threemeasures of goodness are used Akaike
information
criterion(AIC),
Akaikeinformation criterion corrected (AICc),
Bayesian information criterion (BIC). The
values of this measures are given as below inTable 1. It is clear from Table 1, that none of
the models fit the data well so the residuals of
the best available model i.e.; ARIMA (1,1,0) has
to be analysed.

Fig. 10 The Q-Q Plot of Residuals from ARIMA(1,1,0)
Table 1. The Goodness of Fit Measures
ARIMA Models.
Model

AIC

BIC

AICc

ARIMA(0,1,1)7740.269

7741

7752

The ARCH model has to be applied to theresiduals after fitting with a linear mean model.
In this case ARIMA(1,1,0) has been used as the596

SEE-Osaka, Japan, Nov. 21-23, 2016

series is heteroscedastic in nature. ARIMA
models are not suitable for predicting theresource usage and to predict time to exhaustionof the system. AutoRegressive Conditional
Heteroscedastic model has been used to model
the residuals of ARIMA mean process. Results
show that the goodness of fit has improved
roughly 1500 times. The clustered volatility atthe end and beginning of the time series showsthat a regime switching model is much apt forpredicting resources.

mean model. The next step is to obtain theorder of ARCH model. ARCH(p) model from p= 1 to 6 are considered to fit residual data, and
the AIC and BIC values of these models arelisted in the Table 2.
Table 2. The goodness of Fit Measures
ARCH Models.
Model

AIC

BIC

AICc

ARCH(1)5.08335.13825.0833

ARCH(2)5.08755.15185.0875

ARCH(3)5.48335.23825.4833

ARCH(4)

5.567

5.512

5.567

ARCH(5)5.58725.5231

5.5872

ARCH(6)5.59875.63855.5987

REFERENCES
1.

It is clear from the Table 2 that the
ARCH(1) has the best goodness of fit value.
The goodness of measure has improved 1548
fold roughly when compared to the
ARIMA(1,1,0) model. In order to check theaccuracy of prediction, Root Mean Square Error(RMSE) and Mean Absolute Error (MAE) of
ARIMA(1,1,0) and ARCH(1) Models arecompared as shown in the Table 3.

2.

3.

Table 3. Comparison of ARIMA and
ARCH Models.
Model
ARIMA(1,1,0)

RMSE
2051.62

MAE
1427.41

ARCH(1)

37.69

37.02

4.

ARCH(1) model has reduced the error by 55
times roughly when RMSE measure is taken into
consideration.

5.

CONCLUSION

The primary objective of the paper was toanalyze prediction models of the resource usage
in the server virtualized systems. Resource
prediction is essential in order to predict theTime to Exhaustion (TTE) in any system so thatthe administrator of the system could avoid anaccidental outage. It is also found that most of
the studies in this direction were using themeasurement-based approach with time seriesmodels for prediction. This paper reviewed theeffectiveness of ARIMA model and it examined
whether Gauss-Markov assumptions abouthomoscedasticity holds good for the Ordinary
Least Square estimators of such models. It isclear from the model diagnostics that the time

6.

7.

8.

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accelerated life tests to estimate time tosoftwareaging
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Yongquan Yan; Ping Guo; Lifeng Liu, "A
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Araujo, J.; Matos, R.; Maciel, P.; Vieira, F.;
Matias, R.; Trivedi, K.S., "Software
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Computing Infrastructure: A Method Basedon Time Series Forecasting and Multiple
Thresholds," in Software Aging andRejuvenation (WoSAR), 2011 IEEE Third
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9. D. Simeonov and D.R. Avresky. “Proactive
Software Rejuvenation Based on Machine
Learning Techniques,” Institute for
Computer Sciences, Social Informatics andTelecommunications Engineering, vol. 34,
pp. 186-200, 2010.
10. Matias, R.; Filho, P.J.F., "An Experimental
Study on Software Aging and Rejuvenationin Web Servers," in Computer Software andApplications
Conference,
2006.

COMPSAC '06. 30th Annual International,
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11. Elliott, G.; Rothenberg, T. J.; Stock, J. H.
(1996).
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Tests
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(2014), "Model selection for ecologists: theworldviews of AIC and BIC", Ecology 95:
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13. Understanding
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Management in VMware ESX Server
https://www.vmware.com/files/pdf/perfvsphere-memory_management.pdf

598

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

LIFE DATA ANALYSIS OF SERVER VIRTUALIZED SYSTEM
Biju R Mohan1, and G Ram Mohana Reddy2
1,2
Department of Information Technology,
National Institute of Technology Karnataka.Mangalore,Karnataka 575025, India

ABSTRACTThe use of reliability metrics and life data analysis has received considerable attention recently in thesoftware engineering literature. Life data analysis under the actual operational profile can, however, be
expensive, time consuming or even infeasible. In this paper, a systematic approach has been adopted in order toreduce the experimentation time for estimating time to failure of a server virtualized system. The study of time to
failure (TTF) is very essential in server virtualized system, because it is the crux of the cloud computing
infrastructure. In order to meet service-level agreements (SLAs) like availability, reliability and response time,
prediction of reliability metrics like mean time to failure (MTTF), life distribution etc are indispensable. The
most important contributions of this paper are the reduction of experimental time, and the life data analysis of theserver virtualized systems which were not addressed so far. Experimental results demonstrate that there is only
four percentage deviation from the observed results from the Normalized Root Mean Square Error and resulting
in 96% accuracy of predicting MTTF.
Keywords: Accelerated testing; Software reliability; Cloud computing; Server virtualised system; Life data
Analysis;
1. INTRODUCTION
In order to accelerate the failure time generally
two methods of acceleration are employed: usage
rate acceleration and overstress acceleration methods.
Usage rate acceleration is employed for the productthat does not operate continuously; one canaccelerate the time it takes to induce failures bycontinuously testing these products, this is calledusage rate acceleration. For products for which theusage rate acceleration is impractical, one can apply
stress at levels which exceed the levels that a productwill encounter under normal use conditions; this iscalled overstress acceleration. The time-to-failure
data obtained in this manner is used to extrapolate
the times-to-failure at operational/use conditions.
Server consolidation systems are built to run for alonger period of time so overstress acceleration isused in this caseLife data analysis involves analyzing times-tofailure (TTF) data obtained under the normal
operating conditions in order to quantify the life
characteristics of a product, system or component.
For many reasons, obtaining such life data (or timesto-failure data) may be very difficult or impossible.
The reasons for this difficulty can include the longlife times of today's products, the small time period
for testing products. In order to overcome thisdifficulty, reliability practitioners have attempted todevise methods to force these products to fail more
quickly than they would under normal
operational/use conditions. In other words, they haveattempted to accelerate their failures. Over the years,
the phrase accelerated life testing has been used todescribe all such practices. Accelerated life testing
involves the acceleration of failures with the purposeof quantifying the life characteristics of the productat normal operational/use conditions. Accelerated
life testing can be classified as: qualitative
accelerated testing and quantitative accelerated life
testing. Qualitative accelerated testing focuses on
identifying failures and failure modes whilequantitative accelerated life testing concentrates on
predicting the life of the product at normal
operational/use conditions. This paper concentrates
on quantitative accelerated life testing of server
virtualized system. To the best of our knowledge,
this is the first work on life data analysis of server
consolidated systems.

In life data analysis, life distribution of the system
under test (SUT) has to be determined from thefailure data. Once this probability density function
has been obtained, all other desired reliability results
can be easily determined. However, we face thechallenge of determining the use level probability
density function from accelerated failure data, rather
than from failure data obtained under use conditions.
To accomplish this there should be mechanism thatallows us to extrapolate from data collected ataccelerated conditions to arrive at an estimation ofuse level characteristics. In order to extrapolate thedata life stress models are used.
599

SEE-Osaka, Japan, Nov. 21-23, 2016

failure rate. This kind of study is very essential inserver consolidated systems which helps the systemadministrators to avoid the unnecessary outages.
Due to the long operational life of the server
consolidated such a study is difficult, hence in thispaper, an accelerated life testing has been adopted toreduce the experimentation time. This is the firsttime such an approach has been adopted in server
consolidation or server virtualized system. The
prediction of reliability metric like mean time to
failure helps the system administrator in turn topredict the time to rejuvenate and time for migrating
the virtual machines in the server consolidated
system.

Life data analysis has been done on many
platforms like Web Server, Operating Systems andEmbedded Systems. Recently, virtualized platforms
are getting more popular due to cloud computing
applications. Virtualization [10] can be viewed aspart of an overall trend in enterprise information
technology that refers to the act of creating a virtual(rather than actual) version of something, including
virtual computer hardware platforms, operating
systems, storage devices, and computer network
resources. The main goal of virtualization is tocentralize administrative tasks while improving thescalability [3]. Server virtualization is a technique by
which multiple servers are hosted on one physicalmachine. There are many advantages for server
virtualization as this technique increases the resource
utilization, makes the system highly available, easy
to administer, reduces the power usage, reduces theman power and it also reduces the spending on
physical infrastructure.

The rest of the paper is organized as follows.
Section 2 of this paper deals with the related work,
here similar works in the related domains arecompared. Section 3 discusses about how theacceleration in stress can be applied, what are theappropriate distributions for life data analysis and it
discuss about the different life stress relationships.
The experimental setup, the results of goodness of fitof different distributions and prediction of the meantime to failure at different stress levels are topics of
discussion in Section 4. Finally we conclude thepaper in Section 5.
.

2. RELATED WORK
Pengcheng Yin et al. [1] used support vector
machine (SVM) to predict the life of an electricmotor. Ten motors are chosen to perform accelerated
life testing at three different temperature levels. A
practical model is proposed in this paper to predictthe life of the items in accelerated life testing basedon support vector machine. Authors claimed that
reliability can be predicted accurately for small sizeof sample data, without using life stress models andthe specific life distribution types. This method iseasy to use and it has no prior assumptions of
distributions are major advantages; but it can beused only for small sample size.

Fig.1 (a)Fig.1 (b)Fig. 1(a),(b) Different types VMM ; Fig. 1 (a)Type 1 Hypervisor ; Fig.1(b) Type 2 Hypervisor
Server virtualization is developed on the softwarearchitecture known as virtual machine. Virtual
machine is concept by which underlying physicalarchitecture is hidden from upper layers by a layer of
abstraction. In server virtualization system ahypervisor or virtual machine monitor (VMM) will
be used to hide the underlying physical architecturefrom upper layers. The hypervisor is of two types,
Type 1 and Type 2. Type 1 (Bare Metal) VMM runs
directly on the physical machine to control the
hardware and to manage guest operating systems. In
Type 2 (hosted) VMM runs within a host operating
system. Fig. 1(a),(b) shows different types of VMMs.

Shuzhen Li et al. [2] adopted accelerated
degradation testing (ADT) to verify the reliability
and life of high-reliable, long-life product. In thispaper, a new degradation prediction method basedon Support Vector Machine (SVM) is proposed anddeveloped to predict time-to-failure of product. Thisprediction method is also compared with Back
Propagation Artificial Neural Networks (BPANN)
and regression methods to validate its effectiveness.
The paper concludes that, SVM gives better resultcompare to BPANN. This paper compared threemodels and suggested that SVM is better for given

The life data analysis is very essential as it helps
in making predictions about product life by “fitting”
a statistical distribution to life data from a
representative sample. This distribution can then be
used to estimate important life characteristics of yourproduct such as reliability or probability of failure ata specific time, the mean life for the product and600

SEE-Osaka, Japan, Nov. 21-23, 2016

data set. This paper never discusses about thescalability of the results in comparison withobserved results.

Tingting Huang et. al. [6] presented an optimum
design of constant stress accelerated life testing
based on proportional hazards-proportional odds
using penalized local D-optimality. It established theobjective function as the product of the Fisher
information matrix as defined in proportional
hazards-proportional odds model and penalty
functions which describe the closeness of theprobability density functions of two specified stresslevels. This optimum method avoids obtaining limit
stress levels of test planning using D-optimality forsome cases. The comparison of the optimization
results by D-optimality and penalized local Doptimality shows that optimization results using
penalized local D-optimality is more reasonable. It is
non parametric method, hence it does not require theprior knowledge about the data. Proportional
hazards-proportional odds model assumes data
follow weibull or lognormal distribution and thisassumptions may lead to erroneous results in somecases.

Matias et al. [3] applied accelerated degradation
test (ADT) on apache web server. The memory
consumed by httpd process has been assumed as
performance degradation factor. Design ofExperiment (DOE) factors used was page size, page
type and request rate. Page type signifies whether it
is static page or dynamic page. They consideredregular and high load factor for each parameters.
According to analysis, Page size and page typeinfluenced degradation, not the request rate.
Experiments are based on accelerated degradation
tests (ADT), which do not look for failure times;
instead degradation measure of a product's
performance has taken over time. Tests containing
dynamic requests forced the amount of memory usedby httpd processes to reach the limit of the total
main memory available. It forced the Linux kernel tothrashing. The main advantage is the reduction of
the experimental time, but the results are notcompared with observed ones.Further Matias et al[4] proposed and evaluated the use of quantitative
accelerated life tests (QALT) to reduce the time toobtain the lifetime distribution of systems that faildue to software aging. This approach has
experimentally estimated the lifetime distribution ofa real web server system. The accuracy of theestimated distribution is evaluated by comparing its
reliability estimates with a sample of failure times
observed from the real system under test. Major
advantages of this method are the reduction ofexperimental time and the selection of the stressvariable based on the aging related failures. The
lacuna of this method lies in the lack of lucidity inthe explanation of estimating pseudo failure time.

Javier Alonso et. al. [7] proposed a frameworkthat monitors the system level metrics and predicts
the time until the system crashes. The authors
evaluated two different families of Machine learningalgorithms: Linear Regression and Decision Trees.
They have considered M5P and REPTree algorithms
for Decision Trees. They have captured the system
snapshot and evaluated the variation of resource
consumption rate. The metrics used are: Throughput,
Response time, workload, System load, disc usage,
swap used, number of processes, number of threads,
free system memory, memory occupied by therunning application, number of http connections
received, and number of connections to the data base.
M5P algorithm gives comparatively better result.
The authors did not assume the distributions of thedata. The reasons for selecting the metrics forprediction is not explained and the models failed to
predict the crashes accurately.

Jing Zhao et. al. [5] created a test bed of a web
server, a database server, and a set of clients. The
experiments were conducted on Tomcat web
container, and all html pages were dynamicallygenerated by the server. TPC-W standard benchmark has been used. The web traffic is generated bya Remote Browser Emulator, which emulates usersof the website. Memory leaks are injected artificiallyto accelerate degradation. Inverse Power LawLognormal distribution is used to calculate Life
characteristic relationship. Major advantages of theirapproach are the reduction of experimental time andthe use of semi-Markov process, to optimize thesoftware rejuvenation trigger interval. The tests are
conducted at application level so the readings used
for estimation may not be accurate.

Tao Yuan et. al. [8] developed a method forplanning optimal step-stress accelerated life testing.
Most of the studies in this area used Maximum
Likelihood Estimators for the reliability metrics ofinterest; Authors used Bayesian method forparameter estimation. Maximum Likelihood
Estimation requires precise data and it cannot beapplied if there is uncertainty. This study applied themethod to design a simple step-stress accelerated life
test with Type-I censoring and the Weibull life
distribution. The Bayesian optimal plans arecompared with the plan obtained by maximum
likelihood method. Influence of sample size andprior distribution on the optimal plan is also
investigated. Results indicate that the Bayesian
601

SEE-Osaka, Japan, Nov. 21-23, 2016

approach has promising potential in the planning of
reliability life testing when there is uncertainty in the
precise values of the model parameters. This model
can be applied even there are uncertainties exist in
the data. The disadvantage of this method is that it
requires prior knowledge about the product life
characteristics.

migrate the Virtual Machines to a fresh Hypervisor
to reduce the down time. That in turn helps theenterprise to meet its service level agreements.

3. PROPOSED METHODOLOGY
Figure 2 shows the overall architecture of the
proposed methodology of accelerated life testing onserver virtualized or server consolidated system.

Table 1. shows the merits and demerits ofdifferent existing approaches.
Table 1. Merits and Demerits of Existing Works
Paper

MeritsDemerits

Pengcheng Yin
et al. [1]Easy to use and it
has
no
prior
assumptions abouttheprobability
distributions

Tested only for small
sample sets

Matias et al.
[3]

Reduction of theexperimental time

Results arecomparedobserved ones

Matias et al [4]The selection of thestress variable based
aging related failures

Lack of clarity in theestimation of pseudo
failure time

Jing Zhao et.
al. [5]Use of semi-Markov
processfortheoptimizationofrejuvenation interval

Applicationlevel
metrics reading areprone to errors

Tingting
Huang et. al.
[6]

Does not require
prior
knowledge
about the data

Shuzhen Li etal. [2]

Proposednewdegradation
prediction
model
based on SVM

Tao Yuan et.
al. [8]Model can beapplied even whendata is not certain.

never
with

Fig 2. The Overall Architecture of the Proposed
Methodology
As shown in Figure 2, the primary step in the testplanning is the definition of accelerating stressvariable and its levels of utilization (load).
Commonly used accelerating stresses aretemperature, vibration, humidity, voltage, andthermal cycling [9]. These stresses are appropriate
for many engineering applications, where tests areapplied to physical or chemical components that aregoverned by well-known physical laws. However,for software components, we cannot adopt the above
mentioned accelerating stresses. From [3],[4],[5], itis clear that memory exhaustion is the main reason
for system failure, so memory usage has been usedas the stress variable.

Proportional hazardsproportional
odds
assumes data follows
weibull or lognormal
distribution
Silentabout
thescalabilityoftheresults

Require priorknowledge about the
product

It is clear that none of these studies are focused onlife data analysis of server virtualized system. Mostof these studies concentrated on the hardware
systems where the stresses are temperature, vibration,
humidity, voltage, and thermal cycling. In [3],[4] thesystem under test was web server. In this paper thesystem under test is server virtualized system which
consists of a Hypervisor/Virtual Machine Monitor
and a set of Virtual Machines. The motivation
behind taking server virtualized system as our
system under test is that it forms the crux of any
datacenter. It is important to study the life data
analysis of server virtualized setup because it avoids
unnecessary outages which help the systemadministrator of any server virtualized system to

The failure data at the selected stress levels werecollected, the collected failure times has to be fitted
for the best probability distribution. Log-normal,
Weibull and exponential distributions have beenused quite effectively in analyzing positively skewed
data, which play important roles in the reliability
analysis. In order to find the best fit for the failure
data three goodness-of-fit tests are conducted:
Kolmogorov–Smirnov test (K-S Test), Akaike
information criterion (AIC) and Bayesian
information criterion (BIC).
The collected failure times are for System Under
Test (SUT) operating under stress, not under its
normal operational/use condition. Hence a model is602

SEE-Osaka, Japan, Nov. 21-23, 2016

required, that relates the failure times observed at thetested stress levels to the underlying lifetime
distribution of the SUT operating in its normal use
condition. This model is called life-stressrelationship [9], [10]. Several life-stress relationshipmodels have been developed for different
engineering fields. Examples of such well-known
models are Arrhenius, Eyiring, Coffin-Manson, Peck,
and Zhurkov [9], [10], [11]. Based on the SUT’s
physical/chemical properties, the underlying theories
used to build these models assume specific stresstypes. For this reason, traditional models applied tophysical systems cannot justifiably be employed tobuild life-stress relationship models for softwaresystems. An exception is the Inverse Power Law(IPL) relationship model, the IPL is applicable to any
type of positive stress, unlike the above mentioned
models that are used for specific types of stressvariables. The Algorithm 1 shows overall steps
involved in the life data analysis of server
consolidated systems.

𝒇𝒇(𝑻𝑻, 𝑽𝑽) =𝟏𝟏

𝑻𝑻𝝈𝝈𝑻𝑻′ √𝟐𝟐𝝅𝝅𝒆𝒆

𝟐𝟐𝟏𝟏 𝑻𝑻′ +𝐥𝐥𝐥𝐥(𝑲𝑲)+𝒏𝒏𝒏𝒏𝒏𝒏(𝑽𝑽)
− �
�
𝟐𝟐
𝝈𝝈𝑻𝑻′

(𝟒𝟒)

𝐰𝐰𝐰𝐰𝐰𝐰𝐰𝐰𝐰𝐰 𝝈𝝈𝑻𝑻′ is the standard deviation of the natural
logarithms of the Time to Failure, K, n are the model
parameters to determined and V is the stress level.
Once an underlying life distribution and the lifestress relationship model to fit the accelerated data
have been decided, the next step is to decide theparameter estimation method. Here Maximum
Likelihood Estimation method is employed as it ismore robust than probability plotting and leastsquare estimators. The required reliability
information is Mean Time to Failure (MTTF). MTTF
give the rejuvenation time of the Virtual Machines.
MTTF for IPL- Exponential life stress probability
distribution is given by Eq.(5)�𝑻𝑻 =Algorithm 1 Overall steps involved in the Life Data Analysis ofServer Virtualized System

𝟏𝟏
𝑲𝑲𝑽𝑽𝒏𝒏(𝟓𝟓)

where K, n are the model parameters to determined,
and V is the stress level. MTTF for IPL- Weibull life
stress probability distribution is given by Eq.(6)Algorithm 1
Step1 : Decide the stress variables and the stress levels
Step 2: Collect the failure data
Step 3: Find the best fit for the failure data from the positively
skewed distributions
Step 4: Decide the Life stress relationships
Step 5: Estimate the parameters of Life Stress Relationship
Step 6: Calculate the reliability Measures

�=
𝑻𝑻

𝟏𝟏
𝟏𝟏
. 𝚪𝚪 � + 𝟏𝟏�
𝒏𝒏
𝑲𝑲𝑽𝑽
𝛃𝛃

(𝟔𝟔)

Where K, n are the model parameters to determined,
𝟏𝟏
and V is the stress level. And 𝚪𝚪 � + 𝟏𝟏� is the
𝟏𝟏

𝛃𝛃gamma function to be evaluated at � + 𝟏𝟏�, where β

The IPL life-stress relationship can be expressedin Eq.(1) , Where L represents a quantifiable life
measure. V represents stress levels, K and n
represents model parameters to be determined fromthe life distribution. Based on the life distribution,
the following are the Life stress probability
distribution function.
(1)
𝐿𝐿 = 1⁄(𝐾𝐾𝐾𝐾)𝑛𝑛𝛃𝛃

is the shape factor of the Weibull distribution.
MTTF for IPL-Lognormal life stress probability
distribution is given by Eq.(7)𝟏𝟏 𝟐𝟐

� = 𝒆𝒆− 𝐥𝐥𝐥𝐥(𝑲𝑲)−𝒏𝒏𝒏𝒏𝒏𝒏(𝑽𝑽)+𝟐𝟐𝝈𝝈𝑻𝑻′
𝑻𝑻

(𝟕𝟕)

𝐖𝐖𝐖𝐖𝐖𝐖𝐖𝐖𝐖𝐖 𝝈𝝈𝑻𝑻′ is the standard deviation of the natural
logarithms of the Time to Failure, K, n are the model
parameters to determined, and V is the stress level.

The life stress probability distribution function of
IPL-Exponential is given by Eq. (2)𝒏𝒏(𝟐𝟐)𝒇𝒇(𝒕𝒕, 𝑽𝑽) = 𝑲𝑲𝑽𝑽𝒏𝒏 𝒆𝒆−𝑲𝑲𝑽𝑽 𝒕𝒕
where t is the time in hours, K, n is model
parameters to determined and V is the stress level.

4. RESULTS ANALYSISThe system under test used in this experiment is
VMWare ESXi 5.5 on LENOVO 5498-PR1, 4 Cores,
500GB hard disk, 2.93 GHz processor with
Hyperthreading enabled and 8GB RAM. 8 Virtual
Machines (VMs) were created on this machine andinstalled Ubuntu 14.04 operating system on all ofthem. Apache 2.0 and PHP 5.0 were installed onthese VMs. In these setup 8 VMs are acting asservers. In the same virtualised environment, a client
VM is created with Ubuntu 14.04 operating system

The life stress probability distribution function of
IPL-Weibull is given by Eq. (3)
𝒏𝒏 𝜷𝜷
(𝟑𝟑)
𝒇𝒇(𝒕𝒕, 𝑽𝑽) = 𝜷𝜷𝜷𝜷𝑽𝑽𝒏𝒏 (𝑲𝑲𝑽𝑽𝒏𝒏 𝒕𝒕)𝜷𝜷−𝟏𝟏 𝒆𝒆−(𝑲𝑲𝑽𝑽 𝒕𝒕)
where t is time in hours, β is shape parameter, K
and n are model parameters to be determined and V
is the stress level.
The life stress probability distribution function of
IPL-Log-Normal is given by Eq. (4)603

SEE-Osaka, Japan, Nov. 21-23, 2016

Table 2. Failure times of the Virtual Machines collected for the
first stress level at N = 5

and httpref [12] installed on it. Shell program iswritten to call the test.php page using httperf
continuously with the rate of 500 requests per second.
Server VMs used 1vCPU, 4GB RAM and 100GB
hard disk with thin provisioning. The Client VM
used 1GB RAM, 1 vCPU, 16GB of Hard disk. 8VMs
using 4GB RAM results in 32GB of logical RAM
plus client VM is using 1 GB, but physically only 8
GB RAM is present. Hence main memory is overcommitted to approximately four times.
The basic assumption behind the workload is thata memory leak is injected randomly after "N"clients
requests. This number is taken as the stress factor inthis experiment. In this paper three stress values N=5,
10, 20 are considered and it means that a memory
leak is deliberately injected within that number ofclient requests. To make it clear let us suppose N=5,
then a memory leak is injected between 0 to 5 client
requests. So N=5 is the overstressed condition
among the three stress levels used. The flowchart forthe memory leak injection is shown as in the Figure
3.

VirtualMachineExperiment 1

Experiment 2

Experiment 3

1
2
3
4
5
6
7
8

37
23.5
14
37
28.5
37
32.5
25.5

33
24
27.5
37
23.5
28
30
37.5

37
39
15.5
34
41
40
38.5
26

For the second stress i.e. at N=10; twenty four
failure data are collected as shown below in Table 3.
Table 3. Failure times of the Virtual Machines collected for thesecond stress level at N = 10
VirtualExperiment 1

Experiment 2

Experiment 3

40.5
40.5
40
45.5
45.5
21.5
21
67.5

38.5
32.5
32.5
15
39
36.5
18
35.5

34.5
43
33.5
39.5
37
35
35.5
35.5

Machine
1
2
3
4
5
6
7
8

For the second stress i.e. at N=20; twenty four
failure data are collected as shown below in Table 4.
Table 4. Failure times of the Virtual Machines collected for thethird stress level at N = 20
VirtualExperiment 1

Experiment 2

Experiment 3

48.5
60.5
70
62.5
47.5
50
48.5
50.5

71
54.5
67
72.5
41
53
54.5
58

38
47.5
40
44
45
52.5
39.5
40.5

Machine
1
2
3
4
5
6
7
8

Fig 3. Flowchart of the memory injection
algorithm
After collecting the failure times, the best
probability distribution has to identified from thefailure data of Virtual Machines at each stress levels
N=5, N=10 and N=20. For each stress level, threesets of failure data has been collected. Since there are
8 Virtual Machines 24 failure data has been collected
for each stress level.

The failure data at the selected stress levels werecollected, the collected failure times has to be fitted
for the best probability distribution. Three
distribution were chosen Log-normal, Weibull andexponential distributions because they have beenused quite effectively in analyzing positively skewed
data, which play important roles in the reliability
analysis. In order to find the best fit for the failure
data three goodness-of-fit tests are conducted. The
Kolmogorov–Smirnov test (K-S Test), Akaike
information criterion (AIC), Bayesian information
criterion (BIC) were used to find the best fit among
the three probability distributions chosen. For the

The twenty four times failure data were collected
at each stress level is shown as below. For the firststress i.e. at N=5, 24 failure data are collected asshown below in Table 2.

604

SEE-Osaka, Japan, Nov. 21-23, 2016

500
1000
2000
4000

stress level N=5, N=10, N=20 the results are shown
as below. Table 5 gives the goodness-of-fit scores ofthe first data set ; i.e. The experiment conducted atstress level N=5.

Kolmogorov–
Smirnov test
(K-S Test)

WeibullLog Normal
Exponential

0.535
0.35570.5385

Akaikeinformation
criterion(AIC)
166.1789
174.0621
175.777

Bayesian
information
criterion(BIC)𝑛𝑛

12
𝑅𝑅𝑅𝑅𝑅𝑅𝑅𝑅 = � �(𝑦𝑦𝑖𝑖 − 𝑦𝑦�)𝚤𝚤𝑛𝑛

168.535
176.4182
178.1331

𝑖𝑖=1

Table 6. Goodness-of-fit scores of failure data for the second
stress level at N = 10
Kolmogorov–
Smirnov test
(K-S Test)
WeibullLog Normal
Exponential

0.20330.07237
7.11E-15

Akaikeinformation
criterion(AIC)
185.3682
186.3865
586.8487

5. CONCLUSION

Bayesian
information
criterion(BIC)

The approach considerably reduced theexperimental time to predict the mean time to failure.
It has introduced a new approach to predict the
rejuvenation time. Another contribution worth
mentioning here is that to the best of our knowledge
this is first time this kind of experiment strategy has
performed on the server virtualized systems. Thisapproach may be effectively utilized for predicting
the migration time of a Virtual Machine. The results
obtained are reasonably good at the experimented
level and it could be tested at lower stress levels.
The experimental results presented above confirm
that the tested experimental plan is a good starting
point for future efforts. The life stress relationship
IPL-Weibull model showed very good accuracy forpredicting the failures which helps systemadministrators to avoid unnecessary outages. It may
motivate other researchers to apply it to similarsoftware systems.
The paper could be extended by comparing theexisting technique with some machine learningtechniques or Regression models. This model could
be used to predict the rejuvenation time in physicalrouters/networking devices or embedded systems
when there are signs of performance degradation.

187.4354
188.7426
589.2048

Table 7. Goodness-of-fit scores of failure data for the second
stress level at N = 20
Distributions

Kolmogorov–
Smirnov test
(K-S Test)

WeibullLog Normal
Exponential

0.995
0.98880.9676

Akaikeinformation
criterion(AIC)
178.3682
181.5825
180.986

Bayesian
information
criterion(BIC)
182.7243
183.9386
183.3421

The goodness-of-fit scores shows two-parameter
Weibull fits the data well. So the IPL-Weibull stressrelationship has been used to identify the MTTF of
the Server Virtualized system. The parameters are
estimated using Maximum Likelihood Estimation.
The shape parameter, 𝛽𝛽 = 4.462529, the model
parameters K = 0.054748 and n = -0.367017.
Table 8 gives the details of the observed failure
time and calculated mean time to failure.

REFERENCES

Table 8. Comparison of the observed failure time and calculated
mean time to failure
Stress level

100
200

Calculated using

Observed

MTTF IPL-Weibull

Failure Time

91.3
130.4

(8)

The root mean square is 13.43, which isreasonably good for the values. The normalized root
mean square error shows only 4% deviation from theobserved results. i.e. 96% accuracy in terms of
MTTF.

Table 6. gives the goodness-of-fit scores ofexperiments conducted at stress level N=10. Table 7
gives the goodness-of-fit scores of experiments
conducted at stress level N=20.

Distributions

167
211
310
467

The MTTF has been calculated for six different
stress levels and it is compared with the observed
ones. The root mean square error (RMSE) is
calculated from the observed and predicted values.
The RMSE is given Eq.(8)Table 5. Goodness-of-fit scores of failure data for the first stresslevel at N = 5
Distributions

182.6
228.5
304.3
456.5

[1] Yin, Pengcheng, and ChengdongWang. "Life-prediction ofaccelerated life testing based on support vector machine."
Quality, Reliability, Risk, Maintenance, and Safety
Engineering (ICQR2MSE), 2011 International Conference
on. IEEE, 2011.
[2] Shuzhen Li; Xiaoyang Li; Tongmin Jiang, "Life and reliability
forecasting of the CSADT using Support Vector Machines,"

110
124

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Reliability and Maintainability Symposium (RAMS), 2010
Proceedings - Annual , vol., no., pp.1,6, 25-28 Jan. 2010.
[3] Matias Rivalino, Pedro Alberto Barbetta, and Kishor S.
Trivedi. "Accelerated degradation tests applied to software
aging experiments." Reliability, IEEE Transactions on 59.1
(2010): 102-114.
[4] Matias Rivalino, Kishor S. Trivedi, and Paulo Romero
Martins Maciel. "Using accelerated life tests to estimate time
to software aging failure." Software Reliability Engineering(ISSRE), 2010 IEEE 21st International Symposium on.
IEEE,2010.
[5] Zhao, Jing, et al. "Injecting memory leaks to accelerate
software failures." Software Reliability Engineering (ISSRE),
2011 IEEE 22nd International Symposium on. IEEE, 2011.
[6] Huang, Tingting, and Tongmin Jiang. "Design of accelerated
life testing using proportional hazards-proportional odds."
Reliability and Maintainability Symposium (RAMS), 2010
Proceedings-Annual. IEEE, 2010.

[7] Alonso, Javier, Jordi Torres, and Ricard Gavalda. "Predicting
web server crashes: A case study in comparing prediction
algorithms." Autonomic and Autonomous Systems, 2009.
ICAS'09. Fifth International Conference on. IEEE, 2009.
[8] Yuan, Tao, and Xi Liu. "Bayesian planning of optimal stepstress accelerated life test." Reliability and Maintainability
Symposium (RAMS), 2011 Proceedings Annual. IEEE, 2011.
[9] B. N. Nelson, Accelerated testing: statistical method, testplans, and data analysis, New Jersey: Wiley, 2004.
[10] A. Mettas, “Understanding Accelerated Life Testing
Analysis,” In Proc. of International Reliability Symposium,
1-16, 2003.
[11] W. Q. Meeker, and L. A. Escobar, Statistical Methods for
Reliability Data. New York: Wiley, 1998.
[12] http://www.hpl.hp.com/research/linux/httperf/

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SEE-Osaka, Japan, Nov. 21-23, 2016

Environment607

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

INOCULANTS FUNGAL Trichoderma, Mucor AND Bacillus
FOR COMMUNITY DEVELOPMENT BASED ON SUFFICIENCYECONOMY PHILOSOPHY
Sukhan Rattanaloeadnusorn1
1

Faculty of Science and Technology,
Rajamangala University of Technology Thanyaburi, Thailande-mail: sukhan@mail.rmutt.ac.th or sukhanratt@hotmail.co.th

ABSTRACTHis Majesty King Bhumibol Adulyadej of Thailand has conceived and developed a new philosophy toimprove the lives of the Thai people and bring them a genuine and lasting happiness. This new philosophy iscalled "sufficiency economy" or "sufficiency economy philosophy". This research has the objective to create anddevelop new innovation bio-fertilizer for development communities by inoculants Trichoderma, Mucor andBacillus based on sufficiency economy philosophy. Khok-kham community in Samut Sakhon province andKhanom community in Nakhon Si Thammarat province were selected for studying the efficiency of new
innovation bio-fertilizer. For nutrient analysis of new innovation bio-fertilizer, we found high macronutrients:
Nitrogen, Potassium and Phosphorus with the average value 84.33 percent. In addition, when we used forplanting mangrove tree, it can help to remove heavy metals such as Lead (Pb), Cadmium (Cd) and Copper (Cu)in soil with the average value 98.6 percent. Moreover, it can help for inducing growth rate of mangrove tree up
to 4 folds when compared with the control case. This result can be applied for recovering mangrove forest areain the condition of limits of times. For planting organic rice by new innovation bio-fertilizer, it can help toincreasing productivity, reducing costs 5-6 folds and improving soils acid. In summary, new innovative biofertilizer is very useful to planting mangrove and organic rice, also restoring mangrove forest area for developing
community based on sufficiency economy philosophy.
Keywords: Inoculants fungal and bacteria, Innovative bio-fertilizer, Sufficiency economic, Mangrove forest“sufficiency” in which has three components:
moderation, reasonableness, and self-immunity, withtwo
accompanying
conditions:appropriate
knowledge and ethics & virtues [10]. The
sufficiency economy philosophy of His Majesty
King Bhumibol as shown in Figure 1. By applying
science and technology knowledge based on
sufficiency economy of His Majesty King Bhumibol,
a process of developing by new innovative biofertilizer with inoculants Trichoderma, Mucor andBacillus from the wastes in community for thesustainable community lead to environmental social
economy and culture is presented as Figure 2.
[5][6][7][8]This research has the objective to research anddeveloping new innovation for developing soils acidin communities. The new innovative bio-fertilizer
with inoculants Trichoderma, Mucor andBacillus [5] from the wastes in community such as
hyaline salt (Kigdadnakluea) from salt farmingor Straw and rice husk from investment on paddy forplanting mangrove tree Rhizophora mucronata in
Khok-kham community, Samut Sakhon provinceand Khanom community in Nakhon Si Thammarat
province and organic rice verities RD. 47 in

INTRODUCTION
In recent years, mangrove forest areas at Khokkham community in Samut Sakhon and Khanomcommunity in Nakhon Si Thammarat weredecreased significantly. There are many causes led
to decreasing of mangrove forest areas. For example,
the effect of coastal erosion, increasing shrimp
farming and salt farming, microbial diseases, waste
pollutants from industry, soil acid pH 3-4 etc. [1]and the survival rate of tree less than 30%
whenplantsaregrown
without
biofertilizer plant by inoculants Trichoderma Mucor
and Bacillus. [8] Thus, both public and private
sectors including the community should be
integrated planning and working together for
restoring mangrove forest areas and developing
community. For sustainable developing community,
His Majesty King Bhumibol Adulyadej of Thailand
has conceived and developed a new philosophy toimprove the lives of the Thai people and bring thema genuine and lasting happiness. This new
philosophy is called "sufficiency economy" or"sufficiency economy philosophy". Moreover, His
Majesty King Bhumibol had explained a meaning of608

SEE-Osaka, Japan, Nov. 21-23, 2016

Nongsoae community, Phathum Thani province,
replacement oftraditional mangrove tree
Rhizophora mucronata and organic rice verities RD
47.
Which
leads
to
acid
soil
conservation
anddevelopmentofthe communities with inoculants Trichoderma,
Mucor and Bacillus following the philosophy ofsufficiency economy. Figure 3
1

RESEARCH METHODOLOGYSTUSDY AREA
Khok-kham community, Samut Sakhon province (a)and Khanom community in Nakhon Si Thammarat
province(b) and Nongsoae community, Phathum
Thani province.(c)abFigure 1 Sufficiency economy philosophy of His
Majesty King Bhumibol Adulyadej.
(source:http://www.thaiembassy.ca/en/aboutembassy/news/the-royal-initiative-of-thephilosophy-of-sufficiency-economy)cFigure 2 Process of community developing by new
innovative
bio-fertilizer
withinoculants
Trichoderma, Mucor
and Bacillus based on
sufficiency economy philosophy of King Bhumibol
Adulyadej.

Figure 3 Study areas, (a) Samut Sakhon provinceand (b)Nakhon Si Thammarat provinceand(C)Phathum Thani province.Thailand.

609

SEE-Osaka, Japan, Nov. 21-23, 2016mangrove forest area and organic rice andvegetables. The communities can produce new
innovative bio-fertilizer by inoculants Trichoderma,
Mucor and Bacillus from the wastes in community.
Figure 5-6 We found new innovative bio-fertilizer
have macronutrient and micronutrient higher than
the standard bio-fertilizer up to 84.33 percent.
Moreover, it also can removal of heavy metals, suchas cadmium (Cd) and copper (Cu) in soils up to 98.6
percent. While when the inoculants only
Trichoderma has detected major nutrient 66 percent,inoculants Bacillus has detected major nutrient 59
percent. Reduced the amount of heavy metals is 93.6
and 93.1 percent respectively.

METHODOLOGY
Research driven community development
engagements by explored problems and of thecommunity. First integrate bio- technology tosolutions and eliminate waste and garbage ofcommunity by new innovations bio-fertilizer withinoculants Trichoderma, Mucor and Bacillus frombiodiversity of antagonistic fungal and bacteria.
Make bio- fertilizer with inoculants Trichoderma,
Mucor and Bacillus from the wastes of communities
for use in seeding and mangrove planting in soil acid,
Samut Sakhon province and Nakhon Si Thammarat
province and organic rice and vegetables
developments in soil acid, Phathum Thani province
Thailand. Following steps of driven community
research or process of corporate social responsibility(CSR) were 5 steps as Figure 4
1) Community problem and impact
surveyed in area Khokkham, Samut Sakorn
province and Khanom, Nakhorn Si Thammarat
Thailand.
2) Wastes and garbage of the community
were rhizo-degraded with new innovation byantagonistic Trichoderma, Mucor and Bacillus
in semisolid’s tanks in during time 28-30 days.
3) Quality control the bio fertilizer
products
followStandard
bio-fertilizer
products.[8]Figure 4 Process of research driven community
development engagement through by new
innovation with inoculants Trichoderma, Mucor andBacillus.[5]4) Utilization and analysis data after the bio
fertilizer products with inoculants Trichoderma,
Mucor and Bacillus, it using mangrove
restoration and organic planting development
compared with non-using the bio fertilizer
products in soils acid. It is analysis about
increase percent of growth rate tree Rhizophoramucronata and percent productivity yields andreducing costs to restored at shrimp abandoned
area and organic rice agriculture developmentsby new innovation with inoculants Trichoderma,
Mucor and Bacillus in soils acid. Figure 4

Found that the community has higher
productivity yields at when they use the biofertilizer Trichoderma, Mucor and Bacillus insteadof bio- fertilizer Trichoderma and bio-fertilizer
Bacillus bacteria for restoration in abandoned
shrimp farms to natural balance within 5 years.
Normal restoration of shrimp abandoned without
new Innovative bio-fertilizer with inoculants
Trichoderma, Mucor and Bacillus rehabilitation timerequired for 10-15 years. [1] [2] The growth rate ofmangrove tree Rhizophora mucronata increasing up
to 4 folds, and the survival rate of more than 95%
whentheplantsaregrownbybiofertilizer with inoculants Trichoderma Mucor andBacillus.[8] as shown in Table 1 and Figure 7
Moreover, when bio-fertilizer with Trichoderma,
Mucor and Bacillus for develop organic rice andvegetable cultivation in acid soils, Pathum Thani,
Thailand found that many farmers have increased
productivity yields and reduced costs 5-6 folds(7,000 baths to 1,800 baths)[7] as much neutral soil

5) Bio-technology transfer for thedevelopment of community based on sufficiency
economic philosophy in to sustainable restore thenature balance and organic rice developments.
RESULTS
Based on sufficiency economic philosophy, aresearcher transferred bio-technology into thecommunity to sustainable nature balance, increase610

SEE-Osaka, Japan, Nov. 21-23, 2016

condition(pH6-7), increased survival rate, reduced
the amount of heavy metals in soil, biodiversity
antagonistic
fungi
increased,
ControlofPathogens.[3][4][7] Table 1 and Figure 8 Due toantagonistic microorganism in new inoculants with
Trichoderma, Mucor and Bacillus products
produced extra-enzyme such as hemicellulase,peroxidase, phosphatase laccase etc. to accelerated
degradation of the organic and inorganic to themacronutrients and micronutrients will been uptake
through the root system, removal of heavy metal,
pretreatment soil pH. The plants grow better thangrown without the use of innovative inoculants
Trichoderma, Mucor and Bacillus. [3] [4] [6] [7] [8]rice husk

A

B

Kigdadnakluea

with bio-fertilizer,
1 years

new inoculants fungalCbio- fertilizer

with bio-fertilizer,
2 years

Figure 5 Khok-kham bio- fertilizer with inoculants
Trichoderma, Mucor and Bacillus from the wastes
in community.
Dwithout bio-fertilizer,
2 years

Figure 7 Restored mangrove forest by new
innovative Khok-khambio- fertilizer withinoculants Trichoderma, Mucor and Bacillus
A. Seeding and root of R. mucronata seedingby
Khok-kham bio- fertilizer withinoculants Trichoderma, Mucor Bacillus
and inoculants only Trichoderma andinoculants Bacillus.
B. Inducing growth R. mucronata 4 folds(B,C) compare without bio-fertilizer(D)atabandoned shrimp farms in 1and 2 year.

Figure 6 Transfer bio technologies to community
developments for produing bio- fertilizer withinoculants Trichoderma, Mucor and Bacillus fromthe wastes in community.

611

SEE-Osaka, Japan, Nov. 21-23, 2016

Figure 8 Organic rice and vegetable developmentsby new bio-fertilizer with inoculants Trichoderma,
Mucor and Bacillus for increase the productivity
yields, reducing costs 5-6 folds instead of biofertilizer with inoculant only Trichoderma or biofertilizer with inoculant Bacillus.
Table 1 Comparison percent increasing nutrients,
heavy metal, increasing productivity yields andreducing costs of innovative(folds).

Lists
Percent efficiency of Innovative (%)

Nitrogen(N)inoculants
Trichoderma
Mucor andBacillus
80

Potassium(K)Phosphorus(P)inoculant
Trichoderma

inoculant
Bacillus

50

43

93

74

74

80

75

60

%mean

84.33

66

59

Pb(Lead)

100

95

85

Cd(Cadmium)

100

100

100

Cu(Copp

96

98

97

98.6

97.6

93.1

5-6 folds

2-3 folds

1.5 folds

4 folds

2 folds

1 foldser)%meanincreasing
productivity
yields,reducing
costs of riceincreasing
growth rateof R. mucronata

612

SEE-Osaka, Japan, Nov. 21-23, 2016

Thamarat and Nongsoae community, Phathum Thani
province Thailand to cooperate in this research

CONCLUSIONS
Community development by new innovation
inoculants Trichoderma, Mucor and Bacillus as biofertilizer products from the wastes in community
those are better than the usual standard bio- fertilizer
products.
This bio- fertilizer were using fordevelopment of mangrove reforestation anddevelopment of organic agriculture. To answer
problems and impact of the community andenvironmental, social economic development baseon the philosophy of sufficiency economy
sustainability. [4] [5] [6] [7] [8]So new innovative bio-fertilizer withinoculants Trichoderma, Mucor and Bacillus [5]were been used in the development of bio- fertilizer
from the wastes in community. It found that thevolume of macronutrient and the micronutrient inbio- fertilizer higher than the standard 84.33 percent.
Moreover, the removal of heavy metals such as
cadmium (Cd) and copper (Cu) contamination in soil
are at high rate of 98.6 percent.
When we lead new bio-fertilizer with inoculants
Trichoderma,
Mucor
and
Bacillus development to planting R. mucronata
in acid soils. The rate of growth 4 folds higher
than growing traditional, survive rate more thanfarmers have higher
95%.[6] [7] [8] and the
productivity yields and lower costs at 5-6 folds when
they use this new bio- fertilizer with inoculants
Trichoderma, Mucor and Bacillus instead of biofertilizer with inoculants only Trichoderma 2-3 folds
or bio- fertilizer with inoculants Bacillus 1.5 folds insoils acid. Due to antagonistic microorganism ininoculants
Trichoderma, Mucor and Bacillus
products produced extra-enzyme such as cellulase,peroxidase, phosphatase etc. to accelerated
degradation of the organic and inorganic to themacronutrients and micronutrients will been uptake
through the root system, removal of heavy metal,
pretreatment soil pH. The plants grow better thangrown without the use of innovative inoculants
Trichoderma, Mucor and Bacillus. [3] [4] [6] [7]
From the results of the implementation ofcommunity development projects by new innovation
bio-fertiizer with inoculants Trichoderma, Mucor
and Bacillus
is consistent with studies of
Rattanaloeadnusorn et. al.
2014 for restoring
mangrove forest and organic rice development
inrecent years. [4] [6] [7] [8]REFERENCES[1] Aksornkoae, S. and Khemnark C., 1994. Nutrient
cycling in mangrove forest of Thailand Proc.
As. In Symp. Mangrov-Res & Manag, p13.
[2] Kucey,R.M.N..,H.H. Janzen and M.E.
Leggett.1989.Microbially mediated increases inplant available phosphorus. Advances inAgronomy.42:199-227.
[3] Lacambra, C., Friess, D., Spencer, T., & Moller
I., 2013. Bioshields: mangrove Ecosystems as
resilient natural coastal defenses. In F. Renaud,
K. Sudmeier-Rieux, &M. Estrella (Eds.), Therole of ecosystems.
[4] Liu,Q.,P.Loganathan and M.J.Hedley.2005.
Influence of ectomycorrhizal hyphae on
phosphate fractions and dissolution ofphosphate rock in rhizosphere soils of Pinus
radiate. Journal of Plant Nutrition. 28:15251540.
[5] Rattanaloeadnusorn Sukhan, 2013. Fungal
Pellets Patents[6] Rattanaloeadnusorn Sukhan, Thitaya Sronkwan,
Sujaya Ritthisor and Sirikhae pongswat.
2012. Biofertilizer from Stock Fungus andNatural Material for Sufficiency Economy
Philosophy
CommunitystDevelopment,International Symposiumon Local Wisdom
and Improving Quality of Life, in 8-11 August2012 Chai mai, Thailand. P. 49-56[7] Rattanaloeadnusorn Sukhan, 2012. Mangrove
Restoration and Vegetable Growth with
Biological Technique, Naresuan University
Journal 2012; 20(1)[8] Rattanaloeadnusorn Sukhan, Pongswat Sirikhae
and Rattanaloeadnusorn Atchanut.
2014. Antagonistic Fungal Pellets forCommunity Development based Sufficiency
Economy Philosophy. The 2 nd Asia Engage
Regional Conference 2014: Innovation andCreativity: collaboration with communities totackle problems across ASEAN, Asia andBeyond, 17 – 20 November 2014 at Hotel Grand
Nikko, Nusa Dua Bali Indonesia.
[9] Intana, W., Chamswang. C., Intanoo, W.,
Hongprayoo, C and Sivasithamparam, K. 2003.
Use of mutantstrain for improved efficacy of
Trichodrema for controlling cucumber dampingoff. Thai Journal of Agricultural Science.36 (3):45-50.
[10] http://www.thaiembassy.ca/en/aboutembassy/news/the-royal-initiative-of-thephilosophy-of-sufficiency-economy)

ACKNOWLEDGMENT
This research was supported by research
grants from the NSTDA, Ministry of Science andTechnology,
andthanksto
RMUTT engagement, community Moo 3 Tambon
Khok Kham, Samut Sakorn, and Nakornsri
613

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

HORIZONTAL TRANSFER OF PLASMID DNA BETWEENDIFFERENT BACTERIA SPECIES UNDER MICROBIAL
INTERACTIONS
1

Kazuhito Murakami1 and Akiko Inoue-Kohama2
Department of Life Science, Chiba Institute of Technology, Japan; 2 Department of Environment andEnergy, Tohoku Institute of Technology, Japan

ABSTRACT
Horizontal transfer of plasmid DNA was investigated under phytoplankton metabolites / zooplankton
predation exposure condition, to obtain some basic information about the prosperity and decay of GMO(genetically modified microorganisms) in filed release was investigated in this study. Escherichia coli HB101,
E.coli C600, E.coli S17-1, Pseudomonas aeruginosa PAO1 (gram-negative) and Bacillus cereus MC (grampositive) as recipient strain of plasmid DNA, E.coli HB101/pBR325, E.coli C600/RP4 and E.coli S171/pSUP104 as donor of plasmid DNA, were supplied. As phytoplankton,Microcystis aeruginosa (cyanophyceae),
Melosira varians (bacillariophyceae) and Scenedesmus quadricauda (chlorophyceae) collected from Lake Tega
as donor of metabolites, were supplied. As zooplankton,Tetrahymena pyriformis (cilliata) and Philodina
erythrophthalma (rotifer) collected from Lake Tega as predator were supplied. The results can be concluded asfollows; 1) Phytoplankton metabolites leads acceleration of horizontal transfer between not only same strains but
also different strain in spite of whether transmissible or not, 2) Zooplankton predation leads decrease of bacterial
individual number and horizontal transfer of plasmid DNA, and 3) Horizontal plasmid DNA transfer isinfluenced greatly, because the natural ecosystem includes phytoplankton as producer and zooplankton as
consumer in the same time.
Keywords: plasmid DNA, horizontal transfer, phytoplankton, zooplankton, eutrophicated lake, bioremediation

recipient strain of plasmid DNA, E.coli
HB101/pBR325, E.coli C600/RP4 and E.coli S171/pSUP104 as donor of plasmid DNA, were
supplied. The appearance of these banteria is shownin Photo 1. Plasmid DNA pBR325 (Cmr, Tcr, Apr) is
non-transmissible, RP4 (Apr, Tcr, Kmr) istransmissible, and pSUP104 (Cmr, Tcr) is mobilized
transmissible, respectively [1].

INTRODUCTION
The practical utilization of GMO (geneticallymodified microorganism) has been in real, and some
GMO is released in market in fact, such as microbial
pesticides and so on. The environmental effect of
GMO has been much discussed in these 30 years,
such as the prosperity and decay, i.e., fate of GMO
in a case of the field release [1][2]. However, how
not only the genetically modified microorganisms
but also the modified gene behave in theenvironment, how the impact to the environment isgiven, is not still made clear [3][4][5][6][7][8].
Horizontal transfer of plasmid DNA between
different bacterial species was investigated in thisstudy, under phytoplankton metabolites andzooplankton predation exposure condition, to obtainsome basic information about the prosperity anddecay of GMO in filed release such asbioremediation technology.

Phytoplankton Strains

MATERIALS AND METHODS

Microcystis aeruginosa (cyanophyceae), Melosira
varians (bacillariophyceae) and Scenedesmus
quadricauda (chlorophyceae) as donor of
metabolites, were supplied. The appearance of thesephytoplankton were shown in Photo 2. These
phytoplankton were collected from Lake Tega which
is well known as one of the most eutrophicated lakes
in Japan, and the occurrence of water bloom (Aoko)
is observed in summer. M.aeruginosa is one of thedominant species in summer, M.varians is in autumn
and winter, and S.quadricauda is in spring [9][10].

Bacterial Strains

Zooplankton Strains

Escherichia coli HB101, E.coli C600, E.coli
S17-1, Pseudomonas aeruginosa PAO1 (gramnegative) and Bacillus cereus MC (gram-positive) as

Tetrahymena pyriformis (cilliata) and Philodina
erythrophthalma (rotifer) as predator were supplied.
The appearance of these zooplankton were shown in614

SEE-Osaka, Japan, Nov. 21-23, 2016a) Escherichia coli(gram negative)b) Pseudomonas aeruginosa(gram negative)c) Bacillus cereus(gram positive)

Photo 1 Bacterial strains supplied in this study ( colony on agar plate)a) Microcystis aeruginosa(cyanophyceae)b) Melosira varians(bacillariophyceae)c) Scenedesmus quadricauda(chlorophyceae)

Photo 2 Phytoplankton strains supplied in this study

100μ m25μ ma) Tetrahymena pyriformis(ciliata)b) Philodina erythrophthalma(rotifer)

Photo 3 Zooplankton strains supplied in this study615

SEE-Osaka, Japan, Nov. 21-23, 2016

Photo 3. These zooplankton were collected from
Lake Tega which is well known as one of the mosteutrophicated lakes in Japan. T.pyriformis andP.erythrophthalma are ordinary observed in not only
Lake Tega but also Japanese lakes and marshes
through a year [11][12].

E.coli S17-1/pSUP104 + P.aeruginosa PAO1, ix)
E.coli S17-1/pSUP104 + B.cereus MC, the effect ofacceleration of horizontal plasmid DNA transfer was
higher in M.aeruginosa and lower in M.varians andS.quadricauda, which shows the influence is also
different in different phytoplankton species todifferent bacterial strains. The plasmid DNA transfer
rate (%) in each combination of donor and recipient
bacteria were shown in Table 1.
The horizontal transferring mechanism between
different bacterial species such as gram-negative andgram-positive is not made clear. However, thepossibility of outer releasing of plasmid DNA fromdonor bacterial body after its death and/or bodysolution, and intaking into recipient bacterial bodyduring its growth, were considered. Form theseoutcomes, it was made clear that phytoplankton
metabolites leads acceleration of horizontal transfer
between not only same strains but also different
strain in spite of whether transmissible or not.

Experimental Procedure
Each bacterial strain was pre-cultured in liquid
culture medium under dark, 30 ℃ and shaking
condition for 12hr. with and/or without antibiotics,
and the log-phased bacteria was collected bycentrifugation. Each phytoplankton strains was precultured under light (20,000lux), 30 ℃ and nonshaking condition for 2 weeks in modified M11
basic medium. Each zooplankton strains was precultured under dark condition and 20℃ for 5 days
and/or 2 weeks.
Pre-cultured each bacterial strain was supplied in
combination of experimental series to liquid culture
medium containing each phytoplankton metabolite
adjusted to phased concentration (dilution rate; ×1,
×2, ×10) and/or polypeptone to investigate the effectof phytoplankton metabolite on plasmid DNA
transfer, and containing each zooplankton species(initial individual number; 100 N ･ ml-1 in
T.pyriformis, 10 N･ml-1 in P.erythrophthalma) toinvestigate the effect of zooplankton predation on
plasmid DNA transfer.
Plasmid transfer culturing was conducted underdark, 30℃ and shaking condition, considering withthe maximum growth rate of bacteria. Colony
forming units (CFU) was counted by selection
medium plate containing each antibiotic, andtransfer rate was calculated to estimate thephytoplankton/zooplankton effect on plasmid DNA
transfer.

Effect of Metabolite Concentration on Plasmid
DNA Transfer
The effect of metabolite concentration was also
investigated. In the case of same bacterial strain, thehorizontal plasmid DNA transfer was accelerated
under the highest concentration exposure ofM.aeruginosa metabolite. The other hand,
polypeptone, instead of phytoplankton metabolite,
did not show any influence on the transfer rate. This
indicates that horizontal plasmid DNA transfer ismost frequent in summer season when water bloom,that is, Aoko is occurred. The plasmid DNA transfer
rate (%) in each metabolite concentration wereshown in Table 2.
The horizontal plasmid DNA transfer was also
accelerated under the highest concentration exposureof M.aeruginosa metabolite between different
bacterial strains. Polypeptone did not show any
influence in this case. This indicates that not only
the quantity but also the quality of phytoplankton
metabolite influences much to horizontal transfer ofplasmid DNA. In addition, the possibility that GMO
which holds artificially modified DNA, survive withchanging the host strain in eutrophicated lake wherewater bloom such as M.aeruginosa occurs insummer season, was suggested.

RESULTS AND DISCUSSION
Effect of Phytoplankton Species on Plasmid DNA
Transfer
As results, about the effect of phytoplankton
species, in the case of same bacterial strain, that is,the combination of i) E.coli HB101 + E.coli
HB101/pBR325, ii) E.coli C600 + E.coli C600/RP4,iii) E.coli S17-1 + E.coli S17-1/pSUP104, the effectof acceleration of horizontal plasmid DNA transfer
was higher in M.aeruginosa and lower in
S.quadricauda, which shows the influence isdifferent in different phytoplankton species. In thecase of different bacterial strain, that is, thecombination of iv) E.coli HB101/pBR325 +P.aeruginosa PAO1, v) E.coli HB101/pBR325 +B.cereus MC, vi) E.coli C600/RP4 + P.aeruginosa
PAO1, vii) E.coli C600/RP4 + B.cereus MC, viii)

Effect of Zooplankton Species on Plasmid DNA
Transfer
As results, about the effect of zooplankton
species, in the case of same bacterial strain, that is,the combination of i) E.coli HB101 + E.coli
HB101/pBR325, ii) E.coli C600 + E.coli C600/RP4,iii) E.coli S17-1 + E.coli S17-1/pSUP104,
T.pyriformis and P.erythrophthalma grew rapidly inall cases. All bacteria decreased in their individual616

SEE-Osaka, Japan, Nov. 21-23, 2016

Table 1 Effect of phytoplankton metabolite on plasmid DNA transferring rate
E.coli HB101/pBR325 + E.coli HB101
E.coli C600/RP4 + E.coli C600
E.coli S17-1/pSUP104 + E.coli S17-1
E.coli HB101/pBR325 + P.aeruginosa PAO1
E.coli HB101/pBR325 + B.cereus MC
E.coli C600/RP4 + P.aeruginosa PAO1
E.coli C600/RP4 + B.cereus MC
E.coli S17-1/pSUP104 + P.aeruginosa PAO1
E.coli S17-1/pSUP104 + B.cereus MC

M.aeruginosa
13.4
98.3
85.7
14.2
6.4
72.2
8.8
80.1
9.1

M.varians
11.8
92.7
69.1
9.3
3.4
54.8
6.1
67.1
7.2

S.quadricauda
5.7
89.1
60.1
6.7
1.6
42.6
2.6
67.0
2.9

polypeptone
3.0
90.0
67.4
1.2
1.1
45.2
2.1
68.4
2.2
(unit : %)Table 2 Effect of metabolite concentrations on Plasmid DNA transferring rate
E.coli HB101/pBR325 + E.coli HB101
E.coli C600/RP4 + E.coli C600
E.coli S17-1/pSUP104 + E.coli S17-1
E.coli HB101/pBR325 + P.aeruginosa PAO1
E.coli HB101/pBR325 + B.cereus MC
E.coli C600/RP4 + P.aeruginosa PAO1
E.coli C600/RP4 + B.cereus MC
E.coli S17-1/pSUP104 + P.aeruginosa PAO1
E.coli S17-1/pSUP104 + B.cereus MC

×1
13.4
98.3
85.7
14.2
6.4
72.2
8.8
80.1
9.1

×2
4.1
93.2
68.8
6.8
2.1
65.1
7.1
69.2
3.2

×10
2.1
90.5
65.1
1.4
1.1
45.9
4.6
68.7
3.1

polypeptone
3.0
90.0
67.4
1.2
1.1
45.2
2.1
68.4
1.7
(unit : %)Table 3 Effect of zooplankton predation on Plasmid DNA transferring rate
Tetrahymena pyriformis
E.coli HB101/pBR325 + E.coli HB101
E.coli C600/RP4 + E.coli C600
E.coli S17-1/pSUP104 + E.coli S17-1
E.coli HB101/pBR325 + P.aeruginosa PAO1
E.coli HB101/pBR325 + B.cereus MC
E.coli C600/RP4 + P.aeruginosa PAO1
E.coli C600/RP4 + B.cereus MC
E.coli S17-1/pSUP104 + P.aeruginosa PAO1
E.coli S17-1/pSUP104 + B.cereus MC

Philodina erythrophthalma

μmax
μmax
Nmax
transfer rate
Nmaxtransfer rate
4.0
51,000
1.5
0.36
3,100
1.7
4.1
50,000
67.1
0.35
3,100
76.2
4.0
50,000
55.7
0.31
3,000
61.8
4.0
48,000
1.7
0.32
3,100
1.8
3.8
46,000
1.9
0.28
2,800
1.8
4.0
48,000
54.2
0.33
3,000
55.9
3.8
46,000
10.5
0.28
2,800
9.8
3.9
46,000
49.2
0.30
2,900
46.3
3.7
47,000
11.6
0.30
2,600
10.2
-1
-1
(unit : day ) (unit : N/ml) (unit : %) (unit : day ) (unit : N/ml) (unit : %)617

SEE-Osaka, Japan, Nov. 21-23, 2016

hand, ciliates rapidly enhance the frequency of
conjugation between E. coli strains through bacterial
accumulation in vesicles is reportrd [6][8]. Moreinformation should be obtained to discuss theprosperity and decay of GMO in natural ecosystem.

number as food source for T.pyriformis andP.erythrophthalma. In the case of different bacterial
strain, that is, the combination of iv) E.coli
HB101/pBR325 + P.aeruginosa PAO1, v) E.coli
HB101/pBR325 + B.cereus MC, vi) E.coli
C600/RP4 + P.aeruginosa PAO1, vii) E.coli
C600/RP4 + B.cereus MC, viii) E.coli S171/pSUP104 + P.aeruginosa PAO1, ix) E.coli S171/pSUP104 + B.cereus MC, the predator
T.pyriformis and P.erythrophthalma grew rapidly inall cases. All bacteria decreased in their individual
number as food source for T.pyriformis andP.erythrophthalma. The specific growth rate (μ) andthe maximum individual number (Nmax) of eachzooplankton as predator and the plasmid DNA
transfer rate (%) in each combination of donor andrecipient bacteria were shown in Table 3.
As described above, all bacterial strains weregood food source for T.pyriformis andP.erythrophthalma, in any culture combination.

CONCLUSIONSThis study was conducted to investigate
horizontal transfer of plasmid DNA underphytoplankton metabolites and zooplankton
predation exposure condition, to obtain some basic
information about the prosperity and decay of GMO
in filed release. The results can be concluded asfollows;
1) Phytoplankton metabolites leads acceleration ofhorizontal transfer between not only same strains but
also different strain in spite of whether transmissible
or not.
2) Zooplankton predation leads decrease of bacterial
individual number and horizontal transfer of plasmidDNA.
3) Plasmid DNA transferring between different
bacterial strains is influenced greatly by biologicalinteraction, because the natural ecosystem includes
phytoplankton as producer and zooplankton as
consumer in the same time.
4) Monitoring of the prosperity and decay of not
only the genetically engineered microorganisms but
also the modified gene itself is necessary for wiseuse of bioremediation technology.

Effect of Predation on Plasmid DNA Transfer
As results, about the effect of zooplankton
species, in the case of same bacterial strain, that is,the combination of i) E.coli HB101 + E.coli
HB101/pBR325, ii) E.coli C600 + E.coli C600/RP4,iii) E.coli S17-1 + E.coli S17-1/pSUP104,
T.pyriformis and P.erythrophthalma grew rapidly inall cases. All bacteria decreased in their individual
number as food source for T.pyriformis andP.erythrophthalma. In the case of different bacterial
strain, that is, the combination of iv) E.coli
HB101/pBR325 + P.aeruginosa PAO1, v) E.coli
HB101/pBR325 + B.cereus MC, vi) E.coli
C600/RP4 + P.aeruginosa PAO1, vii) E.coli
C600/RP4 + B.cereus MC, viii) E.coli S171/pSUP104 + P.aeruginosa PAO1, ix) E.coli S171/pSUP104 + B.cereus MC, T.pyriformis andP.erythrophthalma grew rapidly in all cases. All
bacteria decreased in their individual number as foodsource for T.pyriformis and P.erythrophthalma.
As described above, all bacterial strains weregood food source for T.pyriformis andP.erythrophthalma, in any culture combination.
Same results were obtained in the case of one
bacterial strain containing different kind of plasmidDNA, and the case of some different kind of hostbacterial strain containing one same plasmid DNA
as food source for ciliate T.pyriformis andColpidium campylum, rotifer P.eruthrophthalma andoligochaeta Aeolosoma hemprichi as predator [1].
This result suggests that the apitude for food sourceof micro animals is dependent on the kind of hostbacterial strain not on the kind of DNA information
coding on plasmid. From these outcomes, it wasmade clear that zooplankton predation leads
decrease of bacterial individual number andhorizontal transfer of plasmid DNA. On the other

REFERENCES[1] Sudo R, Inamori Y, Murakami K, Okada M,
Ohtake H, “Effect of Micro Animals on
Prosperity and Decay of Plasmid DNA
Transconjugant”, Preprint of Poster Papers on
Water Pollution Research and Control, Kyoto,
Vol.1, 1990, pp.331-334.
[2] InamoriY, Murakami K, Sudo R, Kurihara Y,
Tanaka N, “Environmental Assessment Method
for Field Release of Genetically Engineered
Microorganisms using Microcosm Systems”,
Water Science and Technology, Vol.26, No.9-11,
1992, pp.2161-2164.
[3] Murakami K, “Effect of Biological Interactions
on Plasmid DNA Transferring in Bioremediation
Technology”, Annual Journal of Civil
Engineering in the Ocean, JSCE, Vol.25, 2009,
pp.485-490. (in Japanese)[4] Matsui K, “Horizontal gene transfer in microbial
ecosystem”, Jpn.J.Protozool., Vol.48, No.1,2,
2015, pp.31-43.
[5] Maruyama F, Tani K, Nasu M, “Dynamics andcontributions to Horizontal gene transfer ofextracellular DNA in natural ecosystem”, J.of
Environmental Biotechnology, Vol.4, No.2, 2005,
pp.131-137.
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SEE-Osaka, Japan, Nov. 21-23, 2016[10] Murakami K, “Plasmid DNA Transfer between
Different Bacterial Strains with Phytoplankton in
Eutrophicated Lake”, in Proc. of IWA 14th
International Symposium on Health-Related
Water Microbiology (WaterMicro2007), 2007.
[11] Inamori Y, Kuniyasu Y, Hayashi N, Ohtake H.
Sudo R, “Monoxenic and Mixed Culture of the
Small Metazoa Philodina erythrophthalma and
Aeolosoma hemprichi isolated from a Wastewater
Treatment
Process”,
AppliedMicrobiology and Biotechnology, Vol.34, 1990,
pp.404-407.
[12] Murakami K, Matsushima H, Tanaka K, Ishii T,
Taki K, “Inspection of Magnesium Treatment
Effect on Nutrient Elution from EutrophicatedLake Sediment”, in Proc. of 1st World Water
Congress of the International Water Association(Paris 2000), 2000.

[6] Matsuo J, Oguri S, Nakamura S, Hanawa T,
Fukumoto T, Hayashi Y, Kawaguchi K,
Mizutani Y, Yao T, Akizawa K, “Ciliates rapidly
enhance the frequency of conjugation between
Escherichia coli strains through bacterial
accumulation in vesicles”, res. Microbiol.,Vol.161, 2010, pp.711-719.
[7] Matsui K, Ishii N, Kawabata Z, “Release of
extracellular transformable plasmid DNA from
Escherichia coli cosultivated with algae”, Appl.
Environ. Microbiol., Vol.69, 2003, pp.2399-2404.
[8] Kawabata Z, Ishii N, Nasu M, Min MG,“Dissolved DNA produced through a preypredator relationship in a species-defined aquatic
microcosm”, hydrobiolgia, Vol.385, 1998, pp.7176.
[9] Murakami K, Taki K, Matsushima H, “Sucession
Mechanism on Dominant Phytoplankton in
Eutrophicated Lakes”, Papers on Environmental
Information Science, Vol.17, 2003, pp.331-334.
(in Japanese)

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Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

ADSORPTIVE BEHAVIOR OF LOW-COST MODIFIED NATURAL
CLAY ADSORBENTS FOR ARSENATE REMOVAL FROM WATER
Borano Te1,2, Chatpet Yossapol1 and Boonchai Wichitsathian1
School of Environmental Engineering, Suranaree University of Technology, Thailand; 2Department ofCivil Engineering, Preah Kossomak Polytechnic Institute, Cambodia

1

ABSTRACTMillions of people in more than 70 countries are at risk of developing arsenicosis and other health issues due
to consuming elevated arsenic contaminated water. The present study aimed to use natural clays to heat at hightemperature and treat with ferrous and ferric solutions through a simple coating technique enhanced by heating at
a moderate temperature for arsenate uptake from water. BET, XRF, XRD and SEM methods were applied for theadsorbent characterization. Adsorption experiments were conducted in a series of batch systems in terms ofcontact time, solution pH, initial concentration and the presence of coexisting anions. The adsorption kinetics
was better described by the pseudo-second order rate model for all adsorbents. All adsorbents exhibited higher
arsenate uptake efficiency in the acidic pH value. Langmuir model provided the maximum arsenate adsorption
capacity of 250µg/g, 429.74µg/g and 747.38µg/g for calcined clay (MC), ferric calcined clay (MC-FeIII) andferrous calcined clay (MC-FeII), respectively. Among added coexisting anions, phosphate (PO 4 3-) significantly
decreased the arsenate adsorption capacity of all adsorbents. Overall, regarded to a wide availability of raw
materials, simplicity of the modification and improvement of arsenate adsorption capacity, modified natural clay
adsorbents, especially MC-FeII, could be considered to be effective and low-cost to remove arsenate from water.
Keywords: adsorption, calcined clay, ferrous calcined clay, ferric calcined clay, isotherm, kinetics

remediation methods, adsorption has gained aconsiderable attention due to its simple operationand maintenance, high removal efficiency and lowcost [8]. Adsorption is based on either natural orsynthetic materials possibly providing high affinity
for dissolved arsenic. Several low cost materials
such as natural materials, agricultural wastes, andindustrial wastes have increasingly gained interest to
be used as adsorbents for arsenic removal fromwater [9]. Local available clay has been interestingly
used as adsorbents to uptake various pollutants due
to its widely availability and low cost [10].
However, clays or clay minerals appeared asadsorbents in the form of powder occur to bedifficult to separate after adsorption and limit further
potential applications like in a dynamic flow system.
From a preliminary observation, natural clays withbigger size tends to break down when mixing withwater, while clays heated at high temperature appear
to be stable in the particle size. Furthermore, thearsenic adsorption capacity of natural adsorbents
seems to be lower than that of synthetic or modifiedadsorbents with metal oxides known for having highaffinity toward arsenic. Thus, modification ofnatural clay to produce a more effective adsorbent isneeded. Among many modification methods, ironcoating or impregnation seems to be simple, costeffective, pollutant removal efficiency-improved andgaining more popularity to be applied for developing
and efficient adsorbent for pollutant removal.

INTRODUCTION
Arsenic is a toxic and carcinogenic element
polluting water sources. This element enters into theenvironment through natural factors such as
weathering
reactions,biologicalactivities,
geochemical reactions and volcanic emissions, aswell as anthropogenic activities such as mining
activities, combustion of fossil fuels, use of arsenic
pesticides and arsenic additives to livestock [1].
Health issues related to a long term exposure toarsenic include conjunctivitis, hyperkeratosis, hyper
pigmentation, cardiovascular diseases, disorder ofcentral nervous systems, skin cancer and gangreneof the limbs [2]. More than 100 million people inover 70 countries are at risk of having the diseases[3]. The World Health Organization (WHO) has
lowered the maximum contaminant level of arsenic
in drinking water from 50µg/L to 10µg/L [4].
Elevated arsenic concentration found in natural
water is ranged from <100µg/L to 5000µg/L, i.e., anaverage of 552µg/L in groundwater in Cambodia, acountry with widespread contaminated sites [5], [6].
The major arsenic forms in natural water are
arsenate and arsenite. Arsenite favors andpredominates in reducing environments likegroundwater, whereas arsenate predominates inoxygen-rich environments like surface water [7].
Practically, arsenite has been oxidized to arsenate
before the treatment. Among several arsenic
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SEE-Osaka, Japan, Nov. 21-23, 2016

The objective of this study was to use naturalclays calcined at high temperature and treated withferrous and ferric solutions through a simple coating
technique enhanced by heating at a moderatetemperature to conduct arsenate adsorption fromwater in term of effect of contact time, initialconcentration, solution pH and coexisting anions.

Adsorption Experiments
Adsorption experiments were conducted in aseries of batch at room temperature (25±1˚C). The
mixtures between adsorbents and adsorbate wereagitated at 200 rpm on a horizontal mechanicalshaker. The supernatant was filtered through 0.22
µm syringe filter and the filtrates were acidified withconcentrated nitric acid and stored at 4˚C until
arsenate measurement within 24h. Arsenate
concentration was measured by ICP-OES (Optima
8000, PerkinElmer, USA) using a wavelength of
193.7nm. The contact time was conducted by mixing
10g/L of the adsorbents with 25mL of the 500µg/L
arsenate solution (pH=7 ± 0.1) from 0 to 72h. The
effect of solution pH was investigated in the pH
range of 3 to 11. Isotherm study was carried out by
varying arsenate concentrations from 100 to
10000µg/L. The effect of coexisiting anions wasinvestigated by adding a certain amount of anions to500µg/L arsenate solution. Each experiment was
conducted in duplicate and the average was reported.
The arsenate adsorption efficiency and capacity
were calculated with the following equations:

MATERIALS AND METHODS
Chemical Reagents

All experiments were conducted with chemicals
of analytical grade without further purification.
Arsenate stock solution (100 mg/L) was prepared bydissolving Na 2 HAsO 4 ·7H 2 O (Sigma Aldrich, USA)in deionized water. FeSO 4 ·7H 2 O and FeCl 3 ·6H 2 O
were used for ferrous and ferric solutions,
respectively. NaOH and HCl were used for pH
adjustment. NaCl, NaNO 3 , NaHCO 3 , Na 2 CO 3 ,Na 2 SO 4 , and Na 3 PO 4 were used for developing
coexisting anion solutions. To prevent chemicalinterferences, all needed glassware and apparatus
were washed with DI water and exposed to a 5%
nitric acid solution overnight prior to being used in
the experiments.
=
P
Preparation and Characterization of Adsorbentsqe =Natural clay (collected from Dan Kwian District,
Nakhonratchasima 30000, Thailand) was manuallycleaned and ground for the particle size of 0.45-0.85
mm. The natural clay was then calcined at 550˚C for
4 to 5h in a muffle furnace. The calcined clay waslabeled as MC. The modification process was
conducted with ferrous or ferric solutions. Twenty
gram (20g) of MC was added to 100 mL of 0.25M
FeCl 3 ·6H 2 O or 0.25M FeSO 4 ·7H 2 O. The mixture
was magnetically stirred on a hot plate withtemperature of 60˚C under agitation speed of 250
rpm for 24h. The suspension was dried at 105˚C for
24h and then further heated at 350˚C for 3h toensure higher effective affinity of iron. The productwas washed with deionized water and labeled as
MC-FeII and MC-FeIII, respectively.
The chemical composition was determined by
the Energy Dispersive XRF (HORIBA Ltd., Japan).
The mineralogical phases were analyzed by the Xray diffraction method with the Bruker XRD (D2PHASER). The surface morphology were examinedby a scanning electron microscope (SEM, JSM6010LV, JEOL, Japan). The surface area, porevolume, and average pore diameter were obtained
from the Brunauer-Emmett-Teller (BET) methods
using the BET analyzer (BELSORP Mini II, BEL
Inc., Japan). The point of zero charge (pH pzc ) was
evaluated by plotting the initial pH versus theequilibrium pH (using 0.01M NaCl as backgroundelectrolyte with the equilibrium time of 72h) [11].

( Co − Ct ) ×100

(1)

( Co − Ce ) × V

(2)

Co

M

where P is the adsorption efficiency (%); q e is theadsorption capacity at equilibrium (µg/g); C o and C e
are the initial and equilibrium arsenate concentration(µg/L), respectively; V is the adsorbate volume (L);and M is the mass of adsorbents (g).
RESULTS AND DISCUSSION
Characterization of Adsorbents
The characteristic analysis of the physicochemical properties of the adsorbents is illustrated inTable 1. The results indicated that the main chemical
constituents of all the adsorbents were silicate,alumina and iron oxide. After a long time exposure
to ferrous solution (pH=3.08) and ferric solution(pH=1.28), the percentage of silica and alumina of
MC-FeII and MC-FeIII were observed to be lower
than those of MC. This could be explained by theoccurrence of corrosion due to the acidic behavior ofiron solutions. However, an increase of iron oxide
was observed for modified adsorbents compared tothat of MC (roughly 1.5 and 2 times for MC-FeII
and MC-FeIII, respectively). This indicated thatapplied iron coating technique in this study
successfully improved iron content.
621

SEE-Osaka, Japan, Nov. 21-23, 2016

Table 1 The physico-chemical properties of MC,
MC-FeII, and MC-FeIIIa)

Properties
MC
MC-FeII
MC-FeIII
71.25
68.34
68.63
SiO 2
20.51
20.07
16.55
Al 2 O 3
5.585
8.361
11.77
Fe 2 O 3
K2O
1.039
1.008
0.893
CaO
0.435
0.314
0.264
MnO 2
0.067
0.063
0.078
2
S BET (m /g)
41.69
55.41
55.99
a T (cm3/g)
0.059
0.067
0.068
a 0 (nm)
5.712
4.807
4.799
pH pzc6.3
5.9
5.1
Note: S BET = Surface area; a T = Total pore volume;a 0 = Mean pore diameterb)

The surface area of MC, MC-FeII and MC-FeIII
were 41.69m2/g, 55.41m2/g and 55.99m2/g,
respectively. The improvement of surface area after
the treatment was due to the open space by acidic
corrosion. It was consistent with the increase of total
pore volume. All adsorbents exhibited the mean poresize within 2 to 50 nm, indicating that the materials
are relatively mesoporous according to the poreclassification recommendation of the International
Union of Pure and Applied Chemistry [12].
XRD pattern analysis of the adsorbents ispresented in Fig. 1. The pattern of all adsorbents wasalmost identical. However, the intensity to develop
peaks for the modified adsorbents increased and thedevelopment of new peaks was observed for MCFeIII. This may be contributed to the increase in theamount of iron oxide on the surface. The main
composting minerals for the adsorbents include
quartz, illite-montmorillonite, kaolinite and hematite.
Figure 2 shows the surface morphological featureof MC, MC-FeII and MC-FeIII analyzed by SEM.

Q

Q

Q

Q

Kinetic Studies

Q

Q

Q

40
50
2Thetha

60

70

a) MC
b) MC-FeIIc) MC-FeIII

Intensity

Q
HH

Q

K

Q

K

c)
IM
b)
IM
a)

10

20

Fig. 2 SEM analysis of (a) MC, (b) MC-FeII, and(c) MC-FeIII.
A pretty smooth with few rough particle attachments
was observed on the surface of MC, that could be a
result of exposure of silica to high temperature.
Surface features of MC-FeII and MC-FeIII weresimilar with the occurrence of several concave
shapes and many small pores. This was strongly
supportive to the corrosion effect of iron solutions.

Q

IM

c)

30

Q
Q

Figure 3 shows the effect of time dependent forarsenate adsorption onto the adsorbents. Within thefirst 18h, all adsorbents expressed fast adsorption
toward arsenate in the aqueous solution. Later, theuptake rate was insignificantly improved andreached the equilibrium with 72h. This was due tohaving more active sites initially and later filled up.

80

Fig. 1 XRD patterns of the adsorbents: Q (Quartz),
K (Kaolinite), IM (Illite-montmorillonite), and H(Hematite).
622

SEE-Osaka, Japan, Nov. 21-23, 2016

adsorbents and adsorbate concentration playsignificant roles in controlling the uptake rate [13].

50qt (µg/g)

40

Isotherm Studies

30

Langmuir and Freundlich models were applied to
fit the isotherm data. Their non-linearized equations
are represented as follow:

20
MC
10

Pseudo-first order

MC-FeII

Pseudo-second order

MC-FeIII

20

60

0
0

10

30

40

50

70

Time(h)Pseudo-first order and pseudo-second ordermodels were applied to predict the kinetic data.
Their non-linearized equations can be expressed asfollow:

Pseudo-2nd order: q t =

(3)

2
e

q k 2t1 + q e k 2t(4)

where q t (µg/g) is the adsorption capacity at time t(h), and k 1 (h-1) and k 2 (g·µg-1·h-1) are pseudo-firstorder and pseudo-second order rate constant,respectively. Kinetic parameters obtained from thekinetic models are presented in Table 2. For all
adsorbents, the correlation coefficients (R2) ofpseudo-second order model were higher than thoseof pseudo-first order model.
Table 2 Kinetic parameters for arsenate adsorption
onto the adsorbents
MC-FeII
49.05

Freundlich: q e = K F C1/e n(6)MC-FeIII
45.51
800

44.08
0.763
0.883

41.00
0.378
0.945

49.77
0.014
0.999

46.34
0.009
0.998

LangmuirMC

Freundlich

MC-FeII
MC-FeIII600

qe (µg/g)

ModelsMCq e,exp. (µg/g)
36.00
Pseudo-1st order model
q e,cal. (µg/g)
33.54-1
k 1 (h )
0.092
R2
0.972
Pseudo-2nd order modelq e.,cal. (µg/g)
38.09
-1 -1
k 2 (g.µg .h )
0.004
R2
0.986

(5)

where q m (µg/g) is the maximum adsorption capacity
based on Langmuir equation; K L (L/µg) is Langmuir
constant; K F and n are the adsorption coefficientfrom Freundlich equation. Figure 4 shows the plotsof the models for obtaining the isotherm parameters.
The calculated isotherm parameters including the
maximum arsenate adsorption capacity aresummarized in Table 3. The results indicated that
MC-FeII and MC-FeIII were better fitted toLangmuir model due to the higher values ofcorrelation coefficient (R2). However, MC was welldescribed by Freundlich model. This implied that
MC possessed a heterogeneous surface with multilayers adsorption for arsenate. The improvement ofiron contents of MC-FeII and MC-FeIII seems to
overpass the uptake capacity of other parallel
existing minerals and possibly provided a monolayer
arsenate adsorption on the their homogeneous
surface without having any interaction between
adsorbed adsorbate [14]. The maximum arsenate
adsorption capacity from Langmuir models were
250µg/g, 747.38µg/g and 429.74µg/g for MC, MCFeII and MC-FeIII, respectively.

Fig. 3 Effect of contact time and its fitting model
for arsenate adsorption efficiency by the adsorbents.

Pseudo-1st order: =q t q e (1 − e − k1t )Langmuir: q = q m K L Cee
1 + K L Ce

400
200
0
0

Plus, the arsenate adsorption capacity obtained frompseudo-second order model (q e,cal. ) was comparable
to the arsenate adsorption capacity from theexperiment (q e,exp. ). Thus, kinetic data were welldescribed by pseudo-second order model. Thissuggests that the adsorbate and adsorbents exchangeor share electron and the surface properties of

3000

6000

9000

Ce (µg/L)

Fig. 4 Isotherm models for arsenate adsorption by
the adsorbent.
A separation factor constant, R L = 1/(1 + K L C o )where C o (µg/L) is the initial arsenate concentration,
623

SEE-Osaka, Japan, Nov. 21-23, 2016

and Freundlich constant (1/n) were used to category
the type of isotherm of the adsorbents. The
adsorption process is irreversible if R L =0, favorable
if 0<R L <1, linear if R L =1 and unfavorable if R L >1
and the adsorption is favorable when 0<1/n<1,
irreversible when 1/n=1 and unfavorable when
1/n>1 [15]. For all adsorbents, 1/n values were
within 0-1. With the studied arsenate range, R L were0.07-0.89, 0.02-0.67 and 0.04-0.79 for MC, MC-FeII
and MC-FeIII, respectively. This implied adsorbents
expressed favorably adsorption toward arsenate.

predominated the negative charge for pH > pH pzc[16]. Arsenate mainly exists in water as H 3 AsO 4 at
pH less than 2.2, H 2 AsO 4 - at pH between 2.2 and
6.98, HAsO 4 2- at pH between 6.98 and 11.5, andAsO 4 3- at pH above 11.5 [1]. The point of zerocharge (pH pzc ) for MC, MC-FeII and MC-FeIII were
6.3, 5.9 and 5.1, respectively (Table 1). Apparently,
the repulsive force between the adsorbents and theadsorbate is most probably responsible for thedecrease of arsenate uptake from the solution at
higher pH values.

Table 3 Isotherm parameters for arsenate adsorption
by the adsorbents

Effect of coexisting anions

125

Effect of pH

Adsorption efficiency (%)

The effect of solution pH on the arsenate
adsorption onto MC, MC-FeII and MC-FeIII ispresented in Fig. 5. All the adsorbents shared asimilar pattern of the adsorption efficiency over thestudied pH range. The arsenate adsorption efficiency
gradually decreased for pH from 3 to 7. When pH
was beyond 7, the decrease was significantly
improved and the dramatically decline was observedfor pH 11.

25

4

PO
3

4

-

SO
2

k

MC-FeII
MC-FeIII

0
8

50

Bl
an

MC

6

75

The results showed that a similar trend of influenceon the arsenate efficiency was observed for all
adsorbents. The presence of univalent anions
showed less reduction in arsenate adsorption
efficiency. The increasing reduction of adsorption
efficiency was observed when bivalent anions wereadded. Trivalent anion (PO 4 3-) significantly
influenced on decreasing the arsenate adsorption
efficiency. The competition for active sites on thesurface of the adsorbents could be a reason forremarkably reduction of arsenate adsorption
efficiency in case of PO 4 3-. Phosphate shares similar
chemical properties to arsenic and easily attaches toiron hydroxide to form an inner-sphere complex
compared to arsenic [17], [18].

60

4

MC

Fig. 6 Effect of co-existing anions on the arsenate
removal using the adsorbents.

80

20

MC-FeIII

0

100

40

MC-FeII100

30.47658.7845
0.9438CO
20.558411.9890.961930.44274.94130.9887CO-

429.740.00250.9883

3

747.380.00430.9801H

250.000.00120.9556The effect of coexisting anions on the arsenate
adsorption by the adsorbents were conducted byseparately adding 0.1mM of univalent anions (Cl-,NO 3 -, HCO 3 -), bivalent anions (CO 3 2-, SO 4 2-) andtrivalent anion (PO 4 3-) to 500µg/L of arsenate
solution. The arsenate adsorption efficiency in thepresence of each individual anion is shown in Fig. 6.

O -MC-FeIIIN

MC-FeIICl -MCAdsorption efficiency (%)

ModelsLangmuirqm
KL
R2
Freundlich
1/n
KF
R2

10

pH

Fig. 5 Effect of initial arsenate solution pH on theadsorption of the adsorbents.

CONCLUSION

The results could be reasoned by the surface
properties of the adsorbents and arsenate speciation
with various pH values. The surface of the adsorbent
was more positively charged for pH < pH pzc andNatural clay could be stabilized the particle sizeby calcination. Iron impregnation on MC improved
the iron oxide content for MC-FeII and MC-FeIII, as624

SEE-Osaka, Japan, Nov. 21-23, 2016

well as their adsorption efficiency. Pseudo-second ordermodel was more suitable for fitting the kinetic data for all
adsorbents. Both applied isotherm models were suitable todescribe the isotherm data for MC adsorbent. Langmuir
was better in case of iron modified adsorbents. All
adsorbents exhibited high arsenate adsorption efficiency atlower initial solution pH and significant reduction
occurred at high pH value. The introduced coexistinganions influenced on the arsenate adsorption efficiency of
all adsorbents in the following order: trivalent> bivalent>
univalent anions. Modified adsorbents, particularly MCFeII and MC-FeIII, were easily and economically
produced that could be effective and low-cost adsorbents
to remove arsenate from water.

Waseem M, and Hamayun M, “Adsorption ofarsenate from aqueous solution on binary mixed
oxide of iron and silicon”, Chemical Engineering
Journal, vol. 192, 2012, pp. 90-98.
[9] Baig SA, Sheng T, Hu Y, Xu J, and Xu X, “Arsenic
removal from natural water using low cost granulated
adsorbents: a review”, CLEAN–Soil, Air, Water, vol.
43, 2015, pp. 13-26.
[10] Srinivasan R, “Advances in application of naturalclay and its composites in removal of biological,
organic, and inorganic contaminants from drinking
water”, Advances in Materials Sci and Eng, vol. 2011,2011, pp. 1-17.
[11] Su J, Huang HG, Jin XY, Lu XQ, and Chen ZL,“Synthesis, characterization and kinetic of asurfactant-modified bentonite used to remove As(III)and As(V) from aqueous solution”, J Hazard Matter,vol. 185 2011, pp. 63-70.
[12] Kuila U, and Prasad M, “Specific surface area andpore size distribution in clays and shales”,
Geophysical Prospecting, vol. 61, 2013, pp. 341-362.
[13] Li Y, Cai X, Guo J, Zhou S, and Na P, “Fe/Ti copillared clay for enhanced arsenite removal and photooxidation under UV irradiation”, Applied Surface
Science, vol. 324, 2015, pp. 179-187.
[14] Ouadjenia-Marouf F, Marouf R, Schott J, andYahiaoui A, “Removal of Cu (II), Cd (II) and Cr (III)ions from aqueous solution by dam silt”, Arabian
Journal of Chemistry, vol. 6, 2013, pp. 401-406.
[15] Fufa F, Alemayehu E, and Lennartz B, “Sorptive
removal of arsenate using termite mound”, J Environ
Manage, vol. 132, 2014, pp. 188-196.
[16] Chang Q, Lin W, and Ying WC, “Preparation of ironimpregnated granular activated carbon for arsenic
removal from drinking water”, J Hazard Matter, vol.
184, 2010, pp. 515-522.
[17] Maliyekkal SM, Philip L, and Pradeep T, “As (III)removal from drinking water using manganese oxidecoated-alumina:
performance
evaluation
andmechanistic details of surface binding”, Chemical
Engineering Journal, vol. 153, 2009, pp. 101-107.
[18] Hsu JC, Lin CJ, Liao CH, and Chen ST, “Evaluationof the multiple-ion competition in the adsorption of
As (V) onto reclaimed iron-oxide coated sands by
fractional factorial design”, Chemosphere, vol. 72,
2008,pp.1049-1055.

ACKNOWLEDGEMENTS
The authors gracefully thank School of Environmental
Engineering, Suranaree University of Technology,
Nakhon Ratchasima 30000, Thailand.
REFERENCES[1] Mohan D and Pittman Jr. CU, “Arsenic removal fromwater/wastewater using adsorbents—a criticalreview”, J Hazard Matter, vol. 142, 2007, pp.1-53.
[2] Goswami A, Raul PK, and Purkait MK, “Arsenic
adsorption using copper (II) oxide nanoparticles”,
Chemical Engineering Research and Design, vol. 90,
2012, pp. 1387-1396.
[3] Brammer H and Ravenscroft P, “Arsenic ingroundwater: a threat to sustainable agriculture in
South and South-east Asia”, Environment
International, vol. 35, 2009, pp. 647-654.
[4] Glocheux Y, Pasarín MM, Albadarin AB, Allen SJ,
and Walker GM, “Removal of arsenic fromgroundwater by adsorption onto an acidified laterite
by-product”, Chemical Engineering Journal, vol. 228,
2013, pp. 565-574.
[5] WHO, “Environmental Health Criteria 224: Arsenicand Arsenic Compounds”, Geneva, 2001, pp. 28.
[6] Luu TTG, Sthiannopkao S, and Kim KW, “Arsenic
and other trace elements contamination in
groundwater and a risk assessment study for the
residents in the Kandal Province of Cambodia”,
Environmental International, vol. 35, 2009, pp. 455460.
[7] Genç-Fuhrman H, Bregnhøj H, and McConchie D,“Arsenate removal from water using sand–red mudcolumns”, Water Research, vol. 39, 2005, pp. 29442954.
[8] Mahmood T, Din SU, Naeem A, Mustafa S,

625

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

ESTIMATION OF POTENTIAL CONTAMINATED AREA FROMEROSION FOR A REMOTED CONTMIANTED WATERSHED: A CASESTUDY OF THE MAE TAO BASIN, THAILAND
Somprasong K.1 Chawiwatworakul P2
1

International Postgraduate Program in Environmental Management, Graduate School,
Chulalongkorn University, Bangkok, Thailand

2

Department of Environmental Engineering, King Mongkut’s University of Technology
Thonburi, Bangkok 10140, Thailand.
ABSTRACTThe Mae Tao Basin locates in Mae Sot district, Thailand. This area has been contaminated by cadmium,
where the dominant transporter is sediment leached into the water resources by surface runoff. The Revised
Universal Soil Loss Equation (RUSLE) incorporated with remote sensing and geographic information system
software was applied, in order to estimate the potential erosion that can occur in the Mae Tao Basin. The erosion
potential was combined with the cadmium concentration profile, obtained using secondary data from bothgovernment and private sectors, to calculate the potential cadmium flux due to erosion. The results indicate thatmaximum value of potential cadmium flux due to erosion occurred in the mining production area of the Mae Tao
Basin which is concordant with some of the real field observation results from the real monitoring stations.
Keywords: Remote sensing, Land use, Contamination, GIS, RUSLE
study area attaching with overland erosion.
The Revised Universal Soil Loss Equation(RUSLE) is greatly accepted as a simple andaccommodating equation for soil surface erosion
estimations. It necessitates less data and entails ashort period of time to run, compared to other models
that calculate soil erosion.
Table 1 Summary of the cadmium contamination
status in the Mae Tao Basin

INTRODUCTION
Cadmium, a hazardous heavy metal, has been
concerned in terms of its toxicity affecting to theenvironment. It is a main by-product of zinctreatment processes. Cadmium can be transported
though environmental phases by trapping withsediments and bound back into water system, andtheir accumulation are dominated by physicalchemical properties of the sediment. Its solubility
are depended on water chemical properties such as
pH, chelating agents, redox conditions and, salinity([2], [3], [4])The Mae Tao Basin, Thailand’s largest zinc
deposit is located in Mae Sot district, Tak province.
As a byproduct in zinc industries, cadmium
contamination can be occurred in the mining
production area and spread to the environmental
phases as can be seen in Table1. [5]Erosion due to rainfall upstream of the Mae Tao
Creek, the main water resources of the area, wasfound to be one of the major mechanics that makecadmium available for transport to the downstream.
However, mining procedures and the mine area
management have also been blamed for contributing
to the problem [1].
Overland sediments from surface runoff have a
possibility to be the transmission intermediate thatreinforces the spread of hazardous substancesleaching into area soil. Consequently, the potential
erosion rate of the basin can be estimated todetermine its cadmium contribution potential in the

SampleCadmium concentration

Standard for Thailand

Water

0.0001-0.1 mg/L

≤ 0.05 mg/L [1]Soil

0.1-1,458 mg/kg≤ 37 mg/kg [1]Sediment<1-1,350 mg/kg≤ 3.5 mg/kg [6]Rice0.02-7.75 mg/kg≤ 0.2 kg/kg [7]RUSLE is familiar in both scientific work andland development. A combination of geographic
information system (GIS) technology and thiserosion models has been proven to be effective atestimating the magnitude and distribution of erosion([8], [9],[10])The application based of RUSLE in this study
was mainly focused on presenting the remoteestimation of the soil erosion in the study areas which
is surrounded by deciduous forest. The estimation
results were evaluated with the real field observation
data of soil erosions in a reachable area of the Mae

626

SEE-Osaka, Japan, Nov. 21-23, 2016

Tao Basin especially, the mining production area. In
this study, contamination concentration data is
integrated with RUSLE to utilize this equation in acontamination assessment.

Soil loss or soil erosion refers to the amount ofsoil moved from one particular area to another in theform of sediment yield. This phenomenon depends
on the relationship between raindrops, runoff and theerodibility of a certain area. RUSLE have a capability
in estimating of the relentlessness of erosion in theform of quantifiable results by extending the terms ofcover management and support practices into theequation.
Since cadmium adsorbed from overland
sediment as residue from surface runoff, applying
RUSLE to quantify the erosion sediment from theMae Tao Basin can be used to estimate the potential
amount of cadmium that is spreading through thecreeks. The Revised Universal Soil Loss Equation ispresented in Eq. (1).
(1)
A = R × K × C × P × LS

METHODOLOGY
Figure 1 illustrates the framework of the study,
and the steps of each study procedure are describedas follows.
R
Rainfall Data
Estimation results

K
Soil TypeCLand useP

GIS

Evaluation
Field observation
data

DEM
Cadmium
concentration profile

The R factor refers to the erosivity by rainfall
runoff at a particular location. The K factor
represents the specific value of the inherent
erodibility of the soil surface material at a particularsite. The LS is the effects of topography, specificallya hill’s slope, length, and steepness, on the rates ofsoil loss at a site.
The C factor expresses the effects of surface
cover and roughness, soil biomass, and soildisturbing activities on the rate of soil loss at aparticular site, while the P factor is the effects of soil
conservation practices at a particular site, such as
contouring and buffer strips for cover vegetation.

Monitoring
Check dam

Fig.1 Methodology frame work of the estimation
methodThis study applies a combination between remotesensing, secondary data interpolation, and GIS
technology to estimate the leaching potential of
cadmium contamination sources. It aims to estimate
the potential erosion of the Mae Tao Basin in relation
to its potential cadmium contributors based on the
Revised Universal Soil Loss Equation (RUSLE).
The study began with data acquisition. For theboundary of the study area, the Mae Tao Basin,covers 59.61 km2.The basin contains mining
production areas, crop fields, and residential areas.
Daily precipitation data from 2010 to 2014 weregathered from the Thai Meteorological Department(TMD), while soil type and land use maps of the Mae
Tao Basin were acquired from the Land
Development Department of Thailand (LDD).
Furthermore, a digital elevation map [11] of the study
area was afforded by the Royal Thai Survey
Department (RTSD).
Each set of data was analyzed individually toobtain the values of the required RUSLE parameters.
The values were operated by GIS software andcombined with the cadmium concentration profile ofthe Mae Tao Basin from the Thai Pollution Control
Department [1].
The results from the GIS estimation were
evaluated with the field observation data from ten
monitoring check dams to compare the value
between real erosion and the estimated one.

Parameter determination
R factor
The R factor in this study was calculated basedon the study of [12]. These set of equations (Eq. (2)to Eq. (4) are appropriate or calculating the R valueof a small area for short monitoring period. They
were also used in R-factor calculations in Laos,
which shares a similar climate with Thailand and canalso yield the advantages of reducing the chances ofdata insufficiency.

POTENTIAL EROSION ESTIMATION

M x2
Fi x =
Py(2)

Ei30, x = kFi 0x .584

(3)

1 n
R = ∑ Ei30, x
n x =1(4)

Fix refers to the Fourier index of rainfall inmonth x (mm). M x is the rainfall precipitation

Revised Universal Soil Loss Equation (RUSLE)

during month x (mm), while Py stands for the627

SEE-Osaka, Japan, Nov. 21-23, 2016

amount of yearly precipitation (mm). Parameter k isa constant value, 227 (MJ ha-1 h-1), andEi30, x is the maximum intensity rainfall energy of

LS factor
LS-factor calculation methods have been developedfor both direct field observation techniques anddigital analysis techniques [14]. As a remoteestimation study, GIS application was assigned in
the calculation of LS factor for the surface area of
The Mae Tao Basin based on the study of [15] aspresented in Eq.(5).

month x (MJ mm ha-1 h-1).
The monthly rainfall data, have been recorded by
TMD since 2010, were applied to calculate the Rvalue of the study area. From the calculation, R
factor value use in this study was equal to 319.75
mm/ha/y.
C and P factor

LS = (

Since some parts of the Mae Tao Basin areinaccessible area, direct field observation was merely
impossible. To avoid this limitation, secondary datacollection (e.g., land use observation data from theLDD) was applied to gain the required values as canbe seen in Table 2.

Flowacc × resolution m) (0.065 + 0.045s + 0.0065s 2 ) (5)22.13

The GIS calculation procedure for LS factor is
illustrated in Fig.2.
DEM

GIS
spatial analysis(Digital Elevation Map)

Slope

K factor

GIS spatial analysis
Flow direction

The data on land use and soil properties(including soil type identification) of the Mae Tao
Basin are provided by LDD and the study of [13].
These sets of data were compared and matched withsoil taxonomy to retrieve the K factor value. The soil
type and the K-factor applied in this study are
mentioned in Table 3.

Flow accumulation

Fig.2 LS factor determination method in GIS
application

Potential erosion estimation

Parameter value
Abandoned farm house
Abandoned crop field
Active crop field
Corn field
Dense deciduous forest
Disturbed deciduous forest
Mine/Landfill /Waste dump site
Mixed orchard

C
0

P
0.4

0.85
0.28-0.40
0.52
0.003
0.048
1
0.15- 0.31

0.45
0.10-0.71
0.92
1
1
1
0.2-0.4

The calculation for potential erosion of the Mae
Tao Basin was operated under the spatial analysis
for raster calculation in GIS application, based on
Eq. (1).

POTENTIAL CADMIUMEROSION ESTIMATION

Soil
Type
(Thai)

1

31

Soil Characteristic

2

33

3

55

Fine,Mixed,Isohyperthermic

0.24

4

60

Well drained

0.29

5

62

Slope complex

0.25

FROM

Since the Mae Tao Basin is a large remote area,
the direct field observation for contamination status
cannot be continuously arranged and disseminated.
The interpolation based on Kriging method based on
GIS application was applied. In this interpolation, 40
stations from the existing studies of the cadmium
contaminated level of soil surface are integrated andinterpolated in to raster calculation layer as can beseen in Fig.3.

K
factorvalue

Fine, mixed, Isohyperthermicvery fine, Kaolinitic,
Isohyperthermic
Finesilty,Mixed,Isohyperthermic

FLUX

Cadmium concentration profile interpolation

Table 3 K factor value based on soil type

No

LS

Fill

Table 2 C and P factor for specific land use of theMae Tao BasinLand use type

GIS
Raster Calculation

0.25
0.37

628

SEE-Osaka, Japan, Nov. 21-23, 2016

SED_OB3

4640871847923

SED_OB44652661842053

SED_OB54642851841898

SED_OB6

4646671841792

SED_OB74652591842050

SED_OB84642791841892

SED_OB9
SED_OB104656424669371841200
1842750

Active Mining zone
Bench (Overburden Dump
site 3)
Green Mining zone
Water Management HQ
officeOverburden Dump Site
Bench (Overburden Dump
site 1)
Sediment Pawn (E1)
Upstream (MT07)

Estimation evaluation
Fig.3 Cadmium concentration profile interpolated by
Kriging’s method

The mass of the collected sediment from themonitoring check dam were converted into potential
erosion based on Eq. (7).

Potential cadmium flux from erosion estimation

 m × Cd erosion 
EObservation =  E

AT



Bear a resemblance to the raster calculation of
RUSLE estimation, the concentration profile ofcadmium in the Mae Tao Basin was interpolated into
an attribute table and transformed into a raster layer
for calculation. The following equation was appliedin the raster calculation to estimate the potential
cadmium flux from erosion of the Mae Tao Basin
area.
(6)
Cd erosion = cA × 106

Where

EObservation = Potential cadmium flux from erosionof observation station (t/ha/y)

Where
Cderosion = Potential cadmium flux from
erosion (t/ha/y)C= Cadmium concentration (mg/kg)
A= Soil erosion from RUSLE (t/ha/y)A= Area of monitoring check dam (m2)T

= Monitoring time (year)

Potential erosion estimation

In order to evaluate the efficiency of theestimation results, ten monitoring check dams were
installed during July to October 2014 at thesignificant location representing the differences land
utilization of the Mae Tao Basin. At each station, thesediments from rainfall erosion were collect andanalyzed for both cadmium concentration and massof the eroded sediment. Table 4 demonstrates alocation of the monitoring check dams.

According to the estimation result from RUSLE,
the potential erosion of the Mae Tao Basin area canbe ranged from 0.00 to 4.10 x 105 t/ha/y. The highest
values of erosion can be detected at the junction pointof the creeks and in the mining production area while
low potential erosion can be found in the forest area
and the upstream of the basin due to the coverpractice and topography respectively. Figure 4
illustrates the potential erosion of the Mae Tao Basin.

Table 4 the locations of monitoring check dam

SED_OB1
SED_OB2= Mass of sediment sample (kg)

RESULT AND DISCUSSION

Monitoring check dam

UTM
Easting Northing
459400 1843330
463430 1842304

ME

The potential cadmium flux from erosion of themonitoring check dams were compared to theestimated result from RUSLE estimation toevaluated the effective of the estimation in form oferror from the real value of the erosion.

EVALUATION OF POTENTIAL CADMIUM FLUX FROMEROSION ESTIMATION

Station(7)

Location
Downstream (MT02)
Heavy Equipment plant629

SEE-Osaka, Japan, Nov. 21-23, 2016

Fig.4 The result of potential erosion estimation

Fig. 5 Potential cadmium fluxes from erosion

Potential cadmium flux from erosion estimation
Figure 5 and Table 5 illustrates the potential fluxof erosion of the Mae Tao Basin. Consistent with
Eq.6, the potential cadmium flux from erosion can beillustrated in form of raster map. The map designates
the scattered distribution of cadmium contaminationfrom erosion in many parts of the basin.
A high potential flux value is located in themining production area, while moderate values ofpotential flux are found scattered in the corn fieldarea of the Mae Tao Basin. There is an evidence ofcontamination in the left branch of the Mae Taocreeks, especially the area that passes through anactive mine. The results from also designate someother areas with high contamination potential due tobeing natural sources and having high soil erosion
capabilities.
The highest value of potential cadmium flux from
erosion was found in the mining production areas at
1.854 ± 0.088 t/ha/y. Similar to the mining
production area, corn fields, abundantly detected in
the middle of the basin, have the potential inreleasing high levels of cadmium. The highest valueof cadmium flux due to erosion in corn field area was
1.324 ± 0.049 t/ha/y.
Even though the highest values of potential flux
were detected in the mining production areas andcorn fields, cadmium contamination from erosion canbe found in other areas of the Mae Tao Basin. In
some paddy fields downstream, the potential
cadmium flux due to erosion was discovered to be
0.451 ± 0.012 t/ha/y. The existence of a cadmium
contamination potential signals the risk of utilizing
the soil and water in areas that have accumulated
cadmium from an upstream part of the basin.
Moreover, the deciduous forest area, located in an
undisturbed upstream area of the basin, had apotential flux of 0.517 ± 0.002 t/ha/y. This can beone of the evidences that some part of the basin canbe naturally contaminated due to the geologicalcharacteristic of the area that contains zinc-cadmium
mineral deposition.

Table 5 Potential erosion estimation of the Mae Tao
basin
Land use typeAll area

Miningproduction

Corn
field

Rice
paddy
field

Forestarea

Area(km2)

5961.87262.53616.22

174.333352.64

Area contribution(%)
Maximum
Cderosion (t/h/y)

100

4.4

10.34

2.92

56.23

1.854

1.854

1.324

0.451

0.517

mean (t/h/y)

0.005

0.044

0.013

0.002

0.002

SD

0.032

0.088

0.049

0.012

0.011

RSD (%)

587

201

375

595

712

Potential
cadmium erosion
in one year (t)32.195

11.527

8.03

0.36

5.24

Evaluation
estimationofpotential flux

fromerosionTable 6 demonstrates the estimation evaluation
between real field observation’s result and theestimation from RUSLE. The result of total cadmium
indicates the highest value of cadmium concentration
at SED_OB 6 which is located mining production
area at 303.49±155.59 mg/kg.
According to the natural properties of zincmineral vein, cadmium can occur in association withzinc so that the high significant level of cadmium isordinary. For the upstream and the downstream areaof the Mae Tao Basin, the total overland sedimenttransport is compiled with PCD’s standard (37mg/kg).
In keeping with the observation result, thepotential cadmium flux from erosion in the area,
where uncomplicated land utilization located, cangive a close value to the empirical estimation based
on RUSLE.
630

SEE-Osaka, Japan, Nov. 21-23, 2016

The potential cadmium flux from erosion at themining production area, including station SED_OB2
to SED_OB9, is equal to 1.75 t/ha/y while theestimation result from RUSLE is equal to 1.854t/ha/ywhich contains 5.94% error compare to the real
erosion.
The complexity in land utilization can cause theeffect to the precision of the estimation. This wasevidenced by the comparison between station
SED_OB1 and SED_OB10. Station SED_OB1 at thedownstream in which contains complex land
utilization activity in one area grid, the value of
potential cadmium fluxes from erosion between thefield observation and empirical estimation are larger
than SED_OB10 located in the deciduous forest area.
The estimated potential cadmium flux from
erosion of the corn field at station SED_OB1 is 56
times higher than the real field erosion at 0.003
t/ha/y, while in deciduous forest, the estimated value
contains only 2 times higher than the real fieldobservation at 0.01 t/ha/y due to the low complexityof the real land utilization.

In proportion to the result, the dense corn fields,
located in an area of natural zinc reservoirs, alsoleach cadmium downstream. The combination
between the effects of low erosion resistance andbeing situated in a mountainous area with mining
activities results in the area’s high cadmium erosion
potential. This is evidently exposed by the cadmium
concentrations detected in the upstream area of theMae Tao creeks.
Although rice paddies, located on hill slopes,
contains low cadmium contamination potentials,
higher levels of potential at 0.45 t/ha/y were found in
the rice paddies located in the flat area downstream
as a consequence of the local public irrigation systemand daily household water consumption from theMae Tao creeks.
The deciduous forest released a small proportionof cadmium because of its high resistance to erosion.
However, parts of the deciduous forest undisturbed
by human activity did have some cadmium
contamination. This can inferred that natural deposits
contribute to the cadmium contamination in the area.
As a recommendation, developments in vegetation
planning like strip cropping must be promoted.
However, in areas that are already contaminated,subsidizing of existed vegetation to other crops can
reduce the risk of the contamination of cadmium into
human.

Table 6 Evaluation between estimated values and real
field observation[Cd ](mg/kg)Cderosion(Field)(t/ha/y)Cderosion(RUSLE)(t/ha/y)

62.80

2.37

0.00

0.17

-5566.67

21.90

15.43

0.01

1.44

-20514.29

SED_OB3

3580.00

260.87

19.43

1.67

91.38

SED_OB4

8.00

18.75

0.01

0.62

-6140.00

SED_OB5

2500.00

58.15

3.02

1.65

45.30

SED_OB6

10.35

303.490.07

0.13-106.15

SED_OB7

1000.00

84.12

1.75

1.85

-5.94

SED_OB8

34.00

32.79

1.02

1.41

-38.12

SED_OB9970.00

3.03

0.06

1.21

-1888.52

SED_OB10

60.92

7.75

0.01

0.03

-200.00

StationSediment(kg)

SED_OB1
SED_OB2

Error(%)

CONCLUSION
Empirical estimation based on RUSLE canillustrate the significant potential area which have acapability in releasing cadmium attaching in form of
the residue in the rainfall runoff In the area, in which
uncomplicated cover practice area are defined,
RUSLE can effectively applied to use as a primary
tool to estimate the potential contaminated area
effected by rainfall erosion.
Moreover, this integrated method using RUSLE,
GIS and remote sensing can effectively map out thepotential sources of contamination in an area. The
results of the study designate the cadmium
contamination behavior of each land use type andalso identify the areas where cadmium contamination
is most likely to occur. Even remote areas such as
thick forests or unreachable valleys can be evaluated,as this study has shown the capability of customizing
this integrated method to characterize a remote heavy
metal contaminated area.
Although the result from the estimation based on
RUSLE is desirable, the error in some complicate
land use area can be determined with high value oferror. The further study and development in utilizing
more precise parameter for soil erosion estimation
will enhance the estimation efficiency of thisDISCUSSION AND RECOMMENDATIONThe estimation based on integrated RUSLE,
remote sensing and GIS technique is effective. The
results can designate the potential contributor of
cadmium contaminant. From the estimation map,
explicit evidences of contamination can be detectedalong the left branch of the Mae Tao creeks,
especially the area that passes through an active mine.
Even though a high potential of cadmium from
erosion was distinguished, practices to diminish theoutflow from the mine were found to be in place. To
enhance the efficiency with which the mine manages
its outflow, a study on the relationship between thequantity of outflow from the mine and the capacity ofthe tailing dam should be performed.

631

SEE-Osaka, Japan, Nov. 21-23, 2016[13]. Supakij N. and Burin C., Internet GIS, Based on
USLE Modeling, for Assessment of Soil Erosion in
Songkhram Watershed, Northeastern of Thailand.
Kasetsart J. (Nat. Sci.), 2012. 46: p. 272-282.
[14]. José L G.R. and Martín C. GS., Historical review of
topographical factor, LS, of water erosion models.
Aqua-LAC, 2010. 2(2): p. 56-61.
[15]. Bizuwerk A. , Taddese G. , and Getahun Y. ,Application of GIS for modeling soil loss rate in awash basin, Ethiopia. 2008, International LivestockResearch Institute (ILRI).

integrate method and can be applied to anothersimilar contaminated site.

ACKNOWLEDGMENT
The Center of Excellence for Environmental andHazardous
Waste
Management(EHWM),
Chulalongkorn University provided partial funding
for this work in addition to a full academic
scholarship and full use of its facilities. The study
was also funded by the Ratchadaphiseksomphot
Endowment Fund in honor of the 90th anniversary of
Chulalongkorn University.
REFERENCES[1]. Pollution Control Department (PCD). Thai
Environment Regulations. . 2009; Available
from: http://www.pcd.go.th/info_serv/en_regulation.
html[2]. Arnason J. G. and Fletcher B. A., 40+ year recordof Cd, Hg, Pb, and U deposition in sediments ofPatroon Reservoir, Albany County, NY, USA.
Environmental Pollution, 2003. 123: p. 383-391.
[3]. Jain C.K., Metal fractionation study on bed
sediments of River Yamuna,. India Water Research.,
2014. 38: p. 569-578.
[4]. Yunus K., Heavy Metal Concentration in the Surface
Sediment of Tanjung Lumpur Mangrove Forest,
Kuantan, Malaysia. Sains Malaysiana, 2011. 40(2):p. 89-92.
[5]. Unhalekhaka U. and Kositanont C., Distribution of
cadmium in soil around zinc mining area. . Thai
Journal Toxicology, 2008. 23: p. 170-174.
[6]. Simmons R.W., et al., Analysis of field-moist Cd
contaminated paddy soils during rice grain fillallows reliable prediction of grain Cd levels. Plant
Soil. 2008: Bangkok, Thailand. p. 125-128.
[7]. Codex Alimentarius Commission Report of the 34th
Session of the Codex Committee on Food Additives
and Contaminants (CCFAC). 2002: Rotterdam.
[8]. Mitasova H., et al., Modeling topographic potential
for erosion and deposition using GIS. International
Journal of Geographical Information Systems, 1996.
10(5): p. 629-641.
[9]. Molnar D.K. and Julien P.Y., Estimation of uplanderosion using GIS. Computers and Geosciences,
1998. 24(2): p. 183-193.
[10]. Millward AA and Mersey JE, Adapting the RUSLE
to model soil erosion potential in a mountainous
tropical watershed. Catena, 1999. 38(2): p. 109-129.
[11]. Demattê* J.A.M., Fioriob P.R., and Ben-Dorc E. ,Estimation of Soil Properties by Orbital andLaboratory Reflectance Means and its Relation with
Soil Classification The Open Remote Sensing
Journal,, 2009. 2: p. 12-23.
[12]. Shamshad A., et al., Development of an appropriate
procedure for estimation of RUSLE EI30index andpreparation of erosivity maps for Pulau Penang in
Peninsular Malaysia. Catena, 2008. 72: p. 423-433.

632

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

EVALUATION OF THE EFFECTIVENESS AND APPROPRIATENESS
OF BANGKOK ACTION PLANS ON GLOBALWARMING MITIGATIONS
Anna Kiewchaum1,2, Sarawut Thepanondh1,2, Duanpen Sirithian1,2,Kamoltip Mahavong1,2, and Pantitcha Outapa1,31
Department of Sanitary Engineering, Faculty of Public Health, Mahidol University Thailand
2
Center of Excellence on Environmental Health and Toxicology (EHT), Bangkok,
3
Faculty of Public Health, Thammasat University, Lampang, Thailand
Thailand

ABSTRACT
Bangkok Metropolitan Administration (BMA) action plans consist of 10 action plans aimed to reduce at least
15% of the total greenhouse gases emissions anticipated in the year 2012 under business as usual projection. In
this study, the Multi Criteria Attribute (MCA) analysis was carried out to determine the most appropriate
greenhouse gas mitigation measures for implementation in Bangkok, Thailand. Five criteria were used in thisanalysis included 1) mitigation potential, 2) total costs, 3) feasibility, 4) owner of benefits and 5) environmental
benefits. Although, the action plan which focused on improving electricity consumption of the building andpromoting electricity conservation campaign for Bangkok resident was expected to the highest reduction ofgreenhouse gases (2.7 million tons of CO 2 reduction). However, effort on expanding of the park area wasevaluated as the most appropriate initiative when consider both of its effectiveness in reducing emissions, and its
implementation cost. These predicted results were coincided with actual outcomes evaluated from theimplementation of each policy in the metropolitan area. Methodology of this study can be applied for further use
in analysis and selection of appropriate measures for policy maker in other cities as well as in the national level.
Keywords: Bangkok, action plan, greenhouse gas, mitigation, MCA

climate change on Bangkok have thus become
increasingly visible and have been the subject ofserious concern among residents since 1967, as theyexperience increasingly hotter weather [2].

INTRODUCTION
Climate change is recognized as a global issue
concerned the international community. In Asia, therapid increases in industrialization and urbanization
over the past several decades enhance increasing of
the emission of greenhouse gases and the impacts ofclimate change are starting to occur and are
predicted to be more severe particularly in someareas of the region. Thus, they are worthy ofincreased study and vigorous remedial action.
Thailand has long been actively participating in the
global efforts to prevent or at least ameliorate theeffects of climate change. Now its capital city,
Bangkok, is starting to participate in these efforts
since it is a significant source of greenhouse gases
emitted into the atmosphere, and as the nation’s
economic hub it has a lot to lose [1].
One of the indexes used to evaluate the extent ofeffect from climate change is changing of ambient
temperature. In Bangkok the average maximum
temperatures has an increasingly warming trend overthe period 1961-2007 (Fig. 1). The same pattern ofwarming is also observed in the average minimum
temperatures measured in Bangkok, as illustrated inFig. 2. The number of days having the maximum airtemperature exceeding 35°C also has an increasing
tendency as presented in Fig. 3. The impacts ofFig. 1 Average maximum temperature in Bangkok,
1961-2007.

633

SEE-Osaka, Japan, Nov. 21-23, 2016

Table 1 Greenhouse gas emissions of Bangkok andselected cities
City

BangkokToronto
New York
LondonTotal emission(million tons of
CO 2 e)
43
24
58
44

Tons per capita
of CO 2 eemissions
7.1
9.6
7.1
5.9

Bangkok Metropolitan Administration (BMA),
being aware of the global warming crisis and thenecessity to take initial action to be part of the global
effort in mitigating the problem. Bangkok Action
Plan on Global Warming Mitigation was designatedcovering the period from the year 2007-2012. The
action plan was aimed to reduce at least 15% of thetotal greenhouse gases (GHG) emissions by using
emission amount under business as usual activitiesof the year 2012 as benchmarking. This action plancomprised of 5 initiatives: 1) Expand the masstransit rail system within Bangkok metropolitan
area; 2) Promote the use of renewable energy; 3)
Improve building electricity consumption efficiency;
4) Improve solid waste management and wastewater
treatment efficiency; and 5) Expand park area. Eachinitiative consisted of several implementation plansto reach its goal. For the long term management,
basic dimensions of sustainability consisted ofenvironmentally, technically, economically, andsocially sustainable alternatives should be reliable,
adequate, and affordable [3]. Therefore, in order toselect and evaluate alternatives, this work proposes
the use of the multi-criteria attribute (MCA) whichanticipates the three dimensions: environmental,
technical, and economic needs. The purpose of thisstudy was to analyze the appropriateness andeffectiveness of each mitigation measure in order toprioritize actions under the plan for further
implementation of the policy. In addition, the resultsfrom MCA analysis was compared with actual
outcomes after implementing mitigation actions tovalidate all criteria of MCA for proposing
appropriate mitigation action on greenhouse gases
mitigation.

Fig. 2 Average minimum temperatures in Bangkok,
1961-2007.

Fig. 3 Number of days exceeding 35°C in Bangkok,
1961-2007.
In 2007, total greenhouse gas emission in
Thailand was estimated as 61.23 million tons CO 2 e.
It was estimated that 43 million tons CO 2 e (about70%) of the country’s emission was contributed
from Bangkok. Although, these emissions weremuch greater amount than that of Toronto (24million tons), they were about the same as those of
London (44 million tons). The greenhouse gas
emissions from Bangkok were reported to be lower
than those emissions of New York City (58 million
tons) [1]. However, results from the calculation ofgreenhouse gas emissions per capita reveals that theresidents of Bangkok were responsible for producing
7.1 tons of CO 2 e per annum which is, the same levelof emissions as produced by New Yorkers (7.1 tons
per capita). This level was significantly higher than
the annual emissions of Londoners (5.9 tons per
capita) but lower than the levels produced byresidents of Toronto (9.6 tons per capita). Results
are as summarized in Table 1.

BMA ACTION PLAN
The BMA Action Plan on Global Warming
Mitigation was used to serve the Thai policy in
reducing emissions of greenhouse gases in Bangkok.
Five initiatives have been set under this plan. They
were 1) expanding the mass transit rail system
within Bangkok Metropolitan area; 2) promoting theuse of renewable energy; 3) improving building
electricity consumption efficiency; 4) improving
solid waste management and wastewater treatment
efficiency; and 5) expanding park area.
634

SEE-Osaka, Japan, Nov. 21-23, 2016

benefit also determines by considering whether the
project can provide other beneficial beside reductionof greenhouse gases. Examples of these in-direct
benefits include potential in reducing water pollution,
waste minimization, local air and noise pollution
control, etc.
– Economic and social systems: The criteria used
to evaluate this aspect included the operation andimplementation cost as well as the possessor of
benefit occurred from each activity. For example,
the energy saving policy will give direct benefit to
the implementing agency while forest plantation will
provide the benefit to the public, etc.
– Technical and operational feasibility: This item
is analyzed by considering the involving oftechnology involved in implementing measures
under each action plan. The complicated technology
will require much technical and operational
knowledge and efforts. Therefore, higher score isgiven to the activities which can be implementedbase on local or simple technology.

MULTI-CRITERIA ATTRIBUTE (MCA)
Multi-criteria attribute (MCA) is generally
understood as an assessment method that does not
try to monetize everything, but to supply an
unrefined view on the many different dimensions of
the multiple effects of a certain policy or project orinvestment options. Nevertheless, the MCA canintegrate monetary values like investment costs as
one of the many dimensions it takes into account. In
addition, it is a tool to calculate overall scores andrankings based on the scores given for each criterion
for each individual option. Key elements of the
MCA are the performance matrix, the weighting andthe ranking process. Normally, the scoring of eachcriterion is from zero (worst) to five (best). And,each criterion weighted across all criteria are 100 [4].
In order to compare alternative options scoring on
different criteria scales in different directions (tradeoffs), it is necessary to put weights representing therelative importance associated with the respective
criteria on the scoring results. Then, the MCA showsthe effects of baseline developments andmanagement scenarios on the multiple dimensionsof the ecological, economic and social systems. The
advantages of MCA, it has ability to deal withcomplex and unstructured decision problems in thesphere of environmental and natural resourcesmanagements, which involve a number ofconflicting ecological, environmental, societal andeconomic objectives, multiple interests groups anddifferent languages of valuation [5]. MCA methods
have been used to prioritize urgent and immediate
adaptation options during the formulation of
National Adaptation Programs of Action (NAPAs)
that Least Developed Countries (LDCs) developed
under the United Nations Framework Convention on
Climate Change (UNFCCC) [6]. Moreover, the useof MCA in the context of agricultural organic foodproduction is sparse, and the relatively few studies
that have been published are quite wide-ranging –from ‘narrow’ applications focusing on specificproducts [7] and it also used for the identification of
spatial land-use conflicts in the Bucharest
Metropolitan Area [8]. In addition, MCA is a
popular tool in Dutch environmental impact
assessment [9]. It also can be used for selecting an
optimal configuration for an Air Quality Model aswell [10].
For each dimension, the criteria was set taking
into consideration impact of implementing activities
under each action plan which can be explained asfollows:– The environmental aspect: The amount ofgreenhouse gas reduction is used to evaluate theextent of environmental benefit in implementing
each activity. Reduction of greenhouse gas isexpressed as CO 2 e/5 years. The environmental

CRITERIA
To evaluate achievement of the appropriate
action plan to mitigate greenhouse gases emissions
in Bangkok, five criteria were set. Two major
criteria are mitigation potential and implementation
cost. Weighting of these two criteria are 30% each.
Meanwhile, environmental benefits is a sensitive
criterion which weighted 20%. And, the others
criteria were feasibility (both in technical andoperational feasibility) and the owner of benefits.
Weighting of these criteria were 10% each.
Indicators of each criterion were set for appropriatedrating system. Summarized of criteria, indicators andscore weighting are presented in Table 2.
RESULTS AND DISCUSSION
Results from MCA evaluation indicated that themost effective initiative was the 3rd initiative which
was improving building electricity consumption
efficiency. This initiative focused on management ofenergy consumption by improving energy efficiency
and promoting electricity conservation campaign in
Bangkok. It could mitigate greenhouse gases in the
middle level but it was feasible, less investment costand good for community and environment. Under
the energy efficiency program, there are somecountries in Asia proposing the mitigation action
under Nationally Appropriate Mitigation Actions(NAMA). For instance, China expressed theintension submitted to the UNFCCC to increase theshare of non-fossil fuels in primary consumption toaround 15% by 2020. Meanwhile, Indonesia
proposed to reduce emission 26% by 2020 which
would reduce deforestation rate and promote energy
efficiency.
And,
Singapore
would
begin
635

SEE-Osaka, Japan, Nov. 21-23, 2016

implementing the mitigation and energy efficiency
measures announced under the sustainable
Singapore blueprint [11]. As well as, Thailand
would reduce emission 7% by 2020 and 20% by
2030 particularly in energy sector.

the microclimate, and recreation [20]. The last three
initiatives were expanding mass transit andimproving traffic system (the 1st initiative),
promoting the use of renewable energy (the 2nd
initiative), and improving solid waste management
and wastewater treatment efficiency (the 4th
initiative), respectively. Total score of each criterion
ranking from the lowest to the highest were 66, 61,
57.3, 52, and 48 in improving building electricity
consumption efficiency, expanding park area,
expanding the mass transit rail system within
Bangkok Metropolitan area, promoting the use ofrenewable energy, and improving solid waste
management and wastewater treatment efficiency,
respectively (Table 3).

Table2 Criteria, indicators and score of criteria for
BMA action plan
Criteria
Mitigation
Potential(potential toreduce GHG)

Indicators
Score
0-1 million tons CO 2 e
1
1-2million tons CO 2 e
2
2-3million tons CO 2 e
3
3-4million tons CO 2 e
4More than 4 million tons CO 2 5
Total Costs1
0-2,000 Million Baht
1
(implementati
2,001-4,000Million Baht
2
on cost)4,001-6,000Million Baht
36,001-8,000Million Baht
4
More than 8,000 Million
5
Baht
Feasibility
Not Good1(technical
Bad
2
and
Fair
3
operational
Good
4
feasibility)
Very Good
5
Owner ofTo implementing authority
1
Benefits
To public
5
Environment
having1 potential benefit
1
al Benefits2
having 2 potential benefits2having 3 potential benefits3
having 4 potential benefits4having 5 potential benefit
5Note: 1 ref. [12], [13], [14], [15], [16], [17], [18]2selected from 1) Potential for reducing air
pollution, 2) Potential for reducing waterpollution, 3) Potential for reducing noise
pollution, 4) Potential for reducing solid
waste, and 5) Potential for increasing
visualization

Table 3 Scoring of each initiative for GHG reduction
mitigation in BMA and other benefit
Criteria

Criteria
weight30

1th30

Initiative
2nd 3rd 4th
6 18 65th
6

Mitigation
Potential
Total Costs
30
630 24 18 24
Feasibility
10
6
10 10 49
Owner of
10
10
2
6
6 10
Benefits
Environmental
20
5.3
4
8 14 12
Benefits
Total
100
57.3 52 66 48 61
Ranking34152Note: the 1st Initiative: expanding the mass transit
rail system within Bangkok Metropolitan
area;
the 2nd Initiative: promoting the use ofrenewableenergy;the 3rd Initiative: improving building
electricity consumption efficiency;
the 4th Initiative: improving solid waste
management and wastewater treatment
efficiency; andthe 5th Initiative 5 expanding park area.

The second rank of initiatives was the expanding
park area, the 5th initiative, which includes planting
trees in Bangkok Metropolitan area and theneighboring provinces around Bangkok. Even
though, the potential of greenhouse gases mitigation
was low but the other benefits were high, such ascommunity benefits, environmental benefits,
feasible implementation, and lower implementing
cost. Moreover, urban trees also influence airtemperatures, use of energy in the building energy,
and consequently alter carbon emissions fromnumerous urban sources (e.g., power plants) [19].
Numerous benefits of urban forests studied in China
indicated that urban forests are integral componentsof urban ecosystems, which could generatesignificant ecosystem services, such as offsetting
carbon emission, removing air pollutants, regulating

The result was compared with an analyzing ofeach measure conducted by BMA [21]. Results ofmitigation measures of BMA action plan in 20072012 indicated that the most effective action was the
improvement of building electricity consumption
efficient. It could achieve reduction target which
reduce emission 2.70 million tons CO 2 . Likewise,
the result of MCA analysis, energy efficiency in thebuilding was the most appropriate measure to
implement. Subsequently, expanding park area wasanother appropriate mitigation measure both from
MCA and BMA results which could remove GHG
1.69 million tons CO 2 . The other three initiatives
were expanding mass transit and improving trafficsystem, promoting use of renewable energy, andimproving solid waste management and wastewater636

SEE-Osaka, Japan, Nov. 21-23, 2016

treatment efficiency which reduced GHG 1.01, 0.88,
and 0.70 million tons CO 2 , respectively. Table 4shows the result of BMA and MCA analysis.

implementation showed the same direction to theresult from MCA of this study. Hence, it could
imply that this methodology can be applied topreliminary assess greenhouse gases mitigation
measures to reduce for policy making decision.

Table 4 Result of greenhouse gas emission reduction
after implementing BMA action plan andprioritize action using MCA analysis

ACKNOWLEDGEMENTS

BMA*

This research work is partially supported by the
China Medical Board (CMB) and Center of
Excellence on Environmental Health andToxicology (EHT), Faculty of Public Health,
Mahidol University, Thailand.

MCA
CO 2
Initiative
Compareemission
Ranking Ranking
to target
reduction
1st
1.01
under
3
3
2nd
0.88
over
4
4
3rd
2.70
over
1
1
4th
0.70
over
5
5
5th
1.69
over
2
2
Note: the 1st Initiative: expanding the mass transit
rail system within Bangkok Metropolitan
area;
the 2nd Initiative: promoting the use ofrenewableenergy;the 3rd Initiative: improving building
electricity consumption efficiency;
the 4th Initiative: improving solid waste
management and wastewater treatment
efficiency; andthe 5th Initiative 5 expanding park area.
* [21]REFERENCES[1] Bangkok Metropolitan Administration, 2009
Bangkok assessment report on climate change
2009.
[2] Thai Meteorological Department, 2008.
http:www.tmd.go.th/.
[3] Garrido-Baserba M., Reif R., Molinos-Senante
M., Larrea L., Castillo A., Verdaguer M., PochM., 2016. Application of a multi-criteria
decision model to select of design choices for
WWTPs.
Clean
Technologies
andEnvironmental Policy 18: 1097–1109.
[4] Nowak D.J., 1993. Atmospheric carbon
reduction by urban trees. Journal ofEnvironmental Management 37 (3): 207–217.
[5] The Forest of Broceliande, 2014. Social MultiCriteria Assessment: Multi-Criteria Assessment.
https://proxy.reeds.uvsq.fr/galleries/broceliande
7/social-multi-criteriaassessment, Available on:
30 June 2014.
[6] United States Agency for International
Development, 2013. Analyzing climate change
Adaptation options using Multi-criteria analysis.
African and Latin American Resilience to
Climate Change (ARCC) Arlington, VA.
[7] Christensen T., Olsen S.B., Dubgaard A.,Kærgård N., 2012. Organic farming and multicriteria decisions: An economic survey. Instituteof Food and Resource Economics, University of
Copenhagen, Denmark.
[8] Ioja C.I., Nit M.R., Vân˘au G.O., Onose, D.A.
Gavrilidis A.A., 2014. Using multi-criteria
analysis for the identification of spatial land-use
conflicts in the Bucharest Metropolitan Area.
Ecological Indicators 42: 112–121.
[9] Janssen R., 2001. On the Use of Multi-Criteria
Analysis in Environmental Impact Assessmentin the Netherlands. J. Multi-Crit.Decis. Anal.
10: 101–109.
[10] Almanza V.H., Batyrshin I. Sosa G., 2014.
Multi-criteria selection of an Air Quality Modelconfiguration based on quantitative andlinguistic evaluations. Expert Systems with
Applications 41: 869–876.

Meanwhile, mitigation of each action was higher
than their targets, which had been set up when
proposed the action plan, except the 1st initiative.
Even if it had the potential to reduce emission, it was
still costly nor minor contributed to the environment
benefits. Besides, it was inadequate opportunity todevelop as well.

CONCLUSIONSThe consideration of action plan and initiatives
for GHG reduction mitigation in Bangkok
Metropolitan Administration (BMA) by using fivecriteria including mitigation potential, total costs,
feasibility, community benefits and environmental
benefits indicated that the appropriate action plan
was the 3rd initiative (Improve Building Electricity
Consumption Efficiency). The example activities area campaign for efficient use of electrical appliance, acampaign for reduced use of air-conditioning,supporting energy efficiency labeling, and proper
maintenance schemes for electrical appliance,
promoting the use of energy-saving appliances, andpromoting the use of energy-saving light bulbs. In
contrast, promoting the use of biofuels of the 2nd
initiative included promoting the use of gasohol andbio-diesel was the lowest score which is lessappropriate than the others. The result from actual637

SEE-Osaka, Japan, Nov. 21-23, 2016[11] Energy Efficiency related NAMAs and Policy
and Program Actions in Non-Annex I countries,
2014. http://prod-http-80-800498448.us-east1.
elb.amazonaws.com/w/images/d/d6/List_of_EE_NAMAs_and_Actions.pdf. Available on: 23
June 2014.
[12] Bangkok Mass Transit Authority, 2012. Annual
Report 2012.
[13] Bangkok Metropolitan Administration, 2012.
BMA Action Plan 2013.
[14] Energy Conservation Promotion Fund, 2010.
http://www.eppo.go.th/nepc/ako/ako022.htm#1). Available on: 20 June 2014.
[15] Energy Policy and Planning Office (EPPO),
2011. 20-Year Energy Efficiency Action Plan
(2011-2030). Ministry of Energy.
[16] Energy Policy and Planning Office, 2014.
Annual Report 2012.Ministry of Energy.
[17] Mass Rapid Transit Authority of Thailand, 2009.
Annual Report 2009.
[18] Ministry of Energy, 2011. Annual Report 2013.
[19] Stockholm Environment Institute, 2012.
Greenhouse Gas Mitigation Screening Exercise
for LEAP and Excel.
[20] Jim C.Y., Chen W.Y., 2009. Ecosystem services
and valuation of urban forests in China. Cities
26: 187–194.
[21] Bangkok Metropolitan Administration, 2015.
http://www.rfcc2015.ait.asia/Contents/Downloa
ds/plenary_sessions/PanelDiscussion/PanelDisc
ussionClimateAndCities/Climate%20Change%2
0AIT1July2015_2.pdf.

638

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

RESULTS OF FIELD EXPERIMENTS OF RESERVOIRS' SILTATION
FOR HARMONIOUS REALIZATION OF HYDROPOWER AND
COASTLINE PROBLEMS
Lia Matchavariani1, Giorgi Metreveli1, Merab Alaverdashvili1, Lamzira Lagidze1,
Davit Svanadze1, Zaza Gulashvili1, Giorgi Bregvadze1, Nino Paichadze1
1
Faculty of Exact & Natural Sciences, Ivane Javakhishvili Tbilisi State University, Georgia
ABSTRACT
Georgia, as a seaside mountain country, faces three opposing issues: hydropower development, coastal
protection, and flooding risks for riparian settlements and infrastructure. Present climate change will even morestrengthen processes of beach abrasions. For study of silting prisms formation process and forecasting of theequilibrium channel on it, field natural experiment has been carried out on the small mountain rivers. The
experiment showed that approximately for a year silting prism on some rivers closely reached its limited size andthe equilibrium channel was formed. The silting prism in the tributaries, forms the sediment train that extended
till the boundary of the top water level in the river. Length of train (L) is a function of the maximum flow
discharge (QM), the deposit of runoff (R), diameter of bottom sediment (d) and initial inclination of riverbed (I).
With the purpose of harmonious decision of all problems, eroded beaches periodically should be artificiallyfilled by the river sediment, accumulated in the reservoirs. It’s necessary to organize a system of the quarries inreservoirs.
Keywords: Accumulated Deposits, Equilibrium Channel, Mountain Reservoirs, Prism Train, Georgia’s Seashore

management [13] and modeling [14], [15] ofreservoirs, dynamic of silting prism [16], [17],avoiding the effect on the Environment andcatastrophic water floods [18], [19], Dam-BreachHydraulic Analyses [20, 21], as well as hydroregime of Caucasus reservoirs [22], etc.
In scientific literature, currently the emphasis isplaced on silting processes taking place in headraceof water reservoirs, since this issue was not
examined before. Particular interest is focused oninterest in accumulative processes running in theheadrace is caused by the fact that without study ofthese processes is impossible to identify settlements
and infrastructure caught in the zone of catastrophic
water floods and assess appropriate risks. Anotherimportant reason is that mentioned negatives appear
in the middle phase of operation, while dramatic andsometimes tragic nature they take only after
expiration of reservoirs’ lifetime.
Because of the fact that the study of silting prism
i.e. sediments accumulated in reservoirs andequilibrium channel formation processes and theirparameters for acting water reservoirs is complicated,
expensive and longstanding process, expected
negatives are completely ignored during the selectionof location for reservoirs. This problem is nothighlighted in sufficient volumes, neither in Georgian,nor in foreign scientific-technical literature.
Respectively, interests and safety of population
domiciled aren’t taken into account when selecting
their location. Herewith doesn’t occur determinationof volumes and fractional composition of accumulated

INTRODUCTION
High values of mountain reservoirs condition theconstruction of these facilities worldwide. However,at the selection of their location is ignored the threat
possible catastrophic floods of the settlements. Highvalues of mountain reservoirs condition theconstruction of these facilities worldwide. However,at the selection of their location is ignored the threat
possible catastrophic floods of the settlements. In
addition, in coastal zone causes heavy deficit along
the beachmaker sediments.
Mentioned negative aspects are the result of thelack of corresponding knowledge. During designing,
the project developers don’t take into account risingof riverbeds.
Current climate change has strengthened
processes of sea shore abrasions and mountainreservoir sedimentation. According to the National
Communications of Georgia to the UNFCCC [1], [2]the trend of change in the mean annual air
temperature, precipitation and the moistening regime
were estimated between the times: 1955-1970, 19902005 and 1986-2010. The increment of temperatureand precipitation in West Georgia appeared to varyin the range of 0.2-0.4°C and 8-13%, respectively,
while in East Georgia the relative values were foundto be 0.6°C and 6.0%.
Research on reservoirs worldwide was dedicatedto study of sedimentation, monitoring [3], balancing[4], ecology, sustainability [5], comparative analysis[6] and assessment [7]-[11], methodology [12],639SEE-Osaka, Japan, Nov. 21-23, 2016

Field studies were carried out on long operated
reservoirs: Gumati (constructed at the Rioni River in
1953, West Georgia), Sioni (at the Iori River, 1963,
East Georgia), Jinvali (at the Aragvi River, 1986,
East Georgia), using a GPS-receiver Leica GS08.
This apparatus is connected to a network of the
National Agency of Public Registry and provides ahigh precision of geodetic measurements throughout
the country.
For analysis of obtained results were used themethods of mathematical statistics (least square
method) and differential calculus. Approbation of
calculation results were implemented at Gumati,
Sioni and Jinvali reservoirs.

sediments and assessment of risks of seacoastdegradation, caused by lack of sediments. Due to thesame reason are not elaborated the methods of
avoiding or adaptation of these negatives.
Natural experiments are the highly effectivemeans for assessment of solid material accumulationand variations of bed processes in mountainreservoirs and tributaries and for filling the lack ofknowledge. For these purposes must be createdartificial reservoirs, where will be possible to carryout an integrated study of silting prism andequilibrium channel formation processes for lessthan two years, to determine functional relations
between their parameters and hydrological hydrauliccharacteristics of the river. Obtained results allow us
to elaborate recommendations on avoidance andadaptation of mentioned negatives.

RESULTS AND DISCUSSION
At this time the most part r(≥70%) of riverdeposits and solid materials formed due toreservoir's coast deformation. This accelerates thesedimentation of reservoirs. Herewith, prism
formation occurs simultaneously, but with different
rate in reservoir and riverbed.The phases of silting
prism and train formation of the experimental rivers
are shown in the table 1.

Measurement date

Silting prism length, mSilting prism and train formation phases
Average annual water
discharge, m3/sec.

Length of reservoir, mTable 1

Inclination, ‰Research area covers Georgia's mountainreservoirs and sea coastal zone (fig.1). The studies
were conducted in the following directions:- Method of Natural experiment on small artificial
reservoirs;- Field method for a long-operated reservoirs(operating for several decades);- Methods of Mathematical statistics.
For spatial-temporal study of silting prism andequilibrium channel formation process, the methodof Natural experiments was used. We have selected
three small rivers: Ru and Ruchula from thesouthern slope of the Great Caucasus Range –tributaries of the Rioni river (Racha region) andVere from the northern slope of the Small Caucasus
Range – tributary of the Kura river (near Tbilisi city).
On these rivers were constructed one meter heightdams. A flooded sections of the rivers were coveredby the network for stationary observation on theriverbed deformation. This network covers part of
the reservoir and mouth of tributaries. Measurementof silting prism and its train (continuation of silting
prisms above the normal level) was made taking into
account the frequency of floods and freshet of
tributaries.

Length of experimental
part of riverbed, m

STUDY AREA AND RESEARCH METHODS

07.07.15
18.11.15
05.04.16
29.05.16

0.0
2.1
2.4
4.4

20.08.15
25.08.15
28.08.15
05.03.16

0.0
3.0
3.0
4.5

07.08.15
17.09.15
24.09.15
27.11.15
09.03.16

0.0
11.0
13.0
15.0
20.0

River Ru
1.45

4.5

34.5

0.002

River Ruchua
2.5

6.0

17.4

0.6

River Vere

7.5

Fig. 1

45.0

5.3

1.45

By the results of natural experiments on the riverRu, the silting prism and its train has evolved so fastthat it has become twice more than the reservoir's
volume, as well as the length, compared to its initialstate (fig.2).

Location of Study Area
640

SEE-Osaka, Japan, Nov. 21-23, 2016

from the reservoir is opposite to this process, it
gradually increases and at the end of reservoir
operation, i.e. after T time (in years) will become
equal to the average annual volume (R) of sediments(r u =R) and this sediment along with letting out watercompletely moves to tailrace:
lim nT r s = R(3)

Fig. 2 Silting prism and train formation phases on
the river Ru (by the natural experiment).

Here, r s and r u are average annual volumes(m3/year) of debris precipitated in reservoir andtributaries and sediments transported by the stream
to tailrace, correspondingly, R is annual volume(m3/year) of sediments brought by tributaries to thewater reservoir, T – duration of reservoir operation
time (years), while n=1, 2,…,T-1,T.
Equilibrium channel starts above the initialriverbed, at the height (h) of dam outlet. It follows
silting prism surface and ends at the imaginary crosssection, above which the river permanently keeps its
natural ability of sediment transportation.
Equilibrium channel length (L) and slope (I ‰)determine the value of the silting prism surface area
(F km2) and by means of this parameter is possible
to calculate F value in any phase of equilibrium
channel development. The process of equilibrium
channel forming occurred under the Erie low, which
is very important for mountainous rivers.

Sediment fractions (clay – fine sand), thehydraulic size of which in turbulent medium U≤1.0
m/sec, is transported by streams in the initial phaseof operation through the whole reservoir and one
part of them forms the layer with size corresponding
to reservoir regulation type. The remaining part ofsuch fractions (≥30%) not involved in prism
formation, since it is transported by outlet water tothe tailrace. Transportation of detritus (coarse
sediments) in this phase to the tailrace occurs
sporadically, during emergency water outlets.
In following phases the share and diameter of
sediments transported from the reservoir gradually
increase and reaches its maximum in the third phaseof the operation. At the end of this phase silting
prism reaches limit values of development and isformed as accumulation terrace, on which
equilibrium channel is developed by tributaries.
Development of silting prism and train becomes
especially active, when coarse-fraction sediment (d≥10mm), which is precipitated in the zone of flood
curve, forms crests. This accumulative formation has
the form of beach ridge (falls), which slope exposed
towards dam is sharper than the bench – slope
formed in tributaries. Such crest gradually increases
in height, comes close to the dam and when reaches
it, silting prism volume and equilibrium channel
length will become equal to their limit values.
The experiment showed that the sediment
discharge (R kg/sec.) is divided into two components:
coarse fraction (r s kg/sec.), which is silted in thereservoir and the small fraction (r u kg/sec.), which istaken out from the reservoir by the flow into thedownstream.
R = rs + ru

d3γ = Av6

(4)

Here, d3γ is the weight of the deposit, v – stream
velocity (m/sec.), A – proportional coefficient.
Processes of silting prism and equilibrium channel
formation proceeded with the rate corresponding to
the ratio (W/V) of their useful capacity (W) andannual amount of sediments (V).
Silting prism consists of two growing part. Firstof them is a part formed right in the reservoir, andthe second part is an accumulated in tributary channels,
called as train. Growth of the latter causes rising of
the riverbed that lasts until the silting prism its
maximum limit, i.e. the volume after whichaccumulative processes in the headrace completely
cease. In these conditions river has already adeveloped equilibrium channel on the surface of thesilting prism, the parameters of which (length L andslope I) are so big that river is able to completely
move deposits to the convey as transit.
Silting prism surface area (F) in limit state isrepresented by the plain inclined towards the dam,which begins from dam outlet. Its area significantly(sometimes f≥60%) exceeds the reservoir surface. It
is extended in tributaries up to the cross section, towhich reservoir’s water flood curve reaches during
floods and freshets. Silting prism bench sizes basicallyare depended on hydrological and hydrauliccharacteristics of tributaries [19]: bench length (L),(1)

The rate of silting prism growth is diminishing –average annual volume (r s ) of materials precipitatedin reservoir and tributaries is the biggest in the initial
phase of operation, afterwards it decreases in time insecond and third phase and finally becomes equal tozero, when silting prism reaches its limit value.
lim n->T r s = 0(2)Time distribution (r u ) of sediment transported
641

SEE-Osaka, Japan, Nov. 21-23, 2016

dam outlet height (h), sediment diameter (d),maximum discharge of water and sediment (Q m ,R m ) and inclination of the bed located above thereservoir (I ‰):floods, which usually are repeated once in two
decades (P≥5-10%), become a serious threat for
population and environment
Results of natural experiments are tested on
Gumati (constructed in 1953), Sioni (constructed in1963) and Jinvali (constructed in 1986) reservoirs,
since silting prism and equilibrium channel are nearest
to limited values (fig. 3).
Sediments accumulated during many decades in
Gumati reservoir and in riverbed located above,
much exceeds than the volume of the reservoir (40million m3) and reaches about 65-70 million m3.
These sediments have raised the Rioni riverbed levelso much that it every year overflows its banks andsubmerges adjacent settlements and infrastructure.
Territory adjacent to Sioni reservoir is in a moredangerous situation, since sediments precipitatedabove the reservoir (45-50 mln. m3) already have

L= f (h, Q m , R m , d, I-1)
(5)
At the same time equilibrium channel length isinversely proportional to the inclination of that river
section (I‰), which is located above the reservoir.
This fact means that the more riverbed is inclined,
the shorter is equilibrium channel. According toexperimental results, a length of the latter (L)doesn’t exceed a double length of the reservoir (2l).
L ≤ 2l(6)

The experiment showed that the silting prism is acombination of two bodies, the first of which isformed in the reservoir (Wr), and the second one –above it and in tributary channels (Wt). Herewith,water flood risks for the population and infrastructure
located above reservoir increase proportionally tothe height of silting prism and its train. The moreplace is occupied by a train in the riverbed, the morehigher is a probability of the river flowage.
Consequently, the limiting volume of silting prism(Wp) is equal to the sum of the volumes of bothbodies. The first of them is the reservoir's volume at
the normal level; the second one is the volume of the
body (Wt), which based on the surface of the limited
prism (ABK). Height (h 1 ) of the body is a distance
between the equilibrium channel and the initial
position of the riverbed at the end (E) of thereservoir.
Wt = 0.33 h 1 F ABK , h 1 = EF
(7)
Thus,
Wp = Wr + 0.33 h 1 F ABK(8)A straight line is the simplest approximated formof equilibrium channel. When the river crosses a
tectonic fault line its form comes closer to convex orconcave curve. In this case it may be described bycoordinates of the parabola, which begins from dam
outlet and lasts up to above mentioned imaginary
cross section.
Forecast based on calculations, made according
to results of natural experiments in the near future(2025-2030 years) silting prisms and riverbed
parameters will change by another 15-20% thatcreates a real risk of disaster for neighboring
settlements. As a consequence the probability ofcatastrophic floods and related risks are so high thatraised riverbed by 3-5 meters.

Fig. 3

Silting prism fragments (Jinvali reservoir)

Due to this fact Iori River several times
overflows protective structures and heavily damaged
riverine area, while it would seem that settlements
are reliably protected by the dam. Almost 98% of642

SEE-Osaka, Japan, Nov. 21-23, 2016

Gumati reservoir is occupied by sediments (fig.4),
while Sioni reservoir already lost approximately
75% of volume. Both reservoirs are located in theactive tectonic zone. As of 2015, the silting prism
has changed riverbed parameters in these reservoirs(by 5-6 meters at Gumati and 2-3 meters at Sioni).
Because of this, during the floods, rivers every year
overflow their banks and do damage to thesettlements, infrastructure and environment.

Fig. 4increase, that will contribute to efficient hydropower.
As a user of the proposed approach can be any
mountainous country, with a high hydro power
potential, where the rivers, flowing into the sea, areblocked by the reservoirs, for the reason of whichcoastal beaches are exposed to a sharp deficit ofsediments.
CONCLUSION
Annual volume of material participating in theformation of silting prism and its train, wanes intime. Respectively, this is the most intense in theinitial phase of reservoir operation and is negligible,
when silting prism and equilibrium channel
increases to the limit values.
Silting prism with limit value of volume
completely covers reservoir and a part of a valley
above it up to the imaginary cross-section. Its value
is a sum of a reservoir’s and train’s volume.
Silting prism surface represents an inclined plane,
which starts from dam outlet and lasts up to thebeginning of the equilibrium channel.
The limit amount of silting prism more than 60%
higher than the initial volume of reservoir. Therefore,
the reservoir holds significantly more sediment thanits volume is.
The most effective way to save the operating
parameters of the reservoir and prevent deficiency ofbeach-forming material on the coast, is the creationof a quarry system in the reservoirs and thetransportation of deposit to the seashore. This allows
the solution of coastal protection and hydropowerissues without the ecological damage and with somesignificant economic profit.

Longitudinal section of Gumati Reservoir
after 60 year exploitation

Silting prism and train of Gumati reservoir
contain about 60 million m3 beach-forming materials.
Among them, about 60% are technically easily
accessible and can be used to recharge of degrading
coasts. Transporting of this material from Gumati tothe seashore has been recommended by railway(Kutaisi-Poti), and after that by special courts along
the coastline (fig. 5).

ACKNOWLEDGEMENTS
This study is funded by Shota Rustaveli National
Science Foundation of Georgia within the scope of
grant “Modern Methods of the Joint Problem
Realization for Shore Protection and Hydropower”(AR/220/9-120/14).
Fig. 5

Trajectory of sediments' transportation from
Gumati reservoir to seashore

REFERENCES[1] Georgia’s Second National Communication to
the United Nations Framework Convention on
Climate Change. National Climate ResearchCentre, Tbilisi, 2009[2] Georgia’s Third National Communication to theUnited Nations Framework Convention on
Climate Change. National Climate ResearchCentre, Tbilisi, 2015
[3] Amitrano D., Di Martino G., Iodice A., Riccio
D., Ruello G.,Papa M.N., Ciervo F., Koussoube
Y. (2013). High resolution SAR for monitoringof reservoirs sedimentation and soil erosion insemi-arid regions. Geosciences and Remote

According to recent calculations, the annual volumeof sediment, needed to prevent coastal erosion along
the seashore of Georgia, is about 0.4-0.45 million m3
of beach-maker material (d≥1 mm). Even the stockof solid material, accumulated only in Gumati
reservoir, is sufficient to maintain Georgia's coast
for at least 80-85 years.
Among the many ways to fill degraded beaches,using of silting material, removed from the reservoirs,is the most beneficial from the environmental andeconomic point of view.
In addition, as a result of periodic cleaning of thereservoirs, the useful volume of water in them will643

SEE-Osaka, Japan, Nov. 21-23, 2016

Sensing Symposium (IGARSS), 2013 IEEE
International, 911-914[4] Yasir S.A., Crosato A., Mohamed Y.A., Abdalla
S.H., Wright N.G. (2014). Sediment balances in
the Blue Nile River basin. International Journalof Sediment Research, 29(3), 316-328[5] Detering M., Schuettrumpf H. (2014). Reservoir
Siltationand Ecological Life Span of Dams.
Wasser Wirtschaft, Springer,104 (1-2), 30-33[6] Hajji O., Abidi S., Habaieb H., Mahjoub M. R.
(2014). Regionalization and contribution to thestudy of reservoir sedimentary: Lakes of Cape
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Conference on Hydroscience & Engineering“Hydro-Engineering for Environmental Challenges”, Germany, Proceeding 2014, 575-582[7] Bennett S.J., Dunbar J. A., Rhoton F.E., Allen
P.M., Bigham J.M., Davidson G.R., Wren D.G.
(2013). Assessing sedimentation issues within
aging flood-control reservoirs. Reviews in
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techniques. Applied Soft Computing, Elsevier,13(8), 3567-3581[9] Wisser D., Frolking S., Hagen S., Bierkens M.F.
(2013). Beyond peak reservoir storage? A global
estimate of declining water storage capacity inlarge reservoirs. Water Resources Research,
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Kotsovinos N.(2014). Assessment of reservoir
sedimentation effect on coastal erosion in thecase of Nestos River, Greece. International Journalof Sediment Research, 29(1), 34-48[11] Gopinath G., Ashitha M. K., Jayakumar K.V.
(2014). Sedimentation assessment in a multipurpose reservoir in Central Kerala, India. Environmental Earth Sciences, 72(11), 4441-4449[12] Hosseinjanzadeh H., Hosseini K., Kaveh K.,
Mousavi S.F. (2015). New proposed method forprediction of reservoir sedimentation distribution.
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30(3), 235-240[13] Dewals B., Rulot F., Erpicum S., Archambeau P.,
Pirotton M. (2012). Long-term sediment management for sustainable hydropower. Comprehensive Renewable Energy. Vol. 6, 355-376[14] Caputo M., & Carcione J. M. (2013). A memory
model of sedimentation in water reservoirs.
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Elsevier, 2, 89-101[16] Metreveli G.S., Kereselidze D.N. Rehviashvili
Sh.D. (2004). The dynamic of SP of mountainreservoirs.dynamics and thermic of rivers, reservoirs and sea coastal zone. Proceedings of the
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Cumulative sediment trapping by reservoirs inlarge river basins: A case study of the Yellow
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308-319[19] Metreveli G., Matchavariani L. Research Methodof Silting the Mountain Reservoirs Under theCurrent Climate Change. Journal of Water
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Dam-Breach Hydraulic Analyses of Four
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Gidrometeoizdat, Leningrad, 1985, 165

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Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

THE VALUE OF GREEN BELTS IN URBAN SPRAWL: A CASE STUDYOD TAICHUNG CITY, TAIWAN
Chih-Hao Chen, Walter Den
Department of Environmental Science and Engineering, Tunghai University, Taiwan

ABSTRACTThe role of green belts is not only to provide the recreation for human activities but also to improve
environmental quality and to provide refuges for wildlife under intensified urban development. After the new
demarcation of administrative areas, the influx and construction of industrial zones and commercial buildings
has caused a major change of the original landscape in the Dadu hill area in Taichung City, Taiwan. The aims ofthis study are to provide recommendations pertaining the design of ecological corridors to improve theconnectivity of the remaining green places, and the assessment of the health of habitat for the developed urban
area. We compared the biodiversity (birds, mammals, plantation) and carbon flux in three different suburban
areas including a campus, a metropolitan park and an undeveloped woodland in regular disturbance by humanand fire. According to the results of habitat similarity, the metropolitan park and campus were grouped with thehigher diversity of birds, but the woodland had the higher diversity of plantation and mammals. Seasonal change
is the main factor which affects the carbon flux and vegetation growth situation, and the disturbance by humanactivities and canopy and coverage by plantation are the causes of fluctuations. The habitat assessment which
integrated the biodiversity and carbon flux provided another angle to evaluate the greenbelt design
comprehensively. However, the quantification of the whole ecosystem service value is a further direction ofenvironment management, especially in green place conserving under the urban sprawl.

Keywords: Carbon flux, Urban Sprawl, Environmental Index

because their only selection..
The coexistence of wildlife and human could be
the best solution at the present, but not the besttreatment for both. When the construction could
cause the direct environmental impact, as the habitat
losing and fragment, the mitigation, andrestoration[3] as the in-situ, ex-situ conservation, thedesign of the corridors between the small habitat[4,5] , could provide the refuges for the wildlife andmaintain the biodiversity. The habitats withlinkability and buffer, play the essential role in theurban ecosystem for the vegetation, birds, mammals,
amphibians, even the material flows, and also
provide an excellent field of environmental
education and observation[6-8].
This aim of this paper is to provide a design
direction of the ecological corridors to save thegreen places under the pressure of construction andhabitat fragment by integrating the biodiversity andcarbon flux survey.

INTRODUCTION
With the industrial development and thetransformation in Taiwan, urban renewal , re-zoning
had changed the patterns of land using , as the
agriculture and coastal area had reclaimed toindustrial zones. However, the changing land using
pattern had caused the direct impact to the original
inhabit of human life, but also lead to the result
about the habitat losing of wildlife.
The measurement and assessment are the basic
work of the carrying capacity for an ideal
sustainable and friendly urban environment. Despite
the social and economic values, as the clean air,water, noise, and traffic, the ecosystem service valueof the consideration of natural resource would makeup for a complete environmental value[1, 2].
When the high-density population gathered in theurban, the accompanying high-intensity humanactivities and resource requirements, including theland development, had caused high pressure foritself, but also to force the surrounding resource
supply and even further afield .
In recent year, the night calls of the Nightjars(Caprimulgus affinis) in Taiwan is a case of wildlife
invasion in the urban because of the habitat losing
by urban sprawl. Due to the urban expansion, thewildlife could not migrate to another suitable
habitat , the nearby and similar habitat type would

METHODS
Quadrat Setting and Species Census

The study area located on the Dadu hill area in
Mid-Taiwan was classified by NDVI (Normalized
Difference
Vegetation
Index)
forhabitat645

SEE-Osaka, Japan, Nov. 21-23, 2016

Nine species of small mammals(Table1), 73
species of birds(Table2) and 188 species offlora(Table3) were detected and trapped on 13 plots
where we conducted between March 2013 andNovember 2014. The distribution of the small
mammal in Southern is better than other quadrats,
and the percentage of conservation and endemic
species of the birds in 3 quadrats are higher,
especially in Tunghai University Campus. In the partof the flora, the species in the Northern, and thediversity and coverage in the Southern are higher.

classification, and divided into three main quadrats(13 sampling plots)(Fig1), Tunghai University
campus, the southern of the Dadu hill, and theNorthern part, including the Taichung Metropolitan
Park, by vegetation condition, canopy(natural andhuman-made),landscapecoverage,human
disturbance and water area. The census of birds,
small mammals and vegetation and the monitoringof carbon flux were carried out from March 2013 toNovember 2014.

Season effect and Carbon Flux
The carbon flux in Tunghai University
Campus(371.60 ± 217.04 mg/m2/s ) is higher thanthe Southern (250.02 ± 94.98 mg/m2/s )and
Nothern(327.39 ± 215.15 mg/m2/s )during themonitoring, and the difference between each plot are
significantly(p<0.05). The vegetation growth and theorganic carbon would be affected by season, but also
for the carbon flux(Fig2). The human disturbance, as
the tread, traffic, even agriculture, would cause thesignificant difference(Fig3), the plot with lower
disturbance would have higher flux(p<0.05). In highvegetation coverage, the carbon flux would behigher than low ones significantly(p<0.05), but thefluctuation in the different season is not
significantly(p=0.053)(Fig4).In this study, thedefinition of the canopy is not only the aboveground
portion of the crop but also including the humanbuildings. The difference is not significant in thehigher canopy(>25%), and the carbon flux is higher
under the lower canopy(Fig 5). The season factor
didn’t affect the flux in the different
canopy(p=0.053).

Fig 1 The satellite map of the study area by
NDVI index.
The small mammal was trapped for species
identification and released to original habitat aftermaker for population estimation. The line transect
and point count method were used for bird census bybinoculars and voice identification. In vegetation, 10m x 10 m square sample area was settled in each plot
for the investigation of woody plant and the herb.
An Infrared gas analyzer (IRGA, LI-820, LI-COR
Inc.))for carbon dioxide were used for carbon flux,
and the light intensity was recorded at the same timeby Li-Core 1400.
Habitat Similarity and Statistic Analysis
The difference of the community structure andspecies composition are quantified by Euclidean
Distance Method. All data was handled by MS
Office Excel 2011, StatPlus （ AnalystSoft,
StatPlus:mac - statistical analysis program for Mac
OS. Version 5. ） and the figures were performed
using GraphPad Prism version 6.00 for Mac,
GraphPad Software, La Jolla California USA,www.graphpad.com

Fig 2 The carbon flux of each plot in different
seasonRESULTS
Biological Census

646

SEE-Osaka, Japan, Nov. 21-23, 2016

migratory species, and lack of the food would resultin the gathering situation.

CONCLUSION
Disturbance and Invasion species
Since the fire and construction had to behappened in the Dadu hill area usually, the Guinea
Grass(Panicum maximum) from Africa had been theone of the dominant species and completed thehabitat with the native species, Eulalia
grass(Miscanthus sinensis). However, the grasslandwith the Guinea grass had become the main habitat
type after the repeated fire and human disturbance.
The similar situation had happened in Western
American, the cheatgrass(Bromus tectorum) from
Asia had completed with the native species,
Sagebrush (Artmesia tridentata) and Sandberg
bluegrass (Poa ampla), because of the high fire
frequency and overgrazing. The invasion species not
only change the habitat type but also result in the
carbon sink to carbon source, the carbon emission
had been 8 ±3 Tg C in Great Basin area[9].

Fig3 The carbon flux in different disturbancedegreeIn addition to the invasive species, due to thehorticulture, agriculture and other needs of thecultivation in the metropolitan area and suburban
area, the domestic species are cultivated widely,especially in the park, school or private gardens andother green places. It would not only affect the
carbon flux, but also biodiversity.

Fig 4 The carbon flux in different land coverage

Twenty(10%) domestic and 53(26%) naturalized
species are found during the survey, and there are
not significantly different between native species or
not in carbon flux(p=0.2098), but the naturalize andnative species in the winter(p=0.0104<0.05).
Therefore, although the non-native species did
not significantly affect the circulation of carbon flux,
however, the native species should have priority forplantation in the particular area, as a park, campus,
and garden, to avoid and reduce the dispersal ofinvasionspecies[9, 10].

Fig5 The carbon flux in different canopy
percentage
Note1: I ： Jan-Mar ； II ： Apr-Jun ； III ： JulSep；IV：Oct-Dec
Note2: H: High degree; M: Medium degree; L:
Low Degree

The planning of ecological corridors and area
According to the habitat similarity (Fig6,7,8,9), thehabitat types of Tunghai University Campus and theNorthern part are similar, and these two areas areunder stable succession with better humanmanagement. In the southern part, the regularsuccession environment due to the repeated fire andagriculture, the influence of carbon flux by season
was significantly than others.

The relationship between the carbon flux andbiological index
Table 4 shows the correlation about the mammals
and plants in spring and winter are opposite, theseason is the main factor. Otherwise, the correlation
about the birds only exists in the winter as the647

SEE-Osaka, Japan, Nov. 21-23, 2016

The whole area could be divided into two blocks
for considerations, one is the Northern part and thecampus, and anther one is the Southern part, as awildlife refuge. An industrial park and a businessarea are located on the connection between this twoarea, and could be suspended or cut off thepossibility of species exchange. The human-madegreen belt, as the small park, and the replanting of
the vegetation could improve the connectivity of thepatches.
In conclusion, the season is the major impact factor
on the carbon flux and biological distribution anddispersal. However, the influence of disturbance isgreater than canopy and vegetation coverage. No
matter for biodiversity conservation, humanrecreation, or improve the environmental quality, thegreen places in the urban and suburban area could
seem as the refuge for wildlife and human. The
monitoring of carbon flux could be an auxiliary tool
for the traditional biological census to assess the
habitat heterogeneity in Landscape ecology, and to
reinforce the consideration in urban environment
assessment.

Fig 6 The similarity of small mammal in three quadrat

REFERENCES
Fig 7 The similarity of birds in three quadrat
[1]

[2]

[3]
Fig 8 The similarity of plant in three quadrat

[4]

[5]
Fig 9 The similarity of habitat integrated indics inthree quadrat
648

D. Argüeso, J. P. Evans, A. J. Pitman, and
A. Di Luca, "Effects of City Expansion on
Heat Stress under Climate Change
Conditions.," in PLoS ONE vol. 10, ed,2015, p. e0117066.
R. S. de Groot, R. Alkemade, L. Braat, L.
Hein, and L. Willemen, "Challenges in
integrating the concept of ecosystemservices and values in landscape planning,
management and decision making,"
Ecological Complexity, vol. 7, pp. 260-272,
2010.
C. Clauzel, C. Bannwarth, and J.-C. Foltete,"Integrating regional-scale connectivity inhabitat restoration: An application for
amphibian conservation in eastern France,"
Journal for Nature Conservation, vol. 23,
pp. 98-107, 2// 2015.
C. S. Zhao, S. T. Yang, C. M. Liu, T. W.
Dou, Z. L. Yang, Z. Y. Yang, et al.,"Linking hydrologic, physical and chemical
habitat environments for the potential
assessmentoffish
community
rehabilitation in a developing city," Journalof Hydrology, vol. 523, pp. 384-397, 4//2015.
B. Xun, D. Yu, Y. Liu, R. Hao, and Y. Sun,
"Quantifying isolation effect of urban
growth on key ecological areas,"

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[6]

[7]

[8]

Ecological Engineering, vol. 69, pp. 46-54,
8// 2014.
R. Lal and B. Augustin, Carbon
sequestration in urban ecosystems:
Springer, 2012.
S. B. Lerman, K. H. Nislow, D. J. Nowak,
S. DeStefano, D. I. King, and D. T. JonesFarrand, "Using urban forest assessment
tools to model bird habitat potential,"
Landscape and Urban Planning, vol. 122,
pp. 29-40, 2// 2014.
S. T. A. Pickett, B. McGrath, and M. L.
Cadenasso, "The Ecology of the Metacity:
Shaping the Dynamic, Patchy, Networked,
and Adaptive Cities of the Future," inResilience in ecology and urban design:
Linking theory and practice for sustainable

cities. vol. 3, ed Dordrecht: Springer
Netherlands, 2012, pp. 463-489.
Y. Paker, Y. Yom-Tov, T. Alon-Mozes,
and A. Barnea, "The effect of plant richness
and urban garden structure on bird species
richness,diversityandcommunity
structure," Landscape and Urban Planning,
vol. 122, pp. 186-195, 2014.
N. H. N. Mohamad, S. Idilfitri, and S. K. S.
O. Thani, "Biodiversity by Design: The
attributes of ornamental plants in urban
forest parks," Procedia - Social and
Behavioral Sciences, vol. 105, pp. 823-839,
12/3/ 2013.

[9]

[10]

Table 1 The diversity and biological indices of the small mammal
Southern

THU Campus

Northern

DU01

DU02

DU03

DU04

Thu01

Thu02

Thu03

Thu04

TP01

TP02

TP03

TP04

TP05

SpeciesPopulation
Richness
Evenness

2
2
1.44
1.00

5
35
1.13
0.83

6
22
1.62
0.81

4
11
1.25
0.81

2
4
0.72
0.81

5
9
1.82
0.89

2
7
0.51
0.59

2
19
0.34
0.83

0
0
NA
NA

2
8
0.48
0.54

2
12
0.40
0.41

1
2
0.00
NA

1
6
0.00
NA

Shannon-Weaver
Index% of Alien spceis

0.69

1.33

1.45

1.12

0.56

1.43

0.41

0.58

0.00

0.38

0.29

0.00

0.00

0%

0%

0%

0%

0%

0%

0%

0%

0%

0%

0%

0%

0%

% of Conservation
spceies
Integrated Index

0%

0%

0%

0%

0%

0%

0%

0%

0%

0%

0%

0%

0%

5.13

5.00

5.65

4.85

3.59

5.50

2.80

3.16

0.00

2.65

2.27

1.00

1.00

Table 2 The diversity and biological indices of the birds
DU01

Southern
DU02
DU03

DU04

Thu01

THU Campus
Thu02
Thu03

Thu04

TP01

Northern
TP

SpeciesPopulation
Richness

13
200
2.26

14
116
2.73

13
116
2.52

15
257
2.52

13
212
2.24

33
745
4.84

26
833
3.72

20
534
3.03

20
224
3.51

67
2928
8.27

Evenness

0.79

0.78

0.89

0.69

0.74

0.73

0.71

0.74

0.74

0.77

Shannon-Weaver Index% of Alien spceis% of Conservation
spceies
Integrated Index

2.04
0%
1%

2.06
4%
3%

2.29
3%
2%

1.87
1%
1%

1.90
0%
1%

2.56
1%
1%

2.32
0%
2%

2.22
5%
1%

2.22
2%
0%

3.23
4%
7%

6.32

6.80

7.11

6.27

6.02

9.36

7.93

6.98

7.54

13.76

Table 3The diversity and biological indices of the vegetation
Southern

Woody

Species
ShannonWeaver Index

THU Campus

Northern

DU01
5
1.56

DU02
2
0.50

DU03
4
1.33

DU04
3
0.94

Thu01
4
1.28

Thu02
5
1.48

Thu03
4
1.39

Thu04
2
0.69

TP01
1
0.00

TP02
1
0.00

TP03
1
0.00

TP04
1
0.00

TP05
3
1.01

Herb

Species
ShannonWeaver Index% of Coverage

2
0.36

8
0.60

3
0.58

4
1.17

6
1.43

2
0.13

7
1.55

2
0.63

2
0.42

3
0.25

4
0.18

6
0.86

8
1.89

97.50

91.00

93.00

5.50

40.50

103.0021.00

125.00107.00101.0096.50

112.008.50

Integrated Index

5.44

4.55

5.33

4.60

5.32

5.10

5.35

5.51

3.89

3.59

3.45

4.08

5.29

649

SEE-Osaka, Japan, Nov. 21-23, 2016

Table 4. The correlation between the carbon flux and biological index in spring and winterSeason

Group

Index

WinterMammals
Birds
Plant
Mammals
Plant

Richness
Shannon-Weaver Index
Shannon-Weaver Index
Richness
Shannon-Weaver Index

Spring

650

Pearson correlation
coefficient-0.6540.802-0.7680.536
0.505

p-value
0.078
0.017
0.026
0.089
0.087

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

THE CHANGES OF PRECIPITATION IN
SAMTSKHE-JAVAKHETI REGION (GEORGIA)AGAINST THE BACKGROUND OF CLIMATE CHANGE
Lamzira Lagidze1, Dali Nikolaishvili1, Lia Matchavariani1 and Nino Paichadze1
Faculty of Exact and Natural Sciences, Ivane Javakhishvili Tbilisi State University,Georgia

1

ABSTRACT
Georgia with its complex physical-geographical conditions (the altitude of the country above sea level is 05068 m), is considered as classical example of a mountainous country with diversified climatic conditions. In
this respect, Samtskhe-Javakheti, is outstanding region of Georgia. On the background of global warming, thechange of the regional climate has special peculiarities, which are important in the regions, located in a warming
or cooling border area. The boundary between these opposite processes (warming, cooling), must be found on
the territory of Georgia. The main cause of regional climate change, besides of Global climate change, is due tothe region's climate and orographic distinctiveness.
For evaluation of the climate change of this region, the research was conducted about the changes inprecipitation amounts (monthly and annual). Studies were carried out on the bases of data, fixed by the local
meteorological stations during the 40 year period for the following geographical points: Akhalkalaki andParavani, the observation period was between 1967-2006 years, for Akhaltsikhe it was done between 1971-2010years. Statistical, climatological and graphical analyses of specified periods multi-year meteorological data wasused for research. Research results present the ability to make the following conclusions: due to climate changesof the region the sharp changes in monthly and annual precipitation amounts occur: During the period of 19672006 years, in Akhalkalakhi an increment of annual precipitation till 895 mm was found. In Paravani
Precipitation is decreased till 1808 mm. In Akhaltsikhe, during the observation period of 1971-2010 years, theannual amount of precipitation was increased till 167 mm.
Key words: Samtskhe-Javakheti, Orography, Circulation Processes, Climate Change, Precipitation

weakens the impact of large-scale atmosphericcirculation processes developed in the territory of
the Transcaucasus and significantly strengthens theinfluence of local complex orographic factors(tablelands, plateaus, basins) that has considerable
effect on the cloud regime [5].

INTRODUCTION
According to data of the International Panel on
Climate Change (IPCC), in the course of 100 years(1906-2005) average air temperature has increased
by 0,74°C [1], while in 1961-2005 average global
temperature has raised by 0,44°C [2], [3].
The problem of mankind’s impact on theenvironment from the viewpoint of effect on climate
formation, is the most important at the modern stage.
In the future it may become the reason of further
progress or degradation [4]. Georgia with its complex
physical-geographical conditions (the altitude of thecountry above sea level is 0-5068 m), is considered aclassical example of a mountainous country withdiversified climatic conditions. In this respect,
Samtskhe-Javakheti, one of the most importantregions of Georgia, is outstanding and characterized
by the diversified climatic conditions (fig. 1). It is
located to the southward of the country and climate
here is sharply distinguished from climate conditionsof other regions of Georgia (that is caused by effectof local factors).
Absolute altitude of Samtskhe-Javakheti varies
in the 900-3300 m range. It is surrounded by highridges. Meridian disposition of mentioned ridges

RussiaBlack
Sea

Tbilisi

TurkeyFig. 1

Armenya

Azerbaijan

Location of study area (Samtskhe-Javakheti
region), Georgia

Both climate and natural conditions markedly
differ from each other according to regions ofSamtskhe-Javakheti. Even climate and natural
conditions of Samtskhe and Javakheti are different.
Javakheti is characterized by a very continental
climate, according to the nature of hypsometric651

SEE-Osaka, Japan, Nov. 21-23, 2016

development and vegetative cover. The situation iscomparatively different in settlements located ingorges and on Akhalkalaki plateau, where due toterrace system are developed different sectors of
economy and agriculture [6].
Agriculture is the leading branch of the regional
economy. As is known the climate is one of the mostimportant natural components of agriculture, that’s
why an assessment of precipitation amount in theregion is of special significance in order to rationallyuse climate conditions of the region [7], [8].
Region of Samtskhe-Javakheti is also distinguished from the recreational viewpoint. Different
kinds of resorts are located there: mountain ski
resort (Bakuriani), health-related (Likani), mineralwaters (Borjomi). That’s why the study of thisregion against the background of climate changes is
especially important for sustainable development of
economy, power engineering, agriculture, etc.
Crucial role in the formation of a climate ofSamtskhe-Javakheti is assigned to atmosphericprecipitation.

teristic for mentioned processes. Usually they don’t
cover large territories, but about 30-40% of precipitation falling out in summer fall on these processes.
As it turned out from analysis of atmosphericcirculation processes, their action and intensity inthe region varies according to seasons that causes
seasonal peculiarities of climate conditions here.
Orographic barriers also are significant precondition of climate peculiarities of the area. The
Greater Caucasus mountains are important for theformation of regional climate, since they impede
intrusion of cold air masses from the north to theSouthern Caucasus and, in particular, to the territoryof Samtskhe-Javakheti. Arsiani and Adjara-Imereti
ridges, which impede diffusion of humid air masses
coming from the west, also represent an important
orographic barrier for Samtskhe-Javakheti. That’s
why their windward slopes are characterized byabundant precipitation, while leeward slopes,
adjacent gorges and basins are distinguished by lessprecipitation. All this creates very important climate
contrast here [10].
Observation data from meteorological stations, inparticular basic characteristics of precipitation, theirmonthly and annual amounts, were used for establishment of atmospheric precipitation dynamics in
Samtskhe-Javakheti (fig. 2).

Basic Circulation Processes – Conditioning
Factors of Precipitation
Western processes, which cause cloudy and rainy
weather in the western part of the region, play asignificant role in weather formation in SamtskheJavakheti, that’s why the major part of the fallout
down throughout a year is related to these processes[9].
The role of air masses intrusion from the East in
the formation of weather and climate of SamtskheJavakheti is relatively lesser. Its impact is importantin Akhaltsikhe hollow and Akhalkalaki plateau.
Eastern processes are more intense in spring,
since during these processes takes place increase of
instability of air masses and temperature of underlayer surface that promotes the development of
convectional processes [10].
Peculiar synoptic processes and characteristic
weather conditions are developed due to wave
perturbations formed southward of the South
Caucasus, which are mainly bilateral or develop
after completion of air masses intrusion from thewest. Among total atmospheric precipitation fallingout throughout a year up to 150 mm of precipitation
falls on southern processes. Sometimes they are
distinguished by high intensity and continue forseveral days. Process duration depends on theintensity of air masses intrusion [5].
Climate peculiarities of Samtskhe-Javakheti,
especially its moisture regime (humidity conditions),
are mainly conditioned by convectional processes(due to south location of the region), which havegreat influence on the total amount of precipitationand their annual distribution. Abundant precipitation
for a short time and of local character are charac-

Fig. 2

Total precipitation in Samtskhe-Javakheti
region, Georgia (1903-1967)

INITIAL MATERIAL
Data of observation over atmospheric precipitation obtained from the following (formerly existing
and currently acting in Samtskhe-Javakheti) meteorological stations and weather shelters are used forthe study, namely: Akhalkalaki (1967-2006), Akhaltsikhe (1971-2010) and Paravani (1967-2006).
Statistical, climatological and graphical analyses ofmulti-year meteorological data is used for research.

652

SEE-Osaka, Japan, Nov. 21-23, 2016

RESULTS

period – 901 mm. Minimum value in summer isregistered in the III period – 441 mm, while themaximum is registered in the I period – 1004 mm.
Minimum value in autumn is observed in the IV
period – 310 mm, and the maximum is in the IV
period – 512 mm.

The dynamics of the total amount of precipitation according to seasons and 10-year periods isdetermined for 40-year period with the use of thebasic characteristics of precipitation – their monthly
and annual amounts. Materials of observations over
the annual precipitation amount according to periods
are represented in the form of diagrams (Fig. 3-11).
Akhalkalaki – for determination of precipitation
changes we used 1967-2006 observation materials,
which were divided into four 10-year periods: 19671976, 1977-1986, 1987-1996, 1997-2006.
Study analysis shows, that under the influence of
global climate changes in Akhalkalaki, from 1967 to2006 (40-year period) total amount of precipitation(according to 10-year periods) experiences thefollowing changes: during the period precipitation
amount varies from 190 to 1004 (Fig. 3).
In period I (during 1967-1976), total amount ofprecipitation changes from 245 mm to 1004 mm. In
winter – from 245 mm to 274 mm, in spring – from
275 mm to 859 mm, in summer – from 516 mm to1004 mm, in autumn period – from 349 mm to 419
mm. The total amount of precipitation of thementioned period equals to 5633 mm.
In period II (1977-1986), in the course of nine
years, the total amount of precipitation changes from
190 mm to 865 mm. The minimum is registered in
January, while the maximum – in May. In the winterperiod, total amount of precipitation changes from
190 mm to 274 mm, in spring – from 301 mm to 865
mm, in summer – from 501 mm to 846 mm, inautumn – from 315 mm to 429 mm. Annual precipitation amounts of this period equals to 5360 mm.
In period III (1987-1996), the total amount ofprecipitation varies from 265 mm to 920 mm. The
maximum is registered in June, while the minimum– in March. In the winter period, annual precipitation amount changes from 303 mm to 371 mm, in
spring – from 265 mm to 689 mm, in summer –from 441 mm to 920 mm, and in autumn – from 326
mm to 428 mm. Precipitation amount of this period(1987-1996) equals to 5421 mm.
In period IV (1997-2006), the annual precipitation amount varies from 310 mm to 901 mm. The
maximum is registered in May, while the minimum– in November. In the winter period, annual
precipitation amount changes from 354 mm to 388
mm, in spring – from 555 mm to 901 mm, insummer – from 541 mm to 845 mm, and amount of
the IV period is 6528 mm.
Comparison of 10-year periods in Akhalkalaki(1967-2006) has shown that during winter period,
minimum precipitation amount is observed in the II
period – 190 mm, while the maximum is in the IV
period – 388 mm (fig. 3). In spring, we have aminimum annual precipitation amount in the III
period – 265 mm, while the maximum – in the IV

Fig. 3 Precipitation change according to months in
10-year periods – 1967-2006 (Akhalkalaki)In the mentioned period, according to data on
precipitation (1967-2006) during four 10-year periods
is observed the change of precipitation amountaccording to periods (from I to IV period). During
periods I and II, the total amount of precipitation
decreased by 273 mm, from II to III period, it
increased by 61 mm, also from III to IV periodprecipitation amount increased by 1107 mm. So,
during 40 years, the increase in precipitation isregistered equal to 895 mm (Fig. 4).
Materials of observations over the annual precipitation amount in the course of years (1967-2006)
are presented in Fig. 5, where clearly shows the
rapid change of total precipitation during last period.

Fig. 4 Total precipitation change in 10-year periods– 1967-2006 (Akhalkalaki)653

SEE-Osaka, Japan, Nov. 21-23, 2016

660 mm, in summer –372-726 mm, in autumn –from 293 mm to 480 mm. The total amount ofprecipitation of the IV period equals to 5440 mm.
Comparison of a 10-year periods in Akhaltsikhe(1971-2010) shows that during a winter period
minimum precipitation amount is observed in the IV
period – 183 mm, while the maximum is in I period– 360 mm. In spring we have a minimum amount in
the II period – 277 mm, while the maximum – in the
IV period – 810 mm (fig. 5). Minimum value insummer is registered in the III period – 434 mm,
while the maximum is registered in the II period –880 mm. Minimum value in autumn is observed in
the II period – 274 mm, and the maximum is in the
IV period – 480 mm.

Fig. 5 Annual variations of total precipitation in
1967-2006 (Akhalkalaki)

Akhaltsikhe – for determination of precipitation
changes we used 1971-2010 observation materials,
which were divided into four 10-year periods: 19711980, 1981-1990, 1991-2000, 2001-2010.
Materials of observations over the annual precipitation amount according to periods are represented
in the form of diagrams (Fig. 6-7).
Study analysis shows that under the influence of
global climate changes in Akhaltsikhe, from 1971 to2010 (40-year period) total amount of precipitation(according to 10-year periods) experiences thefollowing changes: during the period total precipitation vary from 183 mm to 880 mm (DecemberJune) (fig. 6).
In period I (1971-1980) in the course of years,
the total amount of precipitation changes from 187
mm to 810 mm (January-May), in winter – from 187
mm to 360 mm, in spring – from 325 mm to 810
mm, in summer – from 436 mm to 794 mm, inautumn period from 318 mm to 367 mm. The total
amount of precipitation of mentioned period is 5273
mm.
In period II (1981-1990) in the course of theyears, the total amount of precipitation changes from259 mm to 880 mm, minimum is in December, themaximum – in June. In the winter period, the total
amount of precipitation changes from 259 mm to
291 mm, in spring amount changes from 277 mm to742 mm, in summer – from 475 mm to 880 mm, inautumn from 274 mm to 376 mm. The total amountof precipitation of this period is 5389 mm.
In period III (1991-2000), the total annual precipitation amount changes from 207 mm to 758 mm,
maximum precipitation is registered in June,
minimum – in February. In winter period precipitation change from 207 mm to 326 mm, in spring from 363 mm to 636 mm, in summer – from 434
mm to 758 mm, in autumn from 323 mm to 350 mm.
The total amount of precipitation of this period(1991-2000) is 4867 mm.
In period IV (2001-2010), the total amount ofprecipitation, changes from 183 mm to 726 mm,
maximum is registered in June, minimum – inDecember. In the winter period, precipitation amountchanges from 183 mm to 292 mm, in spring – 435-

Fig. 6

Precipitation change according to months in
10-year periods – 1971-2010 (Akhaltsikhe)

In the mentioned period, according to data on
precipitation (1971-2010) during four 10-year
periods is observed the change of precipitation
amount according to periods (I-IV periods). During
40 years, is registered the increase in precipitation,
which equals to 167 mm/40 years (Fig. 7).
Materials of observations over the annual precipitation amount in the course of years (1971-2010)
are represented in figure 8, where have observed thechanges (decrease-increase) of total annual precipitation during last period.

Fig. 7654

Total precipitation change in 10-year
periods – 1971-2010 (Akhaltsikhe)

SEE-Osaka, Japan, Nov. 21-23, 2016

Fig. 8from 469 mm to 706 mm, in autumn – from 255 mm
to 416 mm. The total amount of precipitation of the
IV period is 5128 mm.
Comparison of 10-year periods in Paravani(1967-2006) shows that during a winter period
minimum precipitation amount is observed in the IV
period – 198 mm, while the maximum is in the I
period – 996 mm (fig. 9). In winter the minimum
amount is in the IV period – 198 mm, while themaximum – in the I period – 570 mm. In spring wehave a minimum precipitation amount in the III
period – 255 mm, while the maximum is in the I
period – 996 mm. Minimum value in summer is in
the III period – 355 mm, while the maximum isregistered in the II period – 935 mm. Minimum
value in autumn is observed in the III period – 224
mm, and the maximum is in the I period – 482 mm.

Annual variations of total precipitation in
1971-2010 (Akhaltsikhe)

Paravani. 1967-2006 observation materials wereused for determination of Paravani precipitation
change. They were divided into 4 periods: 19671976, 1977-1986, 1987-1996, 1997-2006.
Materials of observation over the total amount ofprecipitation according to periods are represented in
the form of table and diagrams (fig. 9-11).
Study analysis shows that under influence of
global climate changes in Paravani, from 1967 to2006 (40-year period) total amount of precipitation(according to 10-year periods) experiences thefollowing changes: throughout a year total precipitation vary from 198 mm to 996 mm (January-May)(fig. 9).
In the I period (during 1967-1976) total amountof precipitation changes from 360 mm to 996 mm, inwinter – from 425 mm to 570 mm, in spring – from
541 mm to 996 mm, in summer – from 497 mm to929 mm, in autumn period – from 360 mm to 482
mm. The total amount of precipitation of this period
equals to 6936 mm.
In the II period (1977-1986) total amount ofprecipitation in the course of years varies from 369
mm to 977 mm, it is minimal in November, while ismaximal in May. In winter period, the total amountof precipitation changes from 387 mm to 455 mm, in
spring – from 406 mm to 977 mm, in summer –from 487 mm to 935 mm, in autumn - from 369 mm
to 453 mm. The total amount of precipitation of thisperiod equals to 6490 mm.
In the III period (1987-1996) total amount ofprecipitation varies from 224 mm to 876 mm. The
maximum amount is registered in June, theminimum – in September. In the winter period, total
amount of precipitation changes from 281 mm to
380 mm, in spring – from 255 mm to 628 mm, insummer – from 355 mm to 876 mm, in autumn –from 224 mm to 389 mm. The total amount ofprecipitation of this period (1987-1996) equals to4810 mm.
The total amount of precipitation of the IV
period (1997-2006) varies from 198 mm to 706 mm,
a maximum amount is registered in June, minimum– in January. In the winter period, total amount ofprecipitation changes from 198 mm to 330 mm, in
spring – from 316 mm to 693 mm, in summer –Fig. 9Total precipitation change according tomonths in 10-year periods – 1967-2006(Paravani)In the mentioned period, according to data on
precipitation (1967-2006) during four 10-year isobserved the change of the total amount ofprecipitation according to periods (from I to IV
period) (fig. 10). During I and II periods, the total
amount of precipitation decreased by 446 mm, fromII to III period, it decreased by 1680 mm, and from
III to IV period precipitation amount increased by
318 mm. So, during 40 years, is registered thedecrease in precipitation.

Fig. 10 Total precipitation change in 10-year periods– 1967-2006 (Paravani)655

SEE-Osaka, Japan, Nov. 21-23, 2016

CONCLUSION
Material of observations over annual precipitation amount is represented in figure 11, where isobserved the rapid changes of precipitation amountduring mentioned years.

On the background of global warming, the changeof the regional climate in Samtskhe-Javakheti has
special peculiarities, which are important in theregions, located in a warming or cooling border area.
The boundary between these opposite processes
must be found on the territory of Georgia. The maincause of regional climate change, besides of Global
climate change, is due to the region's climate andorographic distinctiveness.
Results of study of meteorological observationmaterials in Samtskhe-Javakheti allow us to makethe conclusion that against the background ofclimate changes takes place rapid variation of total
precipitation: in 1967-2006 in Akhalkalaki wasobserved increase in annual total precipitation by
895 mm, and in Paravani – decrease by 1808 mm. In
Akhaltsikhe (1971-2010) total amount of precipitation was increased by 167 mm.

Fig. 11 Annual variations of total precipitation in
1967-2006 (Paravani)

REFERENCESDISCUSSION[1] Kordzakhia M, Climate of Georgia, Tb.,
Publishing house of Academy of Sciences,
1961, 247 p.
[2] Georgia’s Second National Communication to
the United Nations Framework Convention on
Climate Change. National Climate ResearchCentre, Tbilisi, 2009[3] Georgia’s Third National Communication to theUnited Nations Framework Convention on
Climate Change. National Climate ResearchCentre, Tbilisi, 2015 Geography of Georgia.
Tbilisi, “Metsniereba“, 2005, 316 p.
[4] Javakhishvili Sh, Atmospheric precipitation on
territory of Georgia, TB., TSU, 1981, 289 p.
[5] Javakhishvili Sh, Climate of Meskhet-Javakheti.
Tb., TSU, 1990, 32 p.
[6] Javakhishvili Sh, Climatology of Georgian SSR.
TB., TSU, 1977,236 p.
[7] Climate Change 2007, The physical sciencebasis, IPCC, 2007.
[8] Washington R, Hodson A, Isaksson E, Macdonald
O, Northern hemisphere teleconnection indicesand the mass balance of Svalbard glaciers.
International Journal of Climatology, 2000, vol.
20, pp. 473-487.
[9] Bates B., Kundzewiz Z., Shaohong Wu. (2008).
Climate Change and Water: Intergovernmental
Panel on Climate Change.
[10] Karamouz M, Nazif S, Galahi M, Hydrology
and Hydroclimatology: CRC Press, Taylor &Francis Group, Boca Baton London New York,2013.

As seen from analysis of studies carried out forassessment of global climate change, in SamtskheJavakheti, the diverse picture of precipitation
changes was observed. These was based on a 10year period of meteorological observation data
available at each meteorological station but in somecases a study was carried out in different years (dueto unavailability of materials). As a result of analysis
on 10-year average values of precipitation amounts(40-year periods) we obtained the following results:- in Akhalkalaki during I-IV periods (1967-2006)
total amount of precipitation increased by 895 mm.
In I-II periods was registered the decrease by 273
mm, in II-III periods, it increased by 61 mm, while
in III-IV periods it was increased again by 1107 mm.
- in Akhaltsikhe during I-IV periods (1971-2010)
total amount of precipitation in the whole time range
increased by 167 mm. From here in I-II periods, it
increased by 116 mm, in II-III periods were registered a decrease by 522 mm, while in III-IV periods
it was increased again by 573 mm.
- in Paravani during I-IV periods (1967-2006)
total amount of precipitation in the whole time range
decreased by 1808 mm. From here in I-II periods, it
decreased by 446 mm, in II-III periods wereregistered a decrease by 1680 mm, while in III-IV
periods it was increased by 318 mm.

656

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

HYGROSCOPIC SALTS AND ANTIMICROBIAL PROPERTIESJohn V Smith
School of Engineering, RMIT University, Australia

ABSTRACTThe ability of some salts to absorb moisture and enhance the desiccation process has potential antimicrobial
applications. These properties have not been studied in detail. A range of inorganic and organic salts wereselected for testing in conditions of drying on a textile substrate. Microbial contaminants of Escherichia coli andStaphylococcus epidermidis were investigated. The hygroscopicity of the various salts has been measured by useof reference humectants. The salts were found to have an antimicrobial effect when compared to the control
samples. The relationship between the salts and relative humidity was tested to infer how the salts and microbes
interact. Scanning electron images showed the nanoscale formation of salt crystals on the substrate. Even salts
which are not inhibitory of microbial growth in the petri dish were found to reduce microbial growth after drying– compared to a control sample dried without salts present. This implies the observed antimicrobial effect isphysical rather than chemical in nature. Enhanced desiccation by hygroscopic salts is a new type of antimicrobial
factor requiring further investigation. A range of environmental and human health applications are discussed.
Keywords: Salt, Hygroscopic, Antimicrobial, Desiccation, Bacteriafor 24 hrs. The vials were allowed to dry graduallyduring this period. The dried textile discs thenreceived 1 ml of media, poured to each vial and put
on a shaker for an hour at 37 °C before plating.
Plates were kept in an incubator 37 °C for 24 to 48
hrs and bacterial colonies were counted manually.

INTRODUCTION
It has been recently demonstrated that drying of atextile in the presence of precipitating soluble salts
can have a measurable antimicrobial effect [1]. That
study outlined the effectiveness of four salts on one
strain of bacteria Staphylococcus Epidermidis. It was
proposed in [1] that it is the hygroscopic character ofthe selected salts that enhances desiccation of
microbes during drying to produce the antimicrobial
effect. It has long been known that bacteria are very
sensitive to conditions of temperature and humidity
and that one of the most effective methods ofsterilization of surfaces is the application of dry heat[2-3]. Naturally occurring minerals and salts havealso been investigated for their antimicrobial
properties [5-7]. In this paper the effectiveness of thesame four salts as [1] on another bacterial strain,
Escherichia coli, is reported. In addition,measurements of the hygroscopic characteristics ofthe four salts are reported to investigate thehypothesis that it is the hygroscopic behavior ofthese salts that provides the antimicrobial effects.

Fig. 1

Schematic summary of the experimental
procedure explained in the text

ANTIMICROBIAL RESULTS
The results with Staphylococcus epidermidis
have been reported previously [1] and will be briefly
summarized here. Drying for 24 hours in thepresence of sodium acetate reduced viable bacteria(Staphylococcus epidermidis) to 1.5% or less of thetotal bacterial count in the control. For calcium
chloride, magnesium chloride and magnesium
sulfate, the count of viable cells after drying wasmore variable and ranged from 0.3% to 44% relative
to the count in the control sample (Fig. 3).
For E. coli no growth or insignificant growth wasobserved in the control and all of the salt-treated

ANTIMICROBIAL TEST METHODOLOGY
The testing reported in [1] for S epidermidis andreported here for E. coli involved the following
procedure (Fig. 1). Circular discs of plain cotton
textile were wet with 1M salt solution andsubsequently dried. The textile discs were thenplaced in sample vials (Fig. 2). A preparation of 100µL of bacterial culture was poured over the textile
discs. Three different concentrations of bacteria
were used. The sample vials were incubated at 37 °C
657

SEE-Osaka, Japan, Nov. 21-23, 2016

samples. Therefore the experimental procedure wasunable to detect any difference between drying withand without the salts for E. coli.

Fig. 2

Example of sample vials used in theexperimental procedure

ANTIMICROBIAL MECHANISM
Staphylococcus epidermidis which is a Gram
positive bacteria, with thick cell wall along andspore formation capacity, resisted drying conditions
and was able to survive after the treatment in control
in all tests. The survival of this bacteria is consistent
with it being commonly found on human skin [8].
In contrast Escherichia coli, as a Gram negative
bacteria with relatively thin cell walls was not able
to survive the drying regime in either the control orsalt-enhanced experiments. Since E coli has beenshown to survive some desiccation conditions [9] itis expected that the experiment can be modified totest the relative influence of salts by finding drying
conditions that a control sample of E coli cansurvive.
The effectiveness of drying with salts insuppressing the viability of Staphylococcus
epidermidis was proposed to be due to thehygroscopic behavior of the salts [1]. The hypothesis
stated that microbes within the microclimate
between fibres may remain sufficiently hydrated tosurvive normal drying conditions. In contrast if
hygroscopic salts were also precipitating, themicroscopic salt crystals would be present on thesurface of the fibres and would make the drying
process more effective within the microenvironment of the fibres.
A scanning electron microscope (FEI Quanta 200
ESEM at RMIT University) was used to observe the
distribution of the precipitated salts. Samples oftextile were gold coated and observed at a voltage 30
kV under low pressure (0.5 Torr). Scanning electron
microscopy of the control and treated textile showedthat salt crystals are distributed over the fibre
surfaces (Fig. 4).

Fig. 3658(A and B) Results (average of duplicates) of
experiments (repeated) on effects of drying
with hygroscopic salts on Staphylococcus
epidermidis counts reported in reference [1]SEE-Osaka, Japan, Nov. 21-23, 2016

HYGROSCOPICITY

Fig. 4Hygroscopic compounds change water content inresponse to changes in relative humidity of thesurrounding atmosphere. The conventional methodofclassifying
compounds
accordingtohygroscopicity is to measure their change inmoisture content after equilibrating in a controlledhumidity environment. A simple way to control thehumidity is by having a sealed environment in thepresence of compounds with a known hygroscopic
behavior. These reference compounds will releasemoisture if the humidity fall below the reference
level and absorb moisture if humidity rises. The
most commonly used [10-11] reference compounds
and their stable humidity at 25oC are: lithium
chloride (11%), potassium carbonate (43%), sodium
chloride (75%) and potassium nitrate (93%).
Determining the equilibrium moisture content(EMC) at these and/or other reference humidity
levels allows the degree of hygroscopic behavior to
be classified. Early approaches to classifying
hygroscopicity attempted to define specific ranges ofrelative humidity under which particular compounds
could be handled without detrimental effects (Fig.
5A) [10]. The pharmaceutical industry, in particular,
has required more sophisticated classifications tocover the many compounds that are used in the
preparation of tablets and powders. A study ofapproximately 30 commonly used inactive
pharmaceutical compounds led to the classificationaccording to typical trends shown in Fig. 5B [10]. A
more recent study of a similar set of 30 inactive
pharmaceutical compounds classified compounds
using overlapping ranges as shown in Fig. 5C [11].
The definition of the terms used is given in Table 1.
The sample material used in the antimicrobial
experiments described here was tested in this study
for its hygroscopic behavior using the samereference compounds described above and used in
the reference [11]. The measurements wereconducted in triplicate in humidity-controlled
desiccation jars (Fig. 6). All four compounds
showed the commonly observed behavior ofincreasing equilibrium moisture content withincreasing relative humidity (Fig. 7).
For sodium acetate, one test had an EMC nearzero but the other tests ranged between EMC 2%
and 11%. For calcium chloride the EMC ranged
from 3% to 9%. The EMC values were anomalously
low for the 93% test. For magnesium chloride the
EMC ranged from 4% to 12%. For magnesium
sulfate the EMC ranged from 3% to 7%. When
compared to the ranges of hygroscopicity
classification of reference [11] the followingclassifications can be applied. Sodium acetate,
calcium chloride and magnesium chloride were
found to be moderately to slightly hygroscopic.
Magnesium sulfate was found to be slightly

Scanning electron microscope images (FEI
Quanta 200 ESEM at RMIT University) ofcotton textiles with examples of dried salt
compounds.
Individual
fibresareapproximately 10 µm across659

SEE-Osaka, Japan, Nov. 21-23, 2016

hygroscopic.
Table 1 Conventional classification of
hygroscopicity

Fig. 5Classification

Criteria

Nonhygroscopic

Essentially no moisture increase
below 90% RH; less than 20%(w/w) increase in moisture content
above 90% RH in 1 week

Slightly
hygroscopic

Essentially no moisture increase
below 80% RH; less than 40%(w/w) increase in moisture content
above 80% RH in 1 week

Moderately
hygroscopic

Moisture content does not increase>5% (w/w) below 60% RH; lessthan 50% (w/w) increase inmoisture content above 80% RH in
1 weekVeryhygroscopic

Moisture content will increase as
low as 40–50% RH; greater than
20% (w/w) increase in moisture
content above 90% RH in 1 weekA) Simple classification of hygroscopicity
expressed as equilibrium moisture content(EMC) at specific ranges of relative
humidity. B) Classification of the main
trend lines of hygroscopic behavior ofcompounds used in pharmaceuticalpreparations [10]. C) Classification of
hygroscopic behavior ranges of compounds
used in pharmaceutical preparations [11].
Labels are placed at the upper bound of therange. Very hygroscopic = solid line,
Moderately hygroscopic = long dash line,
Slightly hygroscopic = short dash line,
Non-hygroscopic = dotted line
Fig. 6660

Desiccation jar measurement of triplicate
salt samples with humidity controlled byreference salts placed in base of jar

SEE-Osaka, Japan, Nov. 21-23, 2016

CONCLUSION
The four salts investigated in this study: sodium
acetate, calcium chloride, magnesium chloride andmagnesium sulfate, were found to have similar
hygroscopicity profiles. The equilibrium moisture
content at five relative humidity levels between 11%
and 93% corresponded to the moderately to slightly
hygroscopic classification for sodium acetate,
calcium chloride and magnesium chloride.
Magnesium sulfate was found to be classified asslightly hygroscopic. The hygroscopic behavior of
sodium acetate was slightly less than calcium
chloride and magnesium chloride. This finding
indicates that the greater antimicrobial properties
observed for sodium acetate compared to calcium
chloride and magnesium chloride cannot be directly
attributed to the degree of hygroscopic behaviour.
While it has been established antimicrobial
effects during drying of these salt compounds on thecommon human skin bacteria Staphylococcus
epidermidis, the same experimental conditions did
not allow differentiation between experiment andcontrol for the common human intestinal bacteria
Escherichia coli. Further experimental testing withmodified conditions is required to establish thegeneral occurrence of this novel antimicrobial
phenomenon.
ACKNOWLEDGEMENTS
Dr Muthu Pannirselvam (Rheology andMaterials Characterisation laboratory) assisted withplanning of the study. Laboratory work was
conducted by Dr Vinita Chaudhary with supervision
by Dr Zahra Homan.
REFERENCES

Fig. 7[1] Smith JV, Antimicrobial effect of sodium
acetateandotherhygroscopic
salts.
International Journal of GEOMATE. 2016
Oct;11 (26):2671-8.
[2] Webb SJ, Factors affecting the viability of airborne bacteria: I. Bacteria aerosolized fromdistilledwater,
Canadian
JournalofMicrobiology, 5(6), 1959, 649-669.
[3] Rutala WA and Weber DJ, Guideline fordisinfection and sterilization in healthcare
facilities CDC. 2008, pp. 158.
[4] Williams LB and Haydel SE, Evaluation of the
medicinal use of clay minerals as antibacterial
agents, International Geology Review, 52(7-8),
2010, 745-770.
[5] Morrison KD, Underwood JC, Metge DW,
Eberl DD and Williams LB, Mineralogicalvariables that control the antibacterial
effectiveness of a natural clay deposit,

Measurements (triplicate) of equilibrium
moisture content (EMC) at five relative
humidity levels for the four salts in thisstudy. Part of the ranges of slightly andmoderately hygroscopic as defined inreference [11] are shown to aidclassification

661

SEE-Osaka, Japan, Nov. 21-23, 2016

Environmental Geochemistry and Health, 36(4),2014, 613-631.
[6] van Tubergen A and van der Linden S, A brief
history of spa therapy, Annals of the Rheumatic
Diseases, 61(3), 2002 273.
[7] Halevy S, Giryes H, Friger M and Sukenik S,
Dead Sea bath salt for the treatment of psoriasis
vulgaris: a double-blind controlled study,
Journal of the European Academy ofDermatology and Venereology, 9(3), 1997,
pp.237-242.
[8] Vuong C and Otto M, Staphylococcus
epidermidis infections, Microbes and Infection,
4(4), 2002, 481-489.
[9] Billi D, Wright DJ, Helm RF, Prickett T, Potts
M and Crowe JH, Engineering desiccation

tolerance in Escherichia coli, Applied andEnvironmental Microbiology, 66(4), 2000,
1680-1684.
[10] Callahan JC, Cleary GW, Elefant M, Kaplan G,
Kensler T, Nash RA, Equilibrium moisture
content of pharmaceutical excipients. Drug
Development and Industrial Pharmacy. 1982
Jan 1;8(3):355-69.
[11] Murikipudi V, Gupta P, Sihorkar V, Efficientthroughput
methodforhygroscopicity
classificationofactiveandinactivepharmaceutical ingredients by water vapor
sorption analysis. Pharmaceutical development
and technology. 2013 Apr 1;18(2):348-58.

662

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

FEASIBILITY STUDY OF BIODIESEL PRODUCTION FROMRESIDUAL OIL OF PALM OIL MILL EFFLUENTMonthatip Klabsong 1, Nipapun Kungskulniti1,2 , Chanakan Puemchalad3
Naowarut Charoenca1,2 , and Vittaya Punsuvon4
1
Department of Sanitary Engineering, Faculty of Public Health, Mahidol University, Thailand
2
Center of Excellence on Environmental Health and Toxicology, Thailand
3
Energy Technology Department, Thailand Institute of Scientific and Technological Research4
Department of Chemistry, Faculty of Science, Kasetsart University, Thailand(Corresponding Author: Nipapun Kungskulniti; Email: nipapun.kun@mahidol.ac.th)
ABSTRACT
Pollution from residual oil contaminating wastewater is a serious environmental problem.
The rapid development and growth of palm oil industries in Thailand have generated large volumes of palm oil
mill effluent (POME) which contains residual oil. Instead of becoming a pollutant in the environment, residual
oil from POME can be used as raw material for producing biodiesel. Biodiesel has recently become more attractive
as an alternative energy source due to its environmental friendly properties generated from renewable resources.
This study investigated the characteristics of residual oil and found: a free fatty acid content of 22.034 % wt, fatty
acid methyl ester (FAME) of 3.767 % wt, acid value of 49.29 mg KOH/g, water content of 1.01 % mg/Kg, andTotal Glycerines as Monoglycerides, Diglycerides, and Triglyceride at 1.15 % m/m, 11.88 % m/m, and 87.54 %m/m respectively. Optimal conditions to separate water from oil contents are also determined. Separation ofresidual oil from POME is carried out using the solvent extraction process.
Keywords: Residual oil, Palm oil mill effluent (POME), Biodiesel, Fatty acid methyl ester (FAME)

bioalcohol [5]. Biodiesel or fatty acid methyl ester(FAME) is a renewable, economically viable
alternative to petroleum-derived diesel and hasreceived much attention as the world seeks to preventthe future oil crisis and the unpredictableconsequences of climate change [6]. It is generally
produced from the oils of palm, soybeans, canola, andjatropha [7].
The reaction for synthesis of biodiesel istransesterification. Transesterification is the mostwidely used process to reduce the viscosity of oil.
Transesterification occurs due to the reaction between
fat or oil and alcohol to form methyl esters or
biodiesel as a product and glycerol as a by-product[8].

INTRODUCTION
The palm oil industry is one of the most important
industries in Thailand. Increasing palm oil industry
capacity also increases its effluent output [1]. The
number of registered palm oil mill extraction
operations nationwide numbered approximately 80
plants having a capacity of around 2,801 tons of fresh
fruit bunch per hour with the volume of crude palm
oil extracted at approximately 1,832,151tons / year[2]. There are a lot of factories and palm oil
production which results in high energy consumption
and effluent resulting during palm oil production.
The disposal of effluent is therefore a serious
problem that must be solved. Although no chemicals
are used during oil extraction, the effluent still mustsatisfy threshold values set by the Department ofIndustrial Works [3]. This palm oil or residual palm
oil floats on the surface of wastewater in wastewater
treatment ponds and covers the surface of wastewater[4].
Biofuel is inherently renewable as it is derived
from biomass or waste matter. There are different
types of biofuel such as biodiesel biogas andFig. 1 Transesterification reaction663

SEE-Osaka, Japan, Nov. 21-23, 2016

In this case, the water of residual oil was extractedusing solvent extraction due to the ease of removing
the solvent to separate water from oil. The objectiveof this study is to characterize the properties ofresidual oil from Palm oil mill effluent (POME) forbiodiesel production carried out under a subcriticalmethanol condition.
MATERIALS AND METHODS
Materials
Samples of residual oil from POME werecollected from a palm oil mill plant in Eastern part ofThailand. The chemicals for this research are
analytical grade hexane and methanol.
Oil-Water Separation
Fig. 2 Parr reactor model 4848 fortransesterification.

Experiments were conducted to evaluate theperformance of the organic solvent n-hexane inextracting residual oil from POME. POME wastransferred into a conical flask and mixed with nhexane as the solvent for the extraction process [1].
The ratios of solvent to POME were 6:1, 9:1 and 12:1
by volume at 60 o C with a 15 min mixing rate of 200
rpm. Then the mixture product was filtrated on filter
paper under vacuum filtration immediately toseparate the solid particles from the mixture product.
The n-hexane solution in filtrate was evaporated byusing a rotary evaporator.

Methods of Analysis
Biodiesel samples were analyzed by gas
chromatography (GC Agilent 6890, FID). The GC
was equipped with a DB-5HP capillary column withdimensions of 30.0 m x 0.1 µm x 250 µm.
Gas chromatography was used to analyze
the composition and to determine the amount of
FAMEs, mono-, di-, triglycerides, free glycerol andmethanol in the samples. A split injector was usedwith a split ratio of 20 and temperature of 370 oC.
Total run time of this method was 52 min. The
calibration curve of peak area and the quantity of
biodiesel was linear.
The analytical method used to determine thecharacteristics of the biodiesel according to theEuropean Standard EN 14214 [9].

Transesterification Reaction
The reactions were carried out in the system
shown in Fig 2. It is a cylindrical reactor of 250 mL
located in a vessel of stainless steel and equipped withmagnetic stirring, heating system, sampling outlet,pressure gauge and temperature controller. The
pressure and temperature were monitored in real time
up to a maximum value of 300 bars and 430 oC,
respectively. Then, the reactor was heat with an
external electrical furnace to the desired temperature
while the liquid solution was stirred at a constant
speed of 500 rpm. The operational temperature (180230 oC) of the reactor was measured with athermocouple and automatically controlled at ± 5 ºC
for a set time with pressure at 30-35 bars. After thetransesterification was complete, the sample wasrecovered by simple decantation. The reaction
mixture was evaporated with a rotary evaporator
at 60 ºC for 60 min to remove methanol.

RESULTS AND DISCUSSION
The operational variables employed were molar
ratios methanol to oil, temperature, and retention timethat were fixed as common parameters in all
experiments. Table 1 shows the composition of thefatty acid of the residual oil used as raw material inthis study.

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SEE-Osaka, Japan, Nov. 21-23, 2016

Table 1 Characterization of residual palm oil
Fatty acid composition (% by weight)
Palmitic acid (C16:0)
Oleic acid (C18:1)
Linoleic acid (C18:2)
Linolenic acid (C18:3)
Molecular weight (g·mol-1)
Water content
Free fatty acid (%wt)
Acid value (mg KOH/g)

Table 2 Reaction condition of different methods forbiodiesel
Temperature
Time
Pressure
MeOH:oil(oC)(hour)
(bar)
24:1
220
1
30

45.45850.85011.3640.414
849.52
1.01
22.03449.29

Effect of Solvent Ratio on Percent of Water
Content

24:1

220

3

30

42:1

220

4

30

24:1

220

4

30

24:1

230

4

30

36:1

220

4

30

24:1

220

5

30

24:1

210

4

30

Experimental results are shown in Fig 4.
Reactions were carried out at a fixed temperature of
220 ºC with a fixed reaction time of 4 hours under
different molar ratios of methanol: oil as 24:1 36:1
and 42:1. When the molar ratio of methanol to oil
increased from 24:1 to 36:1 and 42:1, the methyl ester
was 61.51 to 61.19 and 68.23%, respectively.
Furthermore, increasing alcohol in the optimal ratio
increases the yield, but also increases cost for alcohol
recovery [11].

Experiments were conducted at solvent ratios of
6:1, 9:1 and 12:1. The extraction time and mixing rate
were 15 minutes and 200 rpm. The optimum solvent
extraction was found using organic solvents at a ratioof solvent to POME of 9:1, mixing rate of 200 rpm
for 15 min. Figure 3 shows the optimal ratio ofsolvent (n-hexane) to oil at 9:1 which can reduce thewater content in the sample of POME down to 0.02%. Its relatively low molecular weight and saturation
made n-hexane completely miscible with oil [10].

100
80

0.04

% FAME

water content (%)

0.05

0.03
0.02

60

40
20

0.01

0
24:1

0
6:1

9:1

36:1

42:1

Methanol: oil molar ratio

12:1

Hexane: oil molar ratio

Fig. 4 Effect of methanol to oil molar ratio on
biodiesel production (conditions of 220 oC reaction
temperature, 4 hour reaction time).

Fig. 3 Separation of residual oil from POME withdifferent solvent ratios.

Effect of Reaction Temperature

Effect of Methanol: Oil Molar Ratio

The non-catalytic transesterification reactions
with subcritical methanol were carried out at a fixedmolar ratio of methanol to oil of 24:1 and fixed
reaction time of 4 hours under different temperatures,210-230 oC. The critical temperature of methanol is
240 oC. Figure 5 presents the variations of the methyl
ester yield with different reaction temperatures.

Effects of the most important variables in thetransesterification of residual palm oil undersubcritical methanol conditions were studied. Thesevariables were molar ratio of methanol to oil, reaction
temperature and reaction time. The condition of theruns carried out are shown in Table 2.
665

SEE-Osaka, Japan, Nov. 21-23, 2016

Experimental results show that the temperature usedaffect reaction rate slightly due to short term
temperature increases. The methyl ester yields were
59.61, 61.51, and 66.65 % as temperature rose, 210 to
220 and 230 oC. This indicates that at hightemperatures, the conversion rate of FAME increases.
One of the most important factors of biodiesel
production is temperature. Optimizing temperature isrequired for the reaction and suboptimal temperature
can slow the reaction and reduce the yield of
biodiesel.
.

100% FAME

80

40
20
0
0

1

2

3

4

5

6

Reaction time (hour)Fig. 6 Effect of reaction time on biodiesel production(conditions 24:1 molar ratio of MeOH: oil, 220 oC
reaction temperature).

100
80% FAME

60

60

CONCLUSION
40

In this work, the transesterification of residual
oil under subcritical conditions was carried out.
Results of solvent extraction using of organic solvents
at a ratio of solvent to POME of 9:1 are produced. The
effect of the main variables were evaluated under
different conditions molar ratio of methanol: oil(24:1, 36:1, and 42:1), reaction temperatures (210,220 and 230 oC) and reaction times (1, 3, 4 and 5hours). The highest methyl ester yield of 77.64 %was at a reaction temperature of 220 oC, reaction timeof 5 hours and a molar ratio of methanol to oil at 24:1.
However, even higher temperatures can enhance thebiodiesel content, although small improvements
would require high energy expenses.

20
0
200

210

220

230

240

Reaction temperature (oC)Fig. 5 Effect of reaction temperature on biodiesel
production (conditions 24:1 molar ratio of MeOH:
oil, 4 hour reaction time).
Effect of Reaction Time
Figure 6 shows the effect of reaction time on thebiodiesel production conversion at various times: 1,
3, 4, and 5 hours, respectively. Reactions were carriedout at a fixed temperatures of 220 ºC and a fixedmolar ratio of methanol to oil of 24:1. At 1 hour,the methyl ester conversions was 42.19 %. When thereaction time increased from 1 to 3 and then 5 hours,
FAME increased from 42.19 to 60.67 and 77.64 %,respectively. At 4 hours, methyl ester only slightly
increased compared with that at 3 hours. However, it
is possible to obtain a high conversion with a molar
ratio of methanol: oil at 24:1 by increasing thereaction time to 7 hours.

ACKNOWLEDGEMENTS
The authors sincerely thank the Faculty of Public
Health, Mahidol University, Thailand. This study
received support of facilities at the laboratories of theEnergy Technology Department, Thailand Institute of
Scientific and Technological Research.
REFERENCES[1] Rizki, S., Primandari, P., Yaakob, Z.,
Mohammad, M., Mohamad, A.B. Characteristics
of Residual Oil Extracted from Palm Oil Mill
Effluent (POME). World Applied Science
Journal, 2013, pp. 1482-1484.
[2] Tanakorn, T., Research and Development
in Steamless Nut-Separated Palm Oil Extraction
Technology[Online],Available:
http://www.nstda.or.th/nac2013/download/presentati
666

SEE-Osaka, Japan, Nov. 21-23, 2016

on/NAC2013_Set2/CO-11303/Tanakorn.pdf.
[14 April 2016 ][3] Ahmad, A.L., Sumathi S. and Hameed, B.H.
Adsorption of residue oil from palm oil milleffluent using powder and flake chitosan:
Equilibrium and kinetic studies. Water Research,
2005, pp. 2483-2494.
[4] Timyamprasert, A., Punsuvon, V., and Chunkao
K. Use of Waste Palm Oil in Wastewater Pond to
Prepare Community Biodiesel. Journal of
Burapha Sci, 2013, pp. 215-221.
[5] Ghanshyam P, Saurabh P, Kumar N. Biofuel asgreen energy source: a review. Int J. Eng Tech
Res (LJETR), 2014, pp. 124–6.
[6] Rasoul-Amini S, Montazeri-Najafubady N,
Mobasher, MA, Hoseini-Alhushemi, S.,
Ghasemi Y, Chlorellasp. A new strain withhighly saturated fatty acids for biodiesel
production in bubble-column photobioreactor.
Appl Energy, Vol. 88, 2011, pp. 3354–3356.
[7] Hoekman, SK., Broch A., Robbins, C., Ceniceros
EJ, Natarajan, M. Review of biodiesel
composition, properties, and specification.
Renew Sust Energy Rev, Vol. 16, 2012, pp. 143–
69.
[8] J. Van Gerpen, G. Knothe. Basics of theTransesterification Reaction. 2nd ed. Gerhard
Knothe, Jürgen Krahl, Jon Van Gerpen , Ed.
Publisher’s Elsevier. 2010, pp. 31–65, 67–96[9] UNE-EN 14214, Automotive fuels-Fatty acidmethyl esters (FAME)-for diesel engines.
Requirements and test methods, European
Committee for Standardization, 2008.
[10] Ahmad, A.L., I, Suzylawati., I, Norliza., and B,
Subhash. Removal of suspended solids andresidual oil from palm oil mill effluent. Journalof Chemical Technology and Biotechnology,
Vol. 78, 2003, pp. 971-987.
[11] Encinar, J. M., Pardal, A., and Martínez, G.,"Transesterification of rapeseed oil in subcriticalmethanolconditions,"
Fuel
Processing
Technology, Vol. 94, 2012, pp. 40-46.

667

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

SURFACE CHLOROPHYLL-A BLOOM ALONG THE SOUTHERN
COAST OF JAVA DURING 2015 INDIAN OCEAN DIPOLE EVENT
Iskhaq Iskandar1,3,4, Qurnia Wulan Sari2, Eko Siswanto3 and Dedi Setiabudidaya1
Department of Physics, Faculty of Mathematics and Natural Sciences, University of Sriwijaya, South
Sumatra, Indonesia;
2
Graduate School of Environmental Science, University of Sriwijaya, South Sumatra, Indonesia
3Japan Agency for Marine-Earth Science and Technology, Yokohama, Japan
4
Center for Geo-hazard and Climate Change Study, Faculty of Mathematics and Natural Sciences,
University of Sriwijaya, South Sumatra, Indonesia

1

E-mail: iskhaq@mipa.unsri.ac.id
ABSTRACT
Surface chlorophyll-a images from a Moderate Resolution Imaging Spectroradiometer (MODIS) on board of
Terra/Aqua satellites along with other observational data were used to evaluate the oceanic response to a climate
mode anomaly in the tropical Indian Ocean during 2015, so-called the positive Indian Ocean Dipole (IOD) event.
The positive IOD event is associated with anomalously strong southeasterly winds along the southern coast ofJava that caused strong upwelling event. During 2015, the positive IOD event developed in August, rapidly
matured in September – October, and terminated in November. Anomalous sea surface temperature (SST) along
the southern coast of Java, however, only shows negative anomaly in September. Meanwhile, the peak of surface
chlorophyll-a bloom was observed in September – October coincident with anomalous strong offshore Ekman
transport induced by the southeasterly winds.
Keywords: Chlorophyll-a, Indian Ocean Dipole, MODIS, Sea Surface Temperature, Upwelling.

The datasets used include monthly surface
chlorophyll-a data from the Moderate Resolution
Imaging Spectroradiometer (MODIS), monthly
Optimum Interpolation Sea Surface Temperature(OI-SST) based on Advanced Very High-Resolution
Radiometer (AVHRR), National Oceanic andAtmospheric Administration (NOAA), and monthly
surface winds from National Centers forEnvironmental Prediction (NCEP)/National Centers
for Atmospheric Research (NCAR) Reanalysis. The
MODIS has horizontal resolution of 9 km. While the
OI-SST has resolution of 0.25º × 0.25º, the surface
winds has horizontal resolution of 2.5º × 2.5º. In
addition, monthly near-surface currents from the
Ocean Surface Current Analysis-Realtime (OSCAR)
at 1º × 1º resolution were also used in this study [8].
All of the data cover a period of January 2004 –December 2015, in which the mean climatology
fields were calculated from. The anomaly fields,
then, were defined as deviations from the mean
monthly climatology.

INTRODUCTION
Spatio-temporal surface chlorophyll-a variability
in the Southern Java coastal waters has been subject
to various studies during the last few decades[1,2,3,4]. The studies have shown that on seasonal
time-scale, the chlorophyll-a variability is mostly
driven by the seasonal monsoonal wind. In addition,
the Southern Java coastal waters also experienceinterannual variation associated with the Indian
Ocean Dipole (IOD) [5,6] and the El Niño-Southern
Oscillation (ENSO) [7]. In particular, during
positive IOD and/or El Niño events, anomalously
strong southeasterly winds along the southern coastsof Sumatra and Java enhance strong upwelling
leading to surface chlorophyll-a bloom [2,3].
During boreal summer-fall 2015, the positive
IOD event took place in the tropical Indian Ocean.
Therefore, it is hypothesized that strong upwelling
occurred along the southern coast of Java. In thisstudy, we investigated how the physical process (e.g.
strong upwelling) influences surface chlorophyll-a
distribution in the Southern Java coastal waters. A
combined remote sensing and reanalysis data were
utilized to elucidate the dynamics of chlorophyll-a
bloom.

RESULTS
Evolution of the 2015 positive Indian Ocean
Dipole (pIOD) event

DATA

Evolution of the 2015 pIOD event was evaluatedbased on the Dipole Mode Index (DMI) as shown in668

SEE-Osaka, Japan, Nov. 21-23, 2016

Fig. 1. It is shown that the evolution of 2015 pIOD
started in late summer (August), peaked in autumn(September – October) and diminished in early
winter (November – December). It is noticed that
there were short-weakening intensities of the pIOD
occurring in late-September and late-October.

In order to have a spatial view of the 2015 pIOD
event, spatial evolution of the Sea Surface
Temperature (SST) and surface wind stress arepresented in Fig. 2. It is shown that the pIOD
evolution was started in August as the surface windstress anomalously southeasterly along the southerncoast of Java and Sumatra (Fig. 2a). Thesesoutheasterly winds drive upwelling along the coast
as indicated by anomalous negative SST off south
Java (Fig. 2a).

of Africa, indicating a weak summer monsoon (Figs.
2a-c). These anomalous northeasterly winds play
important role in warming SST in the western poleof the pIOD. In November, the anomalous easterly
winds in the eastern equatorial Indian Ocean andanomalous northeasterly winds along the eastern
coast of Africa were weakened (Fig. 2d). As a result,
the SST gradient between the western an eastern
tropical Indian Ocean reduced significantly and thepIOD were terminated (Fig. 1 and Fig 2d).
The spatial evolution of the 2015 pIOD was also
shown by the spatio-temporal variation of sea
surface height (SSH) and surface currents (Fig. 3).
In contrast with the SST patterns (fig. 2), the SSH
pattern clearly showed a typical dipole pattern:
anomalous negative (positive) SSH in the eastern(western) tropical Indian Ocean during August –November 2015 (Figs. 3a-d). The strong negative
SSH along the southern coast of Java and Sumatra
indicates an anomalously strong upwelling event
was occurred there. We also noted that the pattern ofsurface currents was following the pattern of surface
wind stress. In September, anomalous westward
currents were observed in the eastern equatorial
Indian Ocean (Fig. 3b). The anomalous westward
currents strengthened in October (Fig. 3c) as theanomalous easterly winds also strengthened (Fig. 2c).
In November, there were anomalous westward
currents along the equator (Fig. 3d) as the surface
winds were still observed in the eastern equatorial
Indian Ocean (Fig. 2d).

Fig. 2. Anomalous SST (ºC; shaded) and surface
wind stress (N/m2; vector) during August –November 2015.

Fig. 3. As in Fig. 2 except for SSH (cm; shaded) andsurface currents (m/s; vector) during August –November 2015.

The anomalous easterly winds in the easternequatorial Indian Ocean were strengthened in
September and October (Figs. 2b-c). However, there
were no significant changes in the SST, except in thearea near the southern coast of Java. This indicates
an important role of air-sea flux in maintaining
warm SST there. We noted that anomalously strong
northeasterly winds were observed off eastern coast

Surface chlorophyll-a bloom during 2015

Fig. 1. Time series of Dipole Mode Index (DMI)
during January – December 2015. The DMI isdefined as the difference in SST anomaly between
western region (50°E - 70°E, 10°S - 10°N) andeastern region (90°E -110°E, 10°S - Equator).

As shown in Figs. 2 and 3, anomalous strong
upwelling occurred along the southern coast of Javaand Sumatra during August – October 2015.
Therefore, we hypothesized that these strong
upwelling could lead to surface chlorophyll-a bloom
there. In order to evaluate the impact of strong669

SEE-Osaka, Japan, Nov. 21-23, 2016

upwelling during the evolution of 2015 pIOD,
satellite observed surface chlorophyll-a from
MODIS were used here.

Weakening of the southeasterly winds resulted inweakening of the upwelling and thus termination of
the surface chlorophyll-a bloom (Figs. 4e-f). We
also noted that high positive anomalies of thesurface chlorophyll-a were still observed off
southern coast of the east Java in October –November 2016.

CONCLUSION
Surface chlorophyll-a bloom in the southeastern
tropical Indian Ocean off south Java was evaluatedusing monthly images from the MODIS data
combined with the oceanic (SST, SSH, surface
current) and atmospheric (surface wind stress) data.
The analysis was focusing on the boreal summer –fall 2015 when the pIOD event took place. The
analysis shows that surface chlorophyll-a bloom
started in the late boreal summer (July – August),
peaked in the boreal fall (September – October) andterminated in the early boreal winter (November).
We noted that the time evolution of the surface
chlorophyll-a bloom was co-incidence with theevolution of the 2015 pIOD event. Very high surface
chlorophyll-a concentration was observed in
September when the pIOD event reached its peakphase. Anomalously strong southeasterly winds
along the southern coast of Java and Sumatra
promoted nutrient flux into the euphotic zone
leading to a surface chlorophyll-a bloom.

Fig. 4. Monthly anomalies of the surface
chlorophyll-a (mg/m3) from MODIS for a period ofJuly – December 2015.
The surface chlorophyll-a anomalies in thesoutheastern tropical Indian Ocean are presented inFig. 4. Positive anomalies of the chlorophyll-aconcentration (≥ 1mg/m3) were first observed in theeastern region off south East Nusa Tenggara Island
chain, Sumbawa Island and Bali Island in July 2015
(Fig. 4a). The positive chlorophyll-a anomalies seemto move westward in August as the pIOD started todevelop (Fig. 4b). During this period, we found that
positive anomalies (≥ 1mg/m3) were observed off
south Java and off south West Nusa Tenggara Island
chain. As shown in previous study, the abundance of
surface chlorophyll-a concentration in early summer
is driven by southeasterly winds during the southeast
monsoon [9].
As the pIOD came to its peak phase in
September, the positive anomalies of chlorophyll-aconcentration were intensified and expanded
westward and seaward (Fig. 4c). These positive
anomalies can be observed along the coast fromwest Sumatra (approximately 4ºS) to southern Nusa
Tenggara Island chain. We noted that very highpositive anomalies were observed off South Sumatra
near the Sunda Strait and off south Central-Java andWest-Java. It is also shown that there was offshore
chlorophyll-a bloom about 200 km off south Java.
Previous studies have indicated that this offshore
chlorophyll-a bloom is associated with anintensification of cyclonic eddy during pIOD event[2,3,4].
As indicated in previous section, the termination
period of the pIOD event was occurring inNovember when the southeasterly winds were
weakened along the southern coast of Sumatra.

ACKNOWLEDGEMENTS
The first author was supported the Ministry of
research, Technology and Higher Education,
Republic of Indonesia through grand-in-aid of“Hibah Kompetensi” 2016. Part of this study was
supported by a grant from the Asia-Pacific Network
for Global Change Research (CAF2015-RR11NMY-SISWANTO).
REFERENCES[1] Asanuma I, Matsumoto K, Okano H, Kawano T,
Hendiarti N, Sachoemar S. I., “Spatial
distribution of phytoplankton along the Sunda
Islands: the monsoon anomaly in 1998”. 2003, J
GeophysRes.,
108:3202.
doi:10.1029/
1999JC000139.
[2] Iskandar, I., Rao, S.A., and Tozuka, T.,
Chloropyhll-a bloom along the southern coasts
of Java and Sumatra during 2006, 2009, Int.
Journal of Rem. Sen., 30, 663-671.
[3] Iskandar, I., Sasaki. H., Sasai, Y., Masumoto, Y.
and Mizuno, K., “A numerical investigation of
eddy-induced chlorophyll bloom in thesoutheastern tropical Indian Ocean during
Indian Ocean Dipole – 2006”, 2010, Ocean
670

SEE-Osaka, Japan, Nov. 21-23, 2016

Dyn., 60: 731-742, doi: 10.1007/s10236-0100290-6.
[4] Susanto, R. D., and Marra, J., “Effect of the
1997/98 El Niño on chlorophyll a variability
along the southern coast of Java and Sumatra”.
2005. Oceanography, 18, 124-127.
[5] Saji, N. H., Goswami, B. N., Vinayachandran, P.
N., and Yamagata, T., “A dipole mode in thetropical Indian Ocean”, 1999. Nature, 410, 360– 363.
[6] Webster, P. J., Moore, A. W., Loschnigg, J. P.
and Leben, R. R., “Coupled ocean-atmosphere
dynamics in the Indian Ocean during 1997-98”,
1999. Nature, 401, 356 – 360.

[7] Susanto, R. D., Gordon, A. L. Zheng, Q.,“Upwelling along the coasts of Java andSumatra and its relation to ENSO”, 2001.
Geophy. Res. Lett., 28, 8, 1599-1602.
[8] Bonjean, F., and G. S. E. Lagerloef, Diagnostic
model and analysis of the surface currents in thetropical Pacific Ocean, 2002. J. Phys.
Oceanogr., 32, 2938–2954.
[9] Susanto, R. D., T. Moore II and J. Marra, “Anocean color variability in the Indonesian Seas
during the SeaWifs era, 2006. Geochem.,
Geophys., Geosys., 7, 5, doi:10.1029/2005GC00
1009, 1-16.

671

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

ANALYSIS OF TIME-DEPENDENT MERCURY FLOWS THROUGH
THE USE OF THERMOMETERS AND SPHYGMOMANOMETERS
IN THAILAND
Manaporn Wongsoonthornchai1, Ruth Scheidegger2, Suphaphat Kwonpongsagoon1* and Hans-Peter Bader2
1
Department of Sanitary Engineering, Faculty of Public Health, Mahidol University, Bangkok, Thailand;Center of Excellence on Environmental Health and Toxicology (EHT), Bangkok, Thailand;2
Swiss Federal Institute of Aquatic Science and Technology, Dubendorf, Switzerland

ABSTRACT
Thermometers and sphygmomanometers pose a potentially large source of mercury emissions to theenvironment due to their high elemental mercury content. Many countries, e.g. most European countries, US
have banned their uses already and many more strictly limited their use. However, in Thailand these mercurybased devices are still used, accumulating large stocks in the use phase as well as in landfills. To understand thedevelopment of mercury stocks and flows from thermometers and sphygmomanometers, a time-dependent
mathematical material flow model is used in this study. The flows of mercury through these two products were
calculated based on data between the years of 1962 and 2013. The simulation showed that the stock of mercury
in thermometers is about 20 times smaller than the stock in sphygmomanometers. However the sum of waste
flows and emissions to air and water from thermometers is 3 times larger than from sphygmomanometers. The
reason is the lifetime of thermometers which is about 70 times shorter than the lifetime of sphygmomanometers.
The calculated emission to air from mercury thermometers in hospitals can explain the higher mercury levelmeasured in urine of health care staff. In order to reduce the mercury flows to the environment mercury
thermometers should be replaced by alternative products as soon as possible.
Keywords: Mathematical Material Flow Analysis (MMFA), Mercury, Thermometer, Time-dependent,
Sphygmomanometer

sphygmomanometers since both of them containelementary mercury [8]. Sphygmomanometers inparticular, build up a large stock since each of them
contains up to 100 grams of metal mercury [8]. Aslong as they are used and mercury is not spilled fromthem, this is of minor concern, but as soon as they
are either broken or become obsolete, they cause
large waste flows of mercury. Waste containing
mercury is hazardous waste and should never bemixed with municipal solid waste. It has to betreated separately, but unfortunately Thailand stilllacks such treatment processes.
Pastore et al. [9] claim that the breakage of
mercury-containing devices causes mercury spills tothe environment, leading to mercury exposure ofhealth care staff and patients. This is mainly due tounprofessional cleanup of mercury spills caused bybroken thermometers which lead to mercury vapors
slowly saturating the indoor air. Around 80% of
inhaled mercury vapors from elementary mercury
are absorbed in the blood through the lungs andcause harmful effects to human health [10]. So far,nothing indicates that mercury is a main cause ofmorbidity in Thailand [11] even though several
studies show that health care staffs in Thailand
always have high mercury level in their urine [12],[13]. These studies indicate that the mercury

INTRODUCTION
Mercury (Hg) has been known as highly toxic forboth environment and human health since 1956
when the so called Minamata disease was first
discovered near the city of Minamata, Japan. It
became widely known in 1968 when the company
responsible for it stopped the production [1], [2].
Mercury affects the nervous, digestive, respiratory,
immune system, kidneys, and lungs [3]. Several
studies indicate that mercury emission is one of themost global concerns for hazardous air pollutantsbecause once released into the air Hg may stay in theatmosphere for long periods, and can be transported
across borders before being deposited andaccumulated in the environment and livingorganisms [4], [5]. According to Health Care
Without Harm (HCWH) report [6], the health caresector is a significant source of mercury demand andemission in the world. Mercury has been extensively
used in health care products such as thermometers,
sphygmomanometers (blood pressure measuring
devices), dental amalgam, as disinfectant, aspreservative in vaccines and eye drops, and in sometraditional medicine for health care purposes [7].
The World Health Organization (WHO) is mostconcerned
withthermometersand672

SEE-Osaka, Japan, Nov. 21-23, 2016

problem in the health care sector should be ofconcern in Thailand.
To prevent health effects from mercury
exposure, WHO and United Nations Environmental
Program (UNEP) have issued guidelines for mercury
free health care in 2011 and 2013 [8], [14], aiming
to phase out both Hg-thermometers and Hgsphygmomanometers. In 2010, WHO in cooperation
with Health Care Without Harm (HCWH) set tophase out 70% of Hg-thermometers and Hgsphygmomanometers used in health sector by 2017[15].The “Minamata Convention on Mercury” by
UNEP decided to phase out both devices by 2020[14].Currently, United State and European Union(EU) already banned mercury-based devices in theircountries, while other countries such as Philippine,
Argentina, and India are attempting to implement
mercury-free health care in their countries [15], [16].
However, Thailand, which is promoted as a hub ofhealth services in Asia, has neither signed theMinamata Convention on Mercury nor implemented
mercury-free health care so far. Therefore, theunderstanding of mercury flows and stocks could be
the first step to manage mercury in health care in
Thailand.
Mathematical Material Flow Analysis (MMFA)
is an approach to study stocks and flows of goods
and substances in anthropogenic systems. MMFA
can be applied to (quasi) stationary as well as timedependent models. The difference is that (quasi)
stationary models cover a fixed time period,
typically a one year period, for any kind of goods, inorder to understand the system considered. Timedependent model are used to investigate thedevelopment of the system including stocks andflows of goods over longer time spans in order tounderstand the development of stocks and flows
over time and is often used for environmental
management. Time-dependent models have been
applied for different products and different scales
such as country level for metals [17], [20], [21] andhousing [18], on city level for durable goods [19],and on farm level for resources [22].
This study applies a time-dependent model tounderstand the mercury flows through the two healthcare products of concern, thermometers andsphygmomanometers in Thailand over time. The
question below will be answered by this study:
1. How large is the demand, stock, andemissions of mercury through thermometersand sphygmomanometers used in health carefacilities?
2. What are feasible scenarios to manage
mercury from the health care sector in
Thailand?

METHODOLOGY
Mathematical material flow analysis (MMFA)
approach was used for this study. MMFA is the
combination of conventional material flow analysis(MFA) with modeling concept developed by Baccini
and Bader [23]. MMFA has been applied in manystudies fields for environmental management:
Zeltner et a. [17]; Binder et al. [19]; Sörme andLagerkvist [20]; Bader et al. [24]; Huang et al. [25];Kwonpongsagoon et al. [26]; Schaffner et al. [27];Bader et al. [28]; Wongsoonthornchai et al. [29].
The procedure of MMFA consists of
1. System analysis: define both temporal andspatial boundaries; identify the products andprocesses related to mercury;
2. Time-dependent
mathematicalmodel:
formulate time-dependent equations to
describe the system and process inmathematical term;
3. Data acquisition and calibration: collect the
input data set for the model;
4. Simulation: the model is used for simulating
the past and current state and to investigate
scenarios
The MMFA model for mercury flows inThailand has been solved using the SIMBOX
simulation program [30].
System Analysis
The geographic border of this study is Thailand
and the time period selected is from 1960 to 2050.
The system consists of the healthcare sector andincludes only the products of thermometers andsphygmomanometers (blood pressure devices).

Air
Thermo_emiss
Thermo_imp
Sphyg_imp

Use
Stock

Thermo_waste
Sphyg_
waste

Thermo_emiss
Sphyg_emiss
Thermo_Hazardous waste
Sphyg_
waste
waste

L
a
n
d

Thermo_WW

Water

Fig. 1 System analysis for mercury flows throughthermometers and sphygmomanometers in thehealthcare system in Thailand
Figure 1 shows the system analysis for mercury
flows through thermometers and sphygmomanometers in the health care system in Thailand.
Thailand has no production plants for thermometers673

SEE-Osaka, Japan, Nov. 21-23, 2016

Sphygmo = [(B / BW ) ∗ BP ] + (D ∗ BD )and sphygmomanometers and therefore they areimported directly to the use process. Accordingly
only mercury flows from import are considered andno domestic production processes are included.
Mercury emissions were considered during the usephase of thermometers through breakage and wrong(or no) treatment of the waste afterwards and after
use
in
the
hazardous
waste
treatment.
Sphygmomanometers were assumed to cause no or
only little emissions during the use phase. Therefore
no emissions in use phase were taken into account.

Where:
Sphygmo = Number of sphygmomanometersin use [pieces]BW= Number of bed per ward
[beds/ward]BP= Number of sphygmomanometers
perward [piece/ward]
BD= Number of sphygmomanometers
perdoctor [pieces/doctor]

Model Approach

The basic assumption for equation (1) and (2) isthat both thermometers and sphygmomanometers are
assigned to beds in hospitals and to the doctors since
only hospitals and doctors own such equipment.
Figure 2 shows the estimated time series
extrapolated from 2015 to 2050 assuming a linear
growth of hospital beds and number of doctors due
to population growth and improvement of healthcare.

A time-dependent model is important because it
allows understanding how stocks and flows evolve
over time. The model used here is an adaption andgeneralization of the model developed for thesimulation of the production, use and disposal
including all emissions of flame retardants [31]. The
approach is so called “stock-driven”, which meansthat the stocks in use in function of time are given
together with the residence time distribution [31].
The emissions during the use phase are proportionalby emission factors to a fraction of the stock. For adetailed description of the model see [32].
The 25 input parameters for each subsystemwere needed for the simulation of the mercury flows
though thermometers and sphygmomanometers in
Thailand.

Estimation of average lifetime:
The results for lifetime gained throughinterviews with nurses and doctors are about 1.5
month for thermometers and about 9 years forsphygmomanometers. Therefore we assumed as
lifetimes 1.5±0.7 month and 9±5 years forthermometersandsphygmomanometers,
respectively.

Data Acquisition and Calibration

Ratio of mercury thermometers to mercury freethermometers:
This ratio is 1 up to 2001 since Thailand used
only mercury thermometers before then. From 2001
to 2050 it is assumed that the ratio decreases
exponentially, stabilizing at 0.3 in 2030. This
assumption is very conservative, but faster phasingout of mercury thermometers are discussed in the
scenario section. A similar assumption was made forsphygmomanometers.

Different types of data were collected for theestimation of mercury flows though thermometersand sphygmomanometers in Thailand between theyear of 1962 and 2013. The data was retrieved fromdata sources such as the government sectors,
surveys, interviews, company reports, andliteratures.
Unfortunately no time series data were available
for the number of thermometers and sphygmomanometers in Thailand.
Instead, such data were estimated as follows:
Thermo = (B * TB ) + (D ∗ TD )(2)

Emission factors:
For thermometers it is assumed that they arebroken after their lifetime and 50% of mercury isemitted to air, 40% to the water phase and the rest tosoil.
It was assumed that no emissions occurred
during the use phase of sphygmomanometers
because they are well covered and the staff handles
them carefully during use.

(1)

Where:
Thermo = Number of thermometers in use[pieces]B= Number of bed [beds]
TB= Number of thermometers per bed[pieces/bed]D= Number of doctors in Thailand[persons]TD= Number of thermometers per doctor[pieces/doctor]

Calibration:
Using this data set and the model the flows in Fig.
1, except the emissions from the hazardous waste
were calculated. Figure 2 shows the results for thestocks, and inputs for thermometers andsphygmomanometers, as well as the statistical data674

SEE-Osaka, Japan, Nov. 21-23, 2016

for import of mercury thermometers. A recalibrationof the lifetime for thermometers was necessary since
the number of calculated imported thermometers
between 1960 and 2000 was too high. Therefore thelifetime for this time period was assumed to be 4.5
month since 1950, decreasing gradually to 1.5 monthin 2000. This assumption can be justified by the fact,that the equipment was handled more carefully inthe past.

Fig. 3 Mercury stock in Thailand
thermometers and sphygmomanometers

throughMercury Emissions and Flow to Hazardous
Waste
The short lifetime of thermometers of about 1.5
month is due to breakage during use. About 70% of
mercury from broken thermometers is collected ashazardous waste, 23% is emitted to air and 7% towater. Figure 4 shows the mercury flows of import,
hazardous waste and emissions to air and water forthermometers.
The flows in Fig. 4 in function of time show asimilar behavior as the stocks in Fig. 3. The reason
is the same as for the stocks.
The peak values of the residual flows are about
1,000 kg, 250 kg and 51 kg to hazardous waste, airand water, respectively. A comparison with
Wongsoonthornchai et al. [29] shows that theresidual flows from the thermometers are about 20%,
14% and 5% of the flows from intentional use towaste, air and water, respectively.
The maximum of emissions to air is about 250
kg/y in the year 2001. According to the number ofbeds in hospitals of 136,000 in 2001 this gives anemission of 1.84 g Hg per bed and year. The
maximum tolerable workplace exposure limit of
mercury is 0.05 mg Hg / m3 [33]. To be below thelimit the emission per bed would have to be diluted
in more than 36,700 m3 air per bed and year.
Assuming a space column of about 15 m3 per bed,
this means that the air would have to be exchanged
completely almost 7 times per day in each hospitalroom in order to be below the limit. This could
explain the high mercury level in urine of health carestaff.
From the simulations follows that until 2010,
about 24,000 kg of mercury from thermometers
ended in hazardous waste, 5,400 kg and 1,100 kg
were emitted to air and water, respectively.

Fig. 2 a) Stock of thermometers and sphygmomanometers in Thailand between 1950 and 2050, b)
Import of thermometers between 1950 and 2050
RESULTS AND DISCUSSION
Stock of Mercury
Figure 3 shows the stock of mercury inthermometers and sphygmomanometers in use. The
double peak of the joint stock is roughly 3700 kg
and occurs around 2000-2010. Compared to theamalgam stock in dental fillings which is about
10,080 kg according to [29], this is roughly 37% ofthat stock. The assumption that mercury freethermometers and sphygmomanometers replace
continually the mercury containing equipment in the
21st century leads to the decrease of the mercury
stock after 2010 shown in Fig. 3.

675

SEE-Osaka, Japan, Nov. 21-23, 2016

The calculated emission to air from mercury
thermometers in hospitals can explain the higher
level mercury measured in urine of health care staff.
To reduce the emissions to air and water
mercury thermometers should be replaced as soon as
possible by alternative products.
ACKNOWLEDGEMENTS
This research work is supported in part by the
grant from Center of Excellence on Environmental
Health and Toxicology, Science & Technology
Postgraduate Education and Research Development
Office (PERDO), Ministry of Education. Moreover,this study was supported for publication by the
China Medical Board (CMB), Faculty of Public
Health, Mahidol University, Bangkok, Thailand.

Fig. 4 Mercury through thermometers in flows
from import, to hazardous waste, emissions to air
and water
Scenario Analysis

REFERENCES

As suggested by WHO and HCWH [15],thermometersandsphygmomanometersareinteresting health products to reduce mercury on the
global scale. Therefore, the following scenario is
considered to reduce mercury emission in Thailand.

[1] Harada Y, “Congenital (or Fetal) Minamata
Disease”, In: Study Group of Minamata Disease,(M. Katsuna, editor). Minamata Disease.
Kumamoto: Kumamoto University, 1968, pp.
93–117.
[2] Harada M, “Minamata disease: Methylmercury
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[4] UNEP, “Global mercury assessment”, Geneva:
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[5] Driscoll CT, Mason RP, Chan MH, Jacob DJ,
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[6] Karliner J, Harvie J. “The global movement for
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[7] UNEP, “Module 4: Mercuryuse in healthcare
settings and dentistry”, Geneva: UNEP, 2008,
pp. 1-8.
[8] WHO, “Replacement of mercury thermometerand sphygmomanometer in health care:technical guidance”, Geneva: WHO, 2011, pp.
1-50.
[9] Pastore P, Singh R, and Jain N, “Mercury inhealthcare”, Mercury in Hospital Indoor Air:
Staff and Patients at Risk, New Delhi: Toxics
Link, January, 2007, pp. 12-13.

Scenario: Replace all Hg-thermometers and Hgsphygmomanometers with alternative products by 2020
Since the lifetimes of thermometers are very
short, the residual flows to hazardous waste, and theemissions to air and water would be zero after 2020.
The simulation shows that the reduction would be inaverage 540 kg/y, 122 kg/y and 25kg/y for the flows
to hazardous waste, emissions to air and water after2020. For sphygmomanometers, because of their
lifetime of about 9 years the flows to hazardous
waste would be reduced to zero in about 2030.
In total this scenario would reduce the residual
flows by 25,730 kg between 2020 and 2050. This isquite a large amount, even compared with thealready deposited and emitted amount of 38,900 kg
up to 2010.
CONCLUSION
This paper analyzed the time-dependence of
mercury flow and stock through thermometers andsphygmomanometers using MMFA approach. The
simulation showed that the stock of mercury inthermometers is only about 5% of the stock ofmercury in sphygmomanometers. However withthermometers 3 times more mercury is imported
than in sphygmomanometers. The reason is the short
lifetime of thermometers of about 1.5 month, which
is about 70 times shorter than for sphygmomanometers. Therefore also the residual flows of
mercury from thermometers to hazardous waste, airand water are about 3 times larger than those forsphygmomanometers.

676

SEE-Osaka, Japan, Nov. 21-23, 2016[10] WHO, “Mercury”, Air quality guideline, 2nd Ed.
Copenhagen: WHO Regional Office for Europe,
2000, pp. 4.
[11] National Statistical Office, “Number of in –patients by 75 cause groups according fromhealth service units”, Ministry of public health,whole kingdom: 2003–2012, Available at:
http://service.nso.go.th.
[12] Sangsirinavin C, “Mercury levels in urine andhead hair of dental personnel”, Journal of the
Dental Association of Thailand, 38(4), 1988, pp.
170-178.
[13] Chatngoen J, “Urinary mercury level in dental
personnel in Chonburi province”, Master Thesis,
Burapha University, Chonburi,2002, pp 47-73.
[14] UNEP“Minamataconvention
onmercury”Geneva: UNEP, 2013, pp. 1-62.
[15] WHO and HCWH, “The Global Initiative for
Mercury-Free Health Care”, WHO-HCWH
global initiative to substitute mercury-based
medical devices in health care: a two year report,
2010, pp. 4-6.
[16] US.EPA, “Eliminating Mercury in Hospitals”,
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[17] Zeltner C, Bader H-P, Scheidegger R, Baccini P“Sustainable metal management exemplified bycopper in the USA”, Reg Environ Changes 1,
1999, pp. 31–46[18] Johnstone IM, “Energy and mass flow of
housing: a model and example”, Build Environ
36, 2001, pp. 27–41[19] Binder C, Bader H-P, Scheidegger R, andBaccini P, “Dynamic models for managing
durables using a stratified approach: the case of
Tunja, Colombia”, Ecological Economics, 38(2),2001, pp. 191-207.
[20] Sörme L, and Lagervist R, “Sources of heavy
metals in urban wastewater in Stockholm”, Sci
Total Environ, 298(1-3), 2002, pp. 131-145.
[21] Hedbrant J,“Structuring empirical knowledgeonenvironmental
issues”,
Dissertation,
Linkoping Studies in Arts and Science, 2003,
no.283[22] Pfister F, Bader H-P, Scheidegger R, andBaccini P, “Dynamic modelling of resource
management for farming systems”, Agricultural
System, 86(1), 2005, pp. 1- 28.
[23] Baccini P and Bader H-P, “Regionaler
Stoffhaushalt,Erfassung,
BewertungundSteuerung”,
Heidelberg:
Spektrum
Akademischer Verlag, 2007, pp. 221-294 .

[24] Bader H-P, Scheidegger R, and Real M, “Global
renewable energies: a dynamic study of
implementation time, greenhouse gas emissions
and financial needs”, Clean Technologies andEnvironmental Policy, 8(3), 2006, pp. 159-173.
[25] Huang DB, Bader H-P, Scheidegger R,
Schertenleib R, and Gujer W, “Confronting
limitations: new solutions required for urban
water management in Kunming City”, Journalof Environmental Management, 84, 2007, pp.
49-61.
[26] Kwonpongsagoon S, Bader H-P, andScheidegger R, “Modelling cadmium flows inAustralia on the basis of a substance flow
analysis”, Clean Technol. Environ. Policy, 9 (4),2007, pp. 313-323.
[27] Schaffner M, Bader H-P, and Scheidegger R,“Modeling the contribution of pig farming topollution of the Thachin River”, Clean
Technologies and Environmental Policy, 12,2010, pp. 407-425.
[28] Bader H-P, Scheidegger R, Wittmer D, andLichtensteiger T, “Copper flows in buildings,
infrastructure and mobiles: a dynamic modeland its application to Switzerland”, Clean Techn.
Environ. Policy, 13, 2011, 87-101.
[29] Wongsoonthornchai M, Kwonpongsagoon S,
and Scheidegger R, “Modeling Mercury Flowsin Thailand on the Basis of Mathematical
Material Flow Analysis”, CLEAN - Soil, Air,
Water, 44(1), 2016, pp. 16-24.
[30] Bader, H.P. and Scheidegger, R., “MMFA
Framework”, Report from Eawag. Swiss
Federal Institute of Aquatic Science andTechnology, Duebendorf, Switzerland. 2012.
[31] Morf L, Buser A, Taverna R, Bader H-P and
Scheidegger R, “Dynamic substance flow
analysis as a valuable risk evaluation tool - A
case study for brominated flame retardants as an
exampleofpotential
endocrine
disrupters”,Chimia, 62(5), 2008,pp. 424-431.
[32] Kwonpongsagoon
S,
Scheidegger
R,
Wongsoonthornchai M, and Bader H-P,
“Mercury flows in fluorescent lamps, a dynamic
model for the flows through Thailand”, inpreparation.
[33] SUVA Arbeitsmedizin, 2013, Available
at:http://www.suva.ch/factsheet-quecksilber.pdf

677

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

MERCURY CONTAMINATION IN ENVIRONMENT SURROUNDING
COAL-FIRED POWER PLANT
Kamolthip Mahavong, Poranee Pattaranawat and Sopa Chinwetkitvanich
Department of Sanitary Engineering, Faculty of Public Health, Mahidol University, Bangkok, Thailand

ABSTRACT
Fossil fuels combustion has been widely known of their emission containing various heavy metals andgaseous substances. This study is to investigate the distribution of mercury (Hg) in environmental media
surrounding the lignite coal-fired power plant in Lampang province, Thailand. Samples of surface soil andwaters were collected within the vicinity of the power plant in order to analyze mercury contamination. Also,
Hazard Quotient (HQ) will be determined to estimate environmental potential risks in this area of concern.
Mercury contents in surface soil samples were observed in the range of 65.01 – 1337.64 µg/kg. The results also
revealed that the distribution of mercury contamination in surface soils did not completely correlate withmonsoon domination or distance from the power plant. Some samples of surface water and ground water in thisarea contained mercury concentration in the range of 0.1 µg/l – 0.2 µg/l. These mercury contents were further
considered for environmental potential risks by HQ calculation. The environmental potential risks of mercury
content in surface soil samples were classified as ‘no hazard exist’ while those in water samples were classified
as ‘hazard is low’.
Keywords: Mercury, Lignite, Coal-Fired Power Plant, Environmental Potential Risks, Health Risks Assessment

ten years from now while the demand of natural gas
in other industries also continues to rise. Therefore,
the alternatives to replace natural gas in power plantsuch as coal, petroleum, biomass, nuclear energy,
etc., are considered [3]. Lignite coal is the majority
of coal reserves in Thailand, which is considered as
low quality coal due to its low heat and highhumidity, high ash and sometimes high sulfur
content. The largest source of lignite in Thailand islocated in Mea Moh district, Lampang province.
Besides lignite, the higher quality coals found in
Thailand is sub-bituminous and bituminous.
Anthracite is also found, but with a very small
amount, in Loei province area. Although a variety ofcoal species is found in Thailand, most of them are
low quality coal (lignite and sub-bituminous) [4].
The Mae Moh Coal-fired Power Plant in
Lampang province is the largest one in Southeast
Asia using coal-lignite as fuel. This power plantconsists of ten generating units with a total capacityof 2,400 MW, representing about 20% of thecapacity of Thailand. This power plant distributed
electricity to the North, the Central and theNortheast of Thailand with using coal as the fuel ofabout 16 million tons per year [5]. Several studies
have been reported about toxic elements
contaminated in emission from coal-fired power
plant [6-9]. The Mae Moh power plant was also
reported of high concentrations of As, Pb and Hg in
its fly ash samples [10]. Although, this power plantinstalled flue gas desulfurization (FGD) to reduce air
pollutants from their flue gas, the contamination of

INTRODUCTION
The coal-fired power plant has been widely
known for an important source of air pollution due
to its emission from fossil fuel burning contains
several pollutants, i.e., gases, particulate matters,
heavy metals, or some substances such as dioxin,
radiation, etc. These pollutants can affect respiratory,
circulatory, neural, hormonal and reproductive
systems, as well as, can stimulate some diseases andcarcinogenic effect in human organs. Especially,
approximately ninety percent of accumulated
mercury in human body is organic mercury (methyl
mercury), which is highly toxic and stable for quite
long period. Pregnant women and young children
are the most sensitive groups, as well as, theaccumulated mercury can be passed on from motherto daughter [1].
At present, Thailand’s economic and industrial
sector has expanded greatly in recent years, resulting
in increasing of electricity demand. Currently,
natural gas accounts for 70 percent of fuel used inelectricity production due to its high efficiency, lowpollutants emission and local supply. Coal was
responsible for the second amount of fuel used in
power plant (about 20 percent). In contrast withThailand’s fuels utilization for thermal power plant,
the global fuels consumption was mainly coal
combustion, which accounted for about 40 percent,while natural gas combustion was only about 20
percent [2]. However, the natural gas reserve inThailand is predicted to be adequate for only next678

SEE-Osaka, Japan, Nov. 21-23, 2016

heavy metals in their ashes and particulates werestill observed [11]. Mercury contamination inenvironmental media and some plants in thesurrounding area of Mae Moh power plant werereported elsewhere [12], but not clear enough toindicate the source of contaminated mercury.
However, there is quite a few of information
about the distribution and environmental risk ofmercury emitted from the coal-fired power plant inthis area. The aim of this study is to investigate thecontaminant concentrations of mercury from thecoal-fired power plant in surface soil and water aswell as the potential environmental risks and foodsafety in vicinity area surrounding the coal-fired
power plant.

surface water and ground water were designated.
Samples collection for this study were conductedduring August 8 – 11th, 2015.
Sampling Methods
Surface soil samples (0-15 cm depth) werecollected from the rice field by applying the ‘random
sampling’ procedure [16] with using clean
disposable gloves, a stainless steel spade and aplastic scoop. Each soil sample weighted not lessthan 1 kg, was packed in plastic bag and kept in ice
box at 4 ºC. For each station, representative soil
sample were mixed and homogenized from threesubsamples grabbed from three different points withapproximately 3 m. distance from each other.
Samples were air dried under shade and hot air ovenat 103 – 105oC. They were further crushed andsieved to obtain not larger than 2 mm size of soil
particles. Then, they were analyzed on the basis of
dry weight (dw).
The deposition of air pollution may contaminate
aquatic compartment such as reservoir and streams
nearby the coal-fired power plant, as well as,
indirectly contaminate groundwater. Three sites ofwater samples were selected in the vicinity of thepower plant. High density bottles and a Kemmerer
water sampler were used to collect water sample
from reservoir, streams and wells (that in use forhousehold consumption). All water samples for
mercury analysis must be preserved with conc.
HNO 3 acid (pH < 2) and kept in ice box at 4ºC
during transportation to the laboratory and before
analysis.

MATERIALS AND METHODS
The study area is designated to be within the 30km radius surrounding of the Mae Moh coal-fired
power plant with 2400 MW capacity. This study
area covers several districts of Lampang Province
including Maung Lampang, Mae Moh, Mae Tha andLong District of Prae Province. This area named as
Mae Moh basin is one of important basins inThailand due to large coal reserve has been foundhere[13]. This Mae Moh basin has a pan shape(syncline) with average ground level of 320 meters
above mean sea level. The northern part of Mae
Moh basin is mostly covered with mountain andforest (about 80 percent of the districts) while theothers of approximately 4,000 hectares are lowlands
for cultivation. Soil characteristics are generallyclassified as sandy soil. The climate is quite roastingin the summer, cold in the winter and a little chanceof rain about 60-80 days/year [14] due to the rain
shadow. The predominant wind direction in this area
is usually blowing along the SW/NE and the windspeed is in the range of 0.5 - 3.6 m/s.
The site of coal-fired power plant is mostly flatin the valley surrounded by mountains easily causing
high air pressure and temperature inversion [15].
According to several studies [11-12], the atmospherein this area was sometimes difficult for dispersion of
air pollution. The major pollution released by thecoal-fired power plant is mostly from fuelcombustion for steam generation. Besides gaseous
pollutions emitted from fossil fuel burning, somemetals as components in the fuel also escape alongand disperse into the atmosphere. These emitted
metals eventually deposit and can be accumulated on
surface soil and water in the surrounding area.
Sampling sites in this study were located indifferent directions and distances within the radiusof 30 km from the coal fired power plant as shownin Fig. 1 equipped with the representative wind roseof this area. Fourteen sampling stations for surface
soil (twelve for contaminated sites and two forbackground sites) and three sampling stations for

Sample Analysis and Quality Control
Analysis of THg content was performed by Cold
Vapor Atomic Absorption Spectrometry (CVAAS)
with detection limit of 0.001 μg/L. Samples weredigested according to the procedure of the Wetland
Biochemistry Institute, Lousiana State University[17], [18]. About 0.5-2 g of dried samples were
weighed and digested with concentrated 5 ml H 2 SO 4
+ 5 ml HNO 3 . Then, the digested solutions were
washed and made up to be 100 ml with deionizedwater (DI), and 10 ml SnCl 2 solution were addedprior CVAAS analysis. Mercury concentrations
were determined against a set of Hg standard
solutions. Quality assurance was maintained byinserting a blank at the beginning of each sample run.
The accuracy of analytical procedure wascalibrated by using three replicate samples ofstandard reference materials (SRM 1646a for
sediment) from U.S. Department of Commerce,
National Institute of Standard and Technology(NIST) and 4 samples of blank. The Method
Detection Limit (MDL) was calculated (by 3.143
multiplies the standard deviation of the seven679

SEE-Osaka, Japan, Nov. 21-23, 2016

reagent blank samples in the sample batch) and used
as a tool for verification of all Hg analysis.
Evaluation of the potential environmental risks
was estimated numerically using the Hazard
Quotient (HQ) as presented by equation (1). The
equation (1) is the ratio of the estimated exposure to
the effect concentration representing a safe
environmental
concentrationorscreening
benchmark [19].
HQ = EEC / Screening Benchmark
EEC = estimated(maximum)Surface soil

contaminant concentration in the samples at site. (e.g.
mg contaminant/kg soil).
Screening Benchmark = maximum allowable ofmercury concentration; if the contamination
concentration is below this level, the contaminant is
not likely to cause harmful effects.
If HQ < 0.1,
If HQ = 0.1-1.0,
If HQ = 1.1-10,
If HQ > 10,(1)

no hazard exists
hazard is low
hazard is moderate
hazard is high.

environmental

Contaminated

Ground water
Surface water
Surface soil

Background

Mae Moh Power Plant

Fig. 1The sampling locations within the radius of 30 km from the Mae Moh Power Plant.
characteristics of these samples were analyzed, but
not shown here. The highest THg level in surface
soil of 1,338 µg/kg was found in station RS9, which
23 km. distance from the power plant in Southwest
direction. The second high THg level of 1,050 µg/kg
was found in stations RS4 located at 18 km. in
Northeast direction of the power plant. The otherhigh THg levels of 261 and 248 µg/kg were found at
stations BR1 and RS12, respectively. Surprisingly,
station BR1 was initially expected to be a
representative of background site due to its long
distance (39 km.) from the power plant. However,

RESULTS AND DISCUSSION
Mercury Concentrations in Surface Soil
Total mercury (THg) concentrations in surface
soil samples of paddy fields around the coal-fired
power plant are shown in Table 1. The results showthat THg concentrations in samples taken from thisstudy area during August 8 – 11th, 2015 did notexceed the critical value for Hg content in soil of
23,000 µg/kg announced by the Thai Soil Quality
Standards for Residential and Agriculture. Soil
680

SEE-Osaka, Japan, Nov. 21-23, 2016

there were some activities, especially, maintenanceof nearby highway that might possibly affect theresult. Also, station RS12 was not expected of thishigh THg level due to it was not in the predominantSouthwest-Northeast (SW-NE) wind direction ofthis area. Anyway, there is a small crematory placed
nearby but not in operation during the sampling
period. Moreover, the other THg levels of surface
soil were in the range of 65 to 99 µg/kg. These THglevels indicate some contamination of mercury insurface soil of this area and some THg levels werehigher than Hg concentrations in soils around a coalfired power plant in China (606 µg/kg) [20] andSerbia (100 µg/kg) [21], where their amounts werealready higher than the average content of Hg inworld soil.

Mercury Concentrations in Water
Table 2 shows the THg concentrations found inwater samples, two of which were sampling fromgroundwater wells while another was sampling fromsurface water. Groundwater sample from station
GW1, the nearest station to the power plant,
contained THg concentration of 0.2 µg/l while
another groundwater sample (GW2) contained lower
THg concentration of 0.1 µg/l. Only one sample ofsurface water (SW) had THg concentration of 0.2µg/l. The THg results in all water samples did notexceed the critical level of 1 µg Hg/l of Thai Groundwater quality Standards and the critical level of 2 µg
Hg/l of Thai Surface Water Quality Standard.

Table 1 Concentrations of THg in surface soil.
StationLocation

RS1
RS2*
RS3
RS4
RS5
RS6
RS7
RS8
RS9
RS10
RS11
RS12

Ban Na Chae
Ban Sob Chang
Ban Na Sak
Ban Pong Thaen
Ban Dong
Ban Hua Fai
Ban Pha Maew
Ban Hau Sua
Ban Pong Papao
Mae Tha Luang
Ban Sadet
Pichai

BR1
BR2

Mae ThaBan Na Phai Lom

Distance from coal-fired
power plant (km)Total Mercury (THg)(µg/kg dw)

Contaminated sites
18
13
12.5
17
10
13
14
18
23
24.5
18
22
Background sites
39
24

70
78
1050
77
66
99
70
1338
65
68
248
261
94

* Surface soil was disturbed because of plant seedlings during the time of sampling.

Table 2 Concentrations of THg in water samples and their Hazard Quotient (HQ) levels.
StationLocation

Type of Sample

Distance from coal-fired
power plant (km)Total Mercury (THg)(µg/l)GW1
GW2
SW

Ban Huy King
Ban Sob JangBan Hua Fai

Ground water
Ground water
Surface water

6
13
12

0.2
0.1
0.2

Mercury is the most volatile element during thecoal combustion process [22]. Its emission andspeciation depended on the Hg concentration in thefuels, type of coals, and flue gas temperature andcomposition [23]. Mercury emitted from coal
combustion is transported through the atmosphereand deposited onto the ground as wet or dry
precipitation. The Hg in the environment may betransformed by microorganisms into methylmercury,a highly toxic form [24]. However, mercury content
in coal-lignite or other coals used in this power plant
have been not clarified.
681

SEE-Osaka, Japan, Nov. 21-23, 2016

Environmental Risks Assessment

CONCLUSION

The potential environmental risks assessment
calculated by using Hazard Quotient (HQ) equation.
In this study, HQ calculation of surface soil used thescreening benchmark (23,000 µg/kg) based on Thai
Soil Quality Standards for Residential andAgriculture notified by Pollution Control
Department [25], and their results were illustrated inFig. 2. The potential environmental risks evaluationin surface soil of fourteen sampling stations were
found in the range of 0.003 – 0.058. These results
illustrated that all sampling stations in this study
were classified as no hazard exists (HQ < 0.1).

Although the concentrations of THg in surface
soil of paddy fields around the coal-fired power
plant in this study did not exceed the critical Hgvalue of Thai Soil Quality Standards for Residential
and Agriculture (23,000 µg/kg), these results
illustrated some level of mercury content in this area
(65.01 -1337.64 µg/kg). The spatial distribution of
THg in surface soil tends to consistent to thepredominant SW-NE wind direction. That is,
sampling stations located in northeast direction(RS4) and southwest direction (RS9) from the power
plant seemed to found higher level of mercury insurface soil (1049.85 and 1337.64 µg/kg,
respectively).
Nevertheless,thepotential
environmental risks evaluations in surface soil wereclassified only as ‘no hazard exists’ (HQ < 0.1).
Similarly, THg concentrations in water samples(0.11 - 0.24 µg/l) did not exceed the critical values
both of groundwater and surface water standards (1and 2 µg/l, respectively). However, the potential
environmental risks evaluation in water sample wereclassified as ‘hazard is low’ (HQ = 0.1 – 1.0), whichshould be concerned. Anyway, this sampling was
only one time sampling, the further sampling andmonitoring in this area was planned and scheduled.

Fig. 2ACKNOWLEDGEMENTS

Concentrations of THg (µg/kg dw) and HQlevels in surface soil.

This research was financially supported by
National Research Council of Thailand (NRCT) and
Mahidol University. The authors would like tothanks the Department of Sanitary Engineering,
Faculty of Public Health, Mahidol University forlaboratory assistance.

For water sample, the screening benchmarks
based on Thai Groundwater quality Standards [26]and Thai Surface Water Quality Standard [27]announced by Pollution Control Department wasused to calculate HQ values as shown in Fig. 3. Incase of groundwater, the potential environmental
risk evaluations were 0.24 and 0.11 for station GW1
and GW2, respectively, which were classified ashazard is low (HQ = 0.1 – 1.0). In addition, thepotential environmental risk evaluation of surface
water was 0.11, which were classified as hazard is
low similar to groundwater.

Fig. 3

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Concentrations of THg (µg/l) and HQlevels in water samples.
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Electricity Generating Authority of Thailand,
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[6] Goodarzi F, Huggins F, Sanei H, “Assessmentof elements, speciation of As, Cr, Ni andemitted Hg for a Canadian power plant burning
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74(1), 2008, pp. 1-12.
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David C, Mark J, Thomas M, “Effect of the
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ambient mercury species”, J. of Chemosphere,
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[9] Pham T, Junpen A, Garivait S, “AnInvestigation of Atmospheric Mercury fromPower Sector in Thailand”, J. of Atmosphere,
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[17] Gambrell R, Metal (Hg), analysis procedures,
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683

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

ADSORPTION OF Cd AND Pb USING BIOMASS OF MICROALGAE
Spirulina platensis
Lily Surayya Eka Putri1*, Putri Sintya Dewi1, and Dasumiati1
1*

Department of Biology, Faculty of Science and Technology, State Islamic University Syarif Hidayatullah Jakarta

ABSTRACTMicroalgae are one of the biomass sources commonly used for heavy metals uptake from wastewater. Spirulina
platensis is one of blue green algae type of Indonesia abundantly found in Indonesia water and has the ability toadsorp heavy metals, but it is very little used to metals adsorption. As cost effectiveness approach, S. platensis waschosen in this research which aimed to determine the effectiveness of Cd and Pb uptake by S. platensis for 10 days ofexperiments, using Dutatonik solution as growth media of microalgae. The method used was a complete random
sampling with 3 varied treatments of concentration and 3 repetitions on each metal. The variation of concentration
for Cd were 0.1, 1, 5 mg/L, and 1, 2, 4 mg/L for Pb, then the optimum concentration of adsorption was tested byspectrophotometer. Density and size of cells were also measured to understand the physiological impact of Cd andPb exposures to S. platensis. The results showed that Cd was more effectively adsorbed by S. platensis than Pb
which was reached 91.8 % (day 5) at concentration of 1 mg/L Cd and 84.3 % (day 5) at concentration of 1 mg/L Pb.
Cell density and cell size (length and width) of S. platensis were not affected by the variety of Cd concentration(p>0,05), while Pb was significantly at 5% level of significance (p<0,05). It can be assumed that Pb was more toxic
than Cd for S. platensis as cell density decreased within increasing concentration of Pb.
Keywords: Biosorbent, Cadmium, Lead, Microalgae Spirulina platensis

platensis were mostly used in many studies [16], [17],[19], but less studies used living cells.
The study using local strain of S. platensis forheavy metal adsorption is also limited. Therefore, thisstudy used living cells of S. platensis from local
strain-INK to observe the adsorption ability of Cd andPb in aqueous solution. The efficiency of Cd and Pb
ions removal were also analyzed associated withdensity and size of cells.

INTRODUCTION
Industrial wastewater without pre-treatment has
resulted in many heavy metals pollution problems
especially in aquatic ecosystems [1] ,[2]. This is the
major issue in Indonesia was reported the serious
effects to organisms [3], [4]. Heavy metals likecadmium and lead are very toxic even at low
concentrations [5], [6]. Due to the toxic effects toorganisms, cadmium and lead need to be removed
before they accumulate in the environment and finallywill pass into the human food chain which could be
resulted in health problems.
Biological agent, such as algae had been studied
extensively as biosorbent due to their ubiquitous
occurrence in nature [7]-[11] and high efficiency inremoving metals through an ion-exchange mechanism[12]-[14]. Spirulina platensis is one of microalgae
belonging to Cyanobacteria has high adaptive ability
because it is not affected by fluctuating
environmental changes in physical and chemicalparameters [15]. Many studies had been carried out
using S. platensis on heavy metal removal [5], [16],[17]-[19]. However, none of them observed theeffects of heavy metals to density and cell size of
microalgae biomass. Moreover, dead cells of S.

MATERIALS AND METHODS
The algae species used in this study was
Spirulina plantesis obtained from the Laboratory of
Limnology, Cibinong LIPI Bogor. The microalgae
culture was maintained for mass multiplication inmodified commercial leaf fertilizer (Dutatonik H-16)
and incubated at 25oC in a growth chamber for 8h16h and 3000-3500 lux light using fluorescent tube
lamps.
Stock solutions of the heavy metals Cd and Pb
were prepared, from which concentrations 0 (control),
0.1, 1, 5 mg/L, and 0 (control),1, 2, 4 mg/L were usedin case of algae tolerance experiments, respectively.
A density 500,000 cells/ml of S. platensis was
inoculated and exposed by Cd and Pb, with each684

SEE-Osaka, Japan, Nov. 21-23, 2016

1.4

100
90
80
70
60
50
40
30
20
10
0

1.2
1
0.8
0.6

Ce

% adsorption

concentration then incubated for 5 and 10 days, in
triplicate. Physical measurement was also observed
including temperature, light intensity, humidity and
pH of the media.
Each incubation period, day 5 and day 10, 25 mlof solution was stirred at 4000 rpm for 10 minutes,
then the supernatant was measured using Atomic
Absorption Spectrophotometer Perkin Elmer Analyst
700 to obtain the metal concentration in each solution
treatments. The bioremoval efficiency of metals by S.
platensis algae was calculated by the formula adaptedfrom Clesceri et al. [20]:(𝐶𝐶𝐶𝐶−𝐶𝐶𝐶𝐶)𝑆𝑆 =𝑥𝑥 100% (1)𝐶𝐶𝐶𝐶
where, S: biosorption efficiency (biosorption
efficiency) (%); C i : initial metal concentrations inaqueous solution (mg/L); C e : equilibrium metal
concentrations in aqueous solution (mg/L).
To understand the effect of Cd and Pb on S.
platensis cells, density and size of cell were observed.
Weight of biomass was counted every day for 10 days
observation from 3 ml of solution. The solution was
filtered using filter paper and dried in the oven 105°C
for two hours. The cell density is the difference
between the weight of filter paper with dried sample
on it and the weight of filter paper. The cell size
consists of length and width of cells which werecounted using SEM (Scanning Electron Microscopy)
with magnification of 10x40. All the data wereanalyzed using Minitab version 16 to obtain thesignificance of correlation at each variable, including
adsorption of Cd and Pb ions, cell density, and cell
size.

0.4
0.2
0
0.1

1

5

Ci
% adsorption H5% adsorption H10

Ce H5

Ce H10

1.6
1.4
1.2
1
0.8
0.6
0.4
0.2
0

90
80
70
60
50
40
30
20
10
0
1

2

Ce

% adsorption

Fig. 1 Percentage of adsorption and equilibrium
concentration of Cd

4

Ci

RESULTS AND DISCUSSION% adsorption H5% adsorption H10

final C-H5

final C-H10

Fig. 2 Percentage of adsorption and the equilibrium
concentration of Pb

In this study the biosorption of Cd and Pb from
aqueous solution was examined using the local algal
strain-NKI of Indonesia Spirulina platensis atdifferent variation of initial concentration. The
biosorption of Cd and Pb after 5 and 10 days of
incubation period with S. platensis is given in Fig. 1
and Fig. 2.
Figure 1 shows that the highest Cd adsorption
by S. platensis was 91.8% at concentration 1 mg/L of
Cd, in day 5 of incubation (H5). It was supportedwith decreasing equilibrium concentration at each
initial concentration. This rapid Cd adsorption for S.
platensis was due to the abundant availability ofactive binding sites on microalgae such as – COOH, –OH and –NH 2 [21]. After day 5, cadmium adsorption
tended to decline as saturation had already occurred.
The highest adsorption of Pb by S. platensis
reached 84.3% higher than Cd which also occurred in

day 5 of incubation. This confirms that Cd ions bondmore selective to S. platensis than Pb ions. This isrelated to the mechanism for intracellular metal
detoxification in living organisms which is theformation of metal-binding peptides or proteins suchas metallothioneins [22], [23]. Since S. platensis was
exposed to Cd ions, they secrete proteins fromintracellular or extracellular spaces to bind the toxic
metals, so toxic effect is inhibited [22]. Although
increasing Pb concentration, algae are not all died, in
opposite some of algae cells are still alive and canstill adsorp more ions. Whereas decreasing adsorption
ability of metals at day 10 was due to toxicity effectof metals in biomass of S. platensis. It also could becaused by the large surface area and the presence ofvarious active sites in the cell walls which isdependent on a number of parameters: pH [24], heavy

685

SEE-Osaka, Japan, Nov. 21-23, 2016

density of cell (mg)metal type [24], algae type [25], [26] andconcentration of biomassa [24].
The adsorption of metals are also related to celldensity which provides more availability of active
sites for binding of ions and this was proved by
Huang and Lin [27], Putri et al. [28] andSoeprobowati & Hariyati [5]. The studies showeddecreasing cell density at the longer incubation time,after rapid growth at first period of incubation.
Figure 3 and 4 exhibit the trend of cell density invariety of incubation time. It shows that density ofcells increased until day 5 and 6, then decreasedslightly with longer incubation time. The increasing
initial concentration of metals also affected declining
cell density which occurred in Pb exposure on S.
platensis but not in Cd exposure. Statistically,
exposure of Pb on S. platensis was significantly
correlated to cell density (p<0.05) while for Cd wasnot (p>0.05). This is related to toxic effect of metals

cell including phase of lag, exponential, stationary
and death [29]. The lag phase occurred at day 1
followed by exponential phase at day 2 to 5 whencells grew increasingly and density of cells increased.
After day 5 to 7, cells were in stationary phasemarked by maximum density of cells. Death phaseoccurred from day 8 to 10 and cells decreased slightly.
The highest cell density reached 70.2 mg at 0.1
mg/L of Cd concentration on day 5, whereas 72.1 mgof cells was obtained on day 5 at 1 mg/l of Pb
concentration. It proves that cell density can also
used to analyze metals adsorption by living cells suchas microalgae. The living cells can adapt well on thetreatment medium since availability of nutrients inmedium was maintained. Nutrients [30] and rapid
growth ability of living cells are the main advantage
of biosorption technology.
On day 10, cell density decreased both in Cd andPb exposures which also occurred in higher
concentration of metal ions. This showed that thehigher concentration of metal ion, the more toxic
metal ions which further caused cell dead andpoisoned. Only surviving cells were able to formcolonies and continue in cell division.
Biosorption ability of S. platensis to adsorb metal
ions was also supported by pH. During the 10 days ofobservation, pH of observed culture medium wasfluctuated. The highest adsorption of Cd and Pb werein pH 8.8 and 8.79 respectively. Increasing pH value
on observed medium was caused by the breakdown ofproteins and other nitrogen compounds which wasammonium (NH 4 +) as a form of organic compounds
which proceed decomposition [31]. This compound
will accumulate and settle in the the bottom of culture
medium which in further will poison cells and cells
died. It also interferres the adsorption of dissolved
oxygen and nutrients which is conducted by the cells
are still alive [32].
However, alkaline pH is not suitable for theadsorption of Pb due to precipitation of ions. Thiswas supported by Al-Homaidan et al. [18] whichreached up to 91% lead adsorption at acidic pH 3,
while less adsorption of lead obtained in this study,
only 84.3% at pH 8.79.
For Cd adsorption, it showed higher adsorption
at alkaline pH 8.8. This result was the same asreported by Al-Homaidan et al. [17]. The control of
pH in culture medium is very important to maintainthe balance of cell growth of S. platensis.
Temperature and light is able to accelerate themetabolism of S. platensis in absorbing metal ions,[33]. In this study, the physical condition of culture
room demonstrated suitable conditions for growth of
S. Platensis. The temperature was at 26.6°-27.9oC,

80
60
40
20
0
1

2

3

4

5

6

7

8

9

10

Day
control

0.1

1

5

Fig. 3 Cell density of S. platensis exposed by Cd

density of cell (mg)

80
60
40
20
0
1

2

3

4

5

6

7

8

9

10

Day
control

1

2

4

Fig. 4 Cell density of S. platensis exposed by Pb[28]. It can be assumed that Pb ions were more toxic
for S. platensis than Cd ions. However, the toxicity
of metals could be different for other microalgae
depending on the presence of various active sites in
the cell walls [21].
Cells density of S. platensis followed theexponential pattern which showed growth phase of686

SEE-Osaka, Japan, Nov. 21-23, 2016the humidity ranged 71-79%, and the light intensityof the culture was around 3008-3014 Lux.
Other parameter used in this study was cell size
to analyze the adsorption effects of Cd and Pb on S.
platensis biomass. The cell size was differed fromlength and width of cells given in Fig. 5 and 6.
The length and width of S. platensis had similar
trend both in Cd and Pb exposures which increasedslightly at day 5 of incubation, then decreased at day
10. It exhibited the same pattern as growth of S.
platensis biomass which was exponential pattern.

cell width (µm)

6
5.8
5.6
5.4
5.2
5
4.8
H-0

H-5

CONCLUSION
cell length (µm)

4.6
4.55
4.5
4.45
4.4
4.35
4.3
4.25
4.2
4.15

6.2

concentration of metals which can damage thechloroplast, since the chloroplast is the most sensitive
part of cell to heavy metals [29]. Destruction ofchloroplast implies loss of pigment and will disturb
photosynthetic activity which occurred in thylakoid
membranes [34]. Broken chloroplast will inhibit
respiration process in cells so that the ability of cells
to proliferate is reduced. This led to the increase in
number of cells to be blocked. If protein in S.
platensis cells is damaged then nutrient transport into
the cells was inhibited, so that most of the S. platensis
cells die [35].

Spirulina platensis, the local algae strain-INK
was proved effectively remove Cd and Pb ions from
aqueous solution and indicated a very good candidate
as biosorption agent of heavy metals. The highest
biosorption of Cd and Pb were 91.8% and 84.3% bothat 1 mg/L of initial concentration on day 5,
respectively. Only density cells can also be
considered as adsorption parameter of heavy metals
removal in water or wastewater, since in this study
cell density showed significant correlation with metal
ions adsorption (p<0.05).

H-10

day
control

0.1 ppm

1 ppm

5 ppm

control

0.1 ppm

1 ppm

5 ppm

ACKNOWLEDGEMENT
Fig. 5 Cell size of S. platensis exposed by Cd
4.6
4.5
4.4
4.3
4.2
4.1
4
3.9
3.8
3.7
3.6

cell width (µm)

6
5.8
5.6
5.4
5.2
5
4.8
4.6
H-0

H-5

cell length (µm)

6.2Authors would like to thank Indonesian Instituteof Sciences (LIPI) which had given stock culture of
Spirulina platensis. Authors also thank to laboratory
staff of Biology Department, Faculty of Science andTechnology, State Islamic University Syarif
Hidayatullah Jakarta who had helped in preparationof the experiments.
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Fig. 6 Cell size of S. platensis exposed by Pb[3]

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in shorter length and width of cell and lower celldensity. This is presumably due to the excessive

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with intial pH variation”, accepted by
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ENVIRONMENTAL IMPACTS OF RECYCLED NONMETALLICFRACTION FROM WASTE PRINTED CIRCUIT BOARD
Suphaphat Kwonpongsagoon1*, Sawanya Jareemit1, and Premrudee Kanchanapiya2
Department of Sanitary Engineering, Faculty of Public Health, Mahidol University, Bangkok, Thailand;Center of Excellence on Environmental Health and Toxicology (EHT), Bangkok, Thailand
2
National Metal and Materials Technology Center, National Science and Technology Development Agency,
Ministry of Science and Technology, Pathumthani, Thailand
1

ABSTRACT
Recently in Thailand, the recycling process of waste printed circuit board (WPCB) has retained a large
volume of nonmetallic fraction (NMF), which has entered the industrial waste stream and awaits an appropriate
treatment to be suggested. The aim of this paper was to assess environmental impacts of the recycled nonmetallic
fraction from waste printed circuit board in Thailand, using the ReCiPe midpoint assessment method of life cycle
assessment approach. For this purpose, one of the glass fiber reinforced plastic (GFRP) manufacturers in
Thailand was selected to obtain data for NMF waste and the production of two new recycled NMF products. The
environmental impacts of two new recycled NMF products compared with traditional GFRP product, and two
recycled NMF products compared with conventional waste disposal methods by means of landfilling andincineration were considered. The result showed that the potential environmental impacts were in the damage
categories of climate change, human toxicity, marine ecotoxicity, and fossil depletion. For overall comparison,
the recycled NMF as a modified GFRP product (recycled product 1) showed the worst impacts to human toxicity,marine ecotoxicity, and fossil depletion categories compared with other methods because of the complex
production technique and the chemical-based process. Moreover, the recycling of NMF as a new product(recycled product 2) is likely to be the most suitable waste management option in Thailand.
Keywords: Nonmetallic Fraction, Waste Printed Circuit Board, Recycling, Waste Management, Life Cycle
Assessment

consist of copper (20%), iron (8%), tin (4%), nickel(2%), lead (2%), zinc (1%), silver (0.2%), gold
(0.1%), and palladium (0.005%) [7]. The value ofthe metallic fractions (MF) of PCB is a major
economic driving force to recycle Waste Printed
Circuit Board (WPCB). In Thailand, the commercial
recycling process of the WPCB industry currently
focuses only on the recovery of copper. After therecycling process of WPCB, a large volume ofnonmetallic fraction (NMF) mainly consisting ofresin and glass fiber, has entered the industrial waste
stream and awaits appropriate treatment. This waste
can be usually treated by conventional waste
disposal methods, like incineration or secured
landfilling. The incineration of NMF will cause theformation of highly toxic substances such as
polybrominated dibenzodioxins and dibenzofurans(PBDD/Fs) while landfilling of the NMF will lead tosecondary pollution caused by heavy metals andbrominated flame retardants (BFRs) leaching to thegroundwater [8], [9]. In addition, NMF disposal byincineration and landfilling can cause the loss ofresource use because of the resin and glass fibercontained in NMF. In view of sustainable waste
management and urban mining concepts, not only
valuable metals such as copper, silver and gold in
PCB can be recovered but also NMF should be

INTRODUCTION
E-waste, or Waste from Electrical and Electronic
Equipment (WEEE), is an emerging and fastgrowing waste stream with complex characteristics
in both developed and developing countries.
According to the global e-waste report in 2014,
although the average highest per capita e-wastequantity (15.6 kg/cap.) was estimated in Europe,
Asia is the largest e-waste generation source, around
16Mt [1]. In Thailand without related regulation inforce, e-waste generation was estimated at 6.4 kg per
capita in 2014 and has increased steadily around 10
to 20% every year [2], [3]. Therefore, the handlingand treatment of these wastes have become a topic
of worldwide concern.
Printed Circuit Board or PCB is a basic
component in all electrical and electronic devices
ranging from large to small items such as fridges,
washing machines, computers, TVs, CD/DVD
players, radios, mobile phones, and shavers.
Although overall, the PCB proportion is only about
3% to 6% by WEEE total weight, the complex arrayof toxic substances present in PCBs are very specificand need to be treated carefully [4]. In general, PCB
contains approximately 28 to 30% metals and 70 to
72% nonmetals [5], [6]. The typical metals in PCB
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exploited as a resource in other related industrial
processes. In our previous studies [10], [11], NMF
could be recycled as a filler in fiber-reinforced
polymer to make products, e.g., artificial wall tile.
Other studies also found that possible applications of
NMF include construction materials, composite
boards, sewer gates, heavy metal absorbers,
activated carbon and sound absorbers [12]-[14].
The highlighted questions below have arisen andwill be answered in this study.
1) What is the environmental impact(s) of these
new fiber-reinforced plastic (FRP) products
containing NMF compared with traditional Glass
Fiber Reinforced Plastic (GFRP) products?
2) In terms of the environment, which method is
the most appropriate waste management option for
NMF in Thailand? Four different waste management
methods
includinglandfilling,incineration,
recycling as a modified GFRP product, andrecycling as a new product were considered in thisstudy.
To answer these questions, the Life Cycle
Assessment (LCA) method, a technique to assess thepotential environmental impacts associated with aproduct, process, or service was applied in this study.
The method could be undertaken by compiling an
inventory of relevant energy and material inputs andenvironmental releases, evaluating the potential
environmental impacts associated with identified
inputs and releases and interpreting the results to
help us make a decision. The four basic stages in
conducting the LCA include goal and scope
definition, inventory analysis, impact assessment
and interpretation [15]. The method has been widely
applied in many research studies, e.g., [16]-[18].

1. Modified GFRP table top (or recycled product1): using traditional production method by hand layup technique, together with NMF composite material
to replace plywood (which is used to increase thethickness of the product), and to replace glass fiber.
2. New table top (or recycled product 2): a
casting process transforming NMF waste to make a
new composite product.

MATERIALS AND METHODSLife Cycle Assessment (LCA)

Materials and Recycled Products

As can be seen in Fig. 1, the system boundary of
the study that defines what is included in theassessment starts by collecting of NMF from a waste
generator in the Samut Sakhon area, transportation,
waste treatment alternatives (recycling, incinerationand landfilling), and manufacturing of FRP furnitureproducts. The functional unit of the LCA study isbased on 1x1 m2 table top with 1 cm thickness. In
this study, the waste treatment options detailed
below are modeled so that we can compare theirenvironmental impacts.

To make the NMF composite (we introduced thisnew composite to the GFRP factory) for bothrecycled products mentioned above, the type ofchemicals used and ratio of chemical composition ofeach type of table top product in accordance with
our Thai petty patent No. 8341 were used andsummarized in Table 1. All details of raw materials
including equipment used, manufacturing process,production techniques, processing time andproperties tested are all found in Jareemit [19].
Table 1 Raw materials used for the 1x1 m2 table top
product with 1 cm thickness

Ingredients
Polyester resin
Glass fiber
Methyl ethyl
ketone peroxide
Plywood
NMF from WPCB
Styrene monomer
AcetoneWater
Total weight

The waste material NMF was obtained from oneof the WPCB recycling plants located in Samut
Sakhon Province, Thailand. The physical andchemical characteristics of NMF from WPCB were
thoroughly analyzed and can be found in ourprevious investigations [10], [11]. The NMF
collected was then used as a resource (a secondary
raw material) in the glass fiber reinforced plastic(GFRP) manufacturing process at the F.R.P.
Industry Co., Ltd. In general, the compositions offiber reinforced plastic (FRP) consist of resin mixed
with a monomer, accelerator, hardener and filler.
Because NMF material mainly consists of resin andglass fiber, it can be used to substitute for primary
raw materials, i.e., resin and filler, of the FRP
production process. The two types of furnitureproducts (table top) listed below, containing NMF
material, were finally selected as recycled products
for this study.

Traditional
product
2.90
0.9

Content (kg)Modifiedproduct
10.81
0.9

New
product
8.56
-

0.045

0.167

0.122

12
1
1
17.845

10.2
2.04
1
1
26.117

10.2
2.04
1
1
22.922

Option 1: NMF waste landfilling and traditional
GFRP table top production. In this option, all NMF
waste is transported to a hazardous waste landfillsite located in Saraburi Province, about 140 km
northeast of Samut Sakhon. The cement-basedsolidification/stabilization is usually applied toimmobilize toxic substances before depositing thewaste in a secured landfill. The traditional GFRP

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table top with no NMF used as a resource isnormally manufactured in Samut Sakhon.

[17]-[19], relevant reports, literature, and databases
provided in SimaPro Version 7.3. The World
ReCiPe Midpoint impact assessment method waschosen to estimate the environmental impacts in thisstudy. The environmental impacts of NMF waste forall impact categories were assumed to be zero. In
life cycle impact assessment, all emissions of theinventory were sorted into classes according to theeffect on the environment. These emissions werethen multiplied by the characterization factors ofeach substance within each impact category aspresented in Eq. (1).

Option 2: NMF waste incineration andtraditional GFRP table top production. All NMF
waste is treated at an incineration plant in SamutPrakan Province, located 65 km east of the waste
generating plant. Similar to option 1, the traditional
GFRP table top with no NMF used as a resource isnormally manufactured in Samut Sakhon.
Option 3: NMF waste recycling as a modified
GFRP table top (or recycled product 1). This option
explores the potential environmental impacts ofrecycled product 1 as described above. The waste isused as a secondary material for the FRP production
process at F.R.P. Industry Company, only 10 km
away from the waste generator.

𝐶𝐶𝐶𝐶 = ∑𝑠𝑠 𝐸𝐸𝐸𝐸 × 𝐶𝐶𝐶𝐶

(1)

Where subscript “s” mean substance; CI is category
indicator; EI is emission load; and CF is
characterization factor.

Option 4: NMF waste recycling as a new table
top product (or recycled product 2). Similar tooption 3, the NMF is used as a secondary material at
the F.R.P. Industry Company, but to produce a newtable top product.

All collected data in relation to the four waste
management models mentioned above was used as
input data in SimaPro LCA software version 7.3 tocalculate all environmental impact categories in thisstudy (see more details of method in SimaPro
Database Manual for the impact category indicators[20]).

The data used for life cycle inventory was
primarily gathered from the F.R.P. Industry Co., Ltd.
(e.g. raw materials in Table 1), previous researches

Fig. 1 System boundary of LCA study for NMF from WPCB (option 1 – 4)
NMF from WPCB can be used to replace primary
raw materials, like the plywood sheet, and glass
fiber of the traditional GFRP product. However, thenewly made NMF composite required anotherchemical (styrene monomer) to reduce the viscosityof the NMF mixture during the casting process [19].
Thus, the styrene monomer was additionally applied
to make both recycled products about 8 to 9% asshown in Fig. 2 (calculated from data inventory of
Table 1).

RESULTS AND DISCUSSION
In the case of NMF recycling, the weightpercentage of raw materials used for the two
products (recycled products 1 and 2) compared withtraditional GFRP products are shown in Fig. 2. It canbe seen that among those primary chemicals used to
produce products, the highest amount of polyester
resin is present in recycled product 1 (modified
GFRP table top), followed by recycled product 2(new table top product) and traditional product. The

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Fig. 2 Weight percentage of different raw materials used for traditional GFRP, modified GFRP and new productFrom the calculation results of SimaPro program,
Fig. 3 shows the environmental impacts of two new
products containing NMF composite compared withthe traditional GFRP product. They relate to raw
materials used for a 1x1 m2 table top with 1 cm
thickness. Four damage categories, consisting ofclimate change, human toxicity, marine ecotoxicity
and fossil depletion, are present for all three
products. Only traditional GFRP product contributes
agricultural land occupation impact because of theuse of plywood sheet (see Fig.3). In the light of
those four impact categories, except agricultural land

occupation, overall the highest impact values
resulted from the modified GFRP product (recycle
product 1), followed by the new product (recycled
product 2) and the traditional GFRP product. It
became obvious that almost 100% of environmental
impacts in all categories of the two recycled
products resulted from polyester resin, a major raw
material required in the production process(assuming zero impact for NMF waste). This isbecause these recycled NMF products depend highly
on chemical use (see also Fig.2)

Fig. 3 Environmental impacts of traditional GFRP, modified GFRP and new product related to raw materials
used for a 1x1 m2 table top with 1 cm thickness
According to material selection guidelines for
eco-compatible products [21], one recommendation
here is to change most used chemicals to moreenvironmentally friendly ones. In this case, based on
the same production technique of GFRP
manufacturing, two types of resin can be used in theprocess, namely, polyester resin and epoxy resin.
When comparing the environmental impacts
between polyester and epoxy resins, we found thatepoxy resin has a much lower impact to human
toxicity and marine ecotoxicity, around 80% while
not differing much regarding climate change andfossil depletion impacts (see Fig. 4). However, after
discussion with several manufacturers and suppliersin Thailand, polyester resin is still preferred overepoxy resin. Although epoxy resin has less toxicity,and can give a better property of products in terms
of product strength, it costs more around twice
compared with polyester resin. In addition, thosemanufacturers claimed that the properties ofpolyester resin were adequate for their customers’
needs to produce GFRP products in terms of productstrength and durability.

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Fig. 4 Environmental impacts of 1 kilogram polyester resin compared with1 kilogram epoxy resin
Finally, comparative environmental impacts of
two recycled NMF products and conventional waste
disposal methods by means of landfilling andincineration were conducted. As can be seen in Fig.
5, all options contribute to the five damage
categories including climate change, human toxicity,marine ecotoxicity, fossil depletion and agriculturalland occupation. Since plywood was not used as araw material in the recycled products, no impact tothe agricultural land occupation category was causedby the recycling options 3 and 4.
Looking at the climate change damage category,
option 1 caused the worst impact when comparedwith other options. This could have resulted from thedisposal process of landfilling, followed by the FRP

production and the transportation between the waste
generator and disposal site. In other words,
landfilling is the most inappropriate method for thiscase in terms of climate change impact. Recycling
option 3 shows the worst impact to human toxicity,marine ecotoxicity, and fossil depletion categories
compared with other options (see Fig. 5). This isbecause recycled product 1 (option 3) required amore complicated production process by applying
both traditional production method (hand lay-up
technique) and casting NMF composite. Comparing
between two recycling products (options 3 and 4),
the new product option 4 had less impact on all
damage categories.

Fig.5 Environmental impacts of four waste management options for NMF from WPCB

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Workshop and Conference on Earth Resources
Technology, 2010.
[6] Jianzhi L, Shrivastava P, Zong G, and HongChao Z, “Printed circuit board recycling: astate-of-the-art survey”, Electronics Packaging
Manufacturing, IEEE Transactions on, Vol.
27(1), 2004, pp. 33-42.
[7] Huang K, Guo J, and Xu Z, “Recycling of waste
printed circuit boards: a review of current
technologies and treatment status in China”, J. of
Hazardous Materials, Vol. 164(2–3), 2009, pp.
399-408.
[8] Tesanan S, Kwonpongsagoon S, andKanchanapiya P,“Solidification/stabilization ofnonvaluableresidue from waste printed circuitboard assembly”, Int. J. of GEOMATE, Vol.
11(24), 2016, pp. 2307-13.
[9] Duan H, Li J, Liu Y, Yamazaki N, and Jiang W,“Characterization and inventory of PCDD/Fs
and PBDD/Fs emissions from theincineration ofwaste printed circuit board”, Environmental
Science & Technology, Vol. 45(15), 2011, pp.
6322-6328.
[10] Kanchanapiya P, Pinyo W, Jareemit S, andKwonpongsagoon S, “The recycling of nonmetallic powder from printed circuit board
waste as filler material in fiber reinforced
polymer”, Environmental Protection Engineering,
Vol.41(4), 2015, pp.151-166.
[11] Jareemit S, Kanchanapiya P, Saeheng P, Pinyo
W, and Kwonpongsagoon S, “The recycling of
non-metallic fraction from printed circuit board
waste as reinforcing material in the artificial
wall tile”, in Proc. 3rd International Conferenceon Green and Sustainable Innovation, 2012.
[12] Sun Z, Shen Z, Ma S, and Zhang X, “Sound
absorption application of fiberglass recycledfrom waste printed circuit boards”, Materials
and Structures, Vol. 48(1-2), 2015, pp. 387-392.
[13] Wang X, Guo Y, Liu J, Qiao Q and Liang J,“PVC-based composite material containing
recycled non-metallic printed circuit board(PCB) powders”, J. of Environmental
Management, Vol. 91(12), 2010, pp. 2505-2510.
[14] Zheng Y, Shen Z, Ma S, Cai C, Zhao X, andXing Y, “A novel approach to recycling of glass
fibers from nonmetal materials of waste printed
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170(2–3), 2009b, pp. 978-982.
[15] International Organisation for Standardisation, “ISO
14040 (2006): environmental management - life
cycle assessment - principles and framework”, 2006.
[16] Rigamonti L, Grosso M, Møller J, Martinez
Sanchez V, Magnani S, and Christensen TH,“Environmental evaluation of plastic waste
management
scenarios”,
Resources,
Conservationand Recycling, Vol. 85(0), 2014, pp.
42-53.

CONCLUSION
After comparing our two recycled NMF productswith the traditional GFRP product, it can beconcluded that the highest impact values resulted
from modified GFRP product (recycle product 1),
followed by new product (recycled product 2) andtraditional GFRP product. Although the recycling of
NMF waste as new products shows higher
environmental impacts than the traditional products,
the traditional product contributes more damage
categories than our recycled products. Among waste
management options, it can be concluded that thepotential environmental impacts were the damage
categories of climate change, human toxicity, marine
ecotoxicity and fossil depletion. For the overall
comparison, because of a more complicatedproduction technique and a chemical-based process,the recycled NMF as a modified GFRP productshowed the worst impacts in human toxicity, marine
ecotoxicity and fossil depletion categories comparedwith other methods. However, the manufacturers canhelp to reduce the toxicity of products by changing
the raw material from polyester to epoxy resin. Thus,
the recycling of NMF as a new product (recycled
product 2) is likely to be the most suitable waste
management option in Thailand.
ACKNOWLEDGEMENTS
This research work was supported in part by agrant from the Center of Excellence on
Environmental Health and Toxicology, Science &Technology Postgraduate Education and Research
Development Office (PERDO), Ministry of
Education. Moreover, this study was supported for
publication by the China Medical Board (CMB),
Faculty of Public Health, Mahidol University,
Bangkok, Thailand.
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[3] Kanchanapiya P, “E-waste: technology of printed
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energy analysis of fiber-reinforced composites”,
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52(12), 2008, pp. 1391-1398.
[19] Jareemit S, “The recycling of non-metallic
fractions from printed circuit boards wastes as a
FRP (Fibers Reinforced Plastic) furniture product”,
Master’s thesis, Mahidol University, 2015.
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Vol 39, 2012, pp 90-99.

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Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

THE ANAEROBIC BAFFLED REACTOR (ABR) :PERFORMANCE AND MICROBIAL POPULATION AT VARIOUS
COD LOADING RATES
Sopa Chinwetkitvanich1* and Apaporn Ruchirased1
Department of Sanitary Engineering, Faculty of Public Health, Mahidol University, Bangkok, Thailand

1

ABSTRACT
Anaerobic Baffled Reactor (ABR) is one type of high-rate anaerobic reactor equipped with a series of baffles.
This baffles plays an important role of biomass retaining, consequently, sludge retention time (SRT) could be
operated separately from hydraulic retention time (HRT) without needs of filter or media packing. Three 10-liter
laboratory scale ABRs with different compartment numbers (3, 6 and 8 compartments) were operated withconstant HRT of 24 hrs. Synthetic carbohydrate-protein wastewater was fed to these reactors with COD loading
rate of 4 g COD/l-d. The results evidently showed that the compartmentalized structure of ABR helped retard
sludge washout rate. The more compartments, the lower of sludge washout rate was. The ratios of SRT/HRT
were found as 35, 73 and 134 d/d in the reactors with three, six and eight compartments, respectively. In addition,
COD removal efficiencies were observed with percentages of 74, 78 and 83, respectively. Moreover, studying of
the microbial populations by FISH technique proved the existence of microbial phase (methanogens andacidogens) separation in ABR system with six and eight compartments, but not clearly distinguishable in threecompartment ABR.
Keywords: Anaerobic Baffled Reactor, FISH Technique, Methanogens, Acidogens, COD Loading Rates

as well as, increase the overall removal efficiency
with shorter HRT [3]. Several studies have foundthat the ABR could be operated with HRT less than
1 day [4], [5]. The successful operation of ABR intreating of domestic, industrial and agricultural
wastewater with the removal efficiency higher than
90% were reported [6]-[10].
Although ABR has been developed for overtwenty years, the knowledge in designing such areactor has still not been much clarified. The mostadvantage of ABR is its SRT and HRT can be
operated separately. Therefore, SRT can beincreased over HRT several times. This will benefit
in a smaller size of reactor while still achieving highbiomass concentration and consequently highperformance. The SRT/HRT ratio is an importantparameter to compare the effectiveness of ABRtechnically and economically. The aim of this study
is to study effect of compartment numbers on
SRT/HRT ratios and appropriate OLR for treating
carbohydrate-protein wastewater.

INTRODUCTION
Anaerobic process usually has a problem of
maintaining biomass within reactor. A conventional
digester has usually been operated with solid
retention time (SRT) equal to hydraulic retention
time (HRT). Therefore, in order to keep the biomass
within the reactor as long as possible, high volumeof reactor is necessary. Subsequently, several
modifications to solve this problem were attempted,
such as returning the biomass into the reactor, using
a filter for trapping the biomass or even packing
some media in the reactor. However, the cost offilter and packing material becomes the
disadvantage.
An anaerobic baffled reactor (ABR) is a highrate anaerobic reactor using a series of verticalbaffles to direct the flow upward and downward
from inlet to outlet. ABR has a higher resistance ofboth hydraulic and organic shock loads than someanaerobic processes. ABR can be designed to
improve biomass retention in reactor, resulting in alonger SRT [1], [2] without need of packing media
or a solid-settling chamber or sludge granulation.
The compartmentalized structure in ABR is an
important key of retaining biomass within thereactor. The more compartments in a reactor, thebetter biomass retention is. Also, this structure is
helpful in separating acidogenic and methanogenic
phases, which will enhance stability and higherorganic loading rate (OLR) of the anaerobic process,

MATERIALS AND METHODS
Laboratory Scale Reactors
A schematic diagram of experimental setup wasshown in Fig. 1. Three laboratory-scale ABRs weremade of clear acrylic with the detail and dimensionof reactors as shown in Fig. 2. All three reactors
were having ten liters effective volume and most of697

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the components are similar. The difference was thenumber of compartment consisted in each reactor,
which three, six, and eight compartments wereapplied for this study. Each compartment had avertical baffle that directs the liquid flow alternately
downward and upward. The ratio of down-flow andup-flow width in each compartment was 1:3 assuggested by Dama et al. [9]. Also, the 45-degreeslanting baffle was recommended to reduce theregion of dead space and direct the flow to the centerof the up-flow region [9]. The wastewater flows
from one compartment to the next through window
cut on the acrylic partition. The gas outlets are on
the upper part of the reactor and sampling ports areat the side.

Experimental Design
This experiment was divided into two parts; thefirst part was conducted with three reactors equippedwith three, six and eight compartments, named as
3C-OLR4, 6C-OLR4, and 8C-OLR4, respectively.
They were all operated with OLR of 4 g COD/l-dand HRT of 24 hrs. The second part was operated
with three more different OLRs of 8, 12 and 16 g
COD/l-d using reactors with a certain compartment
number. According to the results from the first part,the eight-compartment reactor showed the mostappropriate reactor for overall performance. Hence,
six experiments were conducted with operating
conditions as detailed in Table 1.
Table 1 The operating conditions in this study.

Exp. names

1

2

3

4

5

Fig. 1

Effluent

A schematic diagram of experimental setup(6-compartments).
 Inlet



HRT
(hrs)

OLR
(g COD/
l-d)
4
4
4
8
12
16

 Gas outlet

Analytical Methods

 Outlet Sampling port

Samples were regularly collected by grab
sampling method. Influent and effluent sample werecollected from storage container. Supernatant ofeach compartment was collected from sampling
ports as shown in Figure 2. The parameters of total
COD (tCOD), soluble COD (sCOD), Alkalinity,
TSS, VSS, pH, and ORP were performed inaccordance with Standard Methods for the
Examination of Water and Wastewater [12]. Biogas
was collected and counted by gas meters using water
displacement method. Bacterial community wasdetermined by FISH technique.

30 cm.



50 cm.

Fig. 2COD(mg/l)Part I: Effects of compartment numbers
3C-OLR43
4,000
24
6C-OLR46
4,000
24
8C-OLR48
4,000
24Part II: Optimum organic loading rate.
8C-OLR888,000
24
8C-OLR128
12,00024
8C-OLR168
16,00024

6Influent

No. ofcompartments

12 cm.

Details and dimension of experimental
reactor (6-compartments).

Seeding and Acclimatization
The systems were inoculated with anaerobic
sludge from ABR treating swine wastewater for
approximately three months. Each reactor wasseeded with initial MLSS of about 28 g/l, then; they
were allowed to settle for about two days. For
acclimatization, synthetic carbohydrate-protein
wastewater containing a designate strength was fed
with an operating HRT of 80 hrs, which was
suggested for high stability and COD removal [11].
Then, it was gradually decreased to the designated
HRT of 24 hrs. All reactors were operated until asteady state was reached.

RESULTS AND DISCUSSION
Part I: Effects of Compartment Numbers
Performance in COD removal
Average influent COD levels fed into 3C-OLR4,
6C-OLR4, and 8C-OLR4 experiments were 4,050,
4,230, and 4,230 mg/l, respectively. The pH valuesof the feeds were 8.2, 8.1, and 8.1 with preparedalkalinity of 2,220, 2,040, and 2,040 mg/l as CaCO 3 ,respectively. Figure 3 illustrated that COD removal
698

SEE-Osaka, Japan, Nov. 21-23, 2016

efficiencies during high HRT of 80 hrs were quite
high (>80% removed) in all ABRs. The lower HRT,
the lower COD removal appeared, due to low HRT
might induce channeling occurrence, resulting inless contact between sludge and substrate, as well as
higher sludge washout.

here) illustrated that COD was mostly removed in
the first compartment (40 – 58%), then, slightly
decreased throughout the reactor.
pH values and microbial phase separation
Lengthwise increasing pH was observed
throughout the reactors, which microbial phaseseparation in ABR could be implied. The front ofreactor acts like an acidogenic phase, and the latter
performs as methanogenic phase. However, a phaseseparation was not obvious in the 3C-OLR4
experiment where little different pH values occurredamong its three compartments (6.8, 6.9, and 7.1,
respectively). Anyway, phase separation was moreevident in other two experiments (6C-OLR4 and 8COLR4), especially in consideration of pH values.
That is, pH values in the first and the lastcompartments of a 6C-OLR4 experiment were 6.8
and 7.5, while those of 8C-OLR4 experiment were
6.5 and 7.7. It appears that more compartments in areactor could induce the proper environment for
two- phase anaerobic operation.
Sludge mass balance
Figure 4 shows a component of sludge massbalance in Part I experiments based on initial sludge
concentration of around 28 g TSS/l inoculated into
10-litre reactors. Initial sludge mass in reactors
3C-OLR4, 6C-OLR4, and 8C-OLR4 were calculated
at 288, 273 and 276 g TSS, respectively. Effluent
suspended solids (SS) were regularly analyzed andused for total sludge washout calculation. Total massof sludge washout were 269, 205 and 110 g TSS,
while final sludge mass of 99, 159 and 257 g TSS
resided at the end of experiments, respectively.
According to mass balance, produced sludge mass
were calculated at 79, 90 and 91 g TSS, respectively.
Observed yield in all reactors were obtained at 0.04
g VSS/g COD .

Fig. 3

COD removal efficiencies and OLRs of thePart I experiments.

Average COD removal efficiencies during a
steady state of 74, 78 and 83% were found in
3C-OLR4, 6C-OLR4 and 8C-OLR4 experiments,
respectively. In addition, COD utilization rates wereaveragely 29.8, 32.8, and 35.0 g/d, respectively. This
could be said that more compartments could enhance
COD utilization rate. Moreover, HRT adjusting
during acclimatization (especially decreasing HRT
or increasing OLR) affected COD removal
efficiency more dramatically in less compartment
number reactor. The ABR with more compartment
numbers exhibited higher tolerability to hydraulicchange.
In addition, a profile of soluble COD values inevery compartment of each reactor (data not shown

Fig. 4

Sludge component in consideration ofdifferent compartment numbers (Part I).

Sludge produced in the reactor 3C-OLR4 wassignificantly lower than the other two (6C-OLR4
699

SEE-Osaka, Japan, Nov. 21-23, 2016

and 8C-OLR4). It could be due to larger
compartment in a three-compartment reactor thansix- and eight-compartment reactors. Though therecommended ratio of up-flow and down-flow widthof 1:3 was installed in all reactors, more dead-space
still occurred in a three-compartment reactor, andcould reduce contact opportunity between sludge
and substrate. Also, the mixing in six- and eightcompartment reactors was visually better.
As mention above, one may conclude that the
number of compartment affects on maintainability ofsludge within ABRs, the more compartment
numbers, the lower sludge washout rate is and thehigher sludge resides in the reactor. Also, higher
SRT and SRT/HRT ratio were observed in reactors
equipped with more compartment numbers as shownin Fig. 5.

were 8.3, 8.3, and 8.5, as well as, of alkalinity were2,148, 1,963, and 2,606 mg/l as CaCO 3 , respectively.
Average COD removal efficiencies achieved
during a steady state of the experiments 8C-OLR8
and 8C-OLR12 were 96 and 88%, respectively,
which were similar to one of 8C-OLR4 experiment(83%) mentioned in the previous part. For theexperiment of OLR at 16 g COD/l-d (8C-OLR16),
resided sludge from the experiment with OLR of 8 g
COD/l-d was inoculated. During the acclimatization,
this reactor with the OLR of 8 g COD/l-d showed
COD removal efficiencies near 90% level. After
final adjustment of the OLR up to 16 g COD/l-d,
COD removal efficiency rapidly decreased to 34%
level within a week and failure eventually appeared.
More acidic pH values of 5.4 and 5.7 wereobserved in the first compartments of the 8C-OLR8
and 8C-OLR12 while neutral pH of 7.8 and 7.3 werestill maintained in the last compartment. It is
possibly believed that microbial phase separation
was more obvious when operating OLR increased.
Sludge mass balance

Fig. 5

Similarly, initial sludge concentration of around
28 g TSS/l was inoculated into every reactor. Afterreaching a steady state, sludge component of every
experiment with eight-compartment was analyzed
and exhibited in Fig. 6 (Note: result of the 8C-OLR4
was referred from previous part). Total sludge
washout and final sludge mass of the 8C-OLR4, 8COLR8, 8C-OLR12 and 8C-OLR16 experiments
were 110, 144, 168 and 206 g TSS, as well as 257,
256, 321 and 378 g TSS, respectively. In addition,
produced sludge mass were calculated at 91, 122,
201 and 308 g TSS, respectively.

SRT/HRT ratios in consideration ofdifferent compartment numbers (Part I).

The SRT/HRT ratios achieved in this study
evidently showed that SRT and HRT could be
separately controlled under ABR configuration.
These SRT/HRT ratios (Figure 5) were similar to
those of ABRs reported elsewhere [4], but still could
not compete with that found in UASB configuration
reactors [13]. However, the complexity of UASB
reactor design and its operation might cause grave
concern. Nonetheless, lower SRT/HRT ratios in
ABRs were sometimes reported, especially whentreating high solid content associated with low
biodegradability wastewater [14].
Part II: Optimum Organic Loading Rate (OLR)
Performance and microbial phase separation

Fig. 6

According to the results from previous
experiments (Part I), eight-compartment ABRs wereselected for this experimental part (Part II). COD
content in synthetic wastewater were adjusted toobtain designated OLRs. Average influent COD
concentrations in the experiments of 8C-OLR8, 8COLR12, and 8C-OLR16 were at 8,300, 12,463 and16,301 mg/l, respectively. Averages of influent pH

Sludge component in consideration ofdifferent OLRs (Part II).

Although these ABRs were equipped with thesame number of compartment, the SRT and
SRT/HRT ratios were not similar. It can be seen thatthe different OLRs affected on the SRT/HRT ratios,
higher OLR resulted in lower SRT/HRT ratio as
shown in Fig. 7. The explanation should be thathigher OLRs resulted in more biogas production,
700

SEE-Osaka, Japan, Nov. 21-23, 2016

consequently, rising biogas enhanced turbulence insludge bed. Therefore, total sludge washout mass (gTSS) accordingly increased when OLRs were raised.
However, sludge mass and a SRT/HRT ratio of the
8C-OLR16 must be remarked that they were
calculated from only 34 days of operation before
failure.

(DAPI stained; blue color) in every compartment(C1, C2 and C3). This could be stated that the
populations of methanogens and acidogens were
almost identical throughout the ABR. Threecompartments could not stimulate microbial phaseseparation in this case. This was consistent to thementioned pH values of 6.8, 6.9 and 7.1 in C1, C2and C3, respectively. It was obvious that threecompartments could not promote the microbial
phase separation.

C1

C2
Fig. 7

SRT/HRT ratios in considerationdifferent OLRs (Part II).

of
C3

Fluorescence In Situ Hybridization (FISH)
The microbial populations were studied by FISH
technique using probe EUB338 labeled with FITC
(green) for domain Eubacteria, which acidogens
belong to this bacterial group. Also, probe ARC915
labeled with CY3 (red) was used for domain
Archaea, which methanogens were categorized into
this group. DAPI (blue) staining was applied todetermine total cell bacteria. Figure 8 shows FISH
images of the 3C-OLR4 experiment.

C4

C5

C6
C1
C7
C2

C8
C3
Fig. 9Fig. 8DAPI-staining/epifluorescence micrographsofmicrobialcells
3C-OLR4
experiment; Left: DAPI staining, Middle:
Bacterial cells hybridized with FITClabeled EUB338, and Right: Archaeal cells
hybridized with Cy3-labeled ARC915.

DAPI-staining/epifluorescence micrographsofmicrobialcells
8C-OLR8
experiment; Left: DAPI staining, Middle:
Bacterial cells hybridized with FITClabeled EUB338, and Right: Archaeal cells
hybridized with Cy3-labeled ARC915.

In case of eight compartments, lengthwise
difference of microbial population in the ABR was
revealed in Fig. 9. The ratio of acidogens andmethanogens in each compartment of the 8C-OLR8
experiment was visually estimated at 90:10 in the

The ratio of acidogens (EUB338 probed; green
color) to total bacteria cell (DAPI stained; blue
color) were quite similar to the ratio of methanogens(ARC915 probed; red color) to total bacteria cell701

SEE-Osaka, Japan, Nov. 21-23, 2016

first compartment. Since the second compartment,
acidogens were relatively lower than methanogens,
especially in the last two compartments (C7 and C8)that acidogens were greatly less than methanogens.
Similarly, FISH results of the experiments 8COLR12, and 8C-OLR16 (data not shown here) also
illustrated compartmentalized change of microbial
population. Increased OLRs (up to 16 g COD/l-d)
did not affect microbial phase separation in thisstudy.
Acidogens (EUB338 probed; green) was aprominent group in the front compartment whilemethanogens (ARC915 probed; red) was in the rearcompartments. Thus, it is interesting to note that
acidogenic phase was evident in the first threecompartments where low pH values between of 5.46.7 occurred. Whereas methanogenic phase wasmanifested in the last four to five compartments (pHvalues were about 7.0-7.8). In addition, the visualobservation of sludge in different compartments
exhibited that sludge in the first three compartments
was more whitish, while those in the lattercompartments were more blackish. This was similar
to a study [15] mentioning about blackish color ofmethanogenic phase.

[2] Nachaiyasit S, Stuckey DC, “The effect ofshock loads on the performance of an anaerobic
baffled reactor (ABR): 2, step and transient
hydraulic shocks at constant feed strength”
Water Research, Vol 31(11), 1997, pp. 27472754.
[3] Demirer GN, Chen S, “Two-phase anaerobic
digestion of unscreened dairy manure” Process
Biochemistry, Vol 40(11), 2005, pp. 3542-3549.
[4] Grobicki A, Stuckey DC, “Performance of theanaerobic baffled reactor under steady-state andshock loading condition” Biotechnology andBioengineering, Vol 37, 1991, pp. 344-355.
[5] Bell J, Buckley CA, “Treatment of a textile dyein the anaerobic baffled reactor” Water SA, Vol
29(2), 2003, pp.129-134.
[6] Ahamed A, Chen CL, Rajagopal R, Wu D, Mao
Y, Ho IJR, Lim JW, Wang JY, “Multi-phased
anaerobic baffled reactor treating food waste”
Bioresource Technology, Vol 182, 2015, pp.
239-244.
[7] Pirsaheb M, Rostamifar M, Mansouri AM,
Zinatizadeh AAL, Sharafi K, “Performance ofan anaerobic baffled reactor (ABR) treatinghigh strength baker’s yeast manufacturing
wastewater” J. of the Taiwan Institute ofChemical Engineers, Vol 47, 2015, pp.137–148.
[8] Zhu GF, Li JZ, Wu P, Jin HZ, Wang Z, “Theperformance and phase separated characteristics
of an anaerobic baffled reactor treating soybean
protein processing wastewater” Bioresource
Technology, Vol 99, 2008, pp. 8027–8033.
[9] Dama P, Bell J, Foxon KM, Brouckaert CJ,
Huang T, Buckley CA, Naidoo V, Stuckey D,“Pilot-scale study of an anaerobic baffled
reactor for the treatment of domestic wastewater”
Water Science and Technology, Vol 46(9), 2002,
pp. 263-270.
[10] Bell J, Plumb JJ, Buckley CA, Stuckey DC.
“Treatment and decolorization of dyes in ananaerobic baffled reactor” J. of Environmental
Engineering, 2002, 1026-1032.
[11] Barber WP, Stuckey DC, “The influence ofstart-up strategies on the performance of ananaerobic baffled reactor” Environmental
Technology, Vol 19, 1998, pp. 489-501.
[12] APHA; AWWA; WEF, “Standard Methods for
the Examination of Water and Wastewater, 22ndEd.; Rice EW, Baird RB, Eaton AD, Clesceri
LS, Eds.; American Public Health Association;
Washington D.C., USA, 2012.
[13] Singh KS, Viraraghavan T, “Impact oftemperature on performance, microbiological,
and hydrodynamic aspects of UASB reactor
treating municipal wastewater” Water Scienceand Technology, Vol 48(6), 2003, pp. 211-217.
[14] Boopathy R, “Biological treatment of swine
waste using anaerobic baffled reactors”
Bioresource Technology, Vol 64, 1998, pp.1-6.

CONCLUSION
The compartmentalizing configuration is an
important factor affecting on SRT/HRT ratio. Morecompartments help retarding sludge washout,resulting in higher SRT with smaller HRT.
Consequently, high COD removal efficiency was
obtained by using eight-compartment ABR. Though
microbial phase separation was not obvious in threecompartment ABR, fair COD removal efficiency(over 70%) was still achieved. Eight-compartment
ABR could handle operating OLRs up to 12 g
COD/l-d and still provided COD removal efficiency
higher than 80%, especially for ABR treating low
solid content wastewater.

ACKNOWLEDGEMENTS
The authors gratefully acknowledge assistance for
FISH technique from Dr. Somkiet Techkarnjanaruk,
National Center for Genetic Engineering andBiotechnology of Pilot Plant Development andTraining Institute, KMUTT.
REFERENCES[1] Nachaiyasit S, Stuckey DC, “The effect ofshock loads on the performance of an anaerobic
baffled reactor (ABR): 1, step changes in feed
concentration at constant retention time” Water
Research, Vol 31(11), 1997, pp. 2737-2746.
702

SEE-Osaka, Japan, Nov. 21-23, 2016[15] Demirel B, Yenigun O, “Two-phase anaerobic
digestion processes: a review” J. of Chemical

Fig. 8

8C-OLR4

8C-OLR8

8C-OLR12

8C-OLR16

Technology and Biotechnology, Vol 77(7),2002, pp. 743-755.

Percentage of sludge mass balance in consideration of different OLRs (Part II)

703

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

INTRODUCING SUSTAINABILITY TO FIRST-YEAR CIVIL
ENGINEERING STUDENTS USING DROUGHT AS A CASE STUDY
Gregg L. Fiegel1, Tom R. Trice2, and Ryan C. Alaniz3
Civil Engineering, 2History, and 3Sociology Faculty, Cal Poly, San Luis Obispo, USA

1

ABSTRACT
Recently we introduced sustainability to first-year civil engineering students using drought as a case study. In
this article we discuss sustainability-related activities incorporated into an introductory civil engineering course
taken by 160-180 undergraduate students annually. Objectives of the course include introducing the profession,
outlining steps for success as an undergraduate, motivating on-campus involvement, improving study habits, andintroducing engineering design. Sustainability and drought, as instructional topics, provide interesting andengaging opportunities for addressing the course objectives. In the course, we address sustainability and drought
through two activities. During the first activity, students research drought and monitor their own water usage.
We discuss this personal reflection assignment in more detail in the paper. In addition, we comment on student
submissions and assessment results. The second activity is a group project where students work in 4-person
teams to research a drought-related topic. We discuss this assignment in the paper. In addition, we discusschallenges associated with implementing the above activities. We also discuss course improvements based on
student and instructor feedback. We comment on the value of interdisciplinary collaboration and the approachtaken in teaching sustainability; the authors teach in engineering, history, and sociology.
Keywords: Sustainability, Drought, Teaching, Education, Resilience

Poly and its stakeholders have coped with persistent
drought conditions. As mandated by the California
Governor in 2015, potable urban water use
throughout the state has been reduced by 25-percent.
Cal Poly accommodated this water restriction with
the installation of low-flow bathroom and kitchen
fixtures, improved irrigation practices, and turf
removal, among other remedies. Evidence ofdrought is clearly visible for incoming Cal Polystudents. In addition, many students arrive on
campus with personal stories of how drought has
affected them, their families, and their homecommunities. Approximately 10- to 15-percent ofstudents come from more rural and agriculturalcommunities significantly impacted by recent water
shortages and intense conservation efforts.
Instructors at Cal Poly consider the ULO focusedon ethics, diversity, and sustainability to be one of
the more challenging to address in program curricula.
However, drought as a case study provides
opportunities for student learning and discovery inthese areas. The topic is thought-provoking.
Furthermore, Cal Poly graduates will likely facedrought-related challenges for many years to come.
For these reasons and others, we chose drought as acase study in addressing sustainability concepts with
first-year students. Our experience includes teachingcourses for the Civil Engineering Program and the
Cal Poly Honors Program.
In the following paper we describe a recent effort
to introduce sustainability to first-year civil

INTRODUCTION
At California Polytechnic State University (CalPoly), San Luis Obispo, the topic of sustainability
has received increased attention over the past decade.
In 2007, Cal Poly adopted seven University
Learning Objectives (ULOs) to define theinstitution's expectations for student learning. One ofthese objectives states that students should, by thetime they graduate, be able to "make reasoned
decisions based on an understanding of ethics, a
respect for diversity, and an awareness of issues
related to sustainability."
Following the adoption of the ULOs, Cal Poly
defined sustainability as the ability of natural andsocial systems to survive and thrive together to meetcurrent and future needs. Further, the Cal Poly
Academic Senate passed a resolution adopting four
additional "sustainability learning objectives" [1].
The university developed the additional objectives
given the complexity surrounding the original ULO.
At Cal Poly, an Academic Senate sustainability
committee informs and supports the activities ofother committees whose scopes encompass
environmental responsibility. In addition, thecommittee makes recommendations, as appropriate,
regarding the provisions of the Talloires Declarationand sustainability policies under the California State
University system [2].
The topic of sustainability has received evengreater attention and scrutiny in recent years as Cal
704

SEE-Osaka, Japan, Nov. 21-23, 2016engineering students using the California drought asa case study. We include background information on
the course, a discussion of the individual and group
instructional activities, a summary of student work,and an assessment of the results. We conclude thepaper with a discussion of lessons learned and plansfor improving instruction in the future.

activities for an introductory Honors course. This
course serves first-year, first-quarter students andfocuses on sustainability. In fact, the primaryemphasis is the previously described ULO on ethics,
diversity, and sustainability. The Honors Program at
Cal Poly represents a campus-wide program serving
students from the university's six colleges and nearly
60 different majors. Diversity and sustainability
themes link well with the program and theintroductory course, as addressing issues andchallenges in these areas requires collaboration andsharing of knowledge among multiple disciplines.
To receive credit in the introductory Honors
course, students must attend class regularly,
complete at least five hours of service with a local
community partner organization, complete six
written reflection exercises, and complete a groupresponse project. Students work in teams comprisedof students from different disciplines/majors. Inclass discussions take place in these groups and are
led by the instructor as well as continuing Honors
students trained as teaching assistants. The small
group discussions are designed to be representativeof future learning experiences available to students
enrolled in the Honors Program.
We support student learning in the Honors
course through readings, in-class group discussions,written reflection exercises, and group project work.
Papers, articles, and reports focus the in-classdiscussions and reflection while providing
introductions to sustainability [3], systems thinking,resilience thinking and "livelihood resilience" [4],stakeholder theory [5], social justice [6], economics,
public policy, and environmental justice [7]. The
collection of class readings is not meant to represent
a comprehensive bibliography. Rather, the course
references provide background information related
to the course learning objectives. We expect thestudents to investigate important topics andstimulate their own critical thinking though
independent research. Recent group projects haveincluded needs assessment and project research for
local non-profit organizations, research into the
California drought, and an analysis of how
sustainability issues figure in current politicaldebates and elections.
In teaching the Honors course, we have learned
that first-year students often experience significant
challenges when working in groups; need to improvetheir information literacy skills; require regular andconstructive feedback; find the subject ofsustainability interesting, relevant, and challenging;
relate well to the subject matter when it is linked
with contemporary issues; require support anddirection when asked to self-direct their learning;
and appreciate hands-on demonstrations and projectbased learning. We reflected on these observations
when developing a learning module on sustainability
for the introductory civil engineering course. In the

BACKGROUND
Course Format and Enrollment
We incorporated sustainability-related activities
and instruction into the introductory civilengineering course (CE 111) taught at Cal Poly.
Students must declare a major prior to admission to
the university. First-year civil engineering students
are then required to take the subject course during
their first quarter on campus. The academic year at
Cal Poly is divided into four quarters, each elevenweeks long. Course instruction takes place over aten-week period with examinations scheduled during
the eleventh week. The subject course is a 1-unit
lecture course, which means it meets in a classroom
for one hour each week. The course is gradedcredit/no-credit and is included in the required
Bachelor of Science degree curriculum for civilengineering majors. The course is currently taught
once each year in a large lecture hall with a typicalenrollment of 160 to 180 students.
Course Design
Primary course objectives include introducing
the civil engineering profession, outlining steps for
success as an undergraduate, motivating on-campus
involvement, improving study habits, andintroducing engineering design. In support of theseobjectives, the course instructor and guest speakers
deliver presentations on curricular issues andadvising, co-curricular learning opportunities, keys
to success in engineering study, engineering design,
professional skill development, and contemporary
issues. To receive credit for the course, the students
must regularly attend class, attend at least two
student organization meetings or events, write two
individual reflection essays, complete a teamresearch project, and complete a team design project.
Assessments of student performance during the pastten years show that greater than 95 percent ofenrolled civil engineering students receive credit forthe course. The students generally consider thecourse assignments challenging and the workload
representative of a 1-unit undergraduate course.
Previous Experience Teaching Sustainability
Prior to teaching the civil engineering course, we
worked together in developing course content and705

SEE-Osaka, Japan, Nov. 21-23, 2016

following sections we summarize our experiences indeveloping and teaching this learning module.

We reviewed each student essay to record theirwater use and to review their thoughts on the
California drought, water conservation, andlivelihood resilience. Table 1 summarizes reported
water use and conservation efforts for the 168
students enrolled in the course. The table shows thehigh, low, and average values reported for both daysof the study.

COURSE ASSIGNMENTS AND ACTIVITIESFor the introductory civil engineering course, we
prepared several activities and assignments to
inform and support a course learning module onsustainability. These activities and assignments
required both individual and group work and weredeveloped based on set of working student learning
outcomes. The learning outcomes were:Table 1 Summary of water use as evaluated during
individual student investigations

1) Explain how sustainability concepts are linked
with the environment and civil engineering;2) Define resilience in the context of sustainability
and human livelihoods;
3) Analyze individual water usage and theeffectiveness of different conservation measures;
4) Compare
andcontrast
different
ways
Californians and their communities may address
the issue of drought - beyond conservation; and
5) Discover, review, evaluate, analyze, andsummarize published information (including dataand images) related to sustainability.

Value

Day 1: Normal
Water Use(gallons)

Day 2: Conserved
Water Use(gallons)

High
195
100
Low
16
11
Ave
57
37
Note: Data collected from 168 students.
The students employed various conservation efforts
and reduced their water use, on average, by about
35 percent. By and large, the students attributed theirwater use to tangible everyday activities such as
drinking, doing the dishes, brushing their teeth,
showering, and flushing the toilet. Within theirwriting, about 30 percent of the students
demonstrated a more comprehensive view of theirwater use, recognizing they were using water inother ways not easily measured (e.g. the water usedby campus dining and other university departments
to support student success, the amount of water used
to grow the food in their diet, etc.). Only about 14
percent of the students researched average water use
by typical California residents, comparing this water
use with their own. Those that performed thisresearch often reflected that their water use estimates
seemed somewhat low, which was most likely due totheir campus living arrangements.

We describe the course activities and assignments insome detail in the following sections.
Individual WorkWe required all of the students in the class tocomplete a short reflection paper on the California
drought and livelihood resilience. Prior to preparing
their papers, the students reviewed two requiredreferences [4], [8]. In addition, each student perused
the internet and local media for additional articles,
essays, news videos, and photos essays on the
drought and its effects on the local community.
Through individual research, we asked the students
to develop their own understanding of the conceptsof sustainability and livelihood resilience. In
addition, we expected the students to become moreaware of the local community and the impact of theongoing drought on the Central Coast of California.
As part of this assignment, the students were also
tasked with investigating their own water use.
During a weeklong period, the students selected twodays to conduct their investigation. On the first day,they estimated their daily water use (in gallons)
while engaged in normal activities. On the secondday, they restricted their water use to a minimal but
comfortable level and re-estimated their water use.
After completion of their investigations, the students
prepared a 2- to 3-page reflection essay discussing
daily water use and topics relevant to their own
research and experience. We designed this hands-on
learning activity while keeping in mind Cal Poly’s
motto: learn by doing.

Group WorkWe required all of the students in the class tocomplete a research project on the California
drought. The students worked on their research
projects in teams of four. We assigned students totheir project teams simply by grouping students
together by their last names. Once in their groups,
we presented the students with the following
prompt: "You will work in your group to research a
specific topic related to the California drought.
There are many different issues, challenges, stories,
and themes you could investigate when examining
this very broad subject. You and your teammateshave the freedom to select the topic for yourpresentation. However, this topic must be approvedby the CE 111 course instructor prior to you
beginning your research."706

SEE-Osaka, Japan, Nov. 21-23, 2016

We formed 42 research teams from the class of
168 students. We asked each team to summarize
their research findings and conclusions in a research
poster. Students prepared their posters in MS
PowerPoint according to guidelines and format
requirements presented on the course website. Somestudents had never prepared a research poster before,
so more detailed instructions, examples, andtemplates were provided. We expected each team toprepare a research poster that provided a detailed,well-written, properly referenced, and engaging
summary of their findings, conclusions, opinions,
and/or recommendations. We gave each team thefreedom to discuss and agree on the content includedin their poster presentation. However, we requiredthat all posters include the following: (1) At least
two photographs (taken by members of the group)illustrating the impact of the California drought;(2) At least one quote from someone working
outside of the university describing an impact of thedrought (e.g. the students needed to interview
someone); and (3) A description of at least one
creative way Californians and their communities canaddress the issue of drought beyond conservation.
The students selected a number of different
drought-related
topicsfor
theirresearch
investigations. Table 2 lists the most popular topics
researched by this class.

figured prominently in the news during the time thiscourse was offered. Additionally, our first-year
students were less likely to know and understandcontemporary issues related to civil engineering at
this point in their academic careers.

Fig. 1

Additional Reflection Questions
In addition to the individual reflection paper andthe group research project, each student answered
additionalreflection
questionsrelatedtosustainability and the California drought. As part ofa required assignment administered during the final
week of the term, the students answered a number ofquestions related to the course and their experiences
as a new student at Cal Poly. Several of thequestions focused on sustainability and drought:

Table 2 Listing of the five most popular drought
research topics
Drought Research Topic
Desalination
Cattle and Dairy Farming
Water Reservoirs and Storage
Groundwater
Vineyards and Viticulture
Note: Research completed by 42 teams.

Breakdown of the team research topics bytheme areas.

Number of
Teams
7
5
4
3
3

 In your own words, provide a one-sentence
definition for the term "sustainability." Provide a one-word definition for the term"sustainability." In 2020, what will we wish we had done in 2015
to mitigate the consequences of the California
drought? What will we potentially look back onand regret, not realizing it was necessary to takeaction now?

We reviewed the 42 research topics and posters andgrouped the topics into five different theme or
subject areas, namely: engineering, agriculture,science, public policy, and business and economics.
We summarize the breakdown of the team research
projects by subject area in Figure 1. The wide
variety of selected topics helped to illustrate to thestudents the broad impacts of the drought as well as
the reach of sustainability-related issues, problems,and solutions. Interestingly, the number ofagriculture-focused research studies outnumberedthose focused on engineering. A possible reason forstudent interest in agriculture is the impact thatfarming and ranching has on many communities
throughout California. Furthermore, the subject ofagricultural water use and its possible regulation

Most of the students provided well-thought-out
answers to the first two questions on sustainability,
often incorporating elements of the readings as well
as issues they had studied as part of the teamresearch project. Figure 2 illustrates a word cloud
generated from student answers to the request to
provide a one-word definition for sustainability.
Such illustrations can serve as useful tools forstudent reflection and classroom assessment. As
suggested by the students, the most common terms
associated with sustainability included renewable,
maintainable, supportable, endurance, continuity,and everlasting.
707

SEE-Osaka, Japan, Nov. 21-23, 2016

the ongoing California drought. Student responses
were voluntary. The students answered the following
question as part of this follow-up assignment: During Fall 2015, we discussed the California
drought and you investigated your own water use.
As a follow-up, please provide an honest selfassessment of your water use since that time.
Specifically, what best describes your individual
daily water use between the months of Januaryand June of this year as compared to when you
first arrived at Cal Poly: (a) much less; ((b) less;(c) about the same; (d) more; (e) much more.

Fig. 2

We continue to collect student responses to thisquestion. However, to date, about 60% of those
responding continue to use less or much less water.
No students described their water use as more ormuch more than when they first arrived at Cal Poly.
In addition to the above question, the students
indicated their level of agreement with thefollowing three statements. We used a five-point
Likert scale in collecting student feedback(i.e. possible student responses included strongly
agree, agree, neutral, disagree, or strongly disagree).

One-word definitions for sustainability as
articulated by the students (word cloud
generated using tagxedo.com, copyright2016).

We received a variety of responses to the third
question in the above list. We reviewed the
responses and grouped them into six categories:
continued and improved conservation measures;
research, development, and implementation ofdesalination
technology;
improvements
inagricultural practices; changing of personal attitudes
toward water use, scarcity, and conservation;
implementation of new policies and regulations forwater use and distribution; and improvements toinfrastructure as related to water storage, water
recycling, groundwater management, etc. Figure 3
shows the distribution of responses by the students.

 Between January and June 2016, coursework
and/or curricular experiences at Cal Poly
provided me with regular opportunities to learn
about connections between sustainability andcivil/environmental engineering; Living sustainably is an issue I am personallyconcerned about; and Upon graduation, working on projects andsolving problems related to sustainable
development will represent a significant portionof my duties as a professional engineer.
We tallied the number of "agree" and "strongly
agree" responses to these three statements with thefollowing results: 50%, 77%, and 77%, respectively.
Approximately 23% of the students "disagreed" or"strongly disagreed" when asked if they continued to
be provided with opportunities to learn about
connections between sustainability and engineering.
This result is somewhat surprising given theimportance of the topic and the recent emphasis by
the university on the subject of sustainability.

Fig. 3COURSE ASSESSMENT

Student response to the following question:"In 2020, what will we wish we had done in2015 to mitigate the consequences of the
California drought?"

We reviewed student work and activities inrelation to the five previously defined student
learning outcomes. Our comments follow.

In May 2016, approximately 6 months after thecompletion of the course, we asked the students toagain reflect on their experiences in CE 111 and on

Explain how sustainability concepts are linked
with the environment and civil engineering: Each
708

SEE-Osaka, Japan, Nov. 21-23, 2016

student defined sustainability in their own words anddemonstrated improved understanding throughresearch. We used the California drought to link theconcept of sustainability with the environment.
Approximately 50% of the students linked
sustainability with topics in science and engineering
when conducting their research. Surprisingly, over
40% of the students linked sustainability with topics
in agriculture. In the future, we will ask students toreflect on sustainability in an engineering context, asengineering is the focus of this course.

intend to collaborate with library staff to improvestudent performance in this area.
CONCLUSIONSIn this article we discussed the incorporation ofsustainability-related activities, discussions, andlearning outcomes into a course for first-year civilengineering students. We used the California
drought as a case study for introducing and teachingimportant sustainability concepts. The case study
motivated student interest in the subject and thecourse assignments. Based on our success, we
encourage other educators to consider similar
learning outcomes and hands-on activities in theirown courses. In collaborating to develop the course
materials and assignments, we relied on our varied
experiences in teaching sustainability, solving
problems, and working with diverse student
populations. Focusing on historical, social, andenvironmental elements of sustainability provided
the students with a broad perspective of the droughtchallenge and the potential impacts to people andcommunities. We believe aspiring engineers must
appreciate broader perspectives and value
collaboration if they are to be successful.

Define resilience in the context of sustainability
and human livelihoods: The students addressed theconcept of resilience as part of their individual paper
assignment. In support of this assignment, we asked
each student to read and reflect on an article
addressing this subject [4]. After a review of theirpapers, we concluded approximately 40% of thestudents demonstrated a basic understanding of
livelihood resilience. We intend to improve student
understanding of this challenging topic in the future
through more in-class discussions and questioning.
Analyze individual water usage and theeffectiveness of different conservation measures:
Based on our observations and a review of theindividual reflection papers, most students
completed their water use investigations withinterest and enthusiasm. Many authors assert that
demonstrations or hands-on learning methods suchas this are essential in engineering [9]. Most students
attributed their water use to tangible everyday
activities without considering or realizing potential
hidden uses. Few students assessed thereasonableness of their observations and calculations
by reviewing published information on typical
and/or average water use for California residents.

REFERENCES[1] Cal Poly Academic Senate, "Resolution onsustainability learning objectives", No. AS-68809, 2009.
[2] Cal Poly Academic Senate, "Resolution on thecreation of a standing sustainability committee",
No. AS-622-04, 2004.
[3] Prugh, T and Assadourian E, "What issustainability anyway?" World Watch, Sep./Oct.
2003, pp. 10-21.
[4] Thomas, T, et al., "Livelihood Resilience in theFace of Climate Change", Nature Climate
Change, Jan. 2015, pp. 23-26.
[5] Maak, T and Pless, NM, "Responsible
leadership in a stakeholder society", J. of
Business Ethics, Vol. 66, No. 1, Jun. 2006, pp.
99-115.
[6] Oram, D, "Designing for sustainability:
negotiating
ethicalimplications",
IEE
Technology and Society Magazine, Fall 2010,
pp. 31-36[7] Agyeman, J, "Where justice and sustainability
meet", Environment: Science and Policy for
Sustainable Development, Vol. 47, No. 6, Aug.
2010, pp. 10-23.
[8] Nagourney, A, "As California drought enters 4thyear, conservation efforts and worries increase",
The New York Times, Mar. 17, 2015.
[9] Lowman, J, Mastering the techniques ofteaching, Jossey-Bass, San Francisco, 1995.

Compareandcontrast
different
ways
Californians and their communities may address
the issue of drought beyond conservation: All of
the student groups researched and presented at least
one idea for addressing the drought beyond
conservation. Many students recommended solutions
beyond engineering, recognizing the importance ofpolicy, regulation, and personal attitudes. We intend
to provide more opportunities for students to share
their findings and recommendations in the future asthese opportunities were limited during this course.
Discover, review, evaluate, analyze, andsummarize published information (including dataand images) related to sustainability: Ourassessments of individual and group work revealed
that first-year students need information literacy
skills training. The students should not be expected
to learn these skills on their own. In the future, we709

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

INCIDENTS INDUCED BY ELECTROMAGNETICWAVES EMITTED BY CELL PHONES
Yoshiro Fujii
Shin Kobe Dental Clinic, Hyogo, Japan

ABSTRACT
Cell phone (smart phone) use has increased considerably in recent years. These devices have facilitatedcommunication on a global scale. However, there have been a number of reports of health problems related to theelectromagnetic waves emitted by such electronic devices. A long list of both general and severe symptoms,
including headaches, fatigue, tinnitus, dizziness, memory loss, irregular heartbeat, and whole-body skin lesions,have been reported. These are reportedly associated with the condition known as electromagnetic hypersensitivity(EHS). In Japan, since cell phones use has increased considerably in recent years, accidents involving people
falling from a platform at a train station onto the tracks also seems to be increasing. When the electromagnetic
waves emitted by a cell phone were irradiated to the subject, the subject’s sense of balance was obstructed, and a
subject’s body also was destabilized by even a little external force. The author attributes the cause of accidents ofthis nature to instability caused by the electromagnetic waves emitted by cell phones. It is necessary to consider
regulating the use of cell phones on train platforms to prevent these accidents. The underlying mechanism behindsuch accidents has not been decisively proven. However, decreased blood flow within the brain has been proposed.
The regulation of using electronic devices should be considered to prevent severe accidents.
Keywords: Cell phone, Personal computer, Electromagnetic waves, Electromagnetic hypersensitivity, Involuntarybody movement
active smart phone was placed about 4m away fromthe subject. The phone was turned on, and irradiating
electromagnetic waves toward the subject. The author
then pushed the subject from the side. Next, thesubject held the cell phone to his ear and the author
pushed from his side again.

INTRODUCTION
With the development of a technology-basedsociety, the use electronic devices, such as cell
phones and personal computers, has become
increasingly widespread andhas enabledcommunication on a global scale [1, 2]. However,there have been many reports pertaining to healthproblems related to the electromagnetic waves
emitted by such electronic devices [3-10]. Physicallyunpleasant symptoms including headache, fatigue,
tinnitus, dizziness, memory loss, irregular heartbeat,and whole-body skin lesions caused by exposure toelectromagnetic waves are recognizedaselectromagnetic hypersensitivity (EHS) [11-15]. The
author has reported that scoliosis could be caused byexposuretoelectromagnetic
waves
[16].
Additionally, the author has reported how a subject’s
involuntary movements, caused by electromagnetic
waves, were treated using a gold alloy dental inlay[17]. In current report, the author hypothesizes thatfalling-related train accidents are due toelectromagnetic waves emitted by active cell phones(smart phones).

METHODOne standing subject, a man in his 40s, kept his
legs spread about shoulder width apart in order toresist force exerted by the author. (Fig. 1). Next, an

Fig.1: The subject spreading his legs shoulder-widthapart in order to resist outer force.

710

SEE-Osaka, Japan, Nov. 21-23, 2016

for increase of these accidents. The author thinks thereason why such accidents increase is due toelectromagnetic waves emitted by cell phones. In
order to confirm this hypothesis the author made theexperiment which checks a relation between theelectromagnetic waves emitted by cell phone and the
body balance. The result indicated that theelectromagnetic waves emitted by cell phone mayinterfere the normal balance condition of human.
The underlying mechanism behind this phenomenon
remains unclear, but decreased blood flow within thebrain has been proposed [4]. The results of this study
show that the distance between the smart phone andthe subject is correlated to physical instability i.e.
the shorter the distance between them the bigger theeffectiveness of electromagnetic waves. The author
has conducted similar experiments. The author has
tried same experiment, and 48 out of 50 subjects
showed the same result. The author suggests the two
subjects who did not show this effect have the objects
on their person which neutralized harmful
electromagnetic waves emitted by the smart phone[17]. However, confidence over such ratios is a little
debatable because the cell phones used in thoseexperiments varied. Thus, the electromagnetic waves
emitted by the cell phones also varied; the strengthand quality of the radio waves depends on the phonemodel. The effects shown in this study may occur infront of personal computers [18][19] or otherelectronic devices. Although, there are a lot ofindefinite factors for this field, the mechanisms
behind this phenomenon should be researched
immediately, and the regulation of cell phones (smart
phones) must be considered to prevent severe
accidents e.g. falling from train platform. Recently,
smart phone spread widely and the person who
operates smart phone became a lot while walking (Fig4). Such act also leads to a similar accident [20].

RESULT
When the active smart phone was located about
4m away and the author pushed him from his side, thesubject became unstable (Fig.2). When the subject
held the active smart phone and the author pushedfrom his side, the subject was even more unstable(Fig.3).

Fig.2: When the active smart phone was located about
4m away from the subject (the phone is not shown inthis figure) and the author pushed his side, the subject
became unstable.

Fig.3: When the subject held the active smart phone
to his ear and the author pushed his side, the subject
moved very easily.
Fig.4: Many people are walking while operating
smart phone.
This photo is cited fromhttp://www.askadamskutner.com/pedestrianaccident/dangers-of-texting-while-walking/

DISCUSSION
Fall accidents from a platform of the station seemto be increasing in Japan. Time seems to be parallelwith the spread of electronic devices like cell phones
711

SEE-Osaka, Japan, Nov. 21-23, 2016

CONCLUSION

Acute Lymphoblastic Leukemia in Children. N
Engl J Med, 337, 1997, pp. 1-7.
[9] Röösli, M., Moser, M., Baldinini, Y., Meier, M.
and Braun-Fahrländer, C. Symptoms of ill healthascribed to electromagnetic field exposure--aquestionnaire survey. Int J Hyg Environ Health,207, 2007, pp. 141-150.
[10] Edelstyn, N. and Oldershaw, A. The acute effects
of exposure to the electromagnetic field emitted
by mobile phones on human attention.
Neuroreport, 13, 2002, pp. 119-121.
[11] Rea, W., Pan, Y., Yenyves, E., Sujisawa, I.,
Suyama, H., Samadi, N. and Ross, G.
Electromagnetic
Field
Sensitivity.
J
Bioelectricity,10,[12] Rubin, G.J., Das Munshi, J. and Wessely, S.
Electromagnetic Hypersensitivity: A Systematic
Review of Provocation Studies. Psychosom Med,67,
2[13] Rubin, G.J., Das Munshi, J. and Wessely, S. A
Systematic Review of Treatments forElectromagnetic Hypersensitivity. Psychother
Psychosom, 75, 2006, 12-18.
[14] Norbert, L. Electromagnetic Hypersensitivity.
Advances in Electromagnetic Fields in Living
Systems, 5, 2009, pp. 167-197.
[15] Kimata, H. Microwave Radiation from Cellular
PhonesIncreases
Allergen-specific
IgE
Production. Allergy, 60, 2005, pp. 838-839.
[16] Fujii, Y. Do dental implants cause scoliosis?: Acase report. Personalized Medicine Universe, 1,
2012, pp. 79-80.
[17] Fujii, Y. Gold alloy dental inlay for preventing
involuntary body movements caused byelectromagnetic waves emitted by a cell phone.
OJAPr, 2, 2014,pp.37-43.
[18]Fujii Y. Dental Treatment for Dizziness and Joint
Mobility Disorder Caused by Harmful
Electromagnetic Waves. OJAPr 2015, pp.3:1-7.
[19]Fujii Y. Sensation of Balance Dysregulation
Caused/Aggravated by a Collection ofElectromagnetic Waves in a Dental Implant.
OJAPr, 2, 2014, pp29-35.
[20]
http://www.askadamskutner.com/pedestrianaccident/dangers-of-texting-while-walking/The electromagnetic waves emitted by cell phones
may interfere the balance function of the body. They
may be one of the critical causes of falling-related
accidents from a platform of the station. It may
become serious accidents. However, the underlining
mechanism has not clarified yet. More research is
required. The regulation of electronic devices should
be considered as a countermeasure to this accident.

REFERENCES[1] Geser, H. Towards a Sociological Theory of the
Mobile Phone, Release 3.0, University of Zurich,
2004,(http://socio.ch/mobile/t_geser1.htm/).
[2] Van Dijk, J. and Hacker, K. The Digital Divide asa Complex and Dynamic Phenomenon, The
Information Society, 19, 2003, pp. 315-326.
[3]http://www.holisticdentistry.net/blog/2013/07/ent
ry_242/ (last accessed, 2 May 2014).
[4] Aalto, S., Haarala, C., Brück, A., Sipilä, H.,
Hämäläinen, H. and Rinne, J.O. Mobile Phone
Affects Cerebral Blood Flow in Humans. J Cereb
Blood Flow Metab, 26, 2006, pp. 885-900.
[5] Feychting, M., Jonsson, F., Pedersen, N.L. andAhlbom, A. Occupational Magnetic Field
Exposure and Neurodegenerative Disease.
Epidemiology, 14, 2003, pp. 413-419.
[6] Håkansson, N., Gustavsson, P., Johansen, C. and
Floderus, B. Neurodegenerative Diseases in
Welders and Other Workers Exposed to HighLevels of Magnetic Fields. Epidemiology, 14,2003, pp. 420-426.
[7] Ahlbom, A. Neurodegenerative Diseases, Suicideand Depressive Symptoms in Relation to EMF.
Bioelectromagnetics, Suppl 5, 2001, pp.132-143.
[8] Linet, M.S., Hatch, E.E., Kleinerman, R.A.,
Robison, L.L., Kaune, W.T., Friedman, D.R.,
Severson, R.K., Haines, C.M., Hartsock, C.T.,
Niwa, S., Wacholder, S. and Tarone, R.E.
Residential Exposure to Magnetic Fields and712

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

EVALUATION OF CU CONTAMINATION FOR RIVER USING
BRYOPHYTE IN THE KINOKAWA RIVER CATCHMENT
Takuma Kubohara1 and Hiroyuki Ii2
1

Graduate School of Systems Engineering, Wakayama University, Japan; 2 Faculty of Systems Engineering,
Wakayama University, Japan

ABSTRACT
Cu concentrations of bryophyte sampled downstream of the closed Cu mine were 120 to 26,000 mg/kg-dry,higher than background Cu concentrations of bryophyte, 2 to 96 mg/kg-dry. The closed Cu mine composed of
massive ore deposit produced a lot of Cu and Fe sulfide ore and then waste water was low pH and contained highconcentration of sulfate with metal. Therefore, it was thought that high Cu concentrations of bryophyte sampleddownstream of the Cu mine were affected by the closed Cu mines. A kind of copper bryophyte similar
Scopelophila cataractae was often found around the Cu mine. Its Cu concentration was high, 1,100 to 26,000
mg/kg-dry. Therefore, a kind of copper bryophyte similar Scopelophila cataractae was thought to be a Cu
contamination index. Cu concentrations of another copper bryophyte similar Scopelophila cataractae had highand a wide range of Cu concentrations (2 to 5,900 mg/kg-dry). Therefore, another copper bryophyte similar
Scopelophila cataractae was useful species for an index of Cu contamination in the catchment. The closed Cu
mines affected Cu concentrations of bryophyte at about 2 to 20 km downstream.
Keywords: Bryophyte, Metal Contamination Evaluation, Cu, River

TourismofJapan.
The
length and total
area of the
Kinokawa
River are 136
km and 1,750
km2 [7]. The
Izumi Group
composed of
sedimentary
study arearocks,
sandstone,
mudstone andFig.1 Study area
conglomerate
is distributed in the northwest part of the catchment.
The Sanbagawa Belt composed of metamorphic
rocks, serpentinite and crystalline schist is
distributed in the southwest part and the northeast
part of the catchment. The Hidakagawa Group
composed of sedimentary rocks, sandstone and shaleis distributed from the southern part to the northeast
part of the catchment. The Chichibu Belt composedof sedimentary rocks, sandstone, mudstone,
limestone and chert is distributed in the eastern partof the catchment [8]. The Ryoke Complex composedof plutonic rocks, granite and gneiss is distributed in
the northeast part of the catchment.
In the Kinokawa River catchment, there areserpentinite and the closed Cu mines. The chemistryof serpentinite is quite different from the other rocks

INTRODUCTION
Metal concentration of river water is not always
high nor stable. Therefore, metal concentration ofriver water is not always useful for evaluating metal
contamination in a catchment. On the other hand, inthe past study, it was reported that bryophyte was
useful species for an index of metal contamination
for river among river plants [1]. It is known that
Scopelophila cataractae that lives in high copper
concentration environment like under the copper
roof in a temple, soil around a metal mine including
a large amount of copper [2]. And then, the tolerance
ability of Scopelophila cataractae for copper is high[3]. Moreover, it is known that bryophyte has beenused to the index of atmospheric pollution [4], [5],[6]. However, river metal contamination has notbeen evaluated using the metal concentration ofbryophyte. Then, we measured metal concentrationsof bryophyte in the Kinokawa River catchment andstudied the evaluation of river metal contamination
using the metal concentration of bryophyte.
STUDY AREA
Figs.1 and 2 show location of study area and the
Kinokawa River catchment. The Kinokawa River islocated in the center of Kinki district and flows into
the Kii Channel through the Kii plain. The
Kinokawa River is classified into A river based on
the Ministry of Land, Infrastructure, Transport and713

SEE-Osaka, Japan, Nov. 21-23, 2016

Osaka
Pref.
-gawa

Cu mineSerpentinite

Flow
WakayamaPref.
: border between geology: sampling point of the mountainous land
: sampling point of the farmland
and housing site

Fig.2 Distribution of Cu concentrations of bryophyte in the catchment
and in particular Mg and Ni concentrations ofserpentinite are high. The closed Cu mine produced
a lot of Cu and Fe sulfide ore and waste water was
low pH and high concentration of sulfate with metal.

Kinokawa River catchment were 9 to 87 mg/kg-dry[1]. Then, it was thought that Cu concentrations ofbryophyte in the non-contaminated area were up to
about 90 mg/kg-dry.
Cu concentrations of bryophyte in the lower
stream of main stream, branch A, B, C, D, E, F, G
and H were over 90 mg/kg-dry. Some of Cu
concentrations of bryophyte in the lower stream ofmain stream, the lower stream of branch A locatedin the eastern part of the catchment, the upper streamof branch B located in the center part of thecatchment, branch C located in the western part ofthe catchment, the middle and lower stream ofbranch D located in the western part of thecatchment, the upper and middle stream of branch E
located in the southwest part of the catchment, theupper stream of branch F located in the western partof the catchment, the lower stream of branch G
located in the eastern part of the catchment and theupper stream of branch H located in the western partof the catchment were 120 to 160, 1,600, 160 to
26,000, 280 to 1,100, 350 to 3,000, 180 to 22,000,
5,900 to 21,000, 180 and 450 to 630 mg/kg-dry,
respectively. The closed Cu mines were located in
the lower stream of branch A, the upper stream ofbranch B, the upper stream of branch C, the middle
stream of branch D, the upper stream of branch E
and the upper stream of branch F. The closed Cu
mine composed of massive ore deposit produced a
lot of Cu and Fe sulfide ore and then waste water
was low pH and contained high concentration of
sulfate with metal. Moreover, it is known that theclosed Cu mine in the Kinokawa River catchment
contains Cu and Co [9]. Therefore, it was thoughtthat high Cu concentrations of bryophyte in thelower stream of main stream, branch A, B, C, D, E
and F were caused by waste water and Cu sulfide

STUDY METHOD
Bryophytes were sampled in the Kinokawa River
catchment. Sampling points were shown in Fig.2.
The number of sampling point and sample were 97
points and 148 samples, respectively. The sampledbryophyte species were 12 species. Investigation
period is April 2014 to April 2016. Cu
concentrations of bryophyte were measured. The
sampled bryophytes were desiccated by dryer at first.
After drying, they were dissolved with concentrated
nitric acid and it was filtered with the membranefilter with 0.45 micrometer of pore size before
analysis. Cu concentrations of bryophyte were
measured by ICP-AES. The actual detection limit of
ICP-AES is 0.01ppm for Cu.
RESULTS AND DISCUSSION
Distribution of Cu concentrations of bryophyte in
the catchment
Fig.2 shows the distribution of Cu concentrationsof bryophyte in the Kinokawa River catchment.
Underlined value indicates Cu concentration ofbryophyte under the detection limit of concentration
for sample solution. The point that indicates plural
Cu concentrations of bryophyte means sampling
plural species of bryophyte.
Cu concentrations of bryophyte in the catchment
were 2 to 26,000 mg/kg-dry. In the past study, Cu
concentrations of bryophyte in the normal area in the714

SEE-Osaka, Japan, Nov. 21-23, 2016ore from the closed Cu mines.
On the other hand, the closed Cu mines were not
located in branch G and H. Then, it was thought thathigh Cu concentrations of bryophyte were caused byother factors excluding the closed Cu mines.
Cu concentrations of bryophyte excluding thehigh Cu concentration points were 2 to 96 mg/kgdry. Then, it was thought that the concentrations
were background concentration.

100000
10000

mountainous land
farmland and housing sitearound the Cu mineCu(mg/kg-dry)

1000

The relationship between bryophyte species andCu concentrations of bryophyte

100
10
1
0 1 2 3 4 5 6 7 8 9 10 11 12 13
bryophyte species

Fig.3 Cu concentrations of bryophyte species

From Fig.2, variation for Cu concentrations ofbryophyte sampled at one point in the branch A to F
was large. For example, in the upper stream ofbranch B, Cu concentrations of two kinds ofbryophyte were 300 and 12000 mg/kg-dry andvariation of their concentrations was 40 times. On
the other hand, Cu concentrations of same kind of
bryophyte in the upper stream of branch D were 47
to 50 mg/kg-dry and variation of concentrations forsame kind of bryophyte was small. Then, the large
Cu concentration variation depended on differenceof species but Cu concentration variation for same
species at the same point was small.
Fig.3 shows Cu concentrations of bryophyte foreach species. And then, those concentrations wereclassified in three groups, mountainous land, thefarmland and housing site and the around the Cu
mine on land use.
Most of Cu concentrations of a kind of copper
bryophyte similar Scopelophila cataractae, thespecies 1 in the around the Cu mine were high,1,100 to 26,000 mg/kg-dry. Then, it was found that akind of copper bryophyte similar Scopelophila
cataractae, the species 1 lived in the around the Cu
mine and had high accumulation ability. It is known
that copper bryophyte lives in high copper
concentration environment like under the copper
roof in a temple, soil around a metal mine including
a large amount of copper [2]. Moreover, it isreported that copper bryophyte have high Cu
accumulation ability at the past study [10].
Therefore, a kind of copper bryophyte similar
Scopelophila cataractae, the species 1 was thought
to be a Cu contamination index. However, it could
not accurately identify the species 1. Cuconcentrations of species 2, 3, 4, 5, 6, 7, 8, 9, 10, 11
and 12 were 2 to 5,900, 48 to 1,900, 42 to 1,700, 5 to350, 64 to 120, 10 to 1,500, 40 to 96, 23 to 60, 6 to450, 10 to 39 and 24 to 31 mg/kg-dry, respectively.
The species 2 to 5 were sampled in three groups.
The species 6 was sampled in the farmland andhousing site and the around the Cu mine. The
species 7 was sampled in the mountainous land andthe around the Cu mine. The species 8 was sampled
in the farmland and housing site. The species 9 was
sampled in the mountainous land and the farmland

and housing site. The species 10 to 12 were sampled
in the mountainous land. Most of Cu concentrationsof species 2 to 7 in the around the Cu mine weremore than 90 mg/kg-dry and were high. Then, thespecies 2 had the highest and a wide range of Cu
concentrations among species 2 to 12. Moreover,maximum Cu concentration of species 2 was highnext to species 1. And then, the species 2 can be
sampled in every land use in the catchment.
Therefore, the species 2 was useful species for an
index of Cu contamination in the catchment.
Moreover, it was thought that the species 2 wasanother copper bryophyte similar Scopelophila
cataractae. However, it could not accurately identify
the species 2.
Influence of the closed Cu mine for Cu
concentrations and species of bryophyte
Fig.4 shows the relationship between Cu
concentrations of bryophyte and the distance fromthe Cu mine in branch A to F. Branch A to F were
picked up in order to investigate the effect of the Cu
mine.
In branch A, Cu concentrations of bryophyte at 0
and 1.20 km from the mine were 48 to 1,600 and 20
to 42 mg/kg-dry, respectively. In branch F, Cu
concentrations of bryophyte at 0 and 4.38 km fromthe mine were 5,900 to 21,000 and 68 mg/kg-dry,
respectively. Then, Cu concentrations of bryophytein branch A and F decreased with flowing down.
Moreover, Cu concentrations of bryophyte below 0
km were not high in branch A and F. In branch B,
Cu concentrations of bryophyte at 0, 0.03, 0.08, 0.11,
1.46, 12.30 and 16.40 km from the mine were 160 to
1,100, 770 to 26,000, 590 to 19,000, 300 to 12,000,
1,300 to 1,700, 340 and 64 mg/kg-dry, respectively.
In branch D and the main stream below branch D,
Cu concentrations of bryophyte at 0, 0.10, 0.44, 0.98,
2.24 and 3.74 km from the mine were 350 to 700,
660, 1,900, 1,500 to 3,000, 120 and 40 to 43 mg/kgdry, respectively. Then, Cu concentrations ofbryophyte with flowing down in branch B and D
were increased first, but were decreased afterwards.
In branch C and the main stream below branch C,
715

SEE-Osaka, Japan, Nov. 21-23, 2016

10000
sp.1
sp.2
sp.3
sp.4

branch A
1000
100
10
0.5

0

1

100000sp.4

Cu(mg/kg-dry)

100
10
5

10000

10
sp.1
sp.6

1000
100

branch C
1

2

main stream
3

4

5

sp.6

branch D

main stream

10
1

0

2

3

4
sp.1
sp.2
sp.7

branch E

1000
100
10

20

30

50

40
sp.1
sp.2

branch F

1000

10
0

100

10
20
0
sp.5 100000
sp.9
10000

15
sp.4
sp.2
sp.7
sp.8
flow in to themain stream

sp.5
sp.9

flow in to the main stream

10000

Cu(mg/kg-dry)

Cu(mg/kg-dry)

sp.3
sp.7

sp.3
sp.8

1000001000

0Cu(mg/kg-dry)

1.5

sp.1
sp.6

branch B

10000

sp.2
sp.7

1000

Cu(mg/kg-dry)

Cu(mg/kg-dry)

10000

6

7

Distance from the Cu mine (km)

100
10
0

1

2

3

4

5

Distance from the Cu mine (km)Fig.4 Relationship between Cu concentrations of bryophyte and the distancefrom the Cu mine in branch A to F.
Cu concentrations of bryophyte at 0.64, 3.11, 3.59,
5.24 and 6.74 km from the mine were 280 to 1,100,
590, 60 to 160, 120 and 40 to 43 mg/kg-dry,
respectively. In branch E, Cu concentrations ofbryophyte at 0, 20.54 and 41.36 km from the mine
were 1,000 to 22,000, 180 and 81 mg/kg-dry,
respectively. Then, Cu concentrations of bryophytein branch C and E decreased with flowing down.
Moreover, Cu concentrations of bryophyte werehigh not only at 0 km but also below 0 km in branch
B, C, D and E. From the above results, the ranges ofhigh Cu concentrations of bryophyte in branch B,
branch C and the main stream below branch C,
branch D and the main stream below branch D andbranch E were 0 to 12.3, 0.64 to 5.24, 0 to 2.24 and
0 to 20.54 km, respectively. Then, it was thoughtthat the closed Cu mines affect Cu concentrations ofbryophyte at about 2 to 20 km downstream. In thepast study, it is reported that the mining sewage
affect the stream organisms at about 5 to 11 km
downstream [11]. Therefore, the result of this study
was about the same as the past study.
And now, in branch A, bryophyte species at 0 and
1.20 km from the mine were species 1 and 3 andspecies 2 and 4, respectively. In branch B, bryophyte
species at 0, 0.03, 0.08, 0.11, 1.46, 12.30 and 16.40
km from the mine were species 1 and 7, species 1
and 7, species 1 and 7, species 1 and 3, species 1 and4, species 4 and species 6, respectively. In the

branch C and main stream below branch C,
bryophyte species at 0.64, 3.11, 3.59, 5.24 and 6.74
km from the mine were species 2 and 5, species 4,
species 1 and 7, species 6 and species 8 and 9,
respectively. In the branch D and main stream below
branch D, bryophyte species at 0, 0.10, 0.44, 0.98,
2.24 and 3.74 km from the mine were species 2 and5, species 2, species 2 and 3, species 2 and 7, species
6 and species 8 and 9, respectively. In branch E,
bryophyte species at 0, 20.54 and 41.36 km from themine were species 1 and 7, species 2 and species 2,
respectively. In branch F, bryophyte species at 0 and
4.38 km from the mine were species 1 and 2 andspecies 2, respectively. Then, bryophyte species
were varied with flowing down in branch A to F.
However, species 1 was existed at 0 to 1 km fromthe mine in branch A, B, E and F. Moreover, Cu
concentrations of species 1 at 0 to 1 km from themine in branch A, B, E and F were 1,100 to 26,000
mg/kg-dry. Then, species 1 had high accumulation
ability. It is known that copper bryophyte lives inhigh copper concentration environment like under
the copper roof in a temple, soil around a metal mine
including a large amount of copper [2]. Moreover, it
is reported that copper bryophyte have high Cu
accumulation ability at the past study [10].
Therefore, the species 1 was thought to be a Cu
contamination index.

716

SEE-Osaka, Japan, Nov. 21-23, 2016

CONCLUSIONGEOMATE, Vol. 11, Issue 26, Oct., 2016, pp.
2651-2658.
[2] Satake K, “A “copper bryophyte” Scopelophila
cataractae and copper (1) - Distribution of
Scopelophila cataractae in the world”,
Proceedings of the Bryological Society of Japan,
Vol.5, No.4, April, 1990, pp.49-53.
[3] Nomura T and Hasezawa S, “Regulation ofgemma formation in the copper moss
Scopelophila cataractae by environmental
copper concentrations”, Journal of Plant
Research, Vol.124, Issue 5, Sep.2011, pp.631638.
[4] Hamada N, “Lichens as a Bioindicator of Air
Pollution - Theory and Practice of Surveying -”,Seikatsu Eisei, Vol.42, No.2, 1998, pp.43-51.
[5] Isibasi R, Sugi Y and Kito T, “Heavy metal
determination of epiphytic bryophytees as an
attempt to indicate industrial pollution ofenvironment”, J. Japan Soc. Air Pollut., Vol.17,
No.1, 1982, pp.63-69.
[6] Tsuji Y, Morishita T and et al., “Elements in
epiphytic
bryophyteasindicatorsof
atomospheric environment in Wakayama
Prefecture”, Bulletin of the Wakayama
Research Center of Agriculture, Forestry and
Fisheries, No.5, 2003, pp.15-23.
[7] River Bureau Kinki Regional Development
Bureau Ministry of Land, Infrastructure,
Transport and Tourism, Kinokawa Basin,
http://www.kkr.mlit.go.jp/river/kasen/kinokawa.
html[8] Wakayama City Children’s Science Museum,“Wakayama no ishi”, Dec.2002, 20pp.
[9] Kubohara T and Ii H, “Cu, Co, Cr and Ni ofriver water, river insect and water plant in the
Kinokawa river catchment”, Int. J. of Geomate,Vol.10, No.1, Feb.2016, pp.1600-1606.
[10] Satake K, Shibata K and et al., “Copper
accumulation and location in the moss
Scopelophila cataractae”, Journal of Bryology,
Vol.15, Issue 2, 1988, pp.353-376.
[11] Gose K, “On the influence of mine-effluents of
the Tateri mine, Kawamata mine (Naraprefecture) and Imori mine (Wakayama
prefecture) on stream organisms”, Japanese
Journala of Ecology, Vol.10, No.1, Feb.1960,
pp.38-45.

In this study, Cu concentration of bryophyte in
the Kinokawa River catchment was investigated inorder to evaluate river metal contamination. High Cu
concentration of bryophyte with over 90 mg/kg-dry
was found because normal value in the area was 9 to
87 mg/kg-dry at the past study.
High Cu concentrations of bryophyte in thelower stream of the closed Cu mines were 120 to
26,000 mg/kg-dry. The closed Cu mine composed of
massive ore deposit produced a lot of Cu and Fe
sulfide ore and then waste water was low pH andcontained high concentration of sulfate with metal.
Therefore, high Cu concentrations of bryophyte in
the lower stream of closed mines were thought to becaused by waste water and Cu sulfide ore from theclosed Cu mines. Background Cu concentrations ofbryophyte sampled at the non-mine area were 2 to
96 mg/kg-dry.
A kind of copper bryophyte similar Scopelophila
cataractae were often sampled in the around the Cu
mine. And then, their Cu concentrations were high,1,100 to 26,000 mg/kg-dry. Therefore, a kind of
copper bryophyte similar Scopelophila cataractae
was thought to be a Cu contamination index
however was not able to be identified into in detailspecies name. Another copper bryophyte similar
Scopelophila cataractae was sampled in all group ofland use and was unidentified in detail name and its
concentration was 2 to 5,900 mg/kg-dry. Therefore,
it was useful species for an index of Cu
contamination in the catchment because of its wide
concentration depending on land use and wide
distribution for land use.
High Cu concentration bryophyte with over 90
mg/kg-dry was found till 20.54 km downstream of
the Cu closed mine. Therefore, it was thought thatthe closed Cu mines affected Cu concentrations ofbryophyte till 20 km downstream. Bryophyte species
were varied with flowing down and then species ofbryophyte was thought to indicate river environment.
REFERENCES[1] Kubohara T and H. Ii, “Cu, Co and Ni
contamination index for river using river insects
and river plants”, International Journal of717

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

SUNLIGHT SURFACE ANALYSIS ON EARLY MODERNAPARTMENT FRONT FACADES IN KUALA LUMPUR, MALAYSIA
Ahmad Sanusi Hassan1 and Yasser Arab2
Professor1 & Ph.D Research Fellow2
School of Housing, Building & Planning
Universiti Sains Malaysia
11800 USM, Penang, Malaysia

ABSTRACTThis study analyzes sunlight performance on front facades of high-rise apartments in Malaysia built withearly modern style. Early modern style apartments were popularly built from the 1950s to 1970s using mass
produced and fast construction techniques with standardized design by the government to elicit housing shortage
problem due to population increase in the city. The apartments are built with open corridor system as the imageof the frontages and functioned as the main access to entrance doors of the apartment units. The results from thestudy will provide information on awareness of passive facade design. The government recently introduces
Green Building Index (GBI) as an awareness strategy in architectural building design. By having this awareness,
it is expected the building design in the future will able to help reducing electricity consumption. Three earlymodern apartments are selected in the case studies located in Kuala Lumpur. The survey will measure thepercentage of the apartments’ front façades shaded from direct sunlight. Its simulation uses SunTool software ata position when the sun path is at perpendicular to the apartment facades. The sunlight surface data indicates that
all the facades have slightly above 75% under the excellent category of the shading performances. The wide
corridor plays the most important role as a sun shading device to all three apartments’ recessed wall facade. The
open corridor system has more emphasis on horizontal sun shading device. Less emphasis is on vertical sun
shading device limited to the brick railing fence and parapet walls of the corridor roof on each floor. The sun
shading devices are only able to give shades to the apartment façades slightly above 50% from evening sunlight.
Keywords: High rise Apartments, Early Modern, Shading, Facades, Kuala Lumpur
elements are necessary to shade building facades
from intense sunlight in a tropical region. Apartment
facades exposed to direct sunlight causes heat gains
on its façade surface which becomes one of thefactors causing urban heat island.
Urban heat island occurs in most cities because it
reradiates heats from the built up areas withbuildings, open spaces and roads constructed withsensible heat materials which absorb heats when
exposed to direct sunlight. As a result, the cities
have comparatively warmer temperature than theirgreenery surrounding rural areas.
Poor design on apartment façades causes solar
radiations inside the building. The reason for poor
façade design is because it is unable to give
optimum shade on its vertical surface area. The outerwall surface will reradiate the heat to the indoor area[2], [3]. It induces more heats inside the housecreating warmer temperature than 28oC above the
comfort zone. Thus, self-awareness to theimportance of shading devices during the design
stage by the architects is crucial.
This study imparts research findings from theanalysis of building simulation using SunTool
software. With the findings, this study is able to

INTRODUCTION
The purpose of this study is to evaluate shading
performances on early modern style apartment
façades designed with. The style was popularly
designed by architects from 1950s to 1980s in
Malaysia. At that time Kuala Lumpur had
experienced population booming due to a trend ofrural to urban migration by the rural population tofind better jobs in the city. The early modern style isan early form of modern architecture after the end of
the popularity of art deco style in the1940s. The
construction applied to mass produced system andfast construction technique which is necessary tomeet the demands of house units by the city
population.
This study embarks on apartment buildings
because not until recently apartments are becoming
the most popular house type in this country. This
study is very important to understand a level ofemphasis and awareness on the apartment design toshading elements. Design with excellent shades on
the building façade is important to provide optimum
indoor thermal comfort to the occupants. Bakhlah
and Hassan [1] affirmed that excellent shading718

SEE-Osaka, Japan, Nov. 21-23, 2016

promulgate significant contributions to the researchstudy with recommendations for excellent facade
design as important self-awareness by the architects.

with reference to basic geometric shapes like square,
rectangle and circle to draw standardized modular
house units in design and production process ofworking drawing for submission to the local
authority’s approval. The design simplicity speed up
the progress [7], [8], [9].
Apartments with open corridor system at thefront facade were a typical design during the earlymodern period. The corridor functions as
accessibility route for the pedestrians and residents
to the entrance door. The design was introduced
during British Administration slightly before thecountry’s independence which later nurtured thedevelopment of the apartments’ style.
It was an influence from architects during
Industrial Revolution in Europe like Le Corbusier,Mies Van der Rohe and Walter Gropius in building
high rise flats for labor workers, with the use ofelevator in building design [10], [11], [12]. Opencorridor system became the popular design for theapartments such as Flat Isokon built in 1932 inHampstead, London [13]. Reinforced concrete
structures with brick walls, wooden frame for doors
and glass louver windows were the archetypal
construction materials. Most apartments had either
flat or nearly flat roof.
The federal government projects prefer to build
high-rise apartments in Kuala Lumpur due to thescarcity of available land. According to data from
Department of Statistics Malaysia [14], apartment
units have the largest percentage of the total house
types with 73% in Putrajaya, the new administrative
city for the federal government of Malaysia. The
number of apartment units has superseded thenumber of terrace house type. The government
favors building high-rise apartments, able to supply
hundreds of house units per hectare to cater the highdemand due to the population booming. By the year
2000, slightly more that 2 million people live in highrise apartments in Malaysia [14].
The selected apartments namely Melati, Sri
Selangor and Sri Sarawak were selected for the casestudies. They were located in Pudu area, Kuala
Lumpur. They were amongst the earliest apartments
built in this city like Sulaiman Court apartment. The
first apartment construction in Pudu area wascompleted in 1958, and the last completed in 1965.
Figure 2 illustrates the apartments varies from 15 to
18 stories in Loke Yew Road. The location of theapartments in this survey is as follows:

SELECTED CASE STUDIES
Three apartments are selected for the case studies.
Their façade design exemplifies a typical earlymodern architectural style which connotes ‘Less ismore’ concept with simple geometrical form andunornamented design. The primary construction uses
reinforced concrete space-frame structures, brickwalls and cement render finishes. Location of all theapartments is in Kuala Lumpur. Sulaiman Courts isthe first high-rise apartment in Kuala Lumpur aswell as in Malaysia about a year before the country
independence in 1957. A few years after that the
government built the second apartment, Pekeliling
Flats in 1964.
Early modern architecture had signified a
popular style from the 1950s to 1970s in Malaysia(Figure 1). Some apartments with this style were
continuously constructed until the early 1980s.
During this period, the government actively built
low-cost apartments to house low-income families
who lived in squatter area under relocation program
towards ’Zero Squatter’ policy in Kuala Lumpur [4].
During that time, the word ’flat’ was popularly used
to indicate apartment building.
Today, this word is barely used replaced with thename ’apartment’. Early modern style applied massproduced construction technique, a design withmodular and the standard size of the apartment units.
This technique had speed up the construction time tocater a problem of housing shortage in Kuala
Lumpur [5]. High rise apartments were a solution toprovide house units to low-income people as theirbasic shelter [6].

1. Melati Apartment (Figure 1) at Loke Yew Road,
also known as Loke Yew Apartment
2. Sri Selangor Apartment (Figure 2) at Gelugor
Road
3. Sri Sarawak Apartment (Figure 3) at KenangaRoad

Fig. 1 Sri Perak Flat in Sentul, Kuala Lumpur.
The style was compatible with mass produced
and quick construction concept using technologicaladvancement. The design had a simple composition719

SEE-Osaka, Japan, Nov. 21-23, 2016

Fig. 2 Melati flats at Loke Yew Road in Pudu area.
The study only focuses on analyzing the shading
performance. Three drawings (Figure 3-5) which
illustrate foundation to roof detail of the front
apartment facades are drawn at the initial stage
before they will be utilized in the building
simulation. The details were drawn at a sectional cutof the corridor and recessed wall with window
location. All buildings have a similar design with
open corridor system. They have a slight variationof dimensions of the length, width and height.

Fig. 4 Foundation to roof detail of Sri Selangor
Apartment.

Fig. 3 Foundation to roof detail of Melati Apartment.
Fig. 5 Foundation to roof detail of Sri Sarawak
Apartment.
720

SEE-Osaka, Japan, Nov. 21-23, 2016of the apartment design by measuring the amount of
shades cast on the facade surface. Figure 6 illustrates
briefly how the amount of shade and exposed area tothe direct sunlight measured with reference to afoundation to the roof section of the façade.

RESEARCH METHODOLOGY
The survey will use SunTool software to
generate shading simulation on the apartment front
facades. This software will provide a series ofcalculations of the amount of shading area cast on
the façade surface. The facades will be simulated
only at positions when they were perpendicularly
exposed to the sunlight. The simulation will measure
the shading performance during morning andevening sunlight simulation when it has the facades
perpendicularly facing direct sunlight duringmorning and evening time. The reason is theapartments selected in the case studies are mass
produced buildings with the standardized design
built at various building orientations with a lack ofreference to the sun path direction.
The SunTool software will help to determine theannual sun path position perpendicular (90°) to the
façade’s surface, both at the east and west direction.
However, there is a limitation in positioning theperpendicular sun path. The limitation is that there isno sun path (the sun’s angle direction) whichintersects at all times perpendicular to the facade inany single day times.
The other limitation is not all the sun paths haveexactly perpendicular to the facades in a case of alocation at Kuala Lumpur. Thus, the azimuth withclosest to 90° will be applied during the simulation.
The angle of the sun path slightly varies from time
to time during the day time. Table 1 shows theannual times and dates deduced by SunTool
software when azimuth of the sun path perpendicular
to the apartment façades at Kuala Lumpur’s latitude(N 3.1°) and longitude (E 101.7°) [15], [16].

Figure 6 Example of the simulation using SunTool
program.
ANALYSES AND FINDINGSThe analysis found that ‘open corridor system’ isa common design concept in early modern styleapartments [17]. Corridors become the main
circulation system for the residents to get access tothe entrance door of their apartment unit on eachfloor. The corridors signify the frontage of theapartment façade. The apartments constructed fromthe 1950s to 1980s were to house low-income
people and their family who had moved from theirvillage to Kuala Lumpur as their new workplace.
They were also known as ‘the worker’s house’[17], [18] and at that time these buildings werecalled ‘flats’. Dimensions of these low-cost
apartments are very basic and minimal to meet thestandard of the living requirement by the Municipal
Council. In the case studies, these apartments havetheir corridor’s width varies from 4 to 5 feet which
create a recessed wall of the apartment units with aheight varied from 8½ to 9½ feet. The corridors
have 3 feet height brick railing fence wall functioned
as a railing. The extended parapet wall below thebrick railing fence at Melati Apartment is 1 feet 8
inches while Sri Selangor and Sarawak Apartment
are only 1 feet.
In this country, the standard brick wall has ½ feetor 6 inches wide. Each apartment unit has 20 feetwide façade front wall with a series of glass louver
window and one entrance door. Frontage wall at
Melati Apartment has 4 feet high window sill and 3
feet high window, Sri Selangor has 5 feet highwindow sill and 2 feet high window, and Sri
Sarawak has 3½ feet high window sill and window.
Table 2 and Figure 7 shows the result of shading
area cast at the recessed wall surface of theTable 1 Times and dates when azimuth
perpendicular to the apartment façades in Kuala
Lumpur.
Orientation

East 90°West 270°

Time

Date

Azimuth

7 am
8 am
9 am
10 am
11 am
12 pm
1 pm
2 pm
3 pm
4 pm
5 pm
6 pm

23 March
25 March
27 March
28 March
29 March
29 March
16 September
29 March
18 September
26 March
24 March
22 March

90°
90°
89.8°
90.1°
90°
92.2°
90.5°
89.8°
89.8°
89.9°
89.9°
89.9°

With an aid of the SunTool program, it ispossible in this survey to pinpoint the effectiveness721

SEE-Osaka, Japan, Nov. 21-23, 2016

 At 4 pm, all the case studies have excellent
shading performance.
 At 5 pm, all the apartment facades have shades
fall under the good category. Nearly half of thesurfaces in each apartment are exposed to direct
sunlight. The same condition occurs on theapartment facades at 6 pm.
 From 6 to 7 pm, the discussion on the result of
this analysis is not really necessary. The sun does
not create harsh sunlight during this time.

apartment unit’s frontage in all the case studies. This
analysis counts 0-25% as poor, 25-50% as fair, 5075% as good and 75-100% as excellent shading
performance. The results are as follows:
Table 2 Percentage of shading area from thebuilding simulation.

90%

90%

89%

87%

80%
75%

70%

68%
67%

Seri Sarawak

Seri Selangor

7:00 PM

6:00 PM

5:00 PM

4:00 PM All the case studies have their shading
performances with above 50% shade (goodcategory) on the façade surfaces.
 All the case studies have excellent shading
performance with 77% except Sri Selangor with
74% slightly below 75% mark to be included
under an excellent category.
 Melati Apartment has the best result of theoverall shading performance, followed by Sri
Sarawak and Sri Selangor Apartment. Thisapartment has the widest corridor and longest
extended parapet wall below the brick corridor.
 Sri Selangor Apartment has the lowest
performance result in the case studies. It has thenarrowest corridor’s width and shorter extended
parapet wall below the brick railing fence with
only 1 feet 2 inches compared to that of Melati
Apartment with 2 feet long.
 All apartments have the same height of brickrailing wall with 3 feet high which are thestandard height in the corridor design in thiscountry.
 The time from 8 to 10 am has a cool morning
sunlight which does not affect solar radiation andheat gain to the indoor area of the apartment. The
focus of this result’s analysis is in the evening
sunlight which induces intense heat to theapartment facades and causes solar radiation.
 All apartment façades have 100% shades from
11 am to 3 pm except Sri Selangor façade at 11
am with 89%.

53%

3:00 PM

40%

54%
53%
54% 52%51%
52%
51%
2:00 PM

77%

51%
51%

58%

58%

1:00 PM

50%

54%
53%

12:00 PM60%

11:00 AM

74%

100%

100%

9:00 AM

77%

100%

10:00 AM

8:00 am
9:00 am
10:00 am
11:00 am
12:00 pm
1:00 pm
2:00 pm
3:00 pm
4:00 pm
5:00 pm
6:00 pm
7:00 pm
Average(%)

Shading Area (%)
Melati/Loke
Sri
Sri
Yew
Selangor Sarawak
53%
51%
51%
54%
53%
53%
67%
58%
68%
100%
89%
100%
100%
100%
100%
100%
100%
100%
100%
100%
100%
100%
100%
100%
87%
75%
90%
58%
54%
58%
54%
52%
52%
53%
51%
51%

8:00 AMTime

MelatiFig. 7 Line chart graph which shows the percentageof shading area from the building simulation.
CONCLUSIONSThis study concludes all the apartments in thecase studies designed with early modern style areunder the excellent category of the shading
performance with an average sunshade of 76%. The
open corridor system as a part of the apartments’frontage design elements is very effective sun
shading devices which give shade to the recessed
wall facades. The findings of this study recommend,
as one of the design solution, apartment with open
corridor system as a part of awareness strategy tomeet the requirement in Green Building Index (GBI).
From 11 to 3 pm, the recessed facades are fully
under shade. It is necessary to have the building
facades under full shade from intense sunray during
this time to prevent solar radiation. The open
corridor system also gives excellent shade to theapartment façades at 4 pm.
The only necessary evening time that apartment
facades do not have excellent shading performanceis from 5 to 6 pm. Only slightly above 50% of thefacades are under shade. The study finds that the
open corridor system has more emphasis on
blocking high angle (elevation/altitude) compared to722

SEE-Osaka, Japan, Nov. 21-23, 2016

low angle sunlight. The design has an emphasis on
horizontal rather than vertical sun shading devices.
The wide corridor plays the most important element
as horizontal sun shading device besides functions as
circulation access to entrance doors of the apartment
units. This horizontal design creates the recessed
wall apartment façade. The vertical sun shading
elements used in the design is corridor brick railingfence and parapet wall of the corridor roof.
The vertical sun shading devices become more
important sun shades when the evening sunlight
descends at a lower angle (elevation/altitude). From
5 to 6 pm, the sun shading elements are only able toblock the apartment façade slightly above 50% fromdirect sunlight. The analysis shows that additionalvertical sunlight to block sunlight at low elevation
should be additionally integrated. The morning low
sunlight at low elevation till 10 am is not intense
sunlight. During this time, it is good to havecontinuous human skin exposure to direct sunlightwhich provides ultraviolet B from the sun ray forskin cells to generate vitamin D without having theskin with sunburn problem.

Peninsular Malaysia: Kuala Lumpur and Its Su
rrounding Towns), Penang: Universiti Sains
Malaysia Press, 2005.
[6] Labin AMJE, Che-Ani AI and Kamaruzzaman
SN, “Affordable Housing Performance
Indicators for Landed Houses in the Central
Region of Malaysia”, Modern Applied
Science, Vol. 8(6), 2014, pp. 70-86.
[7] Cheung CK, Fuller RJ, and Luther M, “Energyefficient envelop design for high-riseapartments”, Energy and Buildings, Vol 37,
2005, pp. 37-48.
[8] Curtis WJR, Modern Architecture Since
1900, 3rd ed. 1996.
[9] Badir FY, Kadir MRA, and Hashim AH,“Industrialized Building Systems Constructionin Malaysia”. J. Archit. Eng., Vol. 8(1), 2002,
pp. 19-23.
[10] Hassan AS, Issues in Sustainable Developmentof Architecture in Malaysia, Penang: Universiti
Sains Malaysia Press, 2004.
[11] Ching FDK, Jarzombek M and Prakash V, A
Global History of Architecture, 2nd ed. New
Jersey: John Wiley & Sons, 2011.
[12] Cruickshank D and Fletcher B, Sir Banister
Fletcher’s A History of Architecture. 20th ed.
Oxford: Architectural Press, 1996.
[13] Kostof S, A History of Architecture: Settingsand Rituals, New York: Oxford University
Press, 1995.
[14] Department of Statistics Malaysia, General
Report of the Housing Census, Putrajaya:
Department of Statistics Malaysia Press, 2010.
[15] Hassan AS and Arab Y, “The Extent of
Sunlight
Penetration
Performanceon
Traditional Style’s Apartment Façade in
Putrajaya, Malaysia”, Modern Applied ScienceVol. 8(5), 2014, pp. 132-142.
[16] Arab Y and Hassan AS, “Daylighting Analysis
of Pedentive Dome’s Mosque Design during
Summer Solstice with Case Studies in Istanbul,
Turkey’, International Transaction Journal ofEngineering, Management, & Applied Sciences& Technologies, Vol. 3(2), 2012, pp. 167-183.
[17] Kosman KA et al., 50 Tahun Perumahan
Awam di Kuala Lumpur (50 Years Public
Housing in Kuala Lumpur), Bangi: Institut
Alam dan Tamadun Melayu (ATMA), 2008.
[18] Mohamad Rasdi MT, Housing Crisis, Skudai:
Universiti Teknologi Malaysia Press, 2007.

ACKNOWLEDGEMENT
The authors would like to express appreciation
for the financial support under Fundamental
Research Grant Scheme by Universiti Sains
Malaysia under Ministry of Higher Education.

REFERENCES[1] Bakhlah MSO and Hassan AS, “The study of
air temperature when the sun path direction to
Kaabah: with a case study of Al-Malik Khalid
Mosque, Malaysia”, International Transaction
Journal of Engineering, Management, &Applied Sciences & Technologies, Vol. 3(2),2012, pp. 185-202.
[2] Hassan AS and Ramli M, “Natural ventilationof indoor air temperature: A case study of theTraditional Malay House in Penang”,
American Journal of Engineering and Applied
Sciences, Vol. 3(3), 2010, pp. 521 - 528.
[3] Feriadi H and Nyuk HW, “Thermal comfort for
naturally ventilated apartments in Indonesia”,
Energy and Building, Vol. 36, 2004, pp. 614626.
[4] Sufian A and Mohamad NA, “Squatters andAffordable Houses in Urban Areas: Law and
Policy in Malaysia”, Theoretical and Empirical
Researches in Urban Management, Vol. 4 (13),2009, pp. 108-124.
[5] Hassan AS, Konsep Rekabentuk Bandar di
Semenanjung Malaysia: Kuala Lumpur dan
Bandar-Bandar di Sekitarnya (Urban Design
Concepts
in723

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

A COMPARATIVE ANALYSIS OF LEGAL SYSTEM OF RIGHTEXCHANGE FOR URBAN DEVELOPMENT PROJECTS-LAND READJUSTMENT SYSTEM IN DEVELOPING
COUNTRIES IN ASIA AND SOUTH AMERICANorihiko YANASE1, Takeo OCHI2 and Shigeo OKABE3
1

Faculity of Engineering, Ashikaga Institute of Technology, Japan, 2Japan International Corporation Agency,
Japan, 3Faculity of Urban management, Fukuyama City University, JapanThe aim of this study is to indicate some basic points regarding legal system of Land Readjustment (LR)through comparative analysis of Japan and some developing countries in South America and Asia. Especially,
there is a big difference between countries such as Japan where it is based on the public law system andcountries such as Brazil where it is based on the private law system. Land ownership in some developing
countries is controlled for social purpose, for example in Brazil, squatters’ occupancy is approved in public
and private land for resettlement policy. Thinking from an international view point, the LR system in Japan
stands on a unique land and administrative system. Therefore for the technology transfer, the Japanesesystem must be modified to account for such countries’ system. This paper proposes some important points
for technology and system transfer of LR．
Keywords: Land Readjustment, Right Exchange, Urban Development, Legal System, Comparative Analysis
INTRODUCTION

British and American law, sufficient legal study isnecessary in order to transfer the system of LR, but
research into the systems has not been sufficientcompared with research into the transfer.
The objective of this research was to carry out acomparative analysis of the systems in the
countries that have introduced the system andtechnique of Japanese LR, to obtain knowledge fortransfer of systems and techniques in the future.
The documents analyzed included reports by
Japan International Cooperation Agency (JICA) on
Technical cooperation projects currently being
implemented in Brazil and Colombia7) and otheropen literature papers, etc.

Land readjustment system in Japan
Normally all the land within a development area
is bought up to carry out development. On theother hand, there is also a development method inwhich the form of all the asset rights is changed inaccordance with the landuse plan prior todevelopment, without purchasing the land. The
latter is referred to as the rights conversion method,in contrast to the former land purchasing method.
The rights conversion method is normally referred
to as land readjustment (hereafter, LR).
More than 1/3 of the urban land of Japan isdeveloped by LR, and the large scale earthquake
restoration projects in 1995 and 2011 also usedLR1). From 1980 the Japanese Government
promoted the transfer of the LR method andtechniques to developing countries of South-east
Asia 2),3),4)and South America5), etc., and in 2004 a
Land Readjustment Act was adopted in Thailand6).

COMPARATIVE ANALYSIS OF LR
SYSTEMS
Features of LR
The origin of LR was in the consolidation offarm land in order to improve productivity.
Referred to as land consolidation (hereafter, LC),
there are examples of it all over the world. In 1899
Japan introduced LC into the legal system, withreference to the German system8). In 1919 legal
measures were adopted to enable LC to be used asa tool for urban planning, and as a result LR wasborn9). Thereafter it was used for housingdevelopment in the outskirts of cities, andearthquake and war restoration projects, and in1954 the independent Land Readjustment Act was
adopted as the culmination of the system to date.

Position of this research
The basis of the LR method is conversion ofland rights based on administrative disposition(1),and is referred to as Replotting Disposition.
German law was introduced into administrative
law within the Japanese legal system, which issimilar to Umlegungsverfarhen in German law.
However, in countries with legal systems where
there is no concept of public law and it is assumed
that titles are exchanged by private law, as in
724

SEE-Osaka, Japan, Nov. 21-23, 2016

LR is a means to realize land use plans within
urban planning, but it is a method that enables thetitle relationships prior to development to be
maintained after development, in other words, itenables communities to be maintained.
Normally, real estate development produces alarge development profit for the landowners, andwith LR the development profit and cost burden
can be fairly and transparently allocated. The
mechanism is to objectively evaluate the land
before and after development, and to
proportionally allocate the development profit to
the individual owners10). These features promoteconsensus formation of residents for development.
In addition it includes a self-contained mechanism
for converting a part of the development profit for
sale, and appropriation of the sale profit to costs11).
This beneficiary liability mechanism enables
infrastructure development with a small financial
burden.
From the above, it was recognized that LR iseffective as a measure for slum improvement or
suburban sprawls in developing countries, anddesigns and techniques of land evaluation with theabove features were introduced. One issue is asystem to avoid disputes associated with title
exchange. In other words, a mechanism isconstructed to incorporate rights compartments inaccordance with a plan against a minority that does
not agree with title conversion.

small number of opponents being the target of
expropriation. It is said that in practice choices not
involving expropriation can be taken throughtough negotiations.
In Thai law, a special measure for examinationof registration of deeds is provided in law for new
land by LR, and a new certificate of title is issued
upon application by the developer13).
Mechanisms in South America
A title exchange method that differs fromJapanese or Asian type LP has been developed in
Colombia, and at present legislation is in progressin Curitiba City in the Federative Republic of
Brazil. The mechanism in Colombia is an
exchange of title by a private law contract.
Colombia’s Urban Act, which uses the provisionsof the existing private law such as civil law,commercial law, trust law, etc., does not haveprovisions for title exchange for land. Also title
exchange is not limited to land, but also applies tofloor space of buildings. The procedure is thelandowner transfers the land owned in trust to atrustee organization such as a local government, atrust bank, a developer, etc., and after completionof the project the trustee returns it to the original
owner.
The validity of the title exchange is guaranteedby the power of the contract based on civil law ortrust law, etc., and ultimately the Land
Expropriation Act could be applied in accordancewith the strength of the public nature of the project.
Application for registration is carried out by theright holder16),17),18).
In Brazil the “Transferencia do Potencial
Construtivo: TPC” of the City Statute §35
corresponds to the transferable Development Rightin the USA or the “rental building design system”
or “area of special application of floor area ratio”
in the Building Standard Act of Japan. Curitiba
City has much experience in development by TPC,
and the system has been designed with reference tothe method in Colombia19,20),21).

Comparison of the title exchange method andthe registration method
Mechanism in Japan
Explained in legal terms, LR in Japan defines
new rights by the “tentative validity (kouteiryoku)”
of administrative disposition. In addition, there is amechanism that enables registration of new rights
by “commissioned registration” by the developer
instead of the right holder.
Mechanisms in Asian countries

Relationship between urban planning and LR

The mechanism for determining new rights areas
is a procedure12) referred to as land pooling(hereafter, LP), that is the basis of LR in
Thailand13), Nepal14), Bhutan15), etc. With LP all
the land of owners that agree to a project is pooled,and subsequently divided in accordance with aland use plan. However the land of those opposed
is excluded. This exclusion has the possibility of
obstructing the realization of a rational land use
plan in urban planning.
A new use plan is determined throughdiscussions between the developer and the owners,
but ultimately it is possible to avoid a breakdownof consensus formation as a result of the land of a

The case of Japan and other Asian countries
LR projects in Japan and various countries in
Asia are realized by positioning wide area facilities
in urban planning, and district facilities in the
project plan.
The case of South America
The urban planning system in Colombia has a
3-layer structure: the “Plan de Ordenamiento
Territorial: POT” which corresponds to a masterplan in urban planning, a “Plan Parcial: PP” which725

SEE-Osaka, Japan, Nov. 21-23, 2016

Table 1 Comparison of title exchange methods in LR development projects
Japan

Thailand

Columbia

Relationship tourban planning

District facilities are
determined by a projectplan

District facilities are
determined by a project
planPart plans positioned in“Plan Parcial”

Title exchange
Procedure

Administrative
disposition

Land poolingSpecial provision forPrivate law contract
Right holder

Relationship toregistration
systemCommissioned
registration

examination and applicationby the right holder

application

Mechanism foravoiding disputes

Administrative
disposition

Expropriation law

Expropriation law

is a local detailed plan, and a “Unidades deActuacio Urbanistica: UAU” which is an
implementation plan positioned in the PP. It is arequirement for implementation of LR to bepositioned in the PP. Besides the UAU, the PP
includes a public spaces development plan, andmeasures to realize fair benefits and liabilities
among the land rights owners. With UAU the unitof implementation of urban development projects
is the block, and 3 types of project are included:
Reajustte de Terrenos, Intergracion Immobiliaria,
and Cooperracion entre particpes22).
Curitiba City has designed a system that is close
to that of Colombia.
The above outline is summarized in Table 1.

mechanism is to purchase original property frommany owners who agree to the redevelopment
project. After the project, they are distributed
property right of new building flowers. Some landowners who didn’t agree to the project, withdraw
from the project with compensation money. Thismechanism is based on expropriation law.
Notes)(1) Administrative disposition is recognized ashaving “tentative validity” as a “special validity”
that is not normally seen in legal actions.
Administrative disposition is considered as valid
until established by lawsuit23).
ACKNOWLEDGEMENTS

SUMMARY OF THE RESEARCH:
CHARACTERRISTIC CONCEPTS OF
JAPANESE LR

This paper owns a lot to ”The Project on
Capacity Development for Land readjustment inCuritiba ” by JICA, of which the team leader was
Dr. Kobayashi, an honorary professor of Hokkaido
University. In particular analysis of legal system
we are indebted to Mr. Yohji Kinoshita who has
researched city planning law system in Colombia
and Brazil as a JICA expert.

For a long period of time Japan has transferred
the techniques of LR using its characteristic
concepts and terminology such as replot,
contribution, and reserve land. This research has
compared the Japanese LR system which is behindthese techniques with the systems in Asia andSouth America. It is considered that this research
will facilitate the understanding and introductionof LR among people of various other countries
based on the infrastructure of systems in their own
countries.
Note that the Japanese category 1 urban
redevelopment project has the mechanism of rightexchange from original lots and houses to newbuilding flowers. It superficially resembles theSouth American LR system, but their bases arecompletely different in that the mechanisms ofright exchange are public law.
Category 2 urban redevelopment does not comewithin the scope of right exchange. The

Reference[1]Nakayama H, ”Community development for
Disaster prevention by popular sovereignty-to
study Hanshin-Awaji great earthquake and toprovide for Nankai Trough earthquakes,
Minerva Shobo, 2015[2]Nakano M,” International contribution by land
readjustment,
City
planning
review
Vol.42/No.1,pp.52-61,1993[3]Yanase N,”A hundred years’ Journey of land
Readjustment-From Germany to Japan, andAsian countries”, JSCE Magazine,Vol.86/No.6,
pp. 74-78, 2001
726

SEE-Osaka, Japan, Nov. 21-23, 2016[14]Ochi T, ”Circumstance of urban development
and international corporation in Nepal”, KuakuSeiri magazine, vol.44/No2, pp.100-106,
2001[15] The Department of Urban Development andEngineering Services, ”Bhutan: Urban
Infrastructure Development Project” ， 2006 ，
http://indrrg/wp-content/uploads/2014/01/437-Urban-Infrastructure-Development-Project-inBhutan-Draft-Resettlement-Framework-June2006．
[16]Kinoshita Y, ”City planning and land
readjustment in Andean countries”, KukakuSeiri magazine, vol.50/No.4, pp.59-65, 2007[17]Kinoshita Y, ”Possibility of Japanesestyle land readjustment in SouthAmerica”,
City
Planning
Review
vol.50/No.5, pp.127, 2008[18] Kinoshita Y, ”International range of Japaneseland readjustment system”, Chiiki-Kaihatsu,
magazine, vol.585, pp29-33, 2013[19] Hattori K,” A Japanese who developed anenvironment city in Brazil”, p.119,Mirai-sha,
2014[20]JICA Urban Focused on Land Readjustment
BAZIL, Final Report ，JICA Urban
Development Course 2008[21]Ana Ristina Ramalho Teixerira Gomes ，"Land Readjustment Sprawl Prevention Type”,
Interim Report, JICA Urban Development
Course, 2009[22]Okabe S,” Colombian-adapted Version ofLand Readjustment”, Summaries of technicalpapers of annual meeting Architectural Instituteof Japan, pp.879-880, 2013[23]Sakurai K, “Essence of the administrative law”,
pp. 92-107, Gakuyoshobo, 2007

[4] Ministry of Land, Infrastructure, Transport andTourism & Infrastructure Development Institute,“Research report of formulate guidelines fortechnology transfer: land readjustment, 2002
[5]Tanaka H, “Overseas technical support bycollaboration of Obihiro city and JICA,
Shintoshi magazine, vol.65/No.10, pp.46-48,
Urban planning association, 2011[6]Hino Y, Seta F, Kishita M, Kishii T,” A study
on the transfer of Land Readjustment
institutional system: A case study on the transfer
of Land Readjustment from Japan to Thailand,
Journal of the City planning Institute of Japan,
Vol.41, pp.553-558, 2006
[7] Miura J, Ochi T, ”In the future of international
development of land readjustment”, LR forum
2014, pp.188-191,2014[8] Yanase N, “A historical view on modern legal
system for land readjustment, Journal of JSCE,
D3, Vol.70/No.5, pp.403-475, 2014[9]Mitsui Y, ”A Study on Tsukuba Academic New
town”, pp.35-54, Kajima publishing co. 2015[10]Yanase N,” A study of benefit-allocation
model in land readjustment project, Proceedingsof JSCE, No.401/Ⅳ-10, pp.89-98, 1989-1[11]Yanase N, A study on historical process offinancial and subsidy for land readjustment
project by landowners’ corporative”, Journal of
the city planning institute of Japan, No.36,
pp.493-498,2001[12] Yanase N, Hayashi K,”A study on the systemof converting land title in land readjustment
project”, Journal of the city planning institute ofJapan, Vol.29, pp.631-636, 1994
[13] Hino Y, “A practical study on technology
transfer of land readjustment to Thailand”, Ph.
D. dissertations (Technology), pp.177-202 ，
Nihon University, faculty of science, 2010727

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

GEOTHERMAL AND HOT SPRING WATER ORIGIN
DETERMINATION USING OXYGEN AND HYDROGEN STABLE
ISOTOPE IN THE TOYOHIRAKAWA CATCHMENT, HOKKAIDO,JAPAN
Hiroyuki Ii1, Hiroshi Kanbara2, and Yohei Kawabata2
Faculty of Systems Engineering, Wakayama University, Japan;
2
JX Nippon Mining & Metals Corporation, Japan

1

ABSTRACT
Jyozankei Hot Spring, located near Sapporo City in Hokkaido, is visited by as many as 2.4 million people
annually. Ground temperatures of 220 °C were reached in the Toyoha Mine10 km west of Jyozankei Hot Springwhere several boreholes less than 2000 m in depth for investigating geothermal water were drilled. Subsequently,
a hydrological investigation to clarify the influence of geothermal development on Jyozankei Hot Spring was
performed. Snow, river, well, spring, hot spring and the geothermal borehole waters in the Toyohirakawa
catchment including Jyozankei Hot Spring were sampled and oxygen and hydrogen stable isotopes of water wereanalyzed to determine water origin for hot spring and geothermal water. As a result, Jyozankei Hot Spring and theborehole waters were thought to arise from mixed waters of magmatic and surface waters. Borehole water, fromless than 2000 m in depth, was 10 to 30 % of the magmatic water and Jyozankei Hot Spring water was less than
10 % of the magmatic water. Surface water was recharged at the upstream of the Toyohirakawa catchment, withsnow from the upper stream of the northwest catchment being an important resource of surface water for both
Jyozankei Hot Spring water and geothermal water from the boreholes.
Keywords: Geothermal, recharge, oxygen isotope, hydrogen isotope, hot spring

INTRODUCTION
Jyozankei Hot Spring, located near Sapporo Cityin Hokkaido, is visited by as many as 2.4 million
people annually. There are 56 hot spring sources in
the Jyozankei district, from which 8,600 liters of hot
water with temperatures ranging from 60 to 80 °C
surface each minute [1]. The active area of groundtemperature in the Toyoha Mine area was 220°C 10
km to the west of Jyozankei, and geothermal water
sampled from bore holes at the -300 m level tunnel in
the Toyoha Mine was 30 to 100 l/min [2], [3].
Although metal ore production in the Toyoha Mineceased, waste water treatment from the Mine area wasstill active. The mining company responsible planned
to obtain revenue from geothermal power tocompensate for the treatment of waste water.
Geothermal power stations require large amountsof geothermal water. It is necessary to evaluate theinfluence of pumping up geothermal water on hot
spring temperature and quantity around geothermalboreholes [4]. In particular, hydrogen and oxygenisotopic ratios were very useful in determining
recharge or water sources of hot spring andgeothermal water [4], [5], [6]. As a result, ahydrological investigation was performed to clarify
the influence of geothermal development on
Jyozankei Hot Spring. Snow, river, well, spring, hotspring and the borehole waters in the Toyohirakawa
catchment including Jyozankei Hot Spring were728

SEE-Osaka, Japan, Nov. 21-23, 2016

sampled and their respective oxygen and hydrogenstable isotopes were analyzed to determine waterorigin for both the hot spring and the geothermal
waters.
STUDY AREA AND METHODS
Volcanic and sedimentary rocks from the
Miocene to the Quaternary are found in the
Toyohirakawa catchment. Basalt, andesite andrhyolite make up the volcanic rocks. Sapporodake
and Eniwadake, located 10 and 20 km south of
Jyozankei Hot Spring, erupted one million andseveral tens of thousands of years ago respectively.
The Toyoha Mine was located 10 km to the west of
Jyozankei Hot Spring and its high ground temperature
was found south-east of the Toyoha Mine[2], [3].
Deep boreholes less than 2000 m in depth were drilled
south-east of the Toyoha Mine for researchinggeothermal water. The catchment at the upstream of
Jyozankei is composed of three rivers, the Otarunai,
Shirai and Toyohira river as shown in Fig.1. The
catchment was covered with heavy snow in winter.
Water sampling was performed using snow, river,
hot spring and the geothermal water obtained frombore holes. Geothermal waters over 250 °C were
sampled from deep boreholes in June 2012 and March
2013. Hot spring waters around Jyozankei were
sampled in 2013. To determine the recharge area, asmall branch river was selected for sampling. Branch
river waters in the catchment were sampled in
October 2012, June 2013 and August 2013. In
particular, Takami and Migioe creeks at the upstreamof the Toyoha Mine, were sampled every day from
April 2013 to April 2014 and again from June 2013
to April 2014. Snow was sampled in March 2014
beside roads and ski slopes. Measurement of δD andδ18O for sampled water was carried out using an
isotopic ratio measurement system (Sercon Geo Wet
System). δD and δ18O are presented in per mil (‰) ofthe standard average seawater (SMOW: Standard
Mean Ocean Water). The formulas are shown inequation (1) and (2). δD and δ18O of SMOW aredenoted as (D/H) SMOW, (18O/16O) SMOW and δDand δ18O of sample are denoted as (D/H) Sample,(18O/16O) Sample. Measurement error of δD is±1.0 ‰ and measurement error of δ18O is ±0.1 ‰.

RESULTS
Fig.2 and Fig.3 show oxygen and hydrogenisotopic ratios for snow sampled in March 2014.
Oxygen and hydrogen isotopic ratios for snow varied
from -16.6 to -13.9 ‰ and -102.3 to -75.3 ‰respectively. Both values were lowest around the
Jyozankei Hot Spring area and highest around Asari
Pass in the north-west of Toyohirakawa catchment.
Both values were medium around Nakayama Pass
and low in the south area. Fig.4 shows snow depth inMarch 2014. Snow depth was found to increase withboth oxygen and hydrogen isotopic ratios. SnowδD = [(D/H) Sample/ (D/H) SMOW-1] ×1000: (1)δ18O = [(18O/16O) Sample/ (18O/16O) SMOW-1]
×1000: (2)729

SEE-Osaka, Japan, Nov. 21-23, 2016depth was found to increase with altitude anddecrease from north-west to south-east. Therefore,
oxygen and hydrogen isotopic ratios for snow
increased with precipitation owing to precipitation
effect for isotope [6]. In winter, precipitation
depended on cloud from the Japan Sea so isotopic
ratios were thought to increase from north-west to
south-east.
Fig.5 and Fig.6 show oxygen and hydrogenisotopic ratios for river water sampled in October
2012. These ratios varied from -12.9 to -10.7 ‰ and-82.3 to -64.1 ‰ respectively. Both values werehigher than those for snow and their variations were
smaller than those for snow. Both values were highest
around Jyozankei Hot Spring area and lowest north of
the Toyohirakawa catchment. Both values increased
from south to north and decreased with altitude. The
pattern of both isotope values in October 2012 wasreverse to those for snow in March 2014. Excluding
winter, cloud passes through the south of Jyozankei
from the Pacific side. Thus the pattern was thought tobe due to an inner effect from the Pacific side and analtitude effect for isotope [7].

Fig.7 and Fig.8 show oxygen and hydrogenisotopic ratios for river water sampled in June 2013.
These ratios for river water varied from -13.6 to 11.9 ‰ and -82.6 to -72.7 ‰ respectively. Bothvalues were higher than those for snow and730

SEE-Osaka, Japan, Nov. 21-23, 2016

marginally smaller than those of October 2012 andtheir variations were smaller than those for snow.
Both values were high around Jyozankei Hot Springarea and in the south of catchment and lowest in thewest of the Toyohirakawa catchment. The pattern forboth isotope values was not clear.
Fig.9 and Fig.10 show oxygen and hydrogenisotopic ratios for river water sampled in August 2013.
These ratios for river water varied from -13.1 to 11.4 ‰ and -82.1 to -70.6 ‰ respectively. Bothvalues were higher than those for snow andmarginally smaller than those of October 2012 andtheir variations were smaller than those for snow. The
pattern for both isotope values was not clear. The
pattern for both isotope values in August 2013 wasthought to be somewhere between those in October
2012 and those in June 2013.

spring water was not on the Meteoric line. Oxygenand hydrogen isotopic ratios for volcanic vapor were
5 to 8 ‰ and -40 to -15 ‰ [8] and oxygen andhydrogen isotopic ratios for volcanic vapor, thegeothermal water and hot spring water could all be on
one line which then crossed the river water isotopic
value at the point where the oxygen isotopic ratio was-13 ‰ and the hydrogen isotopic ratio was -80 ‰.
Subsequently, estimated oxygen and hydrogenisotopic ratios for recharge water from the surface
were thought to be -13 and -80 ‰. Therefore,
geothermal and hot spring waters were thought to bea mix of volcanic vapor with recharge water. The
difference between hot spring and geothermal water
was the mixing ratios for volcanic vapor and recharge
water. Volcanic vapor ratios for geothermal water
were high, 1/10 to 1/3, however volcanic vapor ratios
for hot spring water was very low, less than 1/10. This
lead to the conclusion that the main water origin for
hot spring water was recharge water.

DISCUSSION
The pattern of oxygen and hydrogen isotopic
ratios for snow and river water seemed to change
seasonally. Both values for all waters were plotted asshown in Fig.11 and 12. Geothermal water and hot
731

SEE-Osaka, Japan, Nov. 21-23, 2016

Oxygen and hydrogen isotopic ratios for theestimated recharge water were -13 and -80 ‰.
Although most oxygen and hydrogen isotopic ratios
for snow were lower than that for recharge water,these isotopic ratios around Asari Pass and northareas were close to that for the recharge area. In
contrast, although most oxygen and hydrogenisotopic ratios for river water sampled in October
2012 were higher than that for the estimated recharge
water, these isotopic ratios around the north area wereclose to those for the estimated recharge water asshown in Fig.5 and 6. Oxygen and hydrogen isotopic
ratios for western and mountainous river water
sampled in June 2013 were the same as those for
estimated recharge water as shown in Fig.7 and 8.
Similarly, some oxygen and hydrogen isotopic ratios
for river water sampled in August 2013 were the sameas those for recharge water as shown in Fig.9 and 10.
Then, from Fig.12, isotopic ratios for snow and riverwater in October 2012 were the lowest and the highest
among snow and three-season river waters. Isotopic
ratios for river water in June and August 2013 were
midway between ratios for snow and river water from
October 2012. As isotope values for river water
decreased from October to June and then increased
from June to August, and the isotope value for snow
was lowest, melting snow was thought to cause thedecrease isotope values in June.
Fig.13 and 14 show the time series of δ18O for
Takami and Migioe creeks at the upstream of the
Toyoha Mine. Isotope values for both creeks reachedtheir minimum value in snow melting seasons andthen gradually increased till autumn. They decreased
from winter to spring. Average values for both creeks
were about -13.0 to -12.5 ‰. As oxygen isotopic
ratios for snow in the catchment were markedly lower
than those for river water, snow melt water was
thought to decrease river water isotopic ratios. And
low isotope values in winter were also thought to bebrought out by snow or rain in winter. Therefore, twotypes of precipitation based on isotope values andcloud origin were determined. One precipitation isderived from the Japan Sea in winter and the other isderived from the Pacific Ocean excluding winter.
Consequently, isotope values for river water was
influenced by two types of precipitation and were
lowest in snow melting season and the highest before
winter. Then the average isotopic ratio for thecatchment was thought to be values for river water inAugust. As the estimated oxygen and hydrogenisotopic ratios for the recharge area were -13 and 80 ‰, the recharge area was, from isotope values forriver water sampled in August, estimated to be thenorthern and western mountain areas as shown in Fig.
9 and 10. The western and northern mountainous
areas in the catchment were also heavy snow areas

with snow reaching depths of over 200 cm as shownin Fig.15. Therefore, snow was important forrecharge water.
As oxygen and hydrogen isotopic ratios forvolcanic vapor, geothermal and Jyozankei Hot Springwaters were on the one line and that line intersectedwith river water values at the point where the oxygenisotopic ratio was -13 ‰ and the hydrogen isotopic
ratio was -80 ‰, river water with an oxygen isotopic
ratio of -13 ‰ and a hydrogen isotopic ratio of -80 ‰was thought to be recharge water. Therefore, as therecharge water for the geothermal and Jyozankei Hot
Spring waters was thought to be the same.
CONCLUSION

Geothermal power stations require large amountsof geothermal water. It is necessary to evaluate theinfluence of pumping up geothermal water on hot
spring temperature and quantity around geothermalboreholes. Jyozankei Hot Spring is an important hot
spring in Hokkaido and many people visit the hotspring annually. 10 km upstream of Jyozankei Hot
Spring, is a geothermal area. Investigative bore holes
less than 2000 m in length were drilled and 250 °C
732

SEE-Osaka, Japan, Nov. 21-23, 2016

geothermal water was sampled. To determine thewater source of Jyozankei Hot Spring and geothermal
waters, river water and snow in the Toyohirakawa
catchment which includes Jyozankei Hot Spring andgeothermal area was sampled and isotope values werestudied. As a result, Jyozankei Hot Spring andborehole waters were thought to be a mixture of water
between magmatic water and surface water. Borehole
water from 2000m in depth was composed of 10 to
30 % magmatic water and Jyozankei Hot Springwater was less than 10% magmatic water. The surface
water was recharged at the upstream of the
Toyohirakawa catchment and in particular snow at
the upper stream of the northwest catchment was animportant source of surface water for both Jyozankei
Hot Spring water and geothermal water from theboreholes.
As oxygen and hydrogen isotopic ratios forvolcanic vapor, geothermal and Jyozankei Hot Springwaters were on the one line and the line intersectedwith river water values at the point where the oxygenisotopic ratio was -13 ‰ and the hydrogen isotopic
ratio was -80 ‰, river water with the oxygen isotopic
ratio -13 ‰ and hydrogen isotopic ratio -80 ‰ wasthought to be recharge water. Therefore, as recharge
water for the geothermal and Jyozankei Hot Springwaters was thought to be the same.

polymetallic vein deposits, Hokkaido, Japan”,
Journal of the Society of Resource Geology, Vol.
42(2), 1992, pp.85-100.
[3] Kanbara H., Sanga T., Oura T. and Kumita K.
“Mineralization of Shinano vein in the Toyoha
polymetallic vein-type deposits, Hokkaido,
Japan”, Journal of the Society of Resource
Geology, Vol. 39(2), 1989, pp. 107-122.
[4] Sasaki K., Ueda A., Zhang J., Kageyama S.,
Koseki T. and Muraoka H. “Geochemical studyof hot springs associated with new geothermal
exploration in the eastern part of Toyama,
Prefecture, Japan”, Procedia Earth and Planetary
Science,Vol.7, 2013, pp. 766-769.
[5] Chandrajith R., Barth J., Subasinghe N.D.,
Merten D., and Dissanayake C. B. “Geochemical
and isotope characterization of geothermal
spring waters in Sri Lanka” Journal of Hydrology,
Vol. 476, 2013, pp. 360-369.
[6] Yaguchi M., Muramatsu Y., Chiba H., Okumura
F.,
Ohba
T.,
and
YamamuroM.
“Hydrochemistry and isotopic characteristics of
non-volcanic hot springs around the Miocene
Kofu granitic complex surrounding the Kofu
Basin in the South Fossa Magna region, central
Honshu, Japan”, Geochemical Journal, Vol.48,
2014, pp. 345-356.
[7] Liu, Z., Bowen G.J., and Welker J.M.,“Atmospheric circulation is reflected inprecipitation isotope gradients over theconterminous United States”, Journal ofgeophysical research, Vol.115, 2010, D22120.
[8] Giggenbach, W. F. “Isotopic composition ofgeothermal water and steam discharges”, In
D’Amore, F. (editor), Application ofGeochemistry in Geothermal Reservoir
Development. UNITAR/UNDP publication,
Rome, 1991, pp. 253 – 273.

ACKNOWLEDGEMENTS
The authors of this study are sincerely grateful forthe year-long water sampling of Takami and Migioe
creeks performed by Mr. Yosuke Ono from the
Toyoha Mines Co. Ltd
REFERENCES[1] http://www.welcome.city.sapporo.jp/find/recrea
tional/jozankei_onsen/?lang=en[2] Sanga T., Kanbara H., Shoji T. And Takeyama T.
“Characteristics feature of the later stage
mineralization and its vein system at the Toyoha

733

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

EFFECT OF TEMPERATURE ON REMOVAL OF COD AND TSSFROM ARTIFICIAL RIVER WATER BY MUDBALLS MADE FROM
EM4, RICE BRAN AND CLAY SOIL
Fadjari Lucia Nugroho, Deni Rusmaya, Yonik Meilawati Yustiani, Fajar Ibnil Hafiz and Runie Besty Teta
Putri
Department of Environmental Engineering, Pasundan University, Indonesia;

ABSTRACTIn Indonesia surface water is often polluted by domestic waste causing degradation of river water quality.
The use of activated Effective Microorganism Solution (EMS) mixed with rice bran or wheat bran, as well as
soil and shaped into mudballs has in recent years shown promise as a direct method to improve quality ofpolluted river water. This study examined the effect of temperature on removal of COD and TSS by mudballs
made from activated EM4 solution, rice bran and clay soil. Batch experiments treating artificial river water by
the mudballs were conducted at temperatures 25ºC and 30ºC with the artificial river water having initial levels of
120 mg/L COD and 100 mg/L TSS. Efficiency removals of COD by 2.5 cm φ mudballs at 25ºC and 30°C were
66.7% and 59.4%, whereas that of TSS were 100% and 99.7% respectively. TSS sorption by the mudballs
appears to better fit the Langmuir than the Freundlich isotherm models. At 25ºC and 30°C, maximum sorption(Q m ) of TSS is 6.89 mg/g and 7.52 mg/g; Langmuir constant (K L ) is 0.0196 L/mg and 0.0168 L/mg, while
equilibrium parameter (R L ) is 0.338 and 0.373 respectively. Statistical hypothesis testing of the experimental
data suggests that at α=0.05, temperature affects removal efficiency of COD but not that of TSS.
Keywords: Adsorption Isotherm, Effective Microorganisms, Mudballs, River Water

made from activated EM solution mixed with either
rice or wheat bran as well as ordinary dry clay soil
and then shaped into balls called "Mudballs" that areleft to ferment for about a week. Thereafter, the"Mudballs" are thrown into rivers with the aim of
improving river water quality [3]. This technique has
been tried out in countries such as Malaysia,
Singapore and South Africa. Theoretically, the"Mudballs" act as a sorbent to remove turbidity,
while the community of EM heterotrophic
microorganisms degrade organic pollutants. Thus,
the Mudballs assist in reducing suspended solids,
turbidity as well as COD, and improving DO levelsof the river water. Rusmaya et al. [5] reported thatmudballs made from EM4 mixed with rice bran andclay soil were capable of reducing the TSS and COD
concentrations of artificial river water solution. The
mixed culture of microorganisms in the EM4
consisted of both Gram negative and Gram positive
rod shaped bacteria, some of which were sporeforming, as well as Mucor sp. and Penicillium sp.
fungi and actinomycetes.
The objective of this present study was to
examine the effect of different temperatures on theremoval of COD and TSS in artificial river water by
mudballs made from EM4, rice bran and clay soil,
thus determining whether mudballs can be used to
improve river water quality under fluctuating
temperatures. Given that TSS removal is believed tobe achieved by adsorption, the equilibrium data of

INTRODUCTION
Urban rivers are major assets to communities as
they provide numerous benefits, including fresh
water, recreation, landscape amenity, habitat
provision and flood control [1]. In Indonesia surface
water such as rivers is often polluted by both
domestic as well as industrial waste, thus causing
degradation of river water quality and making it
aesthetically displeasing. For example, the average
COD and TSS levels of Cikapundung River,
Bandung City, West Java, Indonesia in 2013 were120 mg/L and 100 mg/L respectively; withmaximum levels of COD and TSS at times reachingas high as 400 mg/L and 350 mg/L respectively.
Although conventional physical-biological treatment
methods can be applied to treat polluted river water,
they are often costly and not eco friendly [2]. Hence,in recent years the use of Effective Microorganisms(EM) has shown promise as a direct method for
improving or restoring polluted river water quality.
EM itself is a mixed culture of naturally occurring
effective, beneficial, nonpathogenic microorganisms
capable of purifying and reviving nature [3]. The
concept of EM was first developed by Professor Dr.
Teruo Higa of the University of Ryukus, Okinawa
Japan [4]. EM has been used in water and sewage
purification, improvement of recycled water andsolving sanitary problems. As such, EM is also usedin the preparation of "Mudballs" or "Bokashi-balls",
734

SEE-Osaka, Japan, Nov. 21-23, 2016

the TSS removal was also analysed using theLangmuir and Freundlich adsorption isotherm
models in order to determine the adsorption capacity
for TSS by the mudballs.

Calculation of adsorption isotherms.
Adsorption isotherms describe the equilibrium
relationships between adsorbent and adsorbate [6].
The isotherm equations used to determine the TSS
adsorption model were the Freundlich and Langmuir
isotherm equations. The Freundlich isotherm is anexponential equation that assumes that as theadsorbate concentration increases so too does theconcentration of the adsorbate on the adsorbent
surface [7]. This isotherm can be used for non-ideal
sorption that involves heterogeneous surface energy
systems.The mathematical expression of theFreundlich isotherm is as follows:

METHODSAll experiments were conducted as batch
experiments. COD was measured by closed reflux
titrimetry, whereas TSS was measured bygravimetry methods.
Materials
The EM4 used in the experiments was
manufactured by Songgo Langit Persada and wasbought locally in Bandung, Indonesia. As EM4 issold in a dormant state, activation of the latter
followed the procedure established by Rusmaya et al.
[5], this being by diluting 5% EM4 solution with
distilled water and left to ferment for a day at room
temperature.
The mudballs were prepared by mixing 20% ricebran and 80% dry clay soil with 40% activated EM4
solution (v/w), which was then left to ferment incovered baskets for 7 days at room temperature.
Based on the procedure established by Rusmaya
et al. [5], the artificial river water was prepared byadding glucose and 60 mesh sieved kaolin powder
into tap water and adjusting the pH of the solution to
4. The initial COD value of the artificial river water
was 120 mg/L; whilst initial TSS value was 100
mg/L.

𝑋𝑋

𝑀𝑀

1

= 𝐾𝐾𝐹𝐹 𝐶𝐶𝑒𝑒 𝑛𝑛

(1)

𝑿𝑿

where is the amount of adsorbate adsorbed by the𝑴𝑴adsorbent, K F is a rough indicator of the adsorption
capacity (mg/g), 1/n is the adsorption intensity andC e is the equilibrium liquid-phase concentration of
the adsorbate (mg/L).
The Langmuir isotherm equation is based on theassumption of monolayer coverage of adsorbate overa homogenous adsorbent and that when equilibrium
is attained no further adsorption can take place.
Adsorption is assumed to take place at specifichomogenous sites in the adsorbent and theadsorption of each molecule has equal adsorptionenergy [8]. The theoretical Langmuir isotherm
equation is as follows:𝑿𝑿

Experiments

𝑴𝑴

Batch experiments for COD and TSS removal=

𝑸𝑸𝒎𝒎 𝑲𝑲𝑳𝑳 𝑪𝑪𝒆𝒆(2)

𝟏𝟏+𝑲𝑲𝑳𝑳 𝑪𝑪𝒆𝒆

where Q m is the maximum amount of adsorption
corresponding to complete monolayer coverage on
the surface (mg/g); and K L is the Langmuir constantrelated to the energy of adsorption (L/mg).

The batch experiments on COD and TSS
removal were carried out in 250 mL Erlenmeyer
flasks under 2 different temperatures, this being
25°C and 30°C. For this, 2.5 cm φ mudballs wereadded into flasks containing 200 ml artificial riverwater. The experimental flasks were then placed in a
shaker water bath which was adjusted to either 25°C
or 30°C. The COD and TSS concentrations of theartificial river water were measured daily until nofurther reduction of COD and TSS occurred.

RESULTS AND DISCUSSIONS
Effect of Temperature on COD and TSS
Efficiency Removal
Table 1 shows the effect of temperature on COD
and TSS efficiency removal by the mudballs. As
shown in Table 1 maximum COD removal was
attained within 5 days; whereas all TSS was
removed after 3 days.

TSS adsorption experiments
The TSS adsorption experiments were carriedout in 250 ml Erlenmeyer flasks containing 200 ml
tap water mixed with kaolin powder producing a
TSS concentration of 100 mg/L. Varying quantities
of mudballs (1 - 10 g) were then added into the TSS
solution and the flasks placed in a shaker water bathadjusted to either 25°C or 30°C. The TSS was
measured after 3 days of shaking.

Table 1 COD and TSS efficiency removal at 25°
and 30°C
Day
0

735

% COD removal
25°C
30°C
0
0

% TSS removal
25°C
30°C
0
0

SEE-Osaka, Japan, Nov. 21-23, 2016

1
2
3
4
5

39.2
44.2
47.5
62.5
67.5

31.2
48.9
44.8
53.1
59.4

6

67.5

59.4

56.7
73.3
100
100

attributed to both physical (sorption) as well as
biological process (biodegradation). In fact, themixed RB+CS can even add to the COD content of
the solution (Fig. 1), as RB is organic in nature andcan dissolve into the solution. It appears that thepresence of fungal mycelia in the mudballs preventthe mudballs from quickly dissipating into thesolution, which could increase the COD of thesolution.

48.7
82.7
99.7
99.7

The results also show that although after 5 days
the COD levels at both 25°C and 30°C decreased,slightly better COD removal was attained at 25°C.
COD efficiency removal at 25°C was 67.5%,
whereas COD removal efficiency at 30°C was
59.4%. COD removal is attributed to biosorption
followed with degradation of the organic matter by
the EM4 microorganisms in the mudballs. As
reported in an earlier paper, the EM4 solution
consisted of a mixed culture of Gram negative andGram positive rod shaped bacteria, some of whichwere spore-forming, as well as Mucor sp. and
Penicillium sp. fungi and actinomycetes [5]. These
are heterotrophic, mesophilic microorganisms.
Mesophiles grow best at moderate temperatures,
typically between 20° and 45°C. Eachmicroorganism have their own optimum temperaturefor growth and metabolism. In this regard, theconsortia of microbes in the EM4 solution appear togrow and carry out metabolism slightly better at
25°C than 30°C. To further confirm this assumption,
statistical hypothesis testing of the experimental data
was carried out. The results are summarised in Table
2, indicating that at α = 0.05, temperature affects
removal efficiency of COD, with better COD
removal obtained at 25°C.
Table 2 Statistical
hypothesis
experimental dataαHypothesis
Results of t
testing
Conclusion

testing

180

COD mg/L

140% TSS removal
0.05
H 0 : µ 25°C =µ 30°C
H 1 : µ 25°C >µ 30°C
t calculated <t table% COD removal
at 25°C > % COD
removal at 30°C

% TSS removal
at 25°C = % TSS
removal at 30°C

120

120

120

0 day
120

5 day
120

100
80
60
40

68
43.7

39.5

20
0

MB
25° C

RB+CS
25° C

MB
30°C

RB+CS
30°C

Figure 1 COD removal by MB (Mudballs) versus
RB (rice bran) + CS (clay soil) at 25°C and
30°C, C 0 of COD=120 mg/L
With regard to TSS removal, 100 % removal by
the mudballs was achieved within 3 days (Table 1).
Given that in this study the TSS was derived fromkaolin, TSS removal is therefore attributed tophysico-chemical process, this being by adsorption.
Accordingly, TSS removal by 2.5 cm φ mudballs
was more rapid and efficient than COD removal as
the latter is attributed to physico-biological activity
which is slower than physico-chemical reactions.
Differing from COD, statistical testing of theexperimental data indicates that there is nodifference in TSS removal efficiency at 25°C and
30°C (Table 2).

of% COD removal
0.05
H 0 : µ 25°C =µ 30°C
H 1 : µ 25°C >µ 30°C
t calculated >t table

158.1

160

Adsorption of TSS
𝑋𝑋

Figures 2 and 3 depict the TSS adsorption (𝑀𝑀mg/g) and TSS removal efficiency (%) by different
quantity of mudballs under different temperatures(i.e 25°C and 30°C).
As shown in Fig. 2, under both temperatures
adsorption of TSS is higher at lower amounts ofmudballs. Three consecutive mass transport steps
are involved in the adsorption of adsorbate fromsolution by a porous adsorbent. First, the adsorbate
migrates through the solution to the exterior surfaceof the adsorbent particles by film diffusion, followedby solute movement from the particle surface into
the interior site by pore diffusion and finally the

Figure 1 below shows the comparison in COD
removal when only rice bran (RB) mixed with clay
soil (CS) were used as sorbent to remove COD,
versus mudballs (MB) made from EM4, rice bran
and clay soil. As shown in Fig.1 at both
temparatures of 25°C and 30°C greater removal of
COD was obtained with mudballs in comparison tothat obtained with RB + CS. Accordingly, giventhese results COD removal can therefore be736

SEE-Osaka, Japan, Nov. 21-23, 2016

adsorbate is adsorbed into the active sites at theinterior of the adsorbent particle [9]. Hence, smaller
quantity of mudball allows tbe adsorbate to move
more easily from the surface into the interior as theinterior of the adsorbent is less compacted incomparison to the more dense, heavier and thicker
mudballs. As such, under such conditions, moreadsorbate can be adsorbed with smaller sizedmudballs.

The experimental data were plotted against theFreundlich and Langmuir isotherm models in orderto determine which of these two models better
describe TSS adsorption by the mudballs. Table 3
presents the results obtained from this exercise.
The regression coefficients (R2) shown in Table
3 suggest that TSS adsorption by the mudballs at
temperatures 25°C and 30°C can better be describedby the Langmuir isotherm model. As such, at 25ºC
and 30°C temperatures, maximum adsorption (Q m )of TSS by the mudballs is 6.89 mg/g and 7,52 mg/g
respectively; while the Langmuir constant (K L ) is0.0196 L/mg and 0.0168 L/mg respectively.

9
8

8,05
7.67

X/M 25°C
X/M 30°C

X/M (mg/g)

76Table 3 Calculated isotherm parameters andregression coefficients for TSS adsorption
by mudballs

4.68
4.47

5
4

3.51 3.51
2.7

3
2

2.66
2.29
2.19
2.172.14
2.12 2.23

1.68
1.8 1.85 1.83 1.83 1.72

Langmuir

1

Qm

0

mg/g

1

2

3

4

5

6

7

8

9

10

gr Mudball

30°C% TSS Removal

80
71

73

76 75

78 80

83

83

85 83

58 57

50

59

57

50 50
40 42

KF

R2

mg/g

6.89

0.0196

0.737

1.212

0.155

0.721

30°C

7.52

0.0168

0.743

1.212

0.153

0.679

𝑹𝑹𝑳𝑳 =

𝟏𝟏(3)

𝟏𝟏+ 𝑲𝑲𝑳𝑳 𝑪𝑪𝟎𝟎

The 𝑹𝑹𝑳𝑳 indicates the shape of the isotherm to beeither irreversible (R L =0), favourable (0<R L <1),linear (R L =1), or unfavourable (R L >1). The R L ofthis study is given in Table 4.

70
60

n

25°C

100
25°C

Freundlich
R2

According to Hall, et al. [10] the essential
features of the Langmuir adsorption isotherm isexpressed by a dimensionless constant known as theseparation factor or equilibrium parameter (R L ),which is defined as follows:

Figure 2 Adsorption of TSS (mg/g) by different
quantities of EM4 mudballs at 25°C and
30°C, C 0 =100 mg/L

90

KL

45 43

40
30

Table 4 R L of TSS adsorption by mudballs

20
10
0
1

2

3

4

5

6

7

8

9

10

gr Mudball

RL

25°C
0.338

30°C
0.373

The results given in Table 4 show that
adsorption of TSS by mudballs at both temperatures
are indeed favourable to the Langmuir isotherm. A
lower R L value reflects the adsorption nature to be
more favourable [11].

Figure 3 Removal efficiency of TSS by different
quantities of EM4 mudball at 25°C and
30°C, TSS C 0 =100 mg/L
With regard to TSS removal efficiency, Fig. 3
shows that at both temperatures, increasing amountsof mudballs produce better TSS removal efficiency.
Increasing the quantity of the mudballs resulted inlarger diameter mudballs, which in turn provided
more surface areas for adsorption of the TSS. Hence,
removal efficiency is greater with larger sizedmudballs, given that adsorption is a surface
phenomena.

CONCLUSION
Removal of COD and TSS from artificial riverwater was achieved in batch experiments by mixing
artificial river solution having initial COD of 120
mg/L and TSS of 100 mg/L with mudballs madefrom activated EM4 solution mixed into rice bran, as
well as clay soil and shaking the experimental flasks
737

SEE-Osaka, Japan, Nov. 21-23, 2016

Environmental Monitoring and Assessment, 152,
2009, pp. 149-153.
[3] Zakaria Z, Gairola S, Shariff N, "Effective
microorganisms (EM) technology for water
quality restoration and potential for sustainable
water resources and management", in Proc.
International Congress on Environmental
Modelling and Software Modelling forEnvironment's Sake, Fifth Biennial Meeting,Ottawa, Canada, 2010, p. S.0.04.
[4] Higa T, Parr JF, "Beneficial and effective
microorganisms for a sustainable agriculture
and environment", International Nature Farming
Research Center, Atami Japan, 1994, p. 4
[5] Rusmaya D, Nugroho FL, Yustiani YM, Hafiz
FI, Putri RBT, "Improving artificial river water
quality using mudballs made from EM4, ricebran and clay soil" in Proc. 5th Environmental
and Management Conf on Green Technology
Towards Sustainable Environment, 2015, pp.
OP/AE/002-1 - OP/AE/002-8.
[6] Hossain MA, Ngo HH, Guo WS, Nguyen TV,“Removal copper from water by adsorption onto
banana peel as bioadsorbent”, Int. J. of
GEOMATE, June, 2012, Vol. 2, No. 2, (SI. No.
4), pp. 227-234.
[7] Freundlich H, "Adsorption in solution", Chemie,
57, 1906, pp. 384-410.
[8] Langmuir I, "Adsorption of gases on planesurfaces of glass, mica and platinum”, J. Am.
Chem. Soc. 40, 1918, pp. 1361-1403.
[9] Malik PK, "Dye removal from wastewater using
activated carbon developed from sawdust:
adsorption equilibrium and kinetics", Journal ofHazardous Material. B113, 2004, pp. 81-88.
[10] Hall KR, Eagleton LC, Acrivos A, Vermeulen T,"Pore and solid diffusion kinetics in fixed bed
adsorption under constant pattern conditions",
Ind. Eng. Chem. Fundamentals, Vol. 5, No. 2,
May 1966, pp. 212-223.
[11] Foo KY, Hameed BH, "Insights into themodelling of adsorption isotherm systems",
Chem. Eng. J. 156, 2010, pp. 2-10.

in a water bath adjusted to 25°C and 30°C.
Statistical hypothetical testing shows that the lower
temperature produced better COD removal, but thatdifferences in temperature did not affect TSS
removal. COD removal by the mudballs is attributed
to adsorption followed by biodegradation, whilst
TSS removal is by physical process only. Although
COD removal was obtained at both 25°C and 30°C,
the mesophilic EM4 microorganisms appear to carryout metabolism slightly better at 25°C. Smaller
quantity of mudball increased adsorption of TSS,
however more TSS removal efficiency was achieved
with increasing quantity of mudball, which resulted
in larger diameter mudballs. The adsorption
mechanism of TSS is better described by theLangmuir isotherm model. At 25°C and 30°C theLangmuir parameters of Q m are 6.89 mg/g and 7.52
mg/g, and K L is 0.0196 L/mg and 0.0168 L/mg
respectively. K L represents binding energy, hence
the energy of adsorption appears to be slightly larger
at 25°C. The equilibrium parameter (R L ) obtained at
25°C and 30°C, i.e. 0.338 and 0.373 respectively,
indicates that the adsorption is favourable to the
Languir isotherm model. The results of this study
also suggest that diameter of the mudballs will affect
TSS removal efficiency.
ACKNOWLEDGEMENTS
The works were financially supported by theIndonesian Ministry of Technological Research andHigher Education.
REFERENCES[1] Covarrubia JC, Rayburg S, Neave M, “Theinfluence of local land use on the water qualityof urban rivers”, International Journal of
GEOMATE, July 2016, Vol. 11, Issue 23, pp.
2155-2161.
[2] Dhote S, Dixit S, "Water quality improvements
throughmacrophytesareview",738

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

EVALUATION OF RESUSPENSION OF ROAD DUST IN A CEMENT
INDUSTRIAL COMPLEX AREA
Tipawan Phetrawech1,2 and Sarawut Thepanondh1,212Faculty of Public Health, Mahidol University, Bangkok, Thailand,Center of Excellence on Environmental Health and Toxicology (EHT), Bangkok, Thailand.
ABSTRACT

Re-suspended road dust is an important contributor to ambient particulate matter (PM) particularly in anarea where fugitive dust is significant emission source. This study evaluate PM-10 and PM-2.5 emissions as
fugitive re-suspended dust from the road network in the Thai’s Pollution Control Zone. Emissions of road dust
are determined by using the analysis of silt loading and physical characteristics of the roads located in the study
domain. Diurnal profile of vehicles travelling on each roads were used to calculate temporal variation of theemission data. Diurnal pattern of PM-10 ambient concentration measured from curbside station in the study area
was used to reveal the contribution of road dust emissions to particulate concentration in the air. Results
indicated that road dust greatly influenced the temporal profile of PM-10 concentrations in this area. Therefore,
the effort to control particulate emissions in this Pollution Control Zone should also give a priority not just only
to the industrial sources but also to mobile source emissions particularly from those re-suspended road dust.
Keywords: Road dust, PM-10, PM-2.5, AERMOD, Emission rate
INTRODUCTION
In Thailand, PM-10 concentrations monitored inseveral places had been higher than both of its 24hour and annual standards (> 120 and > 50 µg/m3,
respectively). Figure 1 presents the status of PM-10
measured nationwide over the decade (from 2003 –2013). The worst polluted area from PM-10 of thecountry is at the Na Phra Lan Sub-district, Saraburi
Province (Figure 2). This area is located in thecentral region where it is home to the cement
manufacturing complex of the country. Due to the
problem of very high concentration of PM-10, thisarea had been designated as “the Pollution Control
Zone” by the Thai government since 2004 with anobjective to set up specific action plans as well as
budgets to combat with this problem.

Non-exhaust traffic induced particle emissions
are known to contribute significantly to the total
concentrations of inhalable airborne particulatematter in the size range <10 mm (PM-10) [1]. The
evidence on airborne particulate matter (PM) and its
public health impact is consistent in showing
adverse health effects at exposures that are currently
experienced by urban populations in both developed
and developing countries [2]. Particulate matter, is acomplex mixture of extremely small particles andliquid droplets. The size of particles is directly
linked to their potential for causing health problems.
Once inhaled, these particles can affect the heart andlungs and cause serious health effects [3].

Figure 1 PM-10 concentrations from 2003- 2013 [1].
739SEE-Osaka, Japan, Nov. 21-23, 2016

Figure 2 Spatial comparison of PM-10 measured nationwide in Thailand. [1]This study assessed PM-10 and PM-2.5
emissions of re-suspended dust from the road
network in the Na Phra Lan Pollution Control Zone.
Emissions of road dust are determined by using theanalysis of silt loading and physical characteristicsof the unpaved and pave roads located in the study
domain. Then emission faction of PM-10 and PM2.5 re-suspended from road are developed andfurther be used as input data for interpretation of
their ambient concentration using the air pollution
dispersion model. This study presents results of thediurnal profile of emissions of PM-10 and PM-2.5.
Calculated emission data were compared with
ambient PM-10 concentration measured from thecurbside of the road. The finding of this study assistin elucidate the contribution of re-suspended roaddust to the dust concentration in this pollution
control zone.

High concentrations of ambient PM-10 in thisarea are contributed from activities related to cement
manufacturing processes. However, it is suspectedthat PM-10 measured in the community area are also
contributed by the re-suspended road dust. It is wellrecognized that traffic and road transport are main
sources to ambient PM-10 concentrations especiallyat hot spots in urban environment [4]. Particulate
emissions from road transport include tail exhaust,
products of wearing processes and re-suspendedroad dust [5]. Particulates emitted from exhaust ofdiesel engine are relevant to speed of the vehicle [6]Field measurements in urban areas or megacities
shown elevated levels of PM10 in the vicinity ofroads coming from the contribution from resuspended particles from paved roads [7]. In urban
areas fugitive dust emissions due to vehicles
travelling on roads is the most important source ofrude particles.
Emissions from road transfer climb from both
exhaust and non-exhaust sources. The mostimportant sources of non-exhaust PM are wearing of
brake and tyre element of machine vehicles andwearing of the road surface itself. An additional nonexhaust source is the suspension or re-suspended ofpreviously placed material from the road surface
road dust by vehicle induced confusion, tyre cropand the turbulent achievement of the wind. In
addition to direct tailpipe emissions of particulates,
mobile sources are also accountable for fugitive
dusts such as those re-suspended from road.

METHODOLOGY
In this study, amount of PM-10 and PM2.5
emitted from re-suspension of road dust in the Na
Phra Lan Pollution Control Zone was estimated. The
study domain covered area of 3 x 3 km2 wascentered at the Na Phra Lan ambient air monitoring
station of the Pollution Control Department(reference point). There were 5 major roads within
the study domain as illustrated in Figure 3.

740

SEE-Osaka, Japan, Nov. 21-23, 2016

Figure 3 Major roads within the study domain
the same sampling location. Collected samples at
each sampling locations were then put in the sameplastic bag (composite sampling).
In this study, the emission rates of PM-10 andPM-2.5 emitted from re-suspended road dust wascalculated following the US.EPA AP-42 (section
13.2.1 and 13.2.2). The data collected on-siteincluded amount of dust in the study plot, anddiurnal profile of number and type of vehicles
traveling on the roads within the study domain.
Details are as followed.

Sampling locations in each road were designed
according to their length and distant between roadconjunction/intersection. Criteria of selection ofsampling points are presented in Figure 4. Totally,
there were 21 dust sampling locations in these roads.
The road dusts were collected directly from roadpavement by manual sweeping of the dust. The dust
sample plot used in this study was patterned after the
ASTM-C-136 method. It had been designed with arectangular-shaped leading edge. The sample plot
was made of plastic and had the size of 0.3 x 0.3 m2
with 0.15 m wing. At least 3-5 plots were sampled at

741

SEE-Osaka, Japan, Nov. 21-23, 2016

Figure 4 Locations of sampling points [8].

total surface dust loading on the traveled lanes, thebroom swept particles were combined as acomposite sample [8]. The samples were dried in anoven at 1300C to remove moisture and were
equilibrated in the desiccator prior be sieved.
Collected dust were then sieved using
mechanical shaker (model: Retsch AS200) throughthe 200 mesh screen (75 µm) for 10 minutes. The
total net weight and net weight of particle < 200mesh were used to calculate percent of silt using
equation (1). Results of percent of silt measured
from each road are as presented in Table 1

Silt Analysis
Dust emissions from paved and unpaved roads
have been found to vary with the “silt loading”
present on the road surface as well as the average
weight of vehicles traveling the road. The term silt
loading refers to the mass of silt-size material (equal
to or less than 75 µm in physical diameter) per unit
area of the travel surface. The total road surface
dust loading consists of loose material that can becollected by broom sweeping and vacuuming of thetraveled portion of the road. The silt fraction isdetermined by measuring the proportion of the loose
dry surface dust that passes through a 200-meshscreen using the ASTM-C-136 method. Silt loadingis the product of the silt fraction and the totalloading.
Several open dust emission factors have beenfound to be correlated with the silt content (< 200mesh) of the material being disturbed. The basic
procedure for silt content determination ismechanical, dry sieving. For sources other thanpaved roads, the same sample which was oven-dried
to determine moisture content is then mechanicallysieved. The broom swept particles are weighed in acontainer, which was tarred before sample
collection. After weighing the sample to calculate%𝐒𝐒𝐒𝐒𝐒𝐒𝐒𝐒 =𝐍𝐍𝐍𝐍𝐍𝐍 𝐖𝐖𝐖𝐖𝐖𝐖𝐖𝐖𝐖𝐖𝐖𝐖 <𝟐𝟐𝟐𝟐𝟐𝟐 𝐦𝐦𝐦𝐦𝐦𝐦𝐦𝐦
𝐓𝐓𝐓𝐓𝐓𝐓𝐓𝐓𝐓𝐓 𝐍𝐍𝐍𝐍𝐍𝐍 𝐖𝐖𝐖𝐖𝐖𝐖𝐖𝐖𝐖𝐖𝐖𝐖

× 𝟏𝟏𝟏𝟏𝟏𝟏(1)

Table 1 Percent of silt on each road

742

Roads

Silt (g/m2)% SiltPhaholyothin
Saraburi-Lomsuk
Kung Khao Kaew
3385
3034

5.38
0.78
38.11
1.22
1.33

2.79
1.80
3.49
1.12
1.92

SEE-Osaka, Japan, Nov. 21-23, 2016

PM-10 and PM-2.5 Emissions
RESULT AND DISCUSSION
The PM-10 and PM-2.5 emitted from resuspended road dust were calculated by equation 2.
𝐄𝐄𝐄𝐄 = 𝐤𝐤 × 𝐬𝐬𝐬𝐬𝟎𝟎.𝟗𝟗𝟗𝟗 × 𝐖𝐖 𝟏𝟏.𝟎𝟎𝟎𝟎

Diurnal variation of emission rates of PM-10 andPM-2.5 from each roads are presented in Figure 5
and 6. The difference between amounts of dust
emitted from these road was mainly caused bynumber of vehicle travelling on each road.
Phaholyothin road emitted the highest amount of resuspended road dust due to its largest number of
total vehicle as well as it was served as the mainroad for industrial transportation with a large
number of truck travelling on this road (Figure 7).

(𝟐𝟐)

where; EF is particulate emission factor (having
units matching the units of k), k is particle size
multiplier for particle size range and units of interest
shown in table 2, sL is road surface silt loading(grams per square meter; g/m2), and W is average
weight (tons) of the vehicles traveling the road.
Table 2 Empirical constants used in the calculation
Size range
PM-2.5PM-10

Particle Size Multiplier k (g/VKT*)
0.15
0.62

* VKT = vehicle kilometer traveled

Figure 5 Emission rate of PM-10 from re-suspended road dust

743

SEE-Osaka, Japan, Nov. 21-23, 2016

Figure 6 Emission rate of PM-2.5 from re-suspended road dust

Figure 7 Total number of vehicles travelling on each road744

SEE-Osaka, Japan, Nov. 21-23, 2016

The diurnal profile of PM-10 emission rateestimated as Phaholyothin road was used to evaluate
the influence of re-suspended road dust to particulate
concentration in the study area. Hourly average of
PM-10 concentrations measured from the curbsideof this road during the sampling period werecompared with its emission profile as presented in
Figure 8. It should be noted that there were no
activities related to cleaning of the road during thedust sampling period. Results clearly indicated thecontribution of re-suspended road dust to the PM-10
concentration. These results suggested that theefforts should be made in controlling not only
emissions from industrial sources but also thosereleased as re-suspended road dust in this Pollution
Control Zone. For the reduction of daily
concentration of PM-10 to meet its legislative
ambient air quality standard, the silt loading on theroad surface should be removed.

One of the possible mitigation action isscheduling the cleaning period of the road duringmorning and evening times.
Table 3 Emission rate of worst caseRoads
Phaholyothin
Saraburi-LomSuk
Kung Khoa Keaw
3385
3034

Worst case emission rate
(g/km)
PM-10
PM-2.5
35155
3782
27784
616
6273

8002
1165
39017
265
3069

Figure 8 Diurnal variation of PM-10 concentrations and PM-10 emissions from re-suspended road duston the road surface was carried out covering entire
roads within the zone. These data were evaluated foramount of PM-10 and PM-2.5 emissions following
the concept of analysis of the silt content. Results
revealed the diurnal profile of amount of particulate
emissions with respect to number of total vehicle

CONCLUSION
Emission rates of PM-10 and PM-2.5 released
from re-suspended road dust were evaluated for an
area designated as Pollution Control Zone in
Thailand. Direct measurement of particle deposition745

SEE-Osaka, Japan, Nov. 21-23, 2016

and contribution of heavy duty truck travelling inthis area. It also provided the information that the
PM-10 concentrations measured in this area wasassociated with amount of re-suspended road dust.

[3] Environmental Protection Agency; Particulatematter (PM), 2016. https://www3.epa.gov/pm.
Accessed May 25, 2016.
[4] Ketzel M., Omstedt G., Johansson C., Ingo Du¨
RI., Pohjola M., Oettl D., Gidhagen L., Wa˚
HP., Lohmeyer A.,
Haakana M., andBerkowicz R., Estimation and validation of
PM2.5/PM10 exhaust and non-exhaust emission
factors for practical street pollution modelling,
Atmospheric Environment, 2007, 41, pp. 93709385.
[5] Cheng YH., and Li YS., Influences of Traffic
Emissions and Meteorological Conditions on
Ambient PM-10 and PM-2.5 Levels at a
Highway Toll Station, Aerosol and Air Quality
Research, 2010, 10, pp. 456-462.
[6] Outapa P., Kondo A., and Thepanondh S.,
Effect of speed on emissions of air pollutants inurban environment: case study of truck
emissions, International Journal of GEOMATE,
2016, 11, pp. 2200-2207.
[7] Pay MT., Guerrero PJ., and Baldasano JM.,
Implementation of resuspension from paved
roads for the improvement of CALIOPE air
quality system in Spain, Atmospheric
Environment, 2011, 45, pp. 802-807.
[8] Measurement Policy Group Office of Air
Quality Planning and Standards U.S.
Environmental Protection Agency, Emission
Factor Documentation for AP-42, January.
2011.

ACKNOWLEDGEMENTS
The authors sincerely thanks the Pollution
Control Department, the Siam Cement PublicCompany Limited, and Na Phra Lan Sub-district
Municipality for providing input data used in thisstudy. This study was partially supported for
publication by Center of Excellence on
Environmental Health and Toxicology (EHT),
Faculty of Public Health, Mahidol University,
Thailand.
REFERENCES[1] Modelling road dust emission abatement
measures using the NORTRIPmodel: Vehicle
speed and studded tyre reduction M. Norman b,
I. Sundvor c, B.R. Denby a, , C. Johansson b, d,
M. Gustafsson e, G. Blomqvist e, S. Janhall e
Atmospheric Environment 134, 2016, pp. 96108.
[2] World Health Organization, WHO Air quality
guidelines for particulate matter, ozone,
nitrogen dioxide and sulfur dioxide Global
update 2005 Summary of risk assessment, 2006,
pp. 9.

746

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

PAIN MANAGEMENT KNOWLEDGE AMONG MEDICAL WARD
NURSES IN MALAYSIA
Kim Lam Soh1, Salimah Japar 1, Wan Zaida Wan Md Hanapi2, Rosna Abdul Raman1, Swee Leong Ong3
and Kim Geok Soh4
1

Faculty of Medicine and Health Sciences, Universiti Putra Malaysia, Malaysia, 2 Community Nursing
College Pasir Mas, Malaysia, 3Faculty of Medicine and Health Sciences, Universiti Sultan Zainal Abidin,
Malaysia, 4Faculty of Educational Studies / Sport Academy, Universiti Putra Malaysia, Malaysia
ABSTRACT: Pain, a common symptom for patients in medical wards, can be relieved by effective pain
management, with nurses playing a vital role in this regard. A study was undertaken to determine the knowledgeof nurses on pain management and to examine the factors that influence their acquisition of such knowledge. A
total of 143 medical ward nurses (representing 60% response) in a government referral hospital in Malaysia
participated in the study. Data from this study derived from a set of questionnaires were analysed using 2 x 2contingency tables and the chi squared test with Yate’s correction. Approximately two thirds of the nurses were
deficit in knowledge regarding pain management, registering a mean knowledge score of 40.5 out of a possible
100 points. There was no significant association between the level of knowledge on pain management anddemographic characteristics such as age and work experience. There was also no significant relationship between
the level of knowledge on pain management and the pain courses attended. A better understanding of the factorsthat affect the acquisition of such knowledge could provide useful information that can be incorporated in an
improved educational program on pain management for nurses.
Keywords: Pain management, Medical wards, Nurses, Malaysia

In the management of pain, the majority ofhealthcare professionals prefer pharmaceuticalprocedures, although a significant number are
acquainted with established and recommended nonpharmaceutical techniques such as distraction andrelaxation which can help to prevent or alleviate
pain [13]. In many situations, a combination of nonpharmacologicalmethodsalongwithpharmacological approaches can be beneficial tohospitalized patients. Some nurses are reluctant tobelieve patients’ descriptions of their pain despite
acknowledging that good pain assessment isdependent on the individual’s description of thenature and intensity of pain. According to EdwardsNash [14], nurses’ poor knowledge of the benefits of
opioids may cause them to be unduly concernedwith the negative attributes of opioids rather thanwith patients’ benefits such as comfort, mobility,
and independence.
Previous studies investigated the association offactors such as age, education, and working
experience with patients’ level of knowledge on pain
management [15]-[16]. In this connection, studies
have also provided evidence on an association
between years of experience of nurses and effective
pain management [17]. Nevertheless, other studies
point to the contrary [18]. Furthermore, the effect offormal education on the effectiveness of pain
management is still far from conclusive [19]-[20].
Some studies focus on education as the mostimportant tool to improve pain management [21]while others highlight the role of personal

INTRODUCTION
Pain is defined as an “unpleasant sensory andemotional experience associated with actual or
potential tissue damage or described in terms of suchdamage” [1]. It is one of the most common reasonsfor seeking health care. According to definition by
McCaffrey “pain is subjective and that the patient’s
pain is whatever the patient indicates” [2].
Prevalence of pain in the first 24 hours of admission
to hospital is reported to be in the range of 48 to 88
percent [3]-[4]. Approximately 30% of hospitalpatients experience severe pain [3]-[5], which affects
their physical, psychological and also their social
well-being [6]-[7]. Pain also affects hospitalized
patients emotionally and spiritually [8]. Unrelieved
pain brings much suffering, slows down therecovery process, and may even contribute to other
health problems [9] and might also result inundesirable physiological and psychologicalconsequences [10]. It is the main reason for anxiety
and emotional distress. In this regard, nurses play animportant role in effective pain management [8]-[11].
Poor pain management due to nurses’ lack ofexperience and knowledge has negative effects on
pain management, giving rise to complaints onnurses’ performance [12]. Insufficient knowledge ofpain management among nurses is a continuing
concern in Malaysia. It is important to ensure thatward nurses are able to intervene pharmacologicallyor non-pharmacologically to ease the pain of theirpatients.
747

SEE-Osaka, Japan, Nov. 21-23, 2016

experience and interaction with colleagues [22].
Nurses’ knowledge, beliefs, and attitudes are key
factors in determining their behavior and approachin pain management [19]. There have been
unsubstantiated reports attributing nurses’ lack ofknowledge for their inadequacy in pain relief. [23][24]. The present study was therefore aimed atdetermining the level of nurses’ knowledge on pain
management and examining the factors that
influenced their knowledge or lack of it.

The data collection process was from 1st December
2008 till 30th January 2009. The Ward Manager inevery ward was informed about the study and had
agreed to distribute the questionnaires to all nurses,
who were given two weeks to complete it. The
participants were asked to put the completed
questionnaire into the closed envelope provided in
Ward Manager’s room. For those who were refused
to participate, they were also required to returnquestionnaire into the closed envelope.

METHODS

Data Analysis

A cross-sectional study design was conductedusing a structured self-administered questionnaire at
one of the largest government referral hospitals in
the Klang Valley in Malaysia.
One hundred and forty three out of 238 registerednurses working in nine (9) medical wards at the
government hospital took part in this cross-sectional
study after informed consent.

SPSS (Statistical Package for Social Sciences)
Version 21.0 for windows was used for data
analysis. A knowledge score was calculated basedon 14 questions ‘true or false’ statements
concerning
pharmacologicalandnonpharmacological interventions with a total score of
14. There were 3 response choices: ‘True’, ‘False’and ‘Not sure’. The respondents scored zero for‘false” or “not sure” answer. A total score wascomputed for overall pain knowledge based on thenurses’ performance on all the individual items.
Descriptive data analysis was performed on the
demographic information and questionnaire
outcome relating to the level of knowledge in pain
management. The chi squared test and Yate’s
correction was performed to evaluate theassociation between knowledge level anddemographic variables, education level, age, yearsof nursing experience, and recent exposure to pain
management course. The level of statisticalsignificance was set at p <0.05.

Instrument
A self-administered questionnaire was used toassess nurses’ knowledge on pain management,
which comprised of three sections; A, B and C.
Sections A and C adapted from Smart [25], andsection B adapted from McCaffrey and Ferrell [26].
Section A elicited a socio-demographic profile of theparticipants that included data such as age, level of
education, and years of nursing experience. There
were seven questions pertaining to information onwhether the participant had received instruction in
anatomy or physiology and in understanding pain
management. Section B focused on knowledge
concerning pain and pain management. There wereseven questions pertaining to knowledge on
pharmacologic interventions and another sevenpertaining to non-pharmacologic interventions.
Participants had to choose the best answer for eachquestion from among the choices: ‘True’, ‘False’,and ‘Not Sure’. Section C had nine questions that
focused on previous (before working in the medicalunit) and recent (after working in the medical unit)
exposure to pain management courses.
Before its application in this study, thequestionnaire was reviewed by three experts in pain
management that included an anaesthesiologist, award manager in the Emergency Department, and an
Acute Pain Service nurse from a government
hospital. The three experts agreed to and accepted
the content of the questionnaire. To check forclarity of the questions, pre-testing was conducted
on 12 nurses from a medical ward at anothergovernment hospital. No alteration was done to thequestionnaire after the pre-testing.

Ethical Considerations
Approval was obtained from the University
Medical Research Ethics Committee and theMinistry of Health Ethics Committee to perform thisstudy. All respondents were given participation
information sheets and they could choose whether or
not to participate. The information from participants
was kept confidential and used only for the purposeof this study.

RESULTSOut of a total of 238 participants who received
the questionnaires, 143 returned completed
questionnaires, giving a response rate of 60%.
Table 1 shows the demographic profile of theparticipants in this study. The age mean and SD of
the participants was 27.85 ± 6.16 years. The
average length of the nurses’ working experience
was 4.44 ± 5.82 years. The majority of theparticipants 131 (91.6%) had a diploma in nursing

Data Collection

748

SEE-Osaka, Japan, Nov. 21-23, 2016while
9(6.3%)
hadcompletedtheirbaccalaureate degree in nursing.
The mean knowledge score for pain management
was 40.5±9.67. The majority of the participants(n=101, 71%) had pain knowledge scores of 49%
and below. Only 29% (n=42) had pain knowledge
scores of 50% and above (Figure 1). There was no
significant association between knowledge score andage, level of education, or working experience(Table 2).

participants held certificates in pain assessment(Table 3).

Table 2 Relationship between knowledge score anddemographic characteristics
Characteristics

Age

Table 1 Demographic characteristics
Characteristics (n=143)Age≤26years≥27yearsn (%)

27.85±6.1578(54.5)65(45.5)9(6.3)
131(91.6)3(2.1)

Year of nursing experience<3years≥3years73(51.0)70(49.0)

Figure 1 Distribution
knowledge score≤26years≥27years*Edu level
Non degree

Mean±SD

Level of nursing education
DegreeDiploma
Certificate

pain

51(65)
50(77)

27(35)
15(23)

96(72)

38(28)

Degree5(56)4(44)**Experience<3 years
49(67)
24(33)≥3 years
52(74)
18(26)*Edu level: Nursing education level**Experience: Nursing Experience

df

χ2

P

1

1.75

.19

1

0.42

.52

1

0.57

.45

Table 3 participation in pain management courses

4.45±5.83

ofKnowledge Score(n=143)≤49≥50(101;71%)(42;29%)n(%)n(%)

Participation in pain-related course(n=143)
1. Received in-service education in
anatomy/physiology of pain
2. Received in-service education inpain assessment
3. Received in-service education inpharmacological intervention
4. Received in-service education in
non-pharmacological intervention
5. Awarded certificate in pain
assessment
6. Participated in multidisciplinary
discussion related to pain
assessment/management
7. Read journal articles or pain
literature on the internet related topain management
8. Received any education on pain
management
9. Discussed pain management withthe acute pain service (APS) team

Yes
n (%)
81(57)

Non (%)
62(43)

99(69)

44(31)

106(74)37(26)

91(64)

52(36)9(6)134(94)56(39)

87(61)

64(45)

79(55)

84(59)

59(41)

34(24)

109(76))

There was no significant relationship between
recent participation in courses related to pain
management and knowledge on pain management(Table 4).

management

DISCUSSION

Approximately one third of participants (n=59, 41%)
reported that they had not previously attended any
course on pain management course and 59% ofnurses reported had exposure to such courses. The
majority of the participants had attended pain
management courses recently. Although more than
55% of the participants received in-service training
regarding pain management, only six percent of theThis study was undertaken to assess the level ofnurses’ knowledge on pain management and to
examine the factors that influenced their knowledge
in this respect.
Nurses who lack sufficientknowledge on pain management are not in a position
to help alleviate the pain suffered by hospitalized
patients [27]. Nurses play an important role in749

SEE-Osaka, Japan, Nov. 21-23, 2016

comforting patients. As such, they should have agood foundation of knowledge regarding pain
management as this would allow them to develop a
positive perspective towards the patient’s discomfort
and deliver individualized patient care. The successof any pain management requires the cooperationand participation of patients as previous research has
shown that patients’ participation in their self-careresults in less pain distress, sensation, and analgesicuse [28]. Patient involvement in decisions about
treatment process is subjective, and only the patientsthemselves can really describe their pain or
discomfort. Pain management programs need toaddress issues like physiology of pain, myths andmisconceptions about pain, precise description of apatient in pain, pharmacological and nonpharmacological techniques for pain management,
and ethics in pain management.
This study found that there was a knowledge
deficit among nurses in relation to pain management.
More than 70% of the participants obtained
knowledge scores lower than 50% when questioned
about pain management. Such knowledge deficit
among nurses may be one of the factors contributing
to reports of pain and discomfort experienced bypatients seeking healthcare even though healthcare
providers are provided with various treatment
options and guidelines on the expected standards ofcare [29-30].
This study found no significant association
between the level of pain management knowledge
and education level, age, or work experience. The
findings of this study are in accordance with twoother studies that found no significant difference inpain management knowledge level in relation to age
and years of nursing experience [18-31]. On theother hand, Lui-So [8] reported that the nurses who
were older and had longer working experience weremore knowledgeable and were more likely to apply
their knowledge in pain management.
This study did not find any significant
association between the level of knowledge andparticipation in in-service education. A study byTwycross [19] similarly found that attending courses
on pain management did not make any difference tothe level of knowledge in this area among nurses.
On the other hand, Patiraki-Kourbani-Tafas [21]found that attending continuing education programs
had a positive impact on knowledge acquisition on
pain management. Pud [32] also found that thelonger nurses were exposed to correct information
regarding pain management, the higher their level ofknowledge. Findings in these two studies support theneed for continuing education in relation to pain
management and underline the importance ofknowledge acquisition in this regard. There is also aneed to emphasize the implementation ofstandardized guidelines for pain assessment services[13]. It should be borne in mind that learning
happens when the learner acquires knowledge of a
topic via processing information through listening,reading, thinking, memorizing, analysing, andapplication.
In other words, learners acquire
knowledge not solely from formal educational
program or books, but also through hands-on
practice[33]

Table 4 Relationship between knowledge scores on pain management and recent participation in courses related
to pain management
Recent participation in courses related to pain management(n=143)

1. Received in-service education in anatomy / physiology of
pain
Yes
No
2. Received in-service education in pain assessment
Yes
No
3. Received in-service education in pharmacologicalintervention
Yes
No
4. Received in-service education in non-pharmacologicalintervention
Yes
No
5. Awarded certificate in pain assessment
Yes
No
6. Participated in multidisciplinary discussion related to pain
assessment / management

750

Knowledge Score≤49≥50(n=101; 71%) (n=42; 29%)
n(%)
n(%)
df
1
52(64)
49(79)

29(36)
13(21)

67(68)
34(77)

32(32)
10(23)

74(70)
27(73)

32(30)
10(27)

59(65)
42(81)

32(35)
10(19)

5(56)
96(72)

4(44)38(28)

χ2
3.05

P
0.08

1

0.93

0.34

1

0.24

0.88

1

3.32

0.07

1

0.42

0.52

1

0.01

0.98

SEE-Osaka, Japan, Nov. 21-23, 2016

Yes
No
7. Read journal article or pain literature on
the internet related to pain management
Yes
No
8. Received any education on pain management
Yes
No
9. Discussed pain management with theacute pain service (APS) teamYesNo

39(70)
62(71)

46(72)
55(70)

18(28)
24(30)

57(68)
44(75)

27(32)
15(25)

27(79)
74(68)

As far as practice is concerned, medical units
should be committed to effective pain management as
an institutional goal by developing standardized
guidelines and protocols for pain management for
nurses in medical wards.
Quality improvement
programs should also be instituted with the aim of
improving the process of assessing and treating pain byusing appropriately pain assessment tools such as apain scale based on patient’s verbal abilities. However,an ideal implementation of this approach would require
expertise in applying such knowledge, especially in
special care situations. For example, ‘looking good’
does not always mean that a patient is not sufferingfrom pain. A cycle of treating pain, reassessing results
and continuing treatment needs to be established until
there is reasonable certainty that the patient feels
comfortable. It is also important to be aware of theeffects of non-pharmacological methods because a lackof knowledge and uncertainty can render the use ofnon-drug approaches ineffective [34].
The main limitation of this study is that it was
carried out at one government hospital only, and so thefindings cannot be generalised to all medical wards inother hospitals in Malaysia. Nevertheless, this study
provides an insight into nurses’ knowledge on pain
management and identifies areas for future
improvement.

17(30)
25(29)
1

0.12

0.91

1

0.47

0.50

1

1.15

0.28

7(21)
35(32)

likely to be more knowledgeable in this regard.
Ultimately, change will not occur until there is public
participation and joint efforts to improve pain
management.
ACKNOWLEDGEMENT
The authors would like to express special thanks to
Director General of Health Malaysia for permission to
publish this paper.
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Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

THE TREND OF ENTERAL FEEDING AMONG CRITICALLY- ILL
PATIENTS IN ADULT ICUs IN MALAYSIA
Salimah Japar 1, Kim Lam Soh1, Hatifah Che Hussin2, Nor Airini Ibrahim1, Swee Leong Ong3
and Kim Geok Soh4
1

Faculty of Medicine and Health Sciences, Universiti Putra Malaysia, Malaysia, 2 Hospital Putrajaya,
Malaysia2 , 3Faculty of Medicine and Health Sciences, Universiti Sultan Zainal Abidin, Malaysia, 4Facultyof Educational Studies / Sport Academy, Universiti Putra Malaysia, Malaysia

ABSTRACTThe adequacy of caloric intake is crucial for all critically-ill patients in Intensive Care Units because energy
expenditure is higher in these patients compared to normal patients in general wards. Adequate calorie intake
will promote positive outcome to the patients while inadequate calorie will lead to malnutrition which will
increase the length of stay. The objective of this study was to determine the adequacy of caloric intake received
by critically-ill patients in the general ICU in Malaysia. This was a cross sectional study which used a pro forma
adapted from ICU protocol. There were 132 participants involved in this study. The descriptive statistic andindependent t-test were used for the statistical analysis. The results showed that 75.8% (n=100) received
adequate or more than calorie prescribed while 24.2% (n=32) received calorie less than the given prescription.
Patients that received early feeding were 72% (n=95) and late feeding were 28% (n=37). The continuous feeding
method was most commonly used in early feeding patients from Day 1 to Day 3. There was an association
between the adequacy of calorie intake and the length of stay (p<0.05). Findings obtained from this study will
provide information for the nurses and other health care providers to improve the management of patients so thatall patients will receive adequate caloric intake during their stay in ICUs
Key words: Intensive Care Unit (ICU); Enteral feeding; Continuous feeding; Intermittent feeding; Calorie intake
costs [6].
Early enteral feeding in critically ill patientsshould commence within 24 hours of admission to
the ICU [9]. In order to achieve adequate calories for
all patients in ICU, early enteral feeding wasrecommended as soon as possible after being
admitted to ICU. Current recommendations suggest
a target calorie intake of 25 kcal/kg/day for patientsin ICU [9]. Many studies have been conducted on
the adequacy of caloric intake among ICU patientsworldwide but there is limited data available in
Malaysia especially regarding the adequacy of
caloric intake among ICU patients. The objective of
this study was to determine the adequacy of caloric
intake received by critically-ill patients in the
General ICU in Malaysia.

INTRODUCTION
Nutritional support is considered as an essential
component in the care of critically-ill patients, either
to treat existing malnutrition or to prevent thedevelopment of nutritional deficiencies [1]. Despite
treatment of patient’s disease by using medications,adequate caloric intake has become an importantelement in patient’s management [2]. Malnutritionis very common among ICU patients and frequently
it was due to inadequate caloric intake [3, 4].
Evidence shows that malnutrition is associated withpoor outcomes among ICU patients as reflected byincreased morbidity, mortality, and length of stay [5,6]. Intensive care patients with adequate caloric
requirements are more likely to achieve reduced
time on a ventilator support, fewer complications
such as low risk of infection and shorter time of
hospital stay [7].
Enteral feeding is the most common method usedin ICU to provide nutrition support to the criticallyill patients. Enteral feeding is recommended for
critically-ill patients who cannot consume oral dietwithin three days in order to supply the energy to thepatients [8] Advantages of enteral feeding include
the enhancement of intestinal mucosal integrity andnutrient absorption, improvement of metabolic andimmune response, reduction of complications and

METHODS
Study Design and ParticipantsThis was a cross-sectional study conducted in a
General ICU hospital in regional Malaysia from
October until December 2008. All participants wereabove 18 years old. They received intermittent bolus
or continuous feeding for more than 24 hours. The
study did not include patients who received nutrition
support either orally, parenteral, or a combination of753

SEE-Osaka, Japan, Nov. 21-23, 2016

enteral and oral methods during the period of thestudy. The sample size for this study was 126
patients.

Descriptive analysis involving percentages, means
and frequencies were used to report period of
initiation, type of formula, mode of enteral feeding,calorie intake per day and problems encountered. An
independent sample t-test was conducted to examine
the association between early initiation of enteralfeeding and adequacies of calorie intake received bypatients with patient’s length of stay in ICU.

Instrument
Data were collected using a standardized checklist(Proforma) which was developed from ICU
management protocol [9].
The proforma wasdivided into two sections. The first section was
focused on patients’ demographic characteristics:
age, weight, height, diagnosis on admission, ideal
body weight (IBW), SOFA (Sequential Organ
Failure Assessment) score and SAP II (Simplified
Acute Physiology) score followed by admission date
to ICU and start date of feeding. The second section
included type and formula of enteral feeding. Thissection also focused on patients’ conditions as wellas problems encountered from day one until day
five. Calculation of calorie intake started from 7 am
until 7am (completed for 24 hours) and updated inproforma.
The proforma was reviewed by two
Anesthesiologists from a government hospital and
one ward manager with critical care backgroundfrom another government hospital. No alteration wasmade after the experts reviewed and agreed with therelevancy and adequacy of the proforma thatmeasured the adequacy of calorie intake ofcritically-ill patients. The proforma was pretested on
10 adult patients with all the listed criteria from thesame general ICU in September 2008.
Ethical approval was obtained from University
Medical Research Ethics Committee and National
Institute of Health Ethics Committee. Patients who
fulfilled the inclusion criteria were chosen from theadmission book and were selected for this study ifthey agreed to participate and signed informed
consent. The purpose and confidentiality of thisstudy was reported to the Head of Department andward manager in charge of ICU before datacollection. All information gathered during reviewsof patients’ report was remained confidential.

RESULTS
There were 377 admissions in ICU during thethree-month study period. Out of the 377 admissions,
142 admissions were not on enteral feeding, 22participants did not meet the inclusion criteria and81 participants had less than 24 hours enteralfeeding. The final number of participants in thisstudy was 132. Table 1 shows, participants were
mostly of Malay (52%) ethnicity, the majority ofthem males (71.2%) and mean age was 53.35
SD15.96. The length of stay of the participants
ranged from 2 to 61 with majority of the participants
stayed in ICU for less than five days 40.2% (n=53).
Table 1 Demographics characteristic of ICU patients
Characteristics
Ethnicityn (%)
MalaysChineseIndians
Others69 (52)26 (19.7)
24 (18.2)
13(9.9)Male
Female94 (71.2)
38 (28.8)

Mean SD

Sex

Age
ICU LOS (day)53.35 15.96
9.12±8.236
≤5
6-10
11-15
≥16

53(40.2)
48(36.4)
14(10.6)
17(12.9)

LOS: Length of Stay

The mean SOFA score was 8.65±SD3.969 andmean SAPS II score was 43.11±SD17.75.
Meanwhile, the most common disease involved was
the respiratory system (35.6%). Severity of illness
score of patients’ condition are shown in Table 2.

Data collection
Patients’ daily calorie intake was collected in thehealth information system and the calorie received
were calculated and updated in the proforma.
Patients’ calorie intake was monitored for five days
after the initiation of enteral feeding. Data collection
lasted for 5 days and each patient was followed up to
determine the outcome of either being discharged
from ICU or death.

Table 2 Severity of illness
Severity of illness
SAPS II score
SOFA score
SystemRespiratory
ImmuneSkeletal
Cardiovascular
Endocrine
Urinary
Central Nervous
Digestive

Data Analysis
Data were analyzed by using the Statistical
Package for Social Sciences (“SPSS”) version 14.0.
754

n (%)

47(35.6)24(18.2)
14(10.6)
11(8.3)10(7.6)10(7.6)8(6.1)
8(6.1)

Mean  SD
43.1117.75
8.653.969

SEE-Osaka, Japan, Nov. 21-23, 2016

Table 3 shows the condition of patients in the
ICUs. The number of participants with Invasive
positive pressure Ventilator (IPPV) decreased fromthe first day to the fifth day (n=64; 48.5%) and(n=19; 14.4%) respectively. Some participants weredischarged from ICU on day two onwards.

(n=57) followed by Glucerna 32.5 % (n=43). Only
one participant used Isocal on the first day.
Table 6 Types of feeding formula
FormulaTable 3 Number of patients on NIPPV versus IPPVNormal
NIPPV
IPPV

Day 1

Day 2

Day 3

Day 4

Day 5

n(%)

n(%)

n(%)

n(%)

n(%)

21(15.9)47(35.6)64(48.5)42(31.8)48(36.4)
42(31.8)

67(50.7)
38(28.8)27(20.5)80(60.6)28(21.2)
24(18.2)

EnsureNephroEnercal
IsocalGlucerna
Pulmocare
Others96(72.7)
17(31.1)
19(14.4)

Normal: Breathing normally; NIPPV: Non-invasive positive
ventilation; IPPV: Invasive positive ventilation

Table 4 Anthropometric characteristic of patients in
the ICUsn (%)

4(3.0)
57(43.2)
71(53.8)11(8.3)70(53)
51(38.7)

Mean±(SD)
159.58±(12.391)
66.65±(16.626)
25.9780±(5.39085)

Calories intake
n(%)<25kcal/kg/day
32(24.2)≥25kcal/kg/day
100(75.8)

57.83 (± 6.320)

Problem
Encountered
Asp >200ml

Intermittent
Continuous

Day 3
n=93
n(%)
51
(55.4)

Day 4
n=78
n(%)
52
(66.7)

Day 5
n=58
n(%)
38
(65.5)

90(68.2)

77(60.6)

42(45.1)

26(33.3)

20(34.5)

Day5
n=58
%
Nil
12.1
20.7
Nil
46.6
5.1
15.5

Day 1
n=132
n(%)
76
(57.6)
56(42.4)

Day 2
n=127
n(%)
58
(45.7)
69(54.3)

Day 3
n=93
n(%)
39
(41.9)
54(58.1)

Day 4
n=78
n(%)
29
(37.2)
49(62.8)

Day 5
n=58
n(%)
16
(27.6)
42(72.4)

Table 8 Distribution of problem encountered during
enteral feeding

Table 5 Methods of enteral feeding
Day 2
n=127
n(%)
50
(39.4)

Day4
n=78
%
Nil
12.8
20.5
Nil
46.1
8.9
11.5

Table 8 shows the problems encountered during
enteral feeding. The majority of the participants had
hyperglycemia during five days of enteral feeding.
However it decreased at day four and five. There
was no problem encountered with vomiting after thethird day of feeding. As for gastric fluid, it
decreased from day one to day five.

95 (72.0)37(28.0)

Day 1
n=132
n(%)
42
(31.8)

Day3
n=93
%
Nil
14.0
28.0
Nil
39.7
7.5
10.8

Table 7 Distribution of caloric intake per day
received by patients

Most of the patients used continuous feeding on
day one and day two, 68.2% and 60.6% respectively.
However, as Table 5 shows, choice of intermittent
bolus feeding was increased on third (55.5%) and
fourth day (66.7%).

Methods

Day2
n=127
%
0.8
14.2
41.7
Nil
29.9
5.5
7.9

Patients who received less calorie requirement
were decreased from day two onward.
Approximately half of the patients received less thantheir requirement on day one which is 57.6 % (n=76)
however, the percentage decreased from day two
45.7% (n=58) onward. The number of patients
receiving adequate calories or more thanrequirement increased from 42.4% (n=56) from day
one to 72.4 % (n=42) on day 5 (Table 7).

Table 4 shows, the majority of these patients,
53.8% (n=71) were overweight with BMI more than
25kg∕m². A majority of the participants 72% (n=92)
had received early feeding within 48 hours ofadmission to the ICUs as compared to 30% of theparticipants who received feeding after 48 hours ofadmission.

Anthropometrics(n=132)
Height(cm)WeightBMI(kg∕m²)
Below 18.5
18.5-25
Over 25
Ideal Body Weight<50kg
50-60kg>61kg
Period of initiation ofenteral feeding≤ 48 Hours> 48 Hours

Day1
n=(132)
%
Nil
13.6
43.2
0.7
32.5
4.5
5.3

Vomit
Diarrhea
Hyperglycemia
Omission

Day 1
n=132
n(%)
13
(9.8)
4
(3.0)
2
(1.5)
46
(34.8)
11
(8.3)

Day 2
n=127
n(%)
10
(7.8)
1
(0.7)
5
(3.9)
49
(38.5)
13(10.2)

Day 3
n=93
n(%)
6
(6.4)
nil

Day 4
n=78
n(%)
3
(3.8)
nil

Day 5
n=58
n(%)
2
(3.4)
nil

5
(5.3)
45
(483)
6
(6.4)

4
(5.1)
27
(34.6)
1
(1.2)

nil
26
(44.8)
2(3.4)

Asp: Aspiration

Table 6 shows the most common feeding
formula used on the first day was enercal 43.2 %The results in Table 9 indicates, there was no
significant association between patients that received
755

SEE-Osaka, Japan, Nov. 21-23, 2016

early feeding more than 48 hours (M=10.16,
SD=6.77) and the patients who received earlyfeeding less than 48 hours (M=9.01, SD=8.74, t (130)=0.72, p=0.47 eta score, 0.004). The t-test was also
conducted to compare the mean length of stay in
ICU for the group receiving adequate calorie
requirement and group receiving inadequate calorie
requirement. The results of the analysis indicated asignificant difference between the group received
adequate calorie requirement (M=9.97, SD=8.09)
and the group receiving inadequate calorie
requirement (M=6.47, SD=4.90; t (97.15) =-2.82
p=0.006, eta squared= 0.06)

Anaesthesiologist [9] guidelines in the initiation ofenteral feeding.
Clinical stability and poor
nutritional status are the factors which interrupt early
initiation of enteral feeding [9, 13]. Findings ofprevious studies also unanimously agree that
initiation of enteral feeding within 48 hours after
injury or acute illness should be provided forpatients requiring intensive care [14].
Provision of early feeding also affects patients’calorie intake as most of the patients achieved theircaloric requirements three days after thecommencement of their enteral feeding [15]. The
findings of previous studies have also provided
evidence on the effect of early nutrition support on
the duration of patients’ intensive care [16].
However, the findings of studies on the effect ofearly nutritional support on the duration of stay havebeen far from conclusive because patients who
received early feeding had the longer length of stay
[17, 18]. It appears that the existence of suchvariation may be due to different factors that include,
but they are not limited to different study
populations, types and severity of diseases, and ageof patients.
In the context of this study, Enercal (n=57,
43.2 %,) and Glucerna (n=43, 32.5%) which are thepolymeric types of formula were commonly used toprovide nutritional support to patients with enteralfeeding in ICU. Patients’ tolerance to formula
feeding has an influence on whether they canachieve the caloric requirement in the targeted
duration of time. Therefore, enteral feeding should
be given based on the guideline while deciding on
the appropriate feeding formula for patients to avoid
any harm [9]. As a result, establishing guidelines
and provision of knowledge on appropriate nutrition
are important [19]. However, different studies mightyield different results as to appropriate formula forpatients in ICUs [20]. In this study patients, whoreceived enteral nutritional support following
Nephro formula, were scarce (7.6%) because
Nephro formula is suitable for patients with renal
diseases since the caloric content is higher than thecontents of fluid which is 2kcal/ml [21]. At the sametime, it is more concentrated and patients need only
half the volume to achieve adequate calories. Still
this formula can lead to higher incidences ofdiarrhea and hyperglycemia.
A majority of the patients used continuous
feeding on the first and second days, (68.2%) and(60.6%) respectively, while the choice ofintermittent bolus feeding was increased on the third(55.5%) and fourth day (66.7%). Previous studies in
the literature have provided support on the use ofintermittent feeding on the grounds that patientsreach adequacy of calorie intake earlier that
continuous feeding [22, 23]. In contrast, continuous
feeding is mostly used in acute phases; therefore
there may be a delay in receiving adequate calories.

Table 9 Association between early initiation ofenteral feeding and adequacies of calorie intake
received by patients and length of stay (LOS)Period of initiation
Less than 48 hours
More than 48 hours
Calorie received
Less than requirement
Adequate or more thanrequirement

n

LOS
mean

SD

P*

95
37

9.01
10.16

8.743
6.768

0.371

32
100

6.47
9.97

4.90
8.90

0.006

DISCUSSION
Most of the patients (75.8%) received adequate
caloric consumption. This is consistent in a study
conducted in a ICU at a private tertiary care hospitalin Philippines [10]. The authors found that calorie
intake was achieved at day three after starting
enteral feeding. The majority of the participants inthis study were above 50 years of old with the mean
age of 53.4 which support the findings ofChittawatanarat et al. [11]. This finding highlights
the importance of extra nutritional support for older
people when being admitted to hospital due tomalnutrition [12].
This study also yielded some information on theethnicity of the patients which reflects thecomposition of the population in terms of ethnicity.
The majority of patients who received enteralfeeding were Malays (52%) followed by Chinese(19.7%), Indians (18.2%) and others races (9.9%)
including one aborigine and 12 foreigners.
According to Yip et al., [8] Malays, mostly, choose
traditional treatment in the early stage and they visit
the hospital in critical poor nutrition condition. As aresult, more intervention is needed compared to theother ethnic groups. They also reported that 40% of
Malay patients went to hospitals only when the
diseases such cancer was at the critical stage.
The majority of the patients (72%) had received
early feeding within 48 hours of admission to ICU
which corresponds with Malaysian Society of756

SEE-Osaka, Japan, Nov. 21-23, 2016

The statement is supported by Chen et al. [22]whereby most of the patients had used continuous
feeding during the acute stage to increase
intragastric pH that promotes bacteria growth andhelps with diarrhea or prevention of dumping insome patients. However, in longer term, continuous
feeding will have adverse effect such as aspiration
pneumonia especially at night
The majority of patients in this study 75.8 %(n=100) received adequate caloric intake within fivedays of enteral feeding which support other studies
which found that patients with enteral nutrition
received caloric requirement after three days ofenteral feeding [11, 24, 25]. However, many
interruptions including but not limited to high gastricresidual, vomiting, and extubation compounded withthe severity of the diseases and patients’ conditions
may interfere with achieving of calorie requirement[26, 27].
Findings of this study also indicated thatproblems encountered during enteral feeding cause
intolerance to enteral nutritional support and as aresult affect the adequacy of calorie intake for thepatient. High aspiration volume 200ml or more on
day one for 9.8% of the patients was the major
problem encountered during enteral feeding for thisstudy. However, the aspiration was decreasing to
3.8% volume on day five. Gastrointestinal
dysfunction causing intolerance to enteral nutrition
is a common reason for not starting, or discontinuing
feedings leading to inadequacy of caloric intake [5].
Hyperglycemia was found as another major problem
encountered during enteral feeding with 48.3%(n=49) of patients having hyperglycemia during
enteral feeding. This finding is in accordance withthat hyperglycemia and insulin resistance werecommon in critically-ill patients with enteral feeding,even if they have no existing diabetes.
The current study found that there was a
association between the adequacies of calorie intake
received by patients and the patients’ length of stay.
According to Roberts et al. [16] the adequacy of
calorie intake is important to ICU patients because it
will reduce the length of stay and infections. In
contrast, Higgins et al. [2] found that the adequacyof calorie intake was not associated with the lengthof stays among critically-ill ICU patients. They had
discovered that other factors such as severity ofillnesses had an influence on the outcome of thepatients. Other studies discovered that the adequacyof calorie intake is important to improve thepatients’ outcome shortenings the need on IPPV
support, to reduce infections, lengths of stay, andhealth care cost [28].

via enteral feeding but the number of patients
received adequate calorie intake was still insufficient.
The most common problems occurred during enteralfeeding were hyperglycemia and omission of thefeeding. Patients who received early enteral feeding
and intermittent bolus within 48 hours of admission
achieved adequate caloric intake compared topatients who started late and received continuous
feeding. The length of stay was not influenced byearly initiation of enteral feeding. However, there
was an association between patients’ length of stay
and adequacy of caloric intake. The findings of thisstudy provided invaluable insights to health careproviders regarding early time and adequacy of
caloric intake among patients in general ICUs. Thesefindings heighten the awareness of health careproviders to the importance of maintaining adequate
caloric intake for their patients.
ACKNOWLEDGEMENTS
The authors would like to express special thanks to
Director General of Health Malaysia for permission
to publish this paper.

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The majority of the critically-ill patients in thisgeneral ICU have received adequate calorie intake

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Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

ROLE OF PUBLIC PARTICIPAITONIN ENVIRONMENTAL IMPACT ASSESSENT IN THAILAND
Chutarat Chompunth
National Institute of Development Administration, Thailand

ABSTRACTAn integration of public participation in Environmental Impact Assessment (EIA) is significant in terms of its
implication for sound decision and a sustainability of development projects. Accordingly, the Thai EIA systemprovides a public participation process for stakeholders in an assessment and review of the EIA study process.
There are a number of different participatory techniques to facilitate public participation. However, in Thailand
traditional public participation methods like public hearing is preferred. The public hearing process in the Thaicontext, stakeholders including the project proponents and the opponents are brought together in a forum toexpress their view points and recommendations for the proposed projects in order to influence the decisionmaking process. Frequently, this process leads to violent conflict among stakeholders. This study aimed at trying
to close the gap between regulators and civil communities with respect to public participation in the Thai EIA
system. A case study approach was applied for this study. The study revealed that appropriate public
participation is essential and may lead to enormous benefits for the proponents and stakeholders. Where public
participation is ignored and ineffective conducted, environmental conflicts and problems may be created for
project implementation and sustainability.
Keywords: Public Participation, Environmental Conflict, EIA, Power Plant, Thailand

local community occurred (Chompunth, 2013;
Creighton, 2005). To solve the problem, theparticipation in the planning and decision-making
process of the project should be carried out in aproper manner. Presently, Thai people demand
greater participation in the decision-making
processes concerning highly controversial issues ofdevelopment activities, in particular the sitting of
coal-fired power plants. They recognize that public
participation should play a substantial role inenvironmental development projects and theEnvironmental Impact Assessment (EIA) in order toresolve environmental conflict.

INTRODUCTION
Moving from an agricultural base to moreindustrialization, Thailand is now facing manyenvironmental
problems
andconflicts.
(Chaisomphob et al, 2004; Chompunth, 2013). In
particular, the impacts from the coal-fired power
plant were serious. Either the construction period or
the operation period, the communities surrounding
the power plant are directly impacted from thepollutants. The cumulative impacts from the power
plants were also critical to local communities. In thepast, many coal-fired power plant projects had been
implemented by the authorities without appropriate
public involvement or public participation. In
particular, a previous coal-fired power plant, Mae
Moa, in the North of Thailand has a bad reputation
for its environmental impacts. These rules will rely
upon proven and widely available emissions control
technologies to level that all power plants follow thesame systems (Chesoh, 2011; Chompunth &Chomphan, 2012).
In Thailand, many projects were cancelled ordelayed by the local people or the protestors. These
projects have faced the problem of public protest
due to their impacts and the NIMBY syndrome (Notin My Back Yard) resulting in more expenditures
and time delay (Chompunth, 2013). This might
because the public participation process has not beentaken appropriately in the development of theseprojects until the conflicts among stakeholders inparticular the government/project proponent and the

SIGNIFICANCE OF THE STUDY
Immediately, Thailand needs an effective
approach to deal with air pollution problem;
particularly, air pollutants from coal-fired power
plants. However, Thailand has a very limited expert
and specialists; this is then still an on-going problem
that still needs to be solved. Another problem is thatthe authorities usually stand by at central
government center. Presently, the government
recognizes the importance of public participation toplay a substantial role in the Environmental Impact
Assessment (EIA) of coal-fired power plants inorder to prevent their severe impact. Thai citizens
also demand greater participation in the decisionmaking process concerning highly environmental
problems (Chompunth, 2013).
To deal with environmental conflict issue, Thai
759

SEE-Osaka, Japan, Nov. 21-23, 2016

government encourages the public to involve inpreserving and conserving the environment thoughmany mechanisms, in particular legal framework.
Thus, public participation in EIA process is expected
to be an effective tool to solve these environment
impacts and conflicts from the power plants. This
study aims to identify the problems of enhancing
public participation in solving environmental
conflict in EIA process and to investigate strong andweak points of the EIA system in Thailand. A casestudy of the Khao Hin Son Coal-fired Power Plant
Project was studied and analyzed. Finally,
recommendations on how to enhance public
participation in environmental conflict resolution in
the Thai context are presented.

RESULTS AND DISCUSSION
Lesson from the Case Study: The Khao Hin Son
Coal-fired Power Plant Project
A coal-fired power plant is mentioned as animportant sources to particulate harmful pollutions.
The Khao Hin Son coal-fired power plant is one of alarge-scale project in Thailand which having
significant environmental impacts and conflicts witha high level of controversy among stakeholders.
According, the Khao Hin Son coal-fired power plant
is appropriate to investigate how, in Thai experience,a public participation program in managing
environmental conflict did not succeed. Accordingly,
the Khao Hin Son coal-fired power plant is suitable
to be examined how public participation process inmanaging environmental conflicts did not succeed
since the project is having conflicts with a high levelof controversy among stakeholders.
In this case, the affected villagers claimed thathazardous air pollutions emitted by coal-fired power
plant could influence environmental quality andhealth on local, regional, and continental scales. One
local resident claimed that “Their air pollutions blow
across state lines into states thousands of miles
away”. The protesters said they did not want thepower plant in their communities as they fearedenvironmental impacts, particularly air and waterpollution. One villager claimed that, “if the coalfired power plant is built, it may result in the acidrain that will harm crop growing and cause heavy
metal pollution in the air and food chains”.
The villagers protesting against the constructionof a coal-fired power plant in Chachoengsao called
for a revised environmental impact assessment
report of the project. They claimed that the existing
report was conducted without proper public
participation. The authority, the Office of Natural
Resource and Environmental Policy and Planning(ONEP), approved the EIA study even though thecompany had not held public hearings or conducteda health impact assessment study as required by law,
Section 67 of the 2007 constitution. One project
opponent said that "The project's EIA has been done
without appropriate public participation". A
coordinator of a network monitoring the impact ofthe power plant also stated that "This means the EIA
study does not cover all well-rounded information”.
However, one officer claimed that; “the office had
considered the EIA report cautiously and the study
complied with all legal requirements”.

METHODOLOGY
A case study approach Controversy of the Case
Study: The Khao Hin Son Coal-fired Power Plant
Project
In this study, qualitative approach was applied to
examine the current state of EIA of power plant
projects and adequacy of public participation in the
EIA system. The case study approach is chosen as a
key research strategy to explain and conduct an indepth study of a public participation process in the
EIA system in Thailand. The Khao Hin Son Coalfired power plant project is selected as an example
of an inappropriate public participation process.
In-depth interviews and documental reviews
were employed to collect data. Stakeholders who or
played important roles in the public participation
process were identified and interviewed. In thisstudy, key informants were people who havespecific knowledge and experience about the studied
issue, a public participation process; including,
direct impacted people, government organizations,project proponents, NGOs, and academics andexperts. The total key informants for this study was
39 participants.
Additionally, snowball sampling was usedthroughout the data collection process to makeinterviews with key affected people and stakeholders
combined with other tactics as a way to contribute a
latent network of interviewees. Initially identified
participants were asked to recommend other persons
who also played an important role in theparticipation process of the project and met the
selection criteria.
The secondary data were collected from relevant
source including publications, substantive document
on public participation, government publications,conference proceedings, research, books andjournals.

The protestors also believed that the power plant
would cause massive environmental and social
impacts. Importantly, the affected people did nottrust the environmental monitoring and mitigation
program of the project and still opposed the project.
760

SEE-Osaka, Japan, Nov. 21-23, 2016

The local communities did not believe that the
project’s monitoring programs could control any
impacts to the environment from its operation. One
villager claimed that; “the government and the
project owner were not honestly attempting to solve
their problems and did not pay attention to the
public’s concerns”. Thus, the Khao Hin Son power
plant project was delayed and conflicts among
stakeholders still exist. Similarly finding is found in
the study of Tippett et al. (2005). The study foundthat mistrust has severed impacts to public
participation in the EIA process. A lack of trust
among stakeholders could hinder effective public
participation and lead to conflict among stakeholders.

respond to public concerns. The EIA review is madeby the authority in charge of the EIA approval only.
Local expert panels and local administrative
organization officers are not authorized to take partin the process. Usually after the EIA report is sent tothe authority for review, the public could not get
access to it. Moreover, the EIA reviewers
themselves are not experts in all areas, they work
under pressures of time limits.
Clearly, public participation in the EIA process is
crucial, particularly in Thailand. Weak public
participation and unsatisfied communication
produce many limitations, both legally and inpractice, and result in limited knowledge and uneven
distribution the project information to the local
community. Finally, then the local communities
distrust the EIA report and violent protests havebeen happened, like in this case.

Public Participation in EIA in Thailand
The EIA process is an essential component ofenvironmental legislation in many countries
including Thailand (Harding, 1998). In Thailand,
public participation is required to be held in threemain stages of the EIA process including screening,scoping, and EIA review. However, public
participation as part of the site evaluation andselection processes, which are arguably sub-stages,
is not compulsory and this potentially leads toconflict among stakeholders. This might be because
project sitting has always been a key issue thatcreated problems for project implementation in
Thailand. Indeed, there were several factors that
contributed to the conflicts, but the fact that people
who lived near the proposed site did not know or
have a chance to participate at the beginning stage ofthe project implementation, in particular the site
selection process, is viewed as a key factor thatcaused the problems (Nuntavarn & Vajanapoom,2011). Indeed, public participation must be
integrated in all steps.
Although the EIA process was established morethan 30 years in Thailand, it is still controversial;
many developers regard EIA as an undesirable
barrier, some seek to avoid the EIA process, and also
some government administrators in charge of EIAview the process as a heavy burden. Moreover,political and financial support for EIA study is low
in many developing countries, and environmental
agencies are practically powerless compared witheconomic development agencies. Two key reasonsfor poor quality of EIA reports are lack of qualified
environmental experts, and insufficient time andmoney (Ogunlana et al., 2001), and Thailand is no
exclusion in this regard.
Many scholars have commented on ineffective
public participation process in Thailand on
environmental issues and, particularly in the EIA
process (Chompunth, 2013; Ogunlana et al., 2001).
The draft EIA does not have to be released to the
public, public comments are not asked for, and,critically, the government does not have to officially

Public participation as a conflict management
approach
In Thailand, public participation is a key
component of the government’s administration. The
requirementsforpublicparticipationinEnvironmental Impact Assessment system have beenpromoted noticeably by the 2007 Thai Constitution.
Public participation is also granted The Official
Information Act, and many clauses in theenvironmental legislation. However, the current
status of public participation in environmental
impact assessment in Thailand has not beeneffectively implemented. Thai government prefers a
top-down approach to handle environmental
conflicts and this lead. There are many limitations tothese laws, both legally and in practice. Within theselaws and regulations, the public right to information
is often subject to the judgment of the government
officials in charge. In this case, it was found thatpublic participation of Thai citizens did not comply
with a real concept of public participation; direct
impacted people in the project did not have an
opportunity to be informed and express their views
from the very beginning and their concerns were notappropriately influence the decision.
From the case study, it could be seen that theimplementation of public participation in Thailand is
now reaching an impasse. Many stakeholders, inparticular the impacted communities, were reluctant
to participate in many participatory forums provided
by the government or the developer. Many public
hearings or other activities were ignored by affectedgroups. The protestors did not accept them because
they believed that these activities, particularly public
hearing should have been processed before thedecision-making process was completed. The Khao
Hin Son coal-fired power plant is obviously
demonstrated for the problem of lack of appropriate
public participation in the right stage. Moreover,761

SEE-Osaka, Japan, Nov. 21-23, 2016

many mega development projects in Thailand cause
conflict because the location of the proposed project
had already been selected. In this case, land was
already selected for proposed project without
informing local people. There is no alternative forthe public. Only the chosen location of the project isintroduced and presented to the public during thehearing forum.
Public participation in the EIA process isimportant. Without the public being participatedthere is too much of a tendency to hide things, which
can eventually lead to corruption and conflict among
stakeholders (Persson, 2006). Keeping the EIA study(or related documents) secret completely defeats the
purpose of the EIA system. This can especially be a
problem where the local communities are adversely
impacted. Particularly in this case study, violent
protests have been set up. One academic suggested
that, “to deal with this issue, the developers should
provide effective mechanism such as call centers or
hotlines to respond to the public complaints andconcerns. Thus, the developer could take prompt
action to alleviate the problem”.
Although public participation process is possible
to express a government’s willingness to share allperspective with stakeholders, in many cases inThailand, public participation has been simply
employed to ratify a decision that had already been
made(Chompunth&
Chomphan,2012).
Furthermore,
despitepublicparticipation
arrangements, to accept these programs does notmean that the final outcomes of participation
processes will be accepted and influenced theauthority’s final decision.
A significant problem is that when opportunities
to be involved are distorted and blocked by politicalstructures and processes, affected people may
employ direct action to increase their level ofparticipation and power (Thanh & Lefevre, 2001). In
Thailand, this direct action is often resulted in direct
violence. The foregoing consideration and finding
are fully supported by this case study. Similarly,
Stampe’s (2009) and Vantanen and Marttunen’s(2005) studies found that trust was closely related toopenness and transparency. If trust is lacking, thepublic then are difficult to see the decision istransparent and led to protest and antagonism among
stakeholders. When the stakeholders did not trust
each other, conflict was likely to be more aggressive.
Importantly, in Thailand, the public has a limited
role in the monitoring process, including either theconstructing or operating stages. Indeed, the project
proponents should be provided assurances over therunning and maintenance of the power plant in order
to increase the public’s confidence that the project isof good quality with social, health andenvironmental soundness. Otherwise, it will bedifficult to get support from the public. This isbecause the participation of local people and NGOs

in monitoring the operational impacts of a project
can lead to the early identification of environmental
and social problems, and can increase public
acceptance. One academic recommended that “Mostimportantly, this participation process must be
initiated before any decision has been made. It must
be continued throughout the project to prevent
failure of the power plant’s operation”.
CONCLUSION
Enforcement of public participation in the EIA
requirements is a compulsion. Public participation is
supposed as a sensible strategy for conflict
management in a developing country, like Thailand.
The public participation process should be started in
the earliest stage of project planning to enhance thetrust and create good relationship in cooperation
between the project owner and local people. Public
participation also can prevent argument and conflict
between the authority/project proponents and theaffected communities and can reach a higher level of
support for the decisions during all phases the
project’s
development
includingplanning,
construction, and implementation.
Having an appropriate review and approve a
project’s EIA report could also help reduce theconflicts among stakeholders. However, mitigationof industrial pollutions, particularly from the coalfired power plant, is not only the responsibility ofthe developers, but it also involves the diverse
stakeholders including the government, experts,
local communities and NGOs to participate inbrainstorming of finding the desirable and acceptedalternatives for pollution abatement. Effective
monitoring should be based on constant public
participation. The authority and the developer needto get a variety of viewpoints from the affected
citizens, particularly different ideas how to improve
environmental quality, suggestions and comments. It
could be summed that effective public participation
can lead to a desirable and acceptable outcome,resolve conflicts, establish cooperation andcollaboration among stakeholders, and improve theprocess and outcome of the environmental decisionmaking.
It could be seen that the public participation
process was not yet appropriately established in theThai context. Consequently, Thai people demand
greater participation in the decision-making
processes concerning highly controversial issues.
They recognize that public participation should playa significant role in environmental conflict
management. Thus, there is an urgent need to createa sound approach and conditions of effective public
participation which can assist in resolving
environmental problems and conflicts.

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Environmental Management, 27(2), pp. 30317.
Stampe, J.W. (2009). Lessons Learned from
Environmental Impact Assessments: A Look
at Two Widely Different Approaches – The
USA and Thailand, The Journal ofTransdisciplinary Environmental Studies,8(1), pp. 1-7.
Vantanen, A. and M. Marttunen. (2005).
Public Involvement in Multi-Objective Water
Level Regulation Development ProjectsEvaluating the Applicability of Public
Involvement Methods, Environmental Impact
Assessment Review, 25(3), pp. 281-304.

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

MOMENT CHARACTERISTICS OF SOLUTE MACRODISPERSIONPHENOMENA IN HETEROGENEOUS AQUIFERS
Yasuteru Kobi1, Kazuya Inoue1 and Tsutomu Tanaka1
1

Graduate School of Agricultural Science, Kobe University, Japan

ABSTRACT
Solute dispersion is one of the key factors in predicting the subsurface movement and spreading of acontaminant plume. In this study, conservative solute transport simulations were conducted in two-dimensional
heterogeneous aquifers to assess the transitional development of moment characteristics up to the fourth orderassociated with macrodispersion phenomena. The aquifer system investigated here relied on the hydrogeologic
data in the southwest of the Netherlands and was modeled as the heterogeneous aquifer. Three types of physicalheterogeneities in subsurface materials were represented as randomly correlated hydraulic conductivity fields,
which were geostatistically generated under the isotropic assumption. Random walk particle tracking linked withtemporal moment approach, which is based on observed breakthrough curves at several predefined control
planes, demonstrated asymptotic variations of the second and fourth moments. Results also showed that thedegree of the physical heterogeneity affected the degree of the increase of each moment, indicating that thisplume behavior reflects the hydraulic conductivity distribution on which the evolution of plume is considerably
dependent.
Keywords: Macrodispersion, Moment Characteristics, Random Walk Particle Tracking, Heterogeneous Aquifers

studies [4]-[8]. Also, several mathematical models
for sorbing solute transport in heterogeneous
aquifers associated with the retardation factor or the
distribution coefficient have been developed.
Especially, a negative correlation relation between
the hydraulic conductivity and the distribution
coefficient is a representative model expressing
solute spreading under the sorptive condition [9][11]. However, macrodispersion and relevant
statistical moments do not provide information about
the actual distribution of particle crowd. Ideally, theGaussian or non-Gaussian features of the growth of
spreading should be assessed for a practical use of
the findings. This paper attempts to provide
additional evidence by performing numericalexperiments under controlled conditions.
The objective of this study is to assess thetransitional development of moment characteristics
up to the fourth order associated withmacrodispersion phenomena in conservative
solute transport simulations. Random walk particle
tracking technique linked with temporal moment
approach is conducted in two-dimensional
heterogeneous aquifers based on the hydrogeologic
data in the Netherlands. Numerical tracer transport
experiments are conducted in these aquifers undernatural-gradient flow conditions for identifying thefour statistical moments in terms of temporal
moments of particle arrival times at control planes.
Even with hypothetical sources of contamination,
the modeling studies shed some light on the complex

INTRODUCTION
The behavior of groundwater contaminants suchas salts and organic compounds is difficult to predict,is described as a complex function of space and timeand can be viewed as a spreading of particle crowd[1]. Inherently, the position of the center of particle
crowd can be reliably computed because it depends
on the mean seepage velocity of groundwater flow,which is observed in a field. On the other hand, thedegree of the elongation of the particle crowdaround the central position along each orthogonal
axis is a more elusive variable due to dispersion
processes, especially in heterogeneous aquifers.
In most groundwater aquifers, heterogeneous
nature of hydraulic conductivity provides a wide
variety of solute pathways at different velocities andgoverns the fate of solute transport. On amacroscopic scale, spatial distribution of hydraulicconductivity provides enhanced spreading of solutetransport, which is a phenomenon referred to as
macrodispersion [2]. As for the future prediction ofcontamination, some remediation or cleanup
strategies of contaminated groundwater and theframework of risk assessment associated withhuman health, hydrogeologic characterization interms of the degree of the spatial variation in an
aquifer is one of key issues [3].
Some of the efforts made to understand bettermacrodispersion phenomena have been conducted
through theoretical, experimental and numerical764

SEE-Osaka, Japan, Nov. 21-23, 2016

pathways contaminates may follow in subsurface
systems.

was assumed to be 0.35. In addition, the hydraulicconductivity and the degree of heterogeneity of theFig. 1 Model domain used in this study.
Fig. 3 Variation of hydraulic conductivity derived
from granular analysis.

Fig. 2 Sketch of solute transport simulations
showing the initial location of particles and thecontrol planes.

DESIGN OF COMPUTATIONALINVESTIGATIONS

Fig. 4 A representative realization of lnK fieldwith the degree of heterogeneity of 0.151.

Site Description
The disposal site of concern is located in thedunes near the Hague in the Netherlands. In 1984 a
tracer test was conducted to mainly investigate thefeasibility of artificial recharge by means ofinfiltration wells [12]. Solute transport simulations
consider a three-dimensional confined aquifer withuniform flow in the x-direction driven by a mean
hydraulic gradient equal to 0.005. The size of theflow domain extends 270 m in the x-direction, 160
m in the y-direction and 19.5 m in the z-direction asshown Fig. 1. The domain size of interest both in x
and y directions are relatively larger than that in thez-direction. Therefore, this study site was treated asa horizontally two-dimensional aquifer as shown Fig.
2.
The hydraulic conductivity data employed in thisstudy are based on the two vertical cores whose
locations are shown in Fig.2. Hydraulic conductivity
data derived by granular analysis of soil samples are
given in Fig. 3 and also the porosity of the aquifer

aquifer are 0.821 m/day and 0.151, respectively.
A two-dimensional, log-conductivity model with
an isotropic exponential covariance function wasused to generate 30 realizations of the hydraulicconductivity field using the block kriging with thecorrelation length of 13 m [13]. As a semi-variogram
model, exponential model without the anisotropy
was utilized. A representative realization showing
the physical heterogeneity in terms of the hydraulicconductivity is exhibited in Fig. 4. In addition to theheterogeneity of 0.151, 0.5 and 1.0 of thegeometrical variance of hydraulic conductivity were
employed as relatively higher heterogeneity andrelevant 30 realizations were generated in the samemanner.
Flow and Transport Models
For solute transport simulations, a saturated
765

SEE-Osaka, Japan, Nov. 21-23, 2016velocity field within a heterogeneous porous
medium must initially be developed [13],[14].
2

∂ 

∂h 

∑ ∂x  K ∂x  = 0
i =1

i



i

i

Dij = (α T v + Dd )I ij + (α L − α T )(4)dispersivity in a microscopic level, respectively, Dd
is the molecular diffusion coefficient, and v is theis the isotropic hydraulic conductivity and xi is themagnitude of the velocity vector. In addition, Bij iscoordinate in each direction. Steady fluid flow inthis system is described by:

K i ∂hi =1 ne ∂x i

the displacement matrix and is expressed as:

 v 2(α L v + Dd )2(α T v + Dd ) 
v2
 1
−
v

R
R
v12 + v 22
 (5)Bij =  v 2 2(α L v + Dd )2(α T v + Dd ) 
v1


v

R
R
v12 + v 222

vi = −∑(2)

where vi is the pore velocity and n e is the porosity.
The boundary condition of the first type wasspecified on two sides faces intersecting the planewith x = 0 m and x = 270 m, while other sides weretreated as no-flow boundaries. These boundary
conditions provided the establishment of the mean
hydraulic gradient of 0.005 and are linked with thefinite element method for computing spatial
distributions of the hydraulic head and seepage
velocity.

where R is the retardation factor.
Evaluation of Dispersivities from Temporal
Moments
Temporal moments associated with observed
breakthrough curves (BTCs) at several predefined
control planes are able to be computed using a
Lagrangian framework in order to statisticallycharacterize the solute transport process. Monitoring
the first-passage time of particles passing throughcontrol planes allows for the estimation of BTCs andsubsequent temporal moments without having toevaluate the actual shape of the BTCs [17]. The nthabsolute temporal moment can be calculated as the
expected value of the arrival time of a particle at thecontrol plane to the nth power,

Random Walk Particle Tracking (RWPT)
Random walk particle tracking (RWPT)
simulates solute transport by partitioning the solute
mass into a large number of representative particles.
The evolution in time of a particle is driven by adrift term that relates to the advective movement anda superposed Brownian motion responsible fordispersion [15], [16].
In RWPT, each particle displacement can be
expressed using Ito interpretation of Langevinequation:M n ,T =

2 ∂D


 
ij
X p ,i (t + ∆t ) =  vi X p (t ) + ∑X p (t ) ∆tj =1 ∂x j



)

)

(

2

+ X p ,i (t ) + ∑ Bij X p (t ) Ξ j ∆t , i = 1,2
j =1, i = 1,2

where α L and α T is the longitudinal and transverse

where h is the hydraulic head at vector location, K i

(

v

(1)



(

vi v j)where,n
1 N r  NPs p p ∑ mk t k (ξ P )∑N r r =1  k =1(

) ∑ m  (6)

NPs

k =1

k
p

M n ,T is the nth normalized absolutektemporal moment, m p is the mass particle assignedkto kth particle, t p is the first arrival passage time(3)of the kth particle, NPs is the total number ofparticles arrived at the control plane located at ξ p in
the x direction and N r is the total number ofrealizations. Central temporal moments of theaveraged BTC can then be calculated using therelationship between absolute and central moments:

where X p ,i (t ) is the ith component of the particle
location at time t, ∆t is the time increment, Ξ j isthe vector which contains three normally distributed
random numbers with zero mean and unit variance.
Also Dij is the dispersion coefficient tensor, usually
defined as [14]:766SEE-Osaka, Japan, Nov. 21-23, 2016

Table 1 Parameters used in RWPT
Parameter

Description

N P (-)

Number of particles

20000∆t (day)

Time step1

α L (m)Longitudinal dispersivity

0.02

α TH (m)Transverse dispersivity

0.005

R (-)

Retardation factor

1.0

ne (-)

Porosity

0.35

λ (m)

Correlation length

13

n
n
r
Λ n ,T = ∑   M n − r ,T (ξ1 )(− M n ,T (ξ1 ))r =0  r 

Fig. 5 Illustration of typical measured
breakthrough curves.

(7)

where Λ n,T is the nth normalized central temporal
moment.
The third and the fourth central temporal
moments can also be expressed by means of thecoefficients of skewness and kurtosis, respectively,
which measure the asymmetry and peakedness of the
BTCs as compared with a Gaussian distribution [17]C S = Λ 3,T / [Λ 2,T ]3/ 2

C K = Λ 4,T / [Λ 2,T ] − 3
2Fig. 6 First temporal moments estimated from
BTCs at 11 control planes.
simplify the problem, a particle is assumed to beconservative and not to have the adsorptive nature,
leading to 1 of retardation factor. Parameters used inthis analysis is listed in Table 1. Representative three
results of mass BTCs divided by the total mass at
three control planes are exhibited in Fig. 5. A timeseries mass variation indicates that breakthroughcurves exhibit a Gaussian-like shape regardless of
the location of a control plane. The first to the fourth
moments are assessed to elucidate the moment
characteristics in BTCs and the transport property inaquifers.

(8)(9)

where C S is the skewness and C K is the kurtosis.
With the above definitions, a Gaussian BTC leads tozero skewness and kurtosis.
RESULTS AND DISCUSSION
Particle Tracking Implementation

First Temporal Moments

RWPT simulations stated above were repeatedly
performed under the prescribed flow conditions
while finite element model was the computationalframework for expressing the velocity vector at all
locations in the model domain. As an initial pulse
input, the number of particles used to represent thesolute is 20000 with a constant mass of the unit
gram per one particle. All particles are applied
uniformly distributed at random within the injection
line shown in Fig. 2. Additionally, longitudinal
dispersivity and transverse dispersivities are chosen
to be 0.02 m and 0.005 m, respectively, which are
based on the data reported in the literature [12]. To

Ensemble of first temporal moments obtained fromeq.(6) for all realizations is shown in Fig. 6 as afunction of the distance to the control plane from thesource for different degrees of heterogeneity. First
temporal moment corresponds to the mean arrival
time of particles, demonstrating that the degree ofheterogeneity little influences on the mean arrival
time. In order to visualize this point, the fraction ofparticle positions along x-direction at t=100 and1000 days is depicted in Fig.7 where all distributed
particles in the domain were projected onto the x767

SEE-Osaka, Japan, Nov. 21-23, 2016

Fig. 7 Fraction of particle positions. Closed
symbols are the fraction of particles at day=100
and open symbols are at day=1000.

Fig. 9 Skewness ensemble average BTCs as afunction of travel distanceFig. 10 Kurtosis ensemble average BTCs as afunction of travel distanceFig. 8 Second temporal moments estimated from
BTCs at 11 control planes.

fourth central temporal moments under the influenceof heterogeneity of BTCs. Results are expressed bymeans of the skewness and kurtosis, which measure
the asymmetry and peakedness of the BTCs.
Figure 9 shows the results of the skewness
estimated from ensemble BTCs as a function of
travel distance. The values of the skewness decrease
with travel distance and approach the value of zero.
This attributes the Wiener process of Eq.(3) in termsof Ito interpretation and Markov process where
future movement of a particle depends only on
where the particle is, not the history of particle
transport pathways. However, non-zero nature of theskewness values under the travel distance of interestand somewhat fluctuation of values at a relatively
large distance occur, suggesting the need in terms ofa longer transport phenomenon.

axis and were counted with the interval of 10 m
according to the particle locations. The positions of
the peak are almost identical despite of the degree ofheterogeneity.
Second Temporal Moments
Figure 8 provides the results of the second
temporal moment, which is used to gauge the size ofa particle cloud in a given direction and determine
the rate of growth with the increase of thedisplacement. The error bar illustrates the varianceof ensemble of all realizations. It can be seen thatvalues of the second temporal moment increase
nonlinearly in all heterogeneity. At large travel
distance, second temporal moment approaches aconstant value whereas an asymptotic value depends
on the degree of heterogeneity resulting in larger
macrodispersivity [8],[17],[18].

Fourth Temporal Moments
Figure 10 presents the variation of the kurtosis as
a function of the travel distance from the source
estimated from BTCs. Kurtosis expresses therelative peakedness or flatness of a distribution
relative to a normal distribution, where positive
values indicate a relatively peaked distribution. The
kurtosis of the BTCs decrease with time leading to a

Third Temporal Moments
The study of third and fourth moments of BTCs isa crucial step toward characterizing the shape of the
BTC not only Gaussian but non-Gaussian. RWPT
can provide accurate estimates of the third and768

SEE-Osaka, Japan, Nov. 21-23, 2016

Gaussian-like particle distribution. At small
distances, the larger decrease appears and graduallydissipates over the course of travel distances. Thistendency agrees with earlier work [6], suggesting thereliability of estimates. It is interesting to note that
although these deviations in skewness and kurtosis
from the values corresponding to a Gaussian
distribution increase with the increase of theheterogeneity, the influence of the degree ofheterogeneity on the evolution of the kurtosis
coefficient gradually dissipates at larger travel
distances. This point is similar to the results of thethird temporal moments.

heterogeneous porous media", Water Resour.
Res., 28, 2005, pp.745-759.
[7] Beaudoin A, de Dreuzy J-R, "Numericalassessment of 3-D macrodispersion inheterogeneous porous media", Water Resour.
Res., 49, 2013, pp.2489-2496.
[8] Inoue K, Fujiwara T, Kurasawa T, Tanaka T,"Quantification of solute macrodispersion
phenomena and local heterogeneity using
intermediate-scale solute transport experiments
in heterogeneous porous formations", J. JSCE
A(2), 70(2), 2015, pp.691-702 (in Japanese) .
[9] Chrysikopoulos CV, Kitanidis PK, Roberts PV,"Macrodispersion of sorbing solute inheterogeneous porous formations with spatiallyperiodic retardation factor and velocity field",
Water Resour. Res., 28(6), 1992, pp.1517-1529.
[10] Robin MJL, Sudicky EA, Gillham RW
Kachanoski RG, "Spatial variability ofstrontium distribution coefficients and theircorrelation with hydraulic conductivity in the
Canadian forces base Borden aquifer”, Water
Resour. Res., 27(10), 1991, pp.2619–2632.
[11] Fernàndez-Garcia D, Illangasekare TH, Rajaram
H, "Conservative and sorptive forced-gradientand uniform flow tracer tests in a threedimensional laboratory test aquifer", Water
Resour. Res., 40, 2004, W10103.
[12] Uffink GJM “Analysis of dispersion by the
random walk method”, Ph.D. Dissertation, Delft
University of Technology, 1990, 150p.
[13] Deutsch,
CV,
JournelAG,"GSLIB:
Geostatistical software library and user’s guide",
Oxford University Press, 1992, 340p.
[14] Bear J, "Dynamics of fluids in porous media",
Dover Publications, 1972, 764p.
[15] Tompson AFB, Gelhar LW “Numericalsimulation of solute transport in threedimensional, randomly heterogeneous porous
media”, Water Resour. Res., 26, 1990, pp.25412562.
[16] Salamon P, Fernàndez-Garcia D, GomezHernàndez JJ. “A review and numericalassessment of the random walk particle tracking
method”, J. Hydrol., 87(1-4), 2006, pp.277-305.
[17] Fernàndez-Garcia D, Rajaram H, Illangasekare
TH. “Assessment of the predictive capabilitiesof stochastic theories in a three-dimensional
laboratory test aquifer: Effective hydraulicconductivity and temporal moments ofbreakthrough curves”, Water Resour. Res., 41,
2005, W04002.
[18] Inoue
K, Kurasawa T,
TanakaT:“Quantificationofmacrodipsersion
inlaboratory-scale
heterogeneous
porousformations", Inter. J. GEOMATE, 10, 2016,
pp.1854-1961.

CONCLUSIONSIn this study, temporal moment characteristics inheterogeneous two-dimensional aquifers were
evaluated using the random walk particle tracking
linked with the temporal moment approach. The
following findings have been clarified.
1. Non-dependency of the mean arrival times on
the degree of heterogeneity was confirmed
through the first temporal moments
2. Second temporal moment approaches aconstant value according to the degree ofheterogeneity.
3. It was observed that skewness and kurtosis
decrease with the increase of the travel distance.
This point reflects that the shape of the
distribution of the particles become Gaussian
far away from the source.
REFERENCES[1] Dagan G, “Solute transport in heterogeneous
porous formations”, J. Fluid Mech., 145, 1984,
pp.151-177.
[2] Gelhar LW, Welty C, Rehfeldt KW, "A criticalreview of data on field-scale dispersion in
aquifers", Water Resour. Res., 28(7), 1992,
pp.1955-1974.
[3] Kitanidis PK, “Prediction by the method of
moments in a heterogeneous formation”, J.
Hydrol., 102, 1988, pp.453-473.
[4] Dagan G, “Theory of solute transport bygroundwater”, J. Fluid Mech., 145, 1984,
pp.151-177.
[5] McNeil JD, Oldenborger GA, Schincariol RA,"Quantitative
imagingofcontaminantdistributions in heterogeneous porous media
laboratory experiments", J. Contam. Hydrol., 84,2006, pp.36-54.
[6] Fernàndez-Garcia D, Illangasekare TH, Rajaram
H, "Difference in the scale-dependence ofdispersivity estimated from temporal and spatial
moments in chemically and physically769

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

MODELING OF PERMEABILITY OF POROUS MEDIA WITHMIXED WETTABILITIES BASED ON NONCIRCULAR CAPILLARIES
Junichiro Takeuchi, Hidetaka Tsuji and Masayuki Fujihara
Graduate School of Agriculture, Kyoto University, Japan
ABSTRACT
Hydraulic conductivity of hydrophobic porous media becomes greater than that of hydrophilic porous media
under the same-saturation condition. One of the reasons for it is considered that the size of pores filled by waterin hydrophobic porous media is greater than that in hydrophilic media under unsaturated conditions. The
authenticity was ascertained through numerical experiments using pore-network model. But the pore-networkmodel with circular tubes could not account for the phenomena enough. Then, noncircular tubes are employed totake air-water interfaces formed at gaps between grains into account. In one case of hydrophobic grains, watercannot occupy corners, and water flows in a center of capillary tubes. In the other case of hydrophilic grains,water invades corners firstly, and water flows through the corner filaments until water enters the tube fully. In
this study, equilateral triangular and cuspate cross-sections are used, and the relation between tube’s flowresistance, which is separated into shape and scale factors, and capillary pressure is investigated. The computed
results show that the flow resistance of center flows could become smaller than that of full flow, and that it leads
to higher hydraulic conductivity of hydrophobic porous media.
Keywords: Network Flow Problem, Variational Principle, Wettability, Air-water Interface, Hydraulic
Conductancevariously. In some definition, pipe length and/or
viscosity are included [7]–[9]. If local losses such as
contraction and enlargement in a network flow is not
negligible, the pipe length needs to be included in
the hydraulic conductance. But these local losses are
negligible compared with the friction loss [6]. Hence,
it is natural to define the hydraulic conductancewithout pipe length and viscosity to correspond to
the intrinsic permeability of porous media. In
addition, a new way to separate the hydraulicconductance into shape and scale factors is proposed,
because the effect of cross-sectional shape on theflow resistance is not clear in the conventional way,in which the Manson-Morrow shape factor (definedas area/square of wetted perimeter) is used as ashape factor [6], [7]. But the Darcy-Weisbach
friction factor also depends on the cross-sectional
shape.
In this study, the shape factor and its effect on
the permeability of porous media are inspected
through numerical experiments, and it is shown that
air-water interfaces in capillary tubes play a largerole for the permeability.

INTRODUCTION
To alter hydraulic properties such aspermeability and water retention property of porous
media, it is considered that mixing grains withdifferent wettability is one of effective options.
Especially, it is known that hydrophobic grainschanges hydraulic properties drastically, dependingon the mixture proportion [1], [2].
Many works have attempted to model themechanisms of imbibition and drainage insideporous media in a pore-scale [3], [4]. A porenetwork model, which is firstly proposed by Fatt
(1956) [5], is a powerful tool to model andunderstand the mechanisms in a bottom-up manner.
In this paper, the pore-network model is employed toreproduce an interesting phenomenon that thepermeability of hydrophobic porous media becomeslarger than that of hydrophilic media at the same
saturation [6]. To deal with this, the hydraulicconductance, which is a physical property assigned
to each capillary tube and means an inverse of flow
resistance in a capillary tube, needs to bereconsidered. The hydraulic conductance depends onthe cross-sectional size and shape of a capillary tube,
and is a different property from the hydraulicconductivity that is a macroscopic property ofporous media. In this study, air-water interfaces
formed between grains are considered by using
noncircular capillary tubes, and hydraulicconductance is computed by solving 2-dimensional
Poisson equation whose unknown variable isvelocity in a cross-section [7]–[9].
So far hydraulic conductance had been defined

NETWORK FLOW IN POROUS MEDIA
Variational Principle in Network Flow
In general, to solve a network flow problem the
Hardy-Cross method, in which flow rate in each pipe
and potential in each junction are unknown variables
and a non-linear simultaneous equation for both ofenergy loss and mass conservation is formulated[10], is used. In this study, a method based on avariational principle is employed. The variational
770

SEE-Osaka, Japan, Nov. 21-23, 2016

∑ q =0principle is a fundamental concept to find a solutionof some physical problems. It relies on the idea thatmany physical phenomena obey a basic principlethat the state of the system is determined byminimizing energy consumption. In a pore-network
flow problem, a functional φ , which would be
minimized, is defined as a summation of three terms
as follows [11].
F
OUT
IN
(1)
φ (q ) =φ (q ) + φ(q ) + φ (q )where q is the flow rate vector, whose components
tube) are the flow rate in the i thqi ( i = 1,..., N
F
OUT
and
capillary tube, φ is the friction term, and φINφ are the outflow and inflow terms, respectively.
The friction term is represented as follows, based on
the Darcy-Weisbach equation.
N

tube

1

φ = ∑ κ i qi qi
i =1 3F

2kk ∈ζ jjunc

f i li2i i

2 gd a

,

N

4 ai

j =1

tube

is the number of the capillary tubes
where N
included in a pore-network; κ i is a coefficient for
the friction loss; f i is the Darcy-Weisbach friction
factor; li , ai , d i , and pi are the length, the crosssectional area, the hydraulic diameter, and thewetted perimeter of the i th capillary tube,
respectively; and g is the gravitational acceleration.
Here only a friction loss is taken into account, basedon the fact that other local losses such as contractionand enlargement are negligible compared with thefriction loss [6]. When the flow in capillary tubes islaminar, the friction factor f i is represented asfollows.
(4)
fi = α i / Re i
with

Re i =

d i qi

,

ν=

qi =

µ

with
(5)

= ∑ hi qi , φ
i∈ζ

IN

OUT

= − ∑ hi qi
i∈ζ





(8)

Θ i  pi

(10)

µ li
32 ai

α i pi2,=
 pi ρ g ( h j1 − h j 0 )(11)where Θ i is the hydraulic conductance,  pi is thepiezometric potential difference between thejunctions j 0 and j1 . With regard to the hydraulicconductance Θ i , the viscosity µ and/or the tube
length li are excluded in this study, because it isnatural to consider that the hydraulic conductance ofcapillary tubes corresponds to the intrinsic
permeability of porous media.

(6)

IN

Shape and Scale Factors

and ζ are the sets of the capillary
where ζtubes connecting to outflow and inflow ports,
respectively; and hi are the piezometric heads at theoutflow and inflow ports and these are prescribedvariables in this study.
In addition to the functional (1), the following
mass balance equations at each junction are added as
constraints.
OUT



junc
k ∈ζ j3

Θi =sectional shape and the values for circular, square,and equilateral triangular section are 64, 56.908, and53.333, respectively [12], Re i is the Reynolds
number, ν is the kinematic viscosity, µ is theviscosity, and ρ is the water density.
The second and third terms in the right hand sideof Eq. (1) are represented as follows.
OUTwhere the subscripts j 0 and j1 are the junction
indices of both ends of the i th capillary tubes.
Equation (9) shows the local head loss by friction,
and which means that the Lagrange multiplier λ j is
the piezometric head h j at each junction. By
substituting Eqs. (3) through (5) into Eq. (9), thefollowing equation is induced.

ρν ai
where α i is a coefficient that depends on the cross-φ(7)

where λ is a vector whose component is λ j ( j =junc
1,..., N ).
Incidentally, the nonlinear simultaneous equation
obtained after partial differentiation of the functional(8) by each unknown variable becomes exactly samewith the equations system of an ordinal network
flow problem, in which flow rate in each pipe andpiezometric head at each junction are unknown
variables. For example, the partial differentiation of
the functional (8) with respect to an unknown flowrate qi becomes as follows, if the i th capillary tube
connects to neither outflow nor inflow ports.
(9)
λ j1 − λ j 0 =κ i qi qi

(3)

pi

junc

, λ ) φ ( q ) + ∑ λ j  ∑ qk 
Φ (q=

(2)

di =

junc

where N junc is the number of junctions, ζ jjunc is theset of capillary tubes connecting to the j th junction.
The minimization problem of the functional (1)with the constraints (7) is solved by the Lagrange
multiplier method, introducing Lagrange multipliers
junc). The objective problem is
λ j ( j = 1,..., N
reformulated as a minimization problem withunknown variables q and λ by adding theconstraints multiplied by λ j to the functional (1).

with

κi =

( j = 1,..., N )INThe hydraulic conductance Θ in Eq. (10) is
considered as an inverse of flow resistance of acapillary tube, and includes shape and scale factors.
In some previous works, the Manson-Morrow shape2
factor G ( = a / p ) is introduced and the hydraulicconductance is rearranged as follows [9].

Θ = 32 a G / α
2

771

(12)

SEE-Osaka, Japan, Nov. 21-23, 2016

However, the coefficient α also changes dependingon the cross-sectional shape. Then, the effective
radius re and a coefficient β , which satisfy thefollowing relations, are introduced here to separate
shape and scale factors completely.
2(13)
a = π re , p = β reHence, the hydraulic conductance is represented asfollows.
2 4(14)
Θ = π re / η
with

η=

αβ

to the interface (boundary).
When a capillary tube consists of hydrophilic
grains, water tends to occupy corners firstly, andhence, water flows along the corner filaments as
illustrated in Fig. 1. In contrast, when a tube consistsof hydrophobic grains, air, which is wetting fluid inthis case, tends to occupy corners, and hence, waterflows in a center filament which is contrary to thehydrophilic case. In both cases,
the curvature radius
intof the air-water interface r is determined fromthe Young-Laplace equation (19) and the capillarypressure pc as described in Eq. (20), and the threephase contact points are determined from grains’
contact angles θ 0 , θ1 , and θ 2 .
int(19)
r = σ / pc

2

(15)

32π
where η is the shape factor, which is flow
resistance of capillary tube and depends only on the
cross-sectional shape. And the coefficient β ranges
from zero to infinity mathematically, and it means
the hydraulic conductance also could change fromzero to infinity.
Before solving the network flow problem
presented by Eq. (8), values of the shape factor ηof various cross-sectional shapes needed to be
specified. Those are calculated from the flow rateq , based on Eqs. (10), (14) and (15). The flow rate
in a constant pipe is calculated from velocity
distribution in the cross-section and the velocity isgoverned by the 2-D Poisson equation, which is a
simplified form of the Navier-Stokes equation andthe mass conservation equation on the following
assumptions: (1) flow is steady, (2) fluid is viscous,(3) inertia is negligible, and (4) velocity components
except for the one along the tube axis are negligible[9]. The induced Poisson equation and boundary
conditions are described as follows.
2

=
∇ vX

vX = 0

ρ g dh=( constant)µ dX
on the grain-water interface(20)
pc = pa − p w
where σ is the surface tension of water, and pa andp w are the air and water pressures in the vicinity of
the air-water interface.
In Fig. 2, some typical examples of velocity
distributions obtained by solving the 2-D Poisson
equation (16) in corner, center, and full flows
through equilateral triangular tube are shown, andFig. 3 shows changes of shape factors and hydraulicconductances of equilateral triangular and tri-cuspate
tubes as the capillary pressure varies. It is assumed
that these two types of tube have the same crosssectional area. Fig. 3 (a) shows that cross-sections
with air-water interfaces could have smaller shapefactors compared with the circular tube in somerange. Nevertheless, it is found from Fig. 3 (b) that
corner filaments have much greater flow resistancebecause its flow cross-sectional areas are very small
compared with the whole cross-sectional area of thetube, and that only center flows could have smaller
flow resistance.

(16)
(17)

Hydraulic conductivity∂v X

Hydraulic conductivity of a pore-network modelis estimated based on the Darcy’s law.
QL
(21)
K =
A∆H
with

(18)
= 0 on the air-water interface∂nwhere X , Y , and Z are the local Cartesian
coordinates and X is in the same direction with the
2
2
2
2
2
∂ / ∂Y + ∂ / ∂Z ) is thetube axis., ∇ ( =differential operator, v X is the velocity component
along the X axis, and n is the unit normal vector772

SEE-Osaka, Japan, Nov. 21-23, 2016

N

OUT

Q=

∑

packed spherical grains with uniform size. The
virtual porous medium is computed with the discreteelement method by falling grains freely (Fig. 4 (a)),
and a pore-network is extracted from the computed
porous medium with the modified Delaunaytessellation method proposed by Al-Raoush et al.
[13] (Fig. 4 (b)). The pore-network is composed ofpore bodies that are relatively large voids and porethroats that are relatively small voids connecting two
pore bodies. In Fig. 4 (b), pore bodies are
represented as spheres, and pore throats as tubes.
The location and size of all pore bodies and throats
are obtained through the generation process as wellas those of grains. In this study, the sizes of a pore
body and a pore throat are defined as the radius of
the maximum inscribed sphere and circle inside thegrains void, respectively.

IN

N
OUT
i
=i 1 =i 1q= ∑ qiIN(22)

where K is the hydraulic conductivity of avariously saturated porous medium, Q is the total
flow through the porous medium, A is the crosssectional area of the porous media, and ∆H is thepiezometric head difference between inflow andoutflow faces. When the porous medium is fully
saturated, the hydraulic conductivity is referred to as
the saturated hydraulic conductivity, and represented
as K s . And the relative permeability k r is defined as(23)
kr = K / K s .
NUMERICAL EXPERIMENTS
Generation of pore-network
A virtual pore-network is generated from a
porous medium model that consists of randomly

Generation of variously saturated pore-network

773

SEE-Osaka, Japan, Nov. 21-23, 2016

Prior to computation of network flow problems
in a porous medium, variously saturated porenetwork models are generated in a generalized
invasion percolation manner, which is a kind of
discrete model to simulate water or air invasion into
porous media [14]. The bottom of a dry porous
medium, in which any pores are not occupied bywater in an initial state, is supposed to be soaked inwater.
The bottom and top faces of the pore-network are
open-flow boundaries, and water and air pools areconnected with the bottom and top faces,
respectively. And the four sides are no-flow
boundaries, and any fluid cannot pass through theseboundaries. Water rises into invadable pores fromthe bottom, if the following conditions are satisfied:(1) an objective pore is empty, and it connects to the
air pool through other empty pores; (2) the objective
pore connects with one or more pores that areoccupied by water, and at least one of the neighbor
pores occupied by water connects to the water poolthrough other pores occupied by water; and (3) in acase of hydrophilic pores, the objective pore is smallenough, or in the other case of hydrophobic pore, thepore is large enough. The conditions (1) and (2) arereferred to as a connectivity condition.

contact angles used for the imbibition process are
summarized. The contact angles are fitted ones withmeasured and computed water retention curves inour previous works [6], [14]. Figure 5 shows someexamples of partially inundated hydrophilic andhydrophobic pore-networks. While water can enterhydrophilic media under negative pressure
conditions, positive pressure is needed for water toenter into hydrophobic media by the capillary action.
Hence, negative and positive pressures are imposed
to hydrophilic and hydrophobic media, respectively,
to obtain partially saturated pore-networks in Fig. 5.
It is found that water invades into smaller pores
selectively in the hydrophilic pore-network, and thatconversely water invades into larger pores
selectively in the hydrophobic pore-network.

By changing the water pressure posed on thebottom of a pore-network, variously saturated porenetworks are obtained. In addition, hydrophobic
grains are mixed at specified mixture fraction in thisstudy. In Table 1, grain size, temperature, and the

Other conditions for the permeability test such as
air and water pressures are given in Table 1.
Common water pressure is posed on both the top andbottom of the pore-network, and water flows down
by gravity in this numerical test. When the contact

Relative permeabilities
For computation of network flows, the porenetwork is regarded as the one that consists ofvolumeless pore bodies and pore throats withconstant cross-section, according to our previous
work [6]. Hence, appearance of a pore-networkmodel used for network flow problems looks likeFig. 4 (c).

774

SEE-Osaka, Japan, Nov. 21-23, 2016

effect by the air-water interfaces. Although there issome discrepancy in a low saturation region between
measured and computed results, the phenomenon
that permeability of hydrophobic porous media islarger than that of hydrophilic media in the same
saturation is well reproduced by using tri-cuspate
tubes.

angle is greater than 60° and smaller than 120°,
partial invasion such as corner and center filaments
will not occur in the equilateral triangular tubes. And
tri-cuspate tubes are used here.
In this model, there is one parameter that needs
to be fitted. The unknown parameter is the effective
radius of capillary tubes, and it is represented asfollows here, associated with the inscribed radiusrins .
(24)
re = γ rins
where γ is the unknown parameter. The value isadjusted by comparing measured and computed
hydraulic conductivity in a fully saturated case,where there are no air-water interfaces. In this study,
the unknown parameter γ is adjusted so that the−2saturated conductivity becomes about 2 × 10 cm/s.
When the value 1.11 was given to γ , the saturated

CONCLUSION
In this study, noncircular tubes were employed
in a network flow modeling of porous media to takeair-water interfaces formed between grain gaps into
consideration. And the network flow problem isformulated with a variational principle. Fromnumerical analysis of hydraulic conductance of tube
cross-section, it was shown that the flow resistanceof cross-sections with air-water interfaces, which areslip boundary for water flow, could be smaller than−2

hydraulic conductivity became 2.3 × 10 cm/s.
Network flow problems regarding the variously
saturated pore-networks are solved, and relative
permeability of each pore-network is calculated. In
Fig. 6, typical flow distributions of a fully saturatedcase and partially saturated cases are shown. Thesefigures show that water flows in only some parts ofcapillary tubes, and that majority of tubes do notcontribute to water flow. In Fig. 7, measured andcomputed relative permeabilities are shown. The
measured one was obtained by the constant waterlevel method with samples variously mixedhydrophilic and hydrophobic grass beads. Samples
were variously saturated by sucking air with various
suction force after dipping its bottom into water. So,
all the hydrophilic samples (0% in Fig. 7 (a))
became high saturation. In the computed result (Fig.
7(c)), full flow was applied in the samples over 0.95
in saturation because it was considered air-waterinterfaces were not developed well. From thecomputed result (Fig. 7 (b)), it is found that therelative permeabilities of hydrophobic media (25100%) are larger than that of hydrophilic one (0%).
This is because water enters into larger pores firstly
in hydrophobic media as shown in Fig. 5. In addition
to this pore size effect, compared with the computed
results (Fig. 7 (b) and (c)), relative permeabilities ofhydrophobic media with tri-cuspate tube becomelarger than those with circular tube, which is thethat of full flow under a low pressure condition. And
through the numerical experiments, it was
ascertained that not only the tube size, but also airwater interface contributes to the increase of
permeability of unsaturated hydrophobic porous
media.
REFERENCES[1] DeBano LF, “Water repellency in soils: ahistorical overview”, J. Hydrol., Vol. 231-232,
2000, pp.4-32.
[2] Annaka T, “Wettability indices and water
characteristics for sands of mixed wettability”, J.
Jpn. Soc. Soil Phys., Vol. 102, 2006, pp. 79-86(in Japanese).
[3] Ustohal P, Dtauffer F, and Dracos T,“Measurement and modeling of hydrauliccharacteristics of unsaturated porous media with
Table 1 Conditions for permeability test
grain diameter
air pressure
water pressure
Temperature
mixture rate: 0%
mixture rate: 25%
contact
mixture rate: 50%
angle
mixture rate: 75%
mixture rate: 100%775

0.2 mm
1 atm
4 cmH2O20°C
46°92°, 110°98°, 110°98°, 110°
110°

SEE-Osaka, Japan, Nov. 21-23, 2016

[9] Raoof A and Hassanizadeh SM, “A newformulation for pore-network modeling of twophase flow”, Water Resour. Res., Vol. 48, 2012,
W01514, doi: 10.1029/2010WR010180.
[10] Larock BE, Jeppson RW, and Watters GZ,
Hydraulics of Pipeline Systems, CRC Press,
2000, p. 537.
[11] Bando O, Flows in pipe network and pumpsolved with excel, Kogyo Chosakai Publishing,
2008, p. 157 (in Japanese).
[12] Shah RK, “Laminar flow friction and forced
convection heat transfer in duct of arbitrarygeometry”, Int. J. Heat Mass Transfer, Vol. 18,
1975, pp.849-862.
[13] Al-Raoush R, Thompson K, and Willson CS,“Comparison of network generation techniquefor unconsolidated porous media”, Soil Sci. Soc.
Am. J., Vol. 67, 2003, pp. 1687-1700.
[14] Takeuchi J, Sumii W, and Fujihara M,“Modeling of fluid intrusion into porous media
with mixed wettabilities using pore-network”,
Int. J. GEOMATE, Vol. 10, 2016, pp. 19711977.

mixed wettabilities”, J. Contam. Hydrol.,Vol.33, 1998, pp. 5-37.
[4] Takeuchi J, Takahashi T., and Fujihara M,“Sub-Darcy scale modeling of non-uniform
flow through porous media with mixed
wettabilities”, Int. J. GEOMATE, Vol. 6, 2014,
pp. 840-847.
[5] Fatt I, “The network model of porous media”,
Trans. AIME, Vol. 207, 1956, pp.144-181.
[6] Takeuchi J, Sumii W, Tsuji H, and Fujihara M,“Estimation of permeability of porous media
with mixed wettabilities using pore-networkmodel”, Int. J. GEOMATE, Vol. 11, 2016, pp.
2241-2247.
[7] Blunt MJ, Jackson MD, Piri M, and Valvatne
PH, “Detailed physics, predictive capabilities
and macroscopic consequences for porenetwork models of multiphase flow”, Adv.
Water Resources, Vol. 25, 2002, pp. 1069-1089.
[8] Valvatne PH and Blunt MJ, “Predictive porescale modeling of two-phase flow in mixed wet
media”, Water Resour. Res., Vol.40, 2004,
W07406, doi: 10.1029/2003WR002627.

776

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

POTENTIAL OF OYSTERS AS AN ENVIRONMENTAL INDEX
Tetsuya Fukano1 and Hiroyuki Ii2
Graduate School of Systems Engineering, Wakayama University, Japan
2
Faculty of Systems Engineering, Wakayama University, Japan

1

ABSTRACT
It is difficult to analyze heavy metals in sea water because their concentrations are very low relative to sea
salt and not uniform with time and place. Heavy metal concentrations in sludge at the bottom of the sea largely
change with sampling places because of large variety of metal concentration for sludge material. So it is difficult
to grasp influence of heavy metals contaminations on sea environment by using concentration of sea water andsludge material. Oyster is very popular at coast and lives at the same place for several years, so it has a highpotential as an environmental index. To search the potential of oysters as an environmental index, heavy metals
concentrations of oysters were measured in wide area of Osaka Bay and in particular more than a year at
Takashinohama of Osaka Bay. Then heavy metals concentrations of oysters were largely changed with places.
Cu concentrations of the sampled oyster in wide area of Osaka Bay under dry weight condition were from0.09 ‰ to 7.87 ‰. Even in the small beach at Takashinohama, heavy metals concentrations of oysters changed
from 1.21 to 9.59 ‰ with sampling points although its seawater’s metal concentrations were almost the same.
Then, to confirm Cu concentration of oyster depending on sampling place, exchanged oysters sampled at thehigh Cu concentration point with oysters sampled at the low Cu concentration point for less than 20 days. As aresult, Cu concentration of oyster changed with condition of each point. In this study Cu concentration in Osaka
bay was thought to be influenced by anti-fouling paint. Ant –fouling paint was dissolved very slowly and thenCu concentration in sea water was too low to measure. However Cu concentration variation in sea water can be
estimated from Cu concentration of oyster. So measuring heavy metal concentration in oysters is useful for
grasping heavy metal contamination especially Cu of the sea condition.
Keywords: Oysters, Environmental index, heavy metal concentration, Anti fouling paintPrefecture Kainan City, it covered all west side of
Osaka bay. And oyster of Takashinohama was
sampled more than a year. Almost oysters fixed atrocks and concrete wall at the wharf however
sometimes rolling oysters were found at the beachand the slope of wharf. Oysters were strippedcarefully from rocks or concrete wall by spatula andhammer. Table 1 shows detail about sampling points.
Sampled oysters were 60 to 70 mm in length.

INTRODUCTION
Aquatic organisms absorb heavy metals in sea
water. “Ostrea gigas” is very popular oyster at coastand lives at the same place for several years, so it
has high possibility as heavy metals index.
Accumulation of heavy metals in aquatic organisms
was reported by Ikuta. [1] Levels and distribution of
toxic and essential metals in biological samples
collected in Okayama prefecture was reported byMorita and Ogata. [2] Bivalves as a possible sentinelmarine organism to monitor metal pollution incoastal water was reported by Takayanagi and
Sakami. [3] The purpose of this study is to search
the potential of oyster as an environmental index forheavy metal by research at Osaka Bay. Heavy metal
concentrations of oyster were measured in wide areaof Osaka Bay under the various different conditions.
Measured heavy metals were Cu, Zn, Fe, Mn, Pb, Sr,and As. The source of these heavy metals wasanthropogenic factor.

Table1 Details about sampling points
Address
Habitat
A
Nishinomiya City Artificial wharf
B
Osaka City north Mouth of riverC
Osaka City south Artificial wharf
D
Sakai City
Mouth of river
E1
Takaishi City
Artificial slope
E3
Takaishi City
Natural beachF
Izumiohtsu City
Artificial slope
G
Kishiwada City
Mouth of river
H
Kaizuka City
Mouth of river
I
Izumisano City
Mouth of riverJ
Izumisano City
Artificial wharf
K
Sennan City
Mouth of riverL
Sennan City
Natural beachM
Hannan City
Artificial wharf

SAMPLING OF OYSTERS
Number of sampling points was 21. From Hyogo
Prefecture Nishinomiya city to Wakayama
777

State
Stick
Stick
Stick
Stick
roll
roll
roll
Stick
Stick
Stick
Stick
Stick
roll
Stick

SEE-Osaka, Japan, Nov. 21-23, 2016

N
Hannan City
Artificial wharf
StickO
Misaki Town
Natural rock
Stick
P
Wakayama City
Artificial wharf
Stick
Q
Wakayama City
Artificial slope
rollR
Wakayama City
Mouth of river
Stick
S
Wakayama City
Artificial wharf
Stick
T
Kainan City
Natural rock
Stick
U
Kainan City
Artificial wharf
Stick
Note:
Artificial slope was made for ship maintenance.
Oysters were rolled by wave with stone on it.
Artificial wharf was made by strong concrete toprotect a port against wild waves. Oysters fixed tothe concrete.

40.00030.00020.0000.000

A B CD E

F GH I J

K L MN O

PQR S

TU

Mn
Pb
Sr
As
Fe
Cu
Zn

10.000Fig. 2-1 7 kinds of heavy metals were measured at
21sampling points around Osaka bay. The Z axis
unit is dry weight ‰.
Concentrations of Mn, Pb, Sr, and As were very
low at all sampling points. Concentrations of Cu andZn were high and their concentrations depended on
sampling points. So concentrations of Cu and Zn inoysters are seemed to suitable for an environmental
index.

A↓
←B
←C
E→
←D
G→
←F
I→
←H
K,L →→
←J
O↓
←M,N
P→
Q→
S→

←R
←T,U

Fig. 1 21 sampling points covered all west side of
Osaka bay
Fig. 2-2 Cu Concentrations measured at 21sampling
pointsAt the sampling points E, F, Q, and U, Cu
concentration was high and color of their oyster
tissues was green.
The point E, F, and Q were artificial slopes. The
point E and Q were fishing ports. The point F was ayacht harbor. The point U was a wharf of the leisureboats. High Cu concentration oyster was foundaround the fishing port.

METHOD
Sampled oysters were opened shell carefully bystainless steel knife. The soft tissues of the oysters
were cut into small pieces and put into pre-weighted
laboratory dishes. The soft tissues were dried at 60
degrees for a week. All dried oyster tissues samples
were ground manually into fine powder form by amortar and pestle. Each ground sample was stored
separately in airtight polypropylene bag.
Ground oyster tissues were mixed with nitricacid in glass vessel and then kept for a week at room
temperature. After oyster powder was dissolved bynitric acid completely, the solution was filtered by
0.45 μm filter and then Cu, Zn, Fe, Mn, Pb, Sr andAs concentrations were measured by Inductively
Coupled Plasma (ICP).

Zn ‰/Dry wt
40.00030.00020.00010.000RESULT

0.000

1 Heavy metal concentrations of oysters around
Osaka bay.
778

A B C D E F G H I J K L MN O P Q R S T U

SEE-Osaka, Japan, Nov. 21-23, 2016

Fig. 2-3 Zn Concentrations measured at 21sampling
points.
Most oysters had high concentration of Zn. The
highest Zn concentration was the Point I. The Point I
located near many food maker’s factories.

E1 and E2 had green tissues. They were called“Green oyster”.
8.000
6.000
4.000

Fe‰/Dry wt

2.000

10.000

0.000

8.000
6.000

Cu

Fe

Mn

Pb

Zn

MD 3
MD 1
Cd

4.000

Fig. 3-2 Sludge of E1 (MD1), and E3 (MD3)Concentration of heavy metals in sludge at the
point E1 and E3
Dried sludge 0.02 g and nitric acid 15 mL weremixed in glass vessel and kept for a week at room
temperature. After the solutions were filtered by
0.45 μm filter, Cu, Fe, Mn, Pb, Zn and Cd
concentrations were measured by ICP.
Concentrations of Fe and Cu were high at the
point E1. But at the point E3, concentration of Cu
was not high. On the artificial slope of the point E1,
many small pieces of red paint were found. The red
paint was anti-fouling paint peered off from thebottoms of boats. Anti-fouling paint included Cu 2 O
as a biocide for biofoulings. [5]

2.000
0.000

A B C D E F G H I J K L MN O P Q R S T U

Fig. 2-4 Fe Concentrations measured at 21sampling
points
Large difference was not found withconcentration of Fe among each sampling points.
Point H located near wire rope maker’s factories.
Oyster has displayed a high potential as anenvironmental index by concentration of Cu.
Concentration of Zn was influenced by nutrition ofsea water, so has a potential for other index.
2 Concentrations of Cu and Zn at sampling point
E1..E5

E1:At high tide

Fig. 3-1 Sampling point E1, E2, E3, E4 and E5
Point E was the small fishing port and small
beach. The distance from E1 to E5 was about 200 m.
Metal concentrations of sea water at each point were
almost the same. Concentrations of Cu, Zn, Fe, Mn,
Pb, Sr, and As of sea water were measured by ICP.
Cu, Fe, Mn, Pb, Sr, and As concentrations of sea
water were about 0ppm. However Zn concentrations
were 0.032 ppm at point E1 and 0.043 ppm at the
point E3. At the point E1 and E2, oysters were
picked at artificial sloop. At the point E3, E4 and E5,
oysters were picked at natural beach. Oysters were
found under the low tide level. Oysters at the point

E1:At low tide
Fig. 3-3 Sampling point E1 is artificial slope offishing port
Oysters on the artificial slope were found under
the low tide level. Oysters were rolled by wave withstone on the slope.

779

SEE-Osaka, Japan, Nov. 21-23, 2016

Cu‰Drywt
12.00010.000
8.000
6.000
4.000
2.000
0.000

E3:At high tide

2014.03.03 2014.11.08 2015.5.5

2016.1.10 2016.2.28

Fig. 3-7 Seasonable change of Cu at point E1
At the E1 point, big increase of Cu concentrationfor oyster was found in January. In winter fishingboats were pulling up to slope for maintenance.
Scrape the old anti-fouling paint off the bottoms ofships and paint newly.
Zn‰Drywt
8.000

E3:At low tide

6.000
4.000

Fig. 3-4 Sampling point E3 is a small natural
beach
Width of beach was less than 100 m. Oysters on
the natural beach were found under the low tidal
level. Oysters were rolled by wave with stone on thebeach.

2.000
0.000

2016.1.10 2016.2.28

Fig. 3-8 Seasonable change of Zn at the E1 point
Concentrations of Zn were always high values.
Seasonable change was not showed clear tendency.

Cu‰Drywt
3.500
3.000
2.500
2.000
1.500
1.000
0.500
0.000

2014.03.03 2014.11.08 2015.5.5

3 Concentration of Cu and Zn in each part ofoyster

E1

E2

E3

E5

Fig. 3-5 Difference in concentration of Cu between
point E1 and point E5
Concentration of Cu was very high at point E1.
Fig. 4-1 “Green Oyster” at E1
Oysters at E1, E2 had green tissues.

Zn‰Drywt
8.000

←1

6.000
4.000

←3
←4
←5

2.000
0.000

E1

E2

E3

E5

Fig. 3-6 Concentration of Zn at point E1-E5
Concentration of Zn were always high values.

Fig. 4-2 Oyster at E3
Oyster at the point E3-E5 had normal color
tissues.
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SEE-Osaka, Japan, Nov. 21-23, 2016

1: Mantle 3: Adductor muscle 4: Others
5: Hepatic gland (liver) [4]

were high values in mantle and gill. But the values
in adductor muscle were low. And the values inhepatic gland and others were high values.
But at the sampling point E3, concentration ofZn appeared same tendency with the point E1.

←1

4 Concentrations of Cu and Zn about exchanged
oysters

←2

6.000
4.000

Fig. 4-3 Rolled up mantle1 and appeared gill
1: Mantle 2: Gill
At first, mantle was cut and rolled up then gill
was appeared. Second, appeared gill was cut andseparated into the adductor muscle. Forth, brownish
hepatic gland was cut and each tissue of oyster was
picked up separately. Small stainless steel scissors
for eyebrow was useful to cut tissues of oyster.

2.000
0.000

8.000
6.000
4.000
0.000

1

2

3

4

E1
E3

8.000
6.000
4.000
2.000
0.000

8.000
6.000
4.000
2.000
2

3

4

E3

５
４
２
１

Fig. 5-2 Concentration of Cu in each part of oysters
about exchanged oysters
1: Mantle, 2: Gill, 3: Adductor muscle, 4: Others,
5: Hepatic gland (liver)
Similarly sampled oyster was returned to anotherpoint. “1E3 → E1” showed oyster sampled at the
point E3 released to the point E1. After 13 days fromrelease, the oyster was resampled at the E1 point.
“1E1→E3” showed oyster sampled at the point E1
released to the point E3. After 13 days from release,the oyster was resampled at the E3 point.
“2E3→E1” showed oyster sampled at the point
E3 released to the point E1. After 17 days fromrelease, the oyster was resampled at the E1 point.
Cu concentrations of all part of the exchangedZn‰drywt
10.0001

1:E3→E1

5

Fig. 4-4 Concentration of Cu in each part of oysters
1: Mantle, 2: Gill, 3: Adductor muscle, 4: Others,
5: Hepatic gland (liver)At the sampling point E1, Cu concentrations
were high values in mantle and gill. But the values
in adductor muscle were low. And the values inhepatic gland and others were high values.
At the sampling point E3, Cu concentrations
were relative low to the other points at
Takasinohama.

0.000

2:E3→E1

Zn
Cu

Fig. 5-1 Concentration of Cu and Zn about
exchanged oysters among each sampling points
Sampled oyster was returned to another point.
“1E3→E1” showed oyster sampled at the point E3
released to the point E1. After 13 days from release,the oyster was resampled at the E1 point.
“2E3→E1” showed oyster sampled at the point
E3 released to the point E1. After 17 days fromrelease, the oyster was resampled at the point E1.
Cu concentrations of the exchanged oysters
increased with living days at the point E1. But
concentrations of Zn were not changed by replacing.

Cu‰drywt
10.000

2.000

E1

E1
E3
5

Fig. 4-5 Concentration of Zn in each part of oysters
1: Mantle, 2: Gill, 3: Adductor muscle, 4: Others,
5: Hepatic gland (liver)At the sampling point E1, Zn concentrations781

SEE-Osaka, Japan, Nov. 21-23, 2016

oysters started to change from replacing. Cu
concentrations replacing“E3→E1” increased andCu concentration replacing “E1→E3” decreased. Cu
concentration change in mantle and gill was
remarkable.

season of boat. In winter, many red small pieces
were found on the slope. The red small pieces wereanti-fouling paint. The red paint was anti-fouling
paint, and the small pieces were peered one frombottoms of the boats. Anti-fouling paint included
Cu 2 O as a biocide for biofouling.
𝟏𝟏
𝟏𝟏
𝐂𝐂𝐂𝐂𝟐𝟐 𝐎𝐎(𝐬𝐬) + 𝐇𝐇 + + 𝟐𝟐𝐂𝐂𝐂𝐂− ⇔ 𝐂𝐂𝐂𝐂𝐂𝐂𝐂𝐂−
𝟐𝟐 + 𝐇𝐇𝟐𝟐 O

5 Compare farmed oysters and oysters at Osakabay

𝟐𝟐

Cu‰ｄｒｙｗｔ
8.000
6.000

CONCLUSION

1

2

3

4

E1
E3
Farmed 2
Farmed 1

In conclusion, Oyster is useful to searchchanges of Cu concentration in sea water. In thisstudy heavy metals concentrations of oysters
measured in wide area of Osaka Bay have been
considered. Our results showed Oyster was sensitive
to Cu and response with transplantation was foundless than 20 days.
This study was an important contribution
because Cu concentration in Osaka bay was thought
to be influenced by anti-fouling paint. Ant –fouling
paint was dissolved very slowly and then Cu
concentration in sea water was too low to measure.
However Cu concentration variation in sea water canbe estimated from Cu concentration of oyster.

5

Fig. 6-1 Compare farmed oyster with sampled one
1: Mantle, 2: Gill, 3: Adductor muscle, 4: Others, 5:
Hepatic gland (liver)
Farmed 1 is a sold oyster for raw eatingproduced from Murotsu area in Hyogo prefecture.
Farmed 2 is a sold oyster for cook before eatingproduced from Hiroshima prefecture. Both oyster’s
concentrations of heavy metals were very low.
Especially farmed 1 appeared very low value.
Farmed oysters are kept in clear water, and farmed 1
is wash by sterilized water well to eat in law.

REFERENCES

Zn‰ｄｒｙｗｔ[1] Ikuta K, ”Studies on Accumulation of Heavy
Metals in Aquatic Organism-1.On the Copper
Contents in Oysters”, Bulletein of JapaneseSociety Fisheries, Vol.33, No.5, 1967,
pp405_409.
[2] Morita K, Ogata M, “Levels and distribution of
toxic and essential metals in biological samples
collected in Okayama prefecture”, Departmentof Public Health, Okayama University Medical
School, 1983, pp359_376[3] Takayanagi K, Sakami T, “Bivalves as apossible sentinel marine organism to monitor
metal pollution in coastal waters –A review-,
Bull. Fish. Res. Agen.,No2.35-46,2002[4] Hirose H, Suzuki N and Okamoto N, “A New
Edition Anatomical Illustration of Aquatic
Animals” Seizando Shoten Publishing Co. ,Ltd.
2006, pp. 22_33[5] Yamaguchi Y, “Copper Speciation andConcentration in Seawater of Japan-Toward the
Risk Assessment of Copper Componds for AntiFouling Paint-, National Maritime ResearchInstitute ISSN;2186-6598
http://www.nmri.go.jp/main/publications/paper/
pdf/21/15/02/PNM21150205-00.pdf

10.000
8.000
6.000

4.000
2.000
0.000

𝟐𝟐

Therefore, concentration of Cu in seawater at
ports of Osaka was thought to be influenced by antifouling paint.

10.000

4.000
2.000
0.000

𝐂𝐂𝐂𝐂𝐂𝐂𝐂𝐂−+ 𝐂𝐂𝐂𝐂− ⇔ 𝐂𝐂𝐂𝐂𝐂𝐂𝐂𝐂𝟐𝟐−
𝟑𝟑 [5]
２

1

2

3

4

E1
E3
Farmed 2
Farmed 1

5

Fig. 6-2 Compare farmed oyster with sampled one
1: Mantle, 2: Gill, 3: Adductor muscle, 4: Others, 5:
Hepatic gland (liver)
Zn concentrations in both farmed oyster werelower than natural oysters.
DISCUSION
The first concern was high concentration of Cu
in oyster at the ports. Many boats in the ports were
thought to increase Cu concentration in oyster. The
second concern was high concentration of Cu in
oyster at artificial slopes. And red small pieces ofanti-fouling paint were found at artificial slopes.
The third concern was high concentration of Cu
in oyster in winter season. Winter is maintenance782

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

FISH TOXICITIES OF NOVEL FIRE-FIGHTING FORM FORMULAE
ASSAYED IN DIFFERENT WATER CONDITIONS FROM FRESH TO
BRACKISH WATERS
Asato Ikemizu1 and Tomonori Kawano1,
Graduate School of Environmental Engineering, The University of Kitakyusyu, Japan

1

ABSTRACT
Toxic impacts of a variety of chemicals to aquatic organisms habitable in fresh water conditions are often
assessed in the media made of pure or low laboratory mineral waters. However, such water conditions hardly
reflect the actual environments surrounding the organisms including fishes. Therefore, we have proposed the useof natural waters sampled from the natural environments (such as springs, ponds, rivers, lakes, and the ocean) or
synthetic water preparations mimicking the natural waters (by supplementation of minerals), in addition to thetests in standard laboratory waters, when examining the toxicity of certain chemicals in aquatic organisms. To
date, toxicity of synthetic detergent-based and soap-based formulae of fire-fighting foams (FFFs) against a tiny
fish, Oryzias latipes, known as medaka fish, have been evaluated in the series of model waters differed insalinity from low mineral fresh water to brackish water, since the model fish species employed is known to behabitable in a wide range of osmotic conditions. In addition, use of a local tap water should be allowed for theevaluation of toxicity if the sources are known, and the mineral compositions were determined since it has been
confirmed that river fishes behave more naturally in the river-derived tap waters after de-chlorination, comparedto synthetic laboratory water preparations. Here, we have conducted a series of assays for evaluating the toxicity
of several soap-based FFFs including a newly developed formula, and the LC 50 values determined at 48 h after
additions of soap-based FFFs were shown to be lowest under the brackish condition and highest in the purewater, suggesting that cationic strength drastically alters the toxicity of the FFFs.
Keywords: Ecotoxicity, Fatty acid salts, Fire-fighting foam, medaka fish, Oryzias latipes

In the present study, we focus on the aquatic
eco-toxicity of FFFs. As a model fish species
habitable in both fresh and brackish water conditions,adult individuals of medaka (Oryzias. latipes redorange variety) were chosen for assessment of FFFs
toxicity as previously reported [5, 7, 10, 11], since
Japanese medaka, a freshwater teleost, is now
popular for laboratory use in the world [13]. In fact,
the genus, Oryzias consists of more than 14 species
including O. latipes. Each species within Oryzias
shows a specific pattern of geo-ecological [14, 15]
and seasonal [16] distributions. Interestingly, someare endemic only to freshwater lakes, while otherspecies are widely distributed in the freshwater,brackish water, and seawater in Asia [16-19].
Therefore, the Oryzias species may provide a uniquemodel for studying the fish adaptation to changing
salinity accompanying the hyper- and/or hypoosmotic shocks [20]. O. latipes’s Adaptability to awide range of water conditions allows us conducting
the fish toxicity assays for fire-fighting chemicals
which likely alter their toxicity depending on thegiven water conditions [10, 11]. We have previously
shown that the red-orange variety of O. latipes
known as Himedaka brought up in a local tap water
tolerates transferring to severe hypo-osmotic (ultrapure water) and hyper-osmotic conditions (brackish
water and seawater), if the stepwise changes inosmolarity were properly performed [11,16].

INTRODUCTION
A variety of chemicals including foaming agentsare used to aid in the protection of forest resourcesfrom the wild land fires (both woodland andgrassland fires) [1]. The fire-fighting foams (FFFs)
are formulations composed principally of surfactants,
and act by increasing the water efficiency [2]. In thelast two decades, the use of these formulae havebeen successfully gaining acceptance as effective
and efficient fire-fighting tools in several countries
such as USA and Australia [3]. In Japan, local
government in Tokyo and Kitakyushu followed byother cities nation-wide, have employed several
FFFs in the urban fire controls since 1999 [4].
Compared to the most cases of urban fire
controls, much greater amounts of fire-fighting
chemicals including FFFs might be emitted to theenvironments in case of wild land fire managements.
Since forests and grass lands where wild fires
naturally occur are full of wild animals, plants andmicro-organisms. In addition, it should be noted thatrivers, ponds, and lakes rich in fishes, algae and avariety of aquatic organisms are surrounded by theforests and grasslands. Therefore, both aquatic andterrestrial eco-toxicities of these fire-fighting
chemicals should be examined before its
applications in the fields as our group has proposedin the last decade [2, 5-12].
783

SEE-Osaka, Japan, Nov. 21-23, 2016

foam α+ (synthetic) and Miracle-foam (soap), whennecessary. The mock water or four FFFs (Miraclefoam α+, Forexpan S, MegaFoam F623-T and newsoap formula) were jet-sprayed above the compact
biotopes in August, 2015, according to the protocol
by Kawano et al [7]. Concentrations of above FFF
agents in the pre-foaming mixtures were 1 % (w/v),
as recommended by the suppliers. Onto each of 0.81
m2-sized model biotope, 3 L of mock water or a FFF
mixture was jet-sprayed after compressing the air in
the fire-fighting cylinders (7) (Fig. 2A).

Without such adaptation process, fish may die
immediately after the shock [13].
Here, we have conducted a series of assays forevaluating the toxicity of several FFFs including a
newly developed soap-based formula under bothpure water and brackish condition, and the toxicity
determined at 48 h after additions of the soap-based
FFFs was shown to be lowest under the brackish
condition but not in the pure water, suggesting thatcationic strength drastically alters the toxicity of the
FFFs.
EXPERIMENTAL

A

Laboratory-sized tests
Adult medaka fish individuals (Red-Orange var.,
O. latipes) brought up in the tap water werepurchased from a local animal supplier. Prior to theassays, fishes were kept in a de-chlorinated local tap
water.
The de-chlorinated Kitakyushu city local tap
water were used as laboratory fresh waters aspreviously described [5, 7, 10, 11, 16]. Synthetic
brackish water was prepared by mixing the artificial
sea water and ultra-pure water (equivalent to 25%
seawater). Adaptations to various water was stepwisely performed as previously described [10, 11].
Newly developed soap-based FFF and otherconventional FFFs were provided by Shabondama
Soap Co. Ltd. and Fire and Disaster Management
Department of Kitakyushu City.
FFF stock solutions were first dissolved in small
amount of de-iononized pure water (≧13MΩ/cm)[9]. Then, various water samples were used forsecondary dilutions to the indicated concentrations.
Toxicity of FFFs in medaka fish was tested
essentially according to our previously reported
protocols [10, 11]. Viability of fish was tested invarious waters and the survival rates at 48 h after
additions of FFFs were manually monitored and the
median lethal concentrations (LC 50 ) for FFFs were
worked out. For each test or replication, 5 fishes
kept in 1000 ml water were used.

B

C

Tests in Aquatic biotopes
Fig 1. Beaker-size fish toxicity assays forFFFs. (A)Beakers with 1L FFF mixtures each containing 5
medaka individuals. Arrow, formation of insolube
white precipitates by soap-based FFF dissolved inbreakish water. (B) Toxicity curbs for FFFs obtainedin Kitakyushu city tap water. (C) Toxicity assayed inmodel brackish water (25% sea water).

Commercially available synthetic FFFs namely,
Miracle-foam α+, Forexpan S, and MegaFoam
F623-T; and the newly developed soap-based FFF(not yet designated, thus, simply labelled as New
soap formula) was used. For comparison, data for
conventional soap-based FFF designated as Miraclefoam are referred to when required. Note that similarnames were given to a synthetic FFF (Miracle-foamα+) and a soap-based FFF (Miracle-foam). In order
to emphasize the difference, additional notes are
given to these FFFs as parentheses, biz, Miracle-

RESULTS AND DISCUSSION
LC 50 determined through laboratory tests

784

SEE-Osaka, Japan, Nov. 21-23, 2016

both Miracle-foam α+ and New soap formula
showed low toxicity even comparable with the mockwater treatment (Fig. 2B). The reason why the fish
population in the control mock water treatment
gradually decreased could be possibly attributed toover-loading of fish individual, thus the size of fish
community was shrunk to the level allowed byenvironmental capacity predicted by a well-known
logistic equation [23].

Due to the presence of cations such as Mg2+ and

Ca2+, the soap component (fatty acid salts) forms

insoluble complex, therefore, we observed theprecipitation of FFF in hard waters (Fig1. A). Using
medaka fish as a model fish species, LC 50 for FFFs
was determined through a beaker-sized laboratory
tests (Fig1. B, C). In the presence of various
concentrations of FFFs, viability of fish at 48 h wasassessed in two types of waters, namely, the tap
water from Kitakyushu city and a model brackish
water prepared with artificial sea salt mixture (25%sea water). We found that toxicity of soap-based
FFF is likely scored high in the tap waters with low
mineral composition and extremely lowered in thebrackish water with high mineral composition (Fig.
1B, C).
The LC 50 values determined in tap waters at 48 h
were around 214 ppm in New soap formula, 186
ppm in Miracle-foam α+ (synthetic), 16 ppm in
Forexpan S, 1364 ppm in Megafoam F-623T. The
LC 50 determined in brackish water at 48 h werearound 2575 ppm in New soap formula, 83 ppm in
Miracle-foam α+ (synthetic), 13 ppm in Forexpan S,
and 1446 ppm in Megafoam F-623T (Fig. 1B, C), assummarized in Table 1. (Table 1).
It is likely that the increase in water hardness
actively lower the toxicity of New soap formula FFF
as previously observed for other soap-based FFFs
such as Miracle-foam (soap).
Similarly to our previous demonstration using anaquatic microbe (Paramecium spp) exposed to soap
components [21-24], alteration of the fish toxicity
determined in different water conditions may be dueto the cation (Mg2+ and Ca2+)-dependent
detoxification of soap components (formation of
metallic soaps) as we observed the precipitation of
FFFs in hard waters. It is obvious that soap-based
the FFF precipitates in the hard waters are no-longer
toxic but edible for medaka fish as performed by Lin
et al [11], thus rich in nutriments (fatty acids).

Table 1. Effect of water condition on LC50 for FFFs
determined in medaka fish.

A

B

Tests in mini-biotopes
When preliminarily assessing the toxic impactsof FFFs in aquatic biotopes in 2015, mock water or
FFF mixtures were jet-sprayed directly onto thesurface of water. Therefore, due to mechanical shock
which is apparently in excess, major population offish was severely damaged even in the mock water
control. In order to avoid such artifacts, we haverepeated the biotope-sized experiments this year
(from May 6th) by releasing fish (separately preincubated for a week in the tap water) into the water
only after the addition of FFFs.
Then, the changes in the viability of fish (started
with 50 individuals/treatment) during incubation
with and without FFFs were manually monitored(Fig. 2B). Notably, Forexpan S immediately killed
out all fish population. Among other FFFs tested,

Fig 2. Viability of medaka fish in the presence of
FFFs.
ACKNOWLEDGEMENTS
Shabondama Soap Co.Ltd. and Kitakyushu city
FDMD are acknowledge for providing FFF samples.
REFERENCES[1] U.S. Department of Agriculture. (1995).
Chemicals used in wildland fire
suppression: A risk assessment. USDA
Forest Service, Fire and Aviation
Management.
785

SEE-Osaka, Japan, Nov. 21-23, 2016

germinating rice (Oryza sativa L.)
seeds. ITE Lett. 8 : 596-600.
[10] Kawano, T., Lin, C., Kadono, T., andUezu, K. (2007) Ecological risk
assessment of fire-fighting chemicals
using medaka fish (Oryzias latipes) indifferent water conditions. ITE Lett. 8:306-311.
[11] Lin, C., Kadono, T., Yoshizuka, K.,
Uezu, K. and Kawano, T. (2006)
Assessing the eco-toxicity of novelsoap-based fire-fighting foam using
medaka fish (Oryzias latipes, Redorange variety) adopted to river andsea water conditions. ITE Lett. 7: 499503.
[12] Kawano, T., Kadono, T., Matsuoka, N.,
Tamura, T. and Uezu, K. (2006)
Possible ecological risk assessment ofcommercial fire-fighting foams using
germinating rice (Oryza sativa L.)
seeds. ITE Lett. 7: 379-382.
[13] Inoue, K., and Y. Takei (2003) Asian
medaka fishes offer new models forstudying mechanisms of seawater
adaptation, Comp. Biochem. Physiol. B.
Biochem. Mol. Biol. 136:635-645.
[14] Naruse, K (1996) Classification andphylogeny of fishes of the genus
Oryzias and its relatives Fish Biol. J.
Medaka, 8: 1-8.
[15] Roberts, T.-R. (1998) Systematic
observationsontropicalAsian
medakas or ricefishes of the genus
Oryzias with descriptions of four new
species, Icthyol. Res., 45: 347-354.
[16] Yokawa, K., Kagenishi, T. and Kawano,
T. (2009) Effects of water salinity on
the cold-induced suspended animationand irreversible damages in Oryzias
latipes: Experimental eco-physiology
predicting the seasonal changes inlimnological fish distribution. J.
Environ. Eng. Manag. 19: 195-200.
[17] Naruse, K., A. Shima, M. Matsuda, M.
Sakaizumi, T. Iwamatsu, B. Soeroto
and H. Uwa, (1993) Description andphylogeny of rice fish and theirrelatives belonging to the suborder
Adrianichthyoidei
inSulawesi,Indonesia. Fish Biol. J. Medaka 8:1-8(1993).A[18] Shinomiya, A., H. Otake, K. Togashi, S.
Hamaguchi and M. Sakaizumi, (2004)[2] Mizuki, H., Uezu, K., Kawano, T.,
Kadono, T., Kobayashi, M., Hatae, S.,
Oba, Y., Iwamoto, S., Mitsumune, S.,
Owari, M., Nagatomo, Y., Umeki, H.
and Yamaga, K. (2007) Novelenvironmental friendly soap-based firefighting agent. J. Environ. Eng. Manag.
17: 403-408.
[3] Rawet. D. Smith. R. and Kravainis. G.
(1996). A comparison of water additives
for mopping-up after forest fires. Int. J.
Wildland Fire 6: 37-43.
[4] Kitakyushu City Fire and Disaster
Management Department, Researchanddevelopment of
ecologically
acceptable fire suppression formula forurban fires (2005) Gekkan Shobo(Monthly Fire Fighting by Tokyo HoRei) 313 : 1-8.(In Japanese)[5] Goto, K., Takaichi, H. and Kawano, T.
(2015) Learning from the ecotoxicology of fire-fighting foams inaquatic organisms: Altered eco-toxicity
of sodium alkyl sulfonates in green
paramecia
andmedakafish
maintained in in different waters. J.
Disaster. Res. 10: 604-612.
[6] Noriyasu, A., Otsuka, K., Ishizaki, I.,
Tanaike, Y., Matsuyama, K., Uezu, K.
and Kawano, T. (2014) A novel wildland fire-fighting foam for minimizing
the phytotoxicity of wood burningderived smoke tested in living plant
cells. Adv. Mater. Res. 875-877: 725733.
[7] Kawano, T., Otsuka, K., Kadono, T.,
Inokuchi, R., Ishizaki, Y., Dewanker, B.
and Uezu, K. (2014) Eco-toxicologicalevaluation of fire-fighting foams insmall-sized aquatic and semi-aquatic
biotopes. Adv. Mater. Res. 875-877:
699-707.
[8] Mizuki, H., Toyomura, M., Uezu, K.,
Yasui, H., Kawano, T., Akiba, I.,
Kawahara, T., Hatae, S., Sakamoto, N.,
Akiyama, M., Mizota, C., Umeki, H.
and Yamaga, K. (2010) Microbial
degradation of a soap-based firefighting agent in activated sludge. 20:
109-113.
[9] Kawano, T., Kadono, T., Matsuoka, N.,
Tamura, T. and Uezu, K. (2007)
Development of soap-based firefighting
agents
less
toxic
to
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ITE Lett. 7: 606-609.
[23] Goto, K., Lin, C., Kadono, T., Hirono,M., Uezu, K. and Kawano, T. (2007)
Eco-toxicity of a soap component(sodium oleate) and a synthetic
detergent
cocktail
using
green
paramecia assayed in natural water
samples from East Asia. J. Environ.
Eng. Manag. 17: 377-383.
[24] Goto, K., Kadono, T. and Kawano T.
(2008) Use of natural mineral waters
as the sources of diversified natural
waters worldwide for testing the ecotoxicity of detergents using green
paramecia. ITE-IBA Lett. 1: 184-188.
[25] Takaichi, H. and Kawano, T. (2016+)
Expanded and practical use of logistic
equations in eco-toxicity evaluation:cases of lethal metal toxicity curves ingreen paramecia with minimal-sized
experiments. J. Adv. Comput. Intell.
Intell. Inform.（in press）

Field survey of sex-reversals in the
medaka, Oryzias latipes: genotypicsexing of wild populations, Zool. Sci.
21:613-619.
[19] Tzeng, C.-S., Y.-S. Lin, S.-M. Lin, T.-Y.
Wang and F.-Y. Wang, (2006) The
phylogeography
andpopulation
demographics of selected freshwater
fishes in Taiwan, Zool. Stud. 45:285297 (2006).
[20] Inoue, K. and Y. Takei, (2002) Diverse
adaptability in Oryzias species to highenvironmental salinity, Zool. Sci.
19:727-734.
[21] Kadono, T., Uezu, K., Kosaka, T. and
Kawano, T. (2006) Altered toxicities offatty acid salts in green paramecia
cultured in different waters. Z.
Naturforsc. 61c: 541-547.
[22] Kadono, T., Uezu, K., and Kawano, T.
(2006) Confirming the altered toxicities
of fatty acid salts in Paramecium
caudatum cultured in different waters.

787

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

HYDROGEN ISOTOPES AND AMOUNT OF PRECIPITATIONSAMPLED BETWEEN OSAKA PLAIN AND SOUTH IKOMAMOUNTAIN, JAPANHiroki Nishiwaki1 and Hiroyuki Ii2
1Graduate School of Systems Engineering, Wakayama University, Japan
2Faculty of Systems Engineering, Wakayama University, Japan

ABSTRACT"The purpose of study is to clarify the precipitation characteristics from plain to mountain. Precipitation
samples were gathered every event at between the Osaka Plain and the south Ikoma Mountains. As a result, dew
point elevation was clarified to be an important parameter to determine precipitation amount and isotope values.
Precipitation amount increased with distance from dew point elevation to ground and hydrogen stable isotope
ratios increased with the distance because raindrops was evaporated during rain falling from dew point to ground.
Dew point elevation decreased with increase of precipitation amount because humidity increased after rain andthen dew point elevation also changed. Then precipitation amount and hydrogen stable isotopic ratios changed
with season because precipitation amount changed with season.
Keywords: Precipitation amount, Hydrogen stable isotopic ratio, Dew point elevation, Rainfall evaporate

thought to change precipitation amount. Distancefrom elevation at dew point to ground decreases
always with elevation and then evaporation rate
decreases with elevation. Yabusaki et al (2008) [4]has reported that δD value in raindrop decreased
with elevation of sampling points because δD value
in raindrop increases with evaporation rate byisotope effect.
Yamada (1984) [5] has reported thatprecipitation amount increased with strength ofslope wind. Yamada et al (1995) [6] has reported
that precipitation amount at Mt. Yubari and Mt.
Gozaisho in Hokkaido and Mie, Japan (eachelevation of mountains: 1667 m, 1210 m) increased
with elevation of sampling points.
On the other hand, precipitation amount of Kuki
Peninsula (elevation of mountain: 318 m) did notincrease with elevation. From two studies, in highelevation mountain, precipitation amount increased
with elevation but the relation was not clear for low
elevation mountain.
Even for low elevation mountain (elevation 600m), heavy precipitation with over 100 mm increased
with elevation apparently [7]. Then, in certain
weather conditions, such as heavy rain, precipitation
amount of low elevation mountain was thought toincrease with elevation. As mentioned above, therelation between precipitation amount and elevation
for low elevation mountain is complicated.
Therefore, in this study, the purpose is to clarify the
relation between precipitation amount and elevationconsidering dew point, wind direction and stablehydrogen isotopic ratio changed with evaporation.

INTRODUCTION
Precipitation is a uniqueness origin ofgroundwater and river. About 70 percent area ofJapan’s land is the mountain. Thus, it is significant
to clarify characteristic of precipitation pattern at
mountain for efficient use of water. Since heavy rainleads to landslides [1], it is necessary to know how
much precipitation amount at each place. However,in particular distribution of precipitation in mountain
was not uniform and complicated. Furthermore, thenumber of precipitation stations in mountain is lessthan plain therefore precipitation pattern and its
characteristics are not clear.
Generally precipitation pattern for short timesampling was variable and precipitation pattern forlong term sampling was stable because long term
sampling was averaged. Then, from long term
sampling, precipitation amount was clarified toincrease with elevation [2]. There were two
mechanisms for the relation between precipitation
amount and elevation. When horizontal wind moves
along a mountain, wind goes upward. Air
temperature decreases with elevation by adiabatic
expansion and then saturated vapor pressure
decreases. When air vapor pressure is over thesaturated vapor pressure, raindrop occurs and falls.
Therefore, mountain makes rain and precipitation
amount made by mountain increases with elevation.
On the other hand, Fukano et al (2016) [3] hasreported that dew point elevation was clarified to be
an important factor determining stable isotope
values of precipitation. Evaporation from elevation
at dew point to ground during rain falling was
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SEE-Osaka, Japan, Nov. 21-23, 2016

METHODE

Using the H₂ -H₂ O equilibration method withplatinum as a catalyst for hydrogen, the isotopic
ratios of hydrogen were analyzed by mass
spectrometer (Geo Wet System, Sercon Co.).
Isotopic ratios are expressed as δ-values ‰represented by the following equation.

Sampling and Analysis
Figure 1 shows location of sampling points andenlarged view. Ikoma mountain range is located in
the north-south direction on the border of Osaka andNara in Japan. There were 6 rain gauges points at theeast of Osaka, plain, foot, hillside and ridge in westside, top and valley in east side of Ikoma mountains.
Rain sampling was performed 36 times by every
precipitation for one year from September, 2014.
Table 1 shows details of sampling points. Sampler
was a 500ml bottle made of polyethylene with wide
mouth, 43.6 mm in diameter. It was put on the
ground each sampling points. Precipitation amount
was measured by the following equation.

(2)
R : D/H, V-SMOW : Vienna-Standard Mean
Ocean Water. The measurement error of hydrogenisotopic ratio (δD) is ±1.0‰.
Estimate of the dew point elevation
Cloud occurs during air rising by adiabatic
expansion process when air temperature reaches dew
point. Elevation at dew point was the lowest
elevation of cloud and dew point elevation
determines distance from cloud to ground. Therefore,
precipitation pattern was thought to change with dew
point elevation. Dew point elevation was estimatedby the expression of Henning.

(1)
P: Precipitation amount (mm), W : Weight (g),
ρ : Density of water (10⁻³ g/mm³), C : Caliber ofSampler (43.6 mm)＝(3)H；elevation at dew point, ；Surface
temperature, ；Dew point (degree C), and dew
point was estimated of Tetens (1930) [8].
(4)e ； vapor pressure. Surface temperature andvapor
pressureareobserved
by JapanMeteorological Agency at Osaka.
RESULTS AND DISCUSSION
Annual precipitation amount and δD value
Figure 2 shows topographical map and annual
precipitation at each sampling point. Annual
precipitation amounts sampled at the hillside, ridge

Table 1 Details of sampling points

Fig. 1a Enlarged view of sampling areab Location of sampling points
789

Point

Elevation(m)

Plain
Foot
Hillside
Ridge
Top
Valley

0
10
120
430
440
280

Slope
orientation
West
Southeast

SEE-Osaka, Japan, Nov. 21-23, 2016

-36

1000

900
800

Plain

25

Foot

20

Hillside

15

Ridge

10

700

5

600

altitude (m)

30

0

Top
Valley
land

0

-38

δD (‰)

precipitation (mm)

1100

-40
-42
-44

-46

y = -0.9551x - 23.283
R = -0.80
14

400
200

16
18
20
22
24
Precipitation amount (mm)

0
19

21

23

25

Distance from Bay (km)Fig. 2

Topographicalmap
andannualprecipitation at each sampling point

Fig. 3

δD values of each sampling point

and valley were more than those at the plain. Annual
precipitation amount sampled at the foot and top ofmountain were less than those at the plain. Annual
precipitation amount at the ridge was the maximum
value however precipitation amount did not always
increase with elevation because annual precipitation
amount sampled at the top was less than those at theplain. Comparing foot and plain, annual
precipitation amount was thought to decrease with
distance from sea. Low precipitation at the top wasthought to be brought out by effect behind themountain because generally cloud comes from west
by seasonal wind.
Figure 3 shows δD of precipitation at eachsampling point. Average δD value of 16
precipitation events sampled from September 2014
to March 2015 decreased from plain to ridge but
increased from ridge to valley eastward.
Figure 4 shows relationship between δD value
and precipitation amount in each sampling points.
Each precipitation amount was average of 16
precipitation events. δD value decreased with
precipitation amount. The relation between
precipitation amount and δD value of each sampling

Fig. 4

Relationship between δD value andprecipitation amount in each sampling
pointsFig. 5

Relationship between δD value andprecipitation amount in each sampling
pointspoint was strong negative correlation with -0.8. δDvalue and precipitation amount in each sampling
point was thought to change same mechanism.
Variety of precipitation amount and δD by thedew point elevation
Reason that precipitation amount decreased withincreasing δD value was thought to due to raindrop
evaporation. Raindrop evaporation is a rain
evaporation process during falling from dew point
elevation to ground. Under dew point elevation,raindrop evaporates during falling because of
unsaturated air. Therefore, precipitation amountdecreases with distance from dew point elevation to
ground. On the other hand, δD value of raindrop
increases with evaporation rate by isotopic
fractionation [4]. Then, δD value of raindrop
increases with distance from dew point elevation to790

SEE-Osaka, Japan, Nov. 21-23, 2016

ground.
Figure5showsrelationshipbetweenprecipitation amount ratio at each point and dew
point elevation. Precipitation amount ratio at eachpoint was average precipitation amount at the eachpoint per average precipitation amount at the plain.
The ratios at the foot were about 1 with change
of dew point elevation. The ratios of hillside andridge increased with dew point elevation when dew
point elevation was over 180 m. When dew point
elevation was under180 m, the ratios of hillside andridge were about 1. Therefore, when dew point
elevation was low less than 180 m, difference of
precipitation amount among various elevations was
not observed. When dew point elevation was high,difference of precipitation amount was observed.
Figure 6 shows relationship between differenceof δD value from plain to ridge and dew point
elevation. Difference of δD value was difference
between average δD at the plain and average δD at
the ridge divided by 100m. Difference of δD
increased with dew point elevation. As a result,
Precipitation amount decreased and hydrogenstable isotopic ratios increased with distance fromdew point elevation to ground because of raindrop
evaporation due to distance from dew point
elevation to ground.

the Japan Meteorological Agency in Yao. Dew point
elevation decreased with precipitation amount.
Seasonal precipitation patternFigure 8 shows seasonal dew point elevation andprecipitation amount in Yao near the study area.
Precipitation amount was average value of the
precipitation amount for each precipitation of theJapan Meteorological Agency in Yao. Dew point
elevation was average value of each precipitation.
Four seasons predetermined that from September toNovember is autumn, from December to February is
winter, from March to May is spring, and from June
to August is summer. In autumn and summer,
precipitation amount was higher and dew point
elevation was lower than those in winter and spring.
Then, dew point elevation changed with season in
Yao.
Figure 9 shows seasonal precipitation ratio ofsampling point in west slope at the study area.
Precipitation ratio was average precipitation
amount at the each sampling point in west slope
divided by average precipitation amount at the plain.

Variation factor of dew point elevation
Humidity in air increases after rain because rain
evaporates. Then, dew point elevation was thought
to decrease after rain and with precipitation amountat each event. Precipitation amount is high insummer and low in winter at the study area. Thus,
dew point elevation was thought to be change withseason.
Fig.7 shows relationship between precipitation
amount and dew point elevation in Yao near the
study area. Precipitation amount was average valueof the precipitation amount for each precipitation ofFig. 6

Relationship between difference of δDvalue from plain to ridge
791

Fig. 7

Relationship between precipitation amountand dew point elevation

Fig. 8

Seasonal dew point
precipitation amountelevationandSEE-Osaka, Japan, Nov. 21-23, 2016

Fig. 9Seasonal precipitation ratio of sampling point in west slope

Precipitation ratios in winter and spring
increased with elevation of sampling point. On theother hand, in summer, precipitation ratio wasconstant with changes of sampling point elevation.
From the above, dew point elevation of eachprecipitation in sampling area decreases with
precipitation amount. As a result, winterprecipitation with small amount of precipitation was
thought that precipitation amount increased withelevation of sampling point. Precipitation ratio of
each sampling point in autumn was variable. Suzuki
et al (2010) [7] reported that precipitation amountcaused by typhoon increased greatly with elevation.
In autumn high precipitation ratio was thought todue to typhoon. Therefore, dew point elevation was
thought to determine seasonal change for
precipitation.

increased with distance from dew point elevation to
ground because of raindrop evaporation due todistance from dew point elevation to ground.
Humidity in air increases after rain because rain
evaporates. Then, dew point elevation decreased
after rain and with precipitation amount at each
event. Precipitation amount is high in summer andlow in winter at the study area. Thus, dew point
elevation changed with season and then elevation
effect of precipitation amount and isotopic ratiochange depended on season with change of dew
point elevation. .
REFERENCES[1] I. M. Patuti, Ahmad R, K. B. Suryolelono,“Mechanism and Characteristics of The
Landslides in Bone Bolango Regency,
Gorontalo Province, Indonesia”, International
Journal of GEOMATE, Vol. 12, Issue 29, pp. 18, Jan., 2017.
[2] Nakakita E, Suzuki Y, Ikebuchi S, “HierarchicalTime-Scale Structure in Dependency of Rainfall
Distributionon
Topography”,
DisasterPrevention Research Institute Annals, Bo. 43,
B-2, April, 2000.
[3] Fukano T, Hiroyuki I, “Dew Point Elevation
and Oxygen and Hydrogen Isotopic Ratios for
Precipitation Sampled at Osaka and Matsue,
Japan”, International Journal of GEOMATE,
Vol. 11, Issue 27, pp. 2712-2716, Nov., 2016.
[4] Yabusaki S, Tase N, Tsujimura M,“Characteristics of Stable Isotopes inPrecipitation at South Slope of Mt. Tsukuba”,

CONCLUSION
The purpose of study is to clarify precipitation
characteristics from plain to mountain. Then,
precipitation sampling between the Osaka Plain andthe south Ikoma Mountains, Osaka prefecture, Japan
was performed for one year.
As the result of sampling and measuring
precipitation, annual precipitations sampled at themountain area were higher than those at the plains.
The relation between every precipitation amount andhydrogen stable isotope ratios of each sampling
point was strong negative correlation with -0.8.
Hydrogen stable isotopic ratios decreased withannual precipitation amount. Precipitation amountdecreased and hydrogen stable isotopic ratios792

SEE-Osaka, Japan, Nov. 21-23, 2016

Bulletin of the Terrestrial Environment
Research Center ,No 9, 2008, pp.15-23.
[5] Yamada K, “Special Distribution of Heavy
Rainfall in Mountainous Area”, Journal of theJapan Society of Civil Engineers, No.28, 509513, 1984
[6] Yamada T, Hibino T, Araki T, Nakatsugawa M,“Statistical Characteristics of Rainfall in
Mountainous Basins”, Journal of the Japan
Society of Civil Engineers, No.527, Ⅱ-33, 1-13,
1995.
[7] Suzuki H, Nakakita E, 2010 “Dependence ofheavy rainfall on elevation along railroad inmountainous area”, Annual Journal of
Hydraulic Engineering, Japan Society of Civil
Engineers, Vol.54, 2010, pp.337-342.
[8] Tetens O. “Uber einige meteorologische
Begriffe”, Z. Geophys, 6, pp.297-309.

793

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

THE BEHAVIOR OF STRONTIUM AGAINST THE ADSORBENT IN
DIFFERENT SOLUTIONS
Keiichiro Shibata1, Hidenori Yoshida2, Naomichi Matsumoto3 and Yoshihiro Suenaga4
Graduate student, Kagawa University, Japan, 2,4Professor, Kagawa University, Japan, 3Technical staff,
Kagawa University

1

ABSTRACTThe Tsunami due to the Great East Japan Earthquake on March 11, 2011 indirectly caused a nuclear disasterat the Fukushima Daiichi nuclear energy plant of the Tokyo Electric Power Company. The radioactive strontium
dispersed by the accident have spread to the soil, lake, river and marine environments. Alternatively, tainted
groundwater continues to be generated by damaged facilities. The increase of collected tainted water makes it
difficult to secure the storage facility. In the face of such situation, the decontamination work for the radioactive
strontium has not been completed. It is possible that human is exposure by ecological chain and biologicalconcentration when the tainted water including the major quantity of strontium leak to marine. Therefore, thedecontamination of strontium is urgent business. In light of these, the experiment which has adsorbed strontium
into adsorbent so as to decrease the contamination degree of tainted water had been conducted by the authors in
the past. From the results, it was confirmed that the adsorption ability of adsorbent for strontium is varied indifferent solutions. Therefore, in this study, the adsorption test of adsorbent is conducted to grasp its ability insolution composed of magnesium, potassium or chloride. The hydroxyapatite derived from fish bones isdeveloped and used as the adsorbent. From the result of tests, it is confirmed that the adsorption ability ofhydroxyapatite for divalent cation is high level in the various solutions.
Keywords: decontamination, hydroxyapatite, strontium, radiation tainted water
water on 2011 and they are high in the mud after
2012. After that, the detected of strontium does notchange. On the other hand, the number of cesium
remains on 2014. From these survey results, it isconsidered that the radioactive contamination inhydrosphere is due to the cesium. Whereas thematter of tainted water in the F1 is needed to betaken notice. The groundwater which is transferredto the nuclear reactor building is contaminated, andthe securement of storage facility is a serious
problem. Table 1 is recreated base on the results
which is obtained from the analysis for groundwaterin the F1 by the Tokyo Electric Power Company
Holdings as in the reference [6]. The groundwater iscollected from the thirty points where flows aroundseawall of the Units 1-4 of the nuclear reactor
building so as to investigate the contaminatedsituation by 137Cs and beta ray, and the average of
detected value of 137Cs and beta ray in groundwater
are shown in Table 1. Though the Tokyo ElectricPower Company sets out to decrease the inflow ofgroundwater throw the nuclear reactor building andsteps down the contamination degree of tainted
water, the sign of solution is not shown. The
detected value of beta ray is very high to comparewith that of 137Cs. It is considered that the tainted
groundwater includes the major quantity of 90Sr,
because 90Sr is the representative radioactive
material which emits the beta ray. Therefore, theremovals of strontium in the tainted water andcesium in marine

INTRODUCTION
The nuclear disaster at the Fukushima Daiichi
nuclear energy plant (F1) of the Tokyo ElectricPower Company was indirectly caused by the Great
East Japan Earthquake and the Tsunami on March
11, 2011. The amount of radioactive materials
discharged from the F1 due to the accident, whichcontaminated in the surrounding land and ocean.
When the marine contamination is occurred by theradioactive materials, the influence on aquatic
product is especially needed to be concerned. Figs.
1-4 are recreated on the Report of Radioactivity
Surveys by the Hydro-graphic and Oceanographic
Department Japan Coast Guard, which are shown as
the tainted situations of cesium-137 (137Cs) andstrontium-90 (90Sr) as in the references [1]-[5]. The
vertical axis in the graphs is the detected value of137
Cs or 90Sr, and the horizontal is the measured year.
The survey points of two elements are Off Otaru,
Sendai bay, Tokyo bay, Ise bay and Osaka bay. The
detected values of 90Sr and 137Cs in the marine water
are shown in Fig. 1 and Fig. 2, respectively. The
detected values of 90Sr and 137Cs in the marine mud
are shown in Fig. 3 and Fig. 4, respectively. The
radioactive concentration of strontium in Tokyo bay
is almost the same as that in Sendai bay. Whereas,
the radioactive concentration of cesium in Tokyobay is the highest. The spreading of the radioactive
materials are evident from the survey results.
Alternatively, it is confirmed that a large quantity ofcesium and strontium are detected from marine

794

SEE-Osaka, Japan, Nov. 21-23, 2016

mud are respectively demanded, alternatively, thestrontium is more dangerous than the cesium.
Because it is considered that strontium is moredangerous than cesium due to the following fact.
When cesium is taken in the body, it is mainly
absorbed into muscle. After that, it is released fromthe body as sweat or urine. Strontium, on the other
hand, is absorbed into bone and is stored in it forlong time. When the tainted water including the
major quantity of strontium leak to marine, it ispossible that human is exposure by ecological chain
and biological concentration. Therefore, thedecontamination of strontium is urgently needed.
The authors have conducted the experiment whichstrontium is adsorbed to the adsorbent under themarine and tainted water so as to solve this problem
in the past (see the reference [7]). It was confirmedthat the adsorption ability of adsorbent for strontium
is variedin different solutions. Thus, in this study, themaximizeFig. 4theperformanceof

adsorbent

forSecular change of 137Cs in marine mud

strontium under the various environments. In
concrete terms, a number of solutions are prepared,
and the adsorption tests of the adsorbent forstrontium in each solution are conducted. The
adsorption ability of adsorbent is grasped throwcomparing the test results.
Table 1 Analysis results of tainted water in aroundF1 (seawall of Unit 1-4)
137

Around seawallof Unit 1
2
3
4

Cs(Bq/L)
6.75

Sum of betaray(Bq/L)
28.17

4797.3843.33
3.43

129294.20
1200.00
5478.67

Fig. 1 Secular change of 90Sr in marine water
adsorption ability of adsorbent is examined to
UTILIZED ADSORBENT IN EXPERIMENT

Fig. 2

Secular change of 137Cs in marine water

Fig. 3

Secular change of 90Sr in marine mud

There are two important issues when
decontaminating the hydrosphere; the nonproliferation of radioactive materials and volume
reduction of radioactive waste. In this study, newadsorption materials, which can adsorb radioactive
fallout is developed to solve the issues. To be more
precise, the new adsorption material consists ofhydroxyapatite (HAp, see Fig. 5). The chemical
formula for the HAp is Ca10(PO4)6OH2 and is thehydroxyl end member of the complex apatite group.
The apatite is the clump of crystalline compoundFig. 5795

Hydroxyapatite

SEE-Osaka, Japan, Nov. 21-23, 2016

which has the basic structure of M10(ZO4)6X2. For
example, fluorapatite (Ca10(PO4)6F2) is therepresentative component of phosphate rock, and itis the industrial resource for phosphorus [10]. The
HAp receives a lot of attention as the biomaterials
for modern tooth and bone implants. The artificial
combining is conducted by a lot of methods [9]. The
HAp utilized in the study was developed by Suenaga,
etc. (application number: 2014-58267, invention
name: hydroxyapatite made from fish bones, merely
calcined, applicant: national university corporation
Kagawa university and Nihon Kogyo CO.LTD,
apply date: April 2nd, 2014)

the each solution is close to that in seawater.
First, 300 ml of each solutions are poured intocylindrical containers, and 5.0 mg of liquid
strontium hydroxide is added. After that, the filterbag containing the HAp absorbent is placed on thebottom of cylinders. The filter bag is frequently usedas the household kitchen sinks
Secondly, it is immersed for the set period oftime (see Fig. 6). After a set immersion time, the
HAp is picked up, and the remaining amount ofstrontium in the solutions is analyzed by inductively
coupled plasma atomic emission spectrometry (ICPAES). In this study, the residual ratio is utilized as
the evaluation of experiment result. The residual
ratio is defined by the following equation, Eq.(1)TARGETED MATERIAL FOR EXPERIMENT

R(%) =

A wide variety of radioactive materials werereleased from the accident at the Fukushima Daiichi
nuclear energy plant. For experiments using the
HAp, strontium was selected as a target material
because it is released vigorously and its half-life isrelatively long. Also, the properties of strontium are
more or less those of calcium where it is absorbed
into the bones after entering the body [8]. The
properties of strontium are explained below in detailsince it is necessary to grasp their features for theexperiment.
Strontium is a fusible alkali-earth metal, which
exists as a divalent positive ion in solution.
Strontium also has several isotopes. Among those,90
Sr, a by-product of nuclear fission found in the
nuclear fallout from the Fukushima Daiichi nuclear
power plant, is the removal target. The half-life of90
Sr is about 29 years. 90Sr changes to stablezirconium-90 by twice beta collapse. Radiation
exposure is divided into two categories; one is theexternal exposure, and the other is the internal
exposure. The external exposure occurs when an
organism receives radiation from outside the body.
Once strontium is substituted for calcium in bone, it
is rare that the strontium is expelled from the body.
This behavior is different from that of cesium, which
is absorbed into the muscles in the body.
Knowing the above facts, it can be said that thehealth threat to humans is caused by strontium andthe strontium should be de-contaminated as quickly
as possible.

r
× 100
a

(1)

where ”r” is the remained amount of strontium, and“a” is the additive amount of strontium. An average
result is recorded after three times experiments are
conducted for each set of 5 solutions and pure water.

Fig. 6 Immersion test
EXPERIMENT AND ANALISYS RESULTS
The residual ratio of strontium in each solution
is shown in Figs.7-12. The vertical axis in the figureis the residual ratio of strontium, and the horizontal
one is the immersion time. About 10 pieces(6.0~7.0g) of the HAp, one of which has 0.6~0.7g
of mass for one piece, are used in each experimentand the immersion times are 24 h, 72 h, 120 h or 168h.
Solutions containing chloride

EXPERIMENT AND ANALISYS METHOD

The experimental results of three solutions withinvolvement chloride are shown in Figs. 6-8. It is
confirmed that the residual ratio of strontium inthree specimens decreases with the passage of time.
Especially, when potassium chloride solution or
sodium chloride solution is employed as the solution,
the residual ratio of strontium is almost zero percent
after 168 h, and it is the lowest in the potassium
chloride solution after 24 h. It is possible that theIn the experiment, five solutions and pure water
are prepared to compare the adsorption ability of the
HAp for strontium in different environment. One
specimen is prepared in terms of comparison, it ispure water, while the other contains sodium chloride,sodium acetate, potassium chloride, magnesium
chloride and sodium nitrate 3%. The reason why thesodium chloride and etc. are 3 % concentration in
796

SEE-Osaka, Japan, Nov. 21-23, 2016

adsorption of HAp for strontium is prompted by thepotassium. On the other hand, when magnesium
chloride solution is employed, almost thirty percent
of strontium remained in the solution. Furthermore,
the adsorption ability of HAp for strontium is clearly
influenced by divalent cationic magnesium.

Alternatively, when three solutions are compared in
the light of existence or non-existence of sodium, theresidual ratio of strontium in solution containing of
sodium is relatively high other than the pure water.
It is considered that the adsorption ability of the
HAp for strontium is slightly influenced by sodium.
Nevertheless, more than ninety percent of strontium
is adsorbed to the HAp in case of utilizing eachsolutions.

Fig. 7 Residual ratio of strontium in magnesium
chloride solution
Fig. 10

Residual ratio of strontium in pure water

Fig. 11
Residual ratio of strontium in sodium
nitrate solution

Fig. 8Residual ratio of strontium in sodium
chloride solution

Fig. 12Residual ratio of strontium in sodium
acetate solution

CONCLUSIONSIn this study, adsorption experiments are
conducted in various solutions to grasp theadsorption ability of the HAp for strontium. It is
confirmed in the results that the adsorption ability of
the HAp for strontium has a beneficial effect inevery five solution and pure water. The residual ratioof strontium is more or less zero percent in case ofusing pure water, sodium chloride solution orpotassium chloride solution. Especially, the residual
ratio of strontium already decrease up to twenty
percent after 24 h in the case of potassium chloride
solution. It is considered that the ionization tendencyof potassium is higher than that of strontium, whichmakes an effect on the adsorption performance of
HAp. The influence on the HAp is examined by

Fig. 9 Residual ratio of strontium in potassium
chloride solution

Solutions without chloride
The experiment results of three solutions with
non-involvement chloride are shown in Figs. 9-11. It
is confirmed that the residual ratio of strontium inthree solutions decreases with passage of time.

797

SEE-Osaka, Japan, Nov. 21-23, 2016

increasing the concentration of potassium in near
future. On the other hand, when magnesium chloride
solution is utilized, about thirty percent of strontium
remained in the solution. It is considered thatdivalent cationic magnesium blocks strontium
adsorption to the HAp. In fact, the seawater and thegroundwater include various metal elements.
Furthermore, it is necessary to examine the detailed
influence on the HAp through conducting theexperiment in which the concentrations of potassium,
sodium and magnesium are changed.
It is confirmed that the HAp is the effective
adsorbent for strontium among various adsorbents,
but it is necessary to conduct the laboratory
experiment in environment including various
environments so as to remove strontium from theseawater which are consisted to include them.
Alternatively, the HAp may have a possibility toadsorb a large number of materials other thanstrontium. The HAp can become the effective device
to the cleanup of air and water pollution. A varietyof artifice and many experiment are necessary to
make use of the HAp in various field. In this study,
the adsorption ability of HAp for the alkali metals
and the alkaline-earth metal has been examined, but
the adsorption ability for the other elements is
conducted.

[2] Hydrographic and Oceanographic Department
Japan Coast Guard, Report of Radioactivity
Surveys, Results of Surveys in 2011, ISSN
0910-044X, Mar. 2013, pp. 5-8.
[3] Hydrographic and Oceanographic Department
Japan Coast Guard, Report of Radioactivity
Surveys, Results of Surveys in 2012, ISSN
0910-044X, Mar. 2014, pp. 5-14.
[4] Hydrographic and Oceanographic Department
Japan Coast Guard, Report of Radioactivity
Surveys, Results of Surveys in 2013, ISSN
0910-044X, Nov. 2014, pp. 5-13.
[5] Hydrographic and Oceanographic Department
Japan Coast Guard, Report of Radioactivity
Surveys, Results of Surveys in 2014, ISSN
0910-044X, Jul. 2015, pp. 5-12.
[6] Tokyo Electric Power Company Holdings,
Analysis results of tainted water in around F1(seawall of Unit 1-4), Jun. 2016.
[7] Shibata K, Yoshida H and Matsumoto N,“Study on removal of cesium and strontium
from marine and lake mud”, International
Journal of GEOMATE, Vol. 11, Aug. 2016, pp.
2259-2256.
[8] Mimura H, Yamagishi I and Akiba K,“Removal of radioactive cesium and strontium
by zeolites”, The Chemical Society of Japan,
vol. 1989, No. 3, Jun. 1988, pp. 621-627.
[9] Tanioka T, Imanishi N and Kawai T, “Apatite
for Bioengineering Ceramics, Resources
processing”, Vol. 37, No. 1, Oct. 1989, pp. 1522.
[10] Tanioka T, Imanishi N and Kawai T,“Adsorption Characteristic of Hydroxyapatite inaqueous solutions”, Resources processing, Vol.
38, No. 3, May. 1991, pp. 121-127.
[11] Nishiyama Y, Hanafusa T, Yamashita
J,Yamamoto Y and Ono T, “Adsorption andremoval of strontium in aqueous by synthetichydroxyapatite”, Journal of radioanalytical andnuclear chemistry, Vol. 307, Feb. 2016,
pp.1279-1285.

ACKNOWLEDGEMENTS
The authors would like to express cordial
gratitude to NIHON KOGYO. CO. LTD for
provision of the HAp and the HAp sheet. This work
was supported by JSPS KAKENHI Grant Number
24520507.
REFERENCES[1] Hydrographic and Oceanographic Department
Japan Coast Guard, Report of Radioactivity
Surveys, Results of Surveys in 2010, ISSN
0910-044X, Mar. 2012, pp. 4-7.

798

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

BIODEGRADATION CAPACITY OF URBAN RIVERS IN JAKARTA,INDONESIA
Yonik Meilawati Yustiani1, Imas Komariah2
Department of Environmental Engineering, Engineering Faculty, Pasundan University,
Indonesia, 2Doctoral Student of Faculty of Environmental Engineering, the University of Kitakyushu, Japan
1

ABSTRACTJakarta is a city with dense population and various activities causing the heavy pressure to the environment.
Domestic and non-domestic activities are generating pollution to its rivers. The water body actually has itself aself natural purification capability. The characteristic of the river water quality will affect this pollution
degradation process. This research is conducted to examine the biodegradation capacity of Jakarta’s rivers.
Water quality data of 23 rivers were collected for the time period of 2011 to 2015. Biochemical Oxygen Demand(BOD) and Chemical Oxygen Demand (COD) concentrations are then being used to calculate the BOD/COD
ratio. The calculation results show that during the period time of 2011-2013 the ratio ranges between 0.36 and
0.63, which indicates that the rivers have average biodegradation capability. However, the 2014 year’s data showthat almost all of the rivers have ratio less than 0.2, indicating the no-biodegradation capability. Existence of
metals can also inhibit the biodegradation process. The water quality data shows significant increase of metals in
the year of 2014, especially Copper and Zinc in several rivers. Surfactant was also observed in extremely highconcentration. Thus, most of the Jakarta’s rivers have relatively low capability in biodegradation capacity andself purification capability. Although the latest year data shows an improvement, yet the BOD/COD ratio is stillin the range of slow of biodegradation capacity.
Keywords: BOD/COD ratio, Biodegradation Capacity, self purification

biological factors. For example, the rate of thesorption of pollutants by settling particles ofsuspensions depends on the concentration ofphytoplankton cells; photochemical decompositionof substances is only possible in transparent water,
and the transparency is ensured by the filtration
activity of hydrobionts. Thus, biotic processes arepivotal for the entire system of water self
purification [6]. The removal of pollutants from awater body without any artificial controls is called
self-purification, or natural purification. The
mechanism of self-purification of water bodies canbe divided into three groups: physical processes,
chemical processes and biological processes [7].
The characteristic of the river water quality willaffect the pollution degradation process. This
research is conducted to examine the biodegradation
capacity of Jakarta’s rivers. Monitoring of
biochemical parameter is a routine water quality
assessment for river quality where pollution is ofconcern due to rapid urbanization andindustrialization that can post threat to sustainabilityof river conservation. Thus BOD and COD are two
widely used parameters for organic pollution
measurements [8]. The BOD/COD ratio is anindicator of biodegradation capacity [9]. The ratio isalso affected by the concentration of nonbiodegradable material.
BOD/COD ratio is found to be reliable and

INTRODUCTION
Urban river systems are often heavily degraded,a situation that is not confined to a particulargeographic region of the world, but common to allareas subject to urbanization [1]. Urban development
imposes enormous changes on the form and functionof river systems [2]. Nowhere is the impact ofhuman population growth and land alteration more
apparent than in the water quality of urban rivers [3].
River water and sediment quality are affected bystorm water and waste water drainage and by pointand diffuse inputs of pollutants [2]. Balancing theinteractions between natural and constructed systems
in urban areas is crucial for the future supply ofwater for large human settlements [4].
Jakarta, as a capital city of Indonesia, has several
rivers crossing across its area. Visually, those rivers
water quality apparently suffer with heavy pollution.
There are 13 major rivers flowing through the city ofJakarta. These rivers receive pollutants fromindustrial and household sources in both solid andliquid forms [5].
Naturally, the organic-polluted rivers can purify
themselves. Many physical, chemical, and biotic
processes are important for the formation of water
quality and water purification in aquatic ecosystems.
Many of these physical and chemical processes areeither controlled or affected to a certain degree by799

SEE-Osaka, Japan, Nov. 21-23, 2016useful indicator to relate organic matter content in
the river under tropical climate condition.
BOD/COD ratio can be used as crucial attribute forcharacterization of river and critical indicator forpollution measurement in the river water study [8].
A value of >0.5 BOD/COD ratio denotes rapid
biodegradation, and a range of 0.2-0.4 indicatesbiodegradation only in favorable thermal condition[10]. Having the biodegradation capacity will
suggest the further treatment and strategy toovercome the polluted urban rivers.

of 2011, the sampling stations were lesser that thosetoday. To have a better comparison, this research isonly analyzing 34 stations which have complete data
since 2011. Figure 1 shows the location of all
sampling stations. In the year of 2013, the samples
were taken twice a year denoting the rainy and dry
seasons.
The biodegradation capacity of river water isdetermined by using BOD/COD ratio. In mosteffluents, BOD is less than COD, and elevated
BOD5/COD ratio signals a high rate ofbiodegradation of wastewater [11]. This ratio isgenerally considered the cut-off point between
biodegradable and non-biodegradable waste [12].
Measurement of BOD and COD were carried out
using dilution method and dichromate method,respectively, according to the APHA’s Standard
Method [13].

METHODOLOGY
Yearly samples were taken by the River Agencyof Ciliwung-Cisadane River Region. The number ofsampling stations in the Ciliwung-Cisadane BasinRegion is 50; however some of the sampling stations
are determined later, started from 2012. In the year

Fig. 1. Map of Ciliwung-Cisadane River Basin and water sampling stations. (BBWS, 2015)
Biodegradation capacity determination can beindicated by observing the inhibitor of selfpurification process. Heavy metals and MBAS
surfactant were also determined from the water
samples to support the result of river water
biodegradable capacity results. Measurements ofheavy metals were conducted using the spectrometry
method [13]. The inhibitory effects of heavy metalson the self-purification process started at muchhigher concentrations of metals than those typicallyfound in surface water [14].

RESULT AND DISCUSSION
The Figure 2, 3, 4, 5 and 6 depict the BOD/COD
ratio of Jakarta’s Rivers for the year of 2011, 2012,2013, 2014 and 2015, respectively. There are two setof data of the year 2013 representing the rainy anddry season. The black shading on the Fig 4 shows
the rainy season’s data, whereas lighter grey shadingon the Fig. 4 shows the dry season’s.

800

SEE-Osaka, Japan, Nov. 21-23, 2016

BOD/ COD ratio of the year 2013

St. 50St. 49St. 48
St. 47
St. 44
St. 43
St. 42
St. 41
St. 40St. 39St. 38
St. 37
St. 36
St. 35
St. 34
St. 33
St. 32
St. 31
St. 24
St. 23
St. 17
St. 16
St. 15
St. 14
St. 13
St. 12
St. 11
St. 9
St. 8
St. 6
St. 5
St. 3
St. 2
St. 1

Sampling Station

Sampling Station

BOD/ COD ratio of the year 2011

0

0.1

0.2

0.3

0.4

0.5

St. 50St. 49St. 48
St. 47
St. 44
St. 43
St. 42
St. 41
St. 40St. 39St. 38
St. 37
St. 36
St. 35
St. 34
St. 33
St. 32
St. 31
St. 24
St. 23
St. 17
St. 16
St. 15
St. 14
St. 13
St. 12
St. 11
St. 9
St. 8
St. 6
St. 5
St. 3
St. 2
St. 1

0

0.6

0.1

0.2

Fig. 2

Fig. 4

BOD/COD ratio of the year 2011

Sampling Station

Sampling Station

St. 50St. 49St. 48
St. 47
St. 44
St. 43
St. 42
St. 41
St. 40St. 39St. 38
St. 37
St. 36
St. 35
St. 34
St. 33
St. 32
St. 31
St. 24
St. 23
St. 17
St. 16
St. 15
St. 14
St. 13
St. 12
St. 11
St. 9
St. 8
St. 6
St. 5
St. 3
St. 2
St. 1

0.1

0.2

0.3

0.5

0.6

0.4

0.5

BOD/COD ratio of the year 2013

St. 50St. 49St. 48
St. 47
St. 44
St. 43
St. 42
St. 41
St. 40St. 39St. 38
St. 37
St. 36
St. 35
St. 34
St. 33
St. 32
St. 31
St. 24
St. 23
St. 17
St. 16
St. 15
St. 14
St. 13
St. 12
St. 11
St. 9
St. 8
St. 6
St. 5
St. 3
St. 2
St. 1

0

0.6

0.1

0.2

0.3

0.4

BOD/COD ratio

BOD/COD ratio

Fig. 3

0.4

BOD/ COD ratio of the year 2014

BOD/ COD ratio of the year 2012

00.3
BOD/COD ratio

BOD/COD ratio

Fig. 5

BOD/COD ratio of the year 2012

801

BOD/COD ratio of the year 2014

0.5

0.6

SEE-Osaka, Japan, Nov. 21-23, 2016

can be used to focus on the industrial wastewater
treatment. This measurement might have been
conducted to improve the following year’s riverwater quality condition.
The further observation was carried out toinvestigate the water quality condition of the rivers
considering the biodegradable capacity. Table 2
depicts the concentration of Copper, Zinc and
MBAS (methylene blue active substances)
surfactants to represent the content of heavy metaland detergent. Heavy metals are toxic to the mixed
culture of microorganisms responsible for thedecomposition of organic compounds in surface
waters [14].
Depending on the situation, synthetic surfactants
and other pollutants may have different effects onhydrobionts (they can inhibit their growth, change
their behavior, and the like), which can affect thewater purification processes [15].

Sampling Station

BOD/ COD ratio of the year 2015
St. 50St. 49St. 48
St. 47
St. 44
St. 43
St. 42
St. 41
St. 40St. 39St. 38
St. 37
St. 36
St. 35
St. 34
St. 33
St. 32
St. 31
St. 24
St. 23
St. 17
St. 16
St. 15
St. 14
St. 13
St. 12
St. 11
St. 9
St. 8
St. 6
St. 5
St. 3
St. 2
St. 1

0

0.1

0.2

0.3

0.4

0.5

0.6

BOD/COD ratio

Fig. 6

BOD/COD ratio of the year 2015

The recapitulation of the range and mean valueof BOD/COD ratio are displayed in Table 1.
Table 1 The BOD/COD value
Year

min

Fig. 7. Concentrations of Copper, Zinc and MBAS
Surfactant

max

mean
value
2011
0.38
0.63
0.49
2012
0.36
0.58
0.46
2013a
0.43
0.56
0.44
2013b
0.38
0.55
0.44
2014
0.02
0.35
0.07
2015
0.13
0.38
0.29
Note: 2013a represents the rainy season, whereas
2013 represents the dry season.

Almost all heavy metals concentrations were
under the maximum level of the river water quality
standard. These metals can be derived from theindustrial wastewater. Copper was found slightly
high in the year 2013 and 2014, and Zinc was also
detected rather high in the year 2012 and 2013.
Those metals concentration decrease from year toyear. Nevertheless, the MBAS surfactant
concentration increase, and reached an extremely
high value in the year 2014. This condition worsens
the river water considering its capability of selfpurification process. Surfactant can be derived fromthe washing activities in the domestic area. Much ofaquatic pollution involves sewage in which organic
waste predominate. This waste can increasesecondary productivity while altering the characterof the aquatic community. Most fishes especially the
species desired as food by man are among thesensitive species that disappear with the least intense
pollution [16].
The BOD/COD ratios are highly affected by thewastewater discharged into the river. Variation of
the ratios in each sampling station shows that every

The table and figures show that, the BOD/COD
ratio decline from year to year, especially in the yearof 2014. It can be seen significantly that the water
quality of rivers deteriorated in the year 2014 almost
thoroughly. Only two stations showed the value
above 0.1. In the year of 2015, the ratios are
improved to 0.29 in average. Observing data sets of
the year 2013 that are representing the season, it canbe seen that there is no significant different between
rainy and dry seasons. Low value of BOD/COD
ratios can be affected by the increasing of COD
concentration. High concentration of COD indicatespollution from non-domestic activities. The results802SEE-Osaka, Japan, Nov. 21-23, 2016

river segments is influenced by the activity’s
wastewater located near it.
The conditions of those rivers were improved in
the year of 2015. Heavy metals were not detected
and the concentration of MBAS surfactant was
lowering. This improvement will lead to an
enhancement of the biodegradation capacity of therivers.

[5] Suwandana E, Kawamura K, Sakuno Y,
Raharjo P, “Evaluating spatio-seasonal patternsof river- and groundwater quality in the city ofJakarta, Indonesia, using a pollution index”,
J.JASS, 27(3):91-102, 2011.
[6] Ostroumov SA, “On the Biotic Self-purificationof Aquatic Ecosystems: Elements of the
Theory”, Doklady Biological Sciences, Vol. 396,
2004, pp. 206–211. Translated from Doklady
Akademii Nauk, Vol. 396, No. 1, 2004, pp.
136–141.
[7] Thu TCT, Van DL, Duc TT, Xuan SL,“Assessment of Self-Purification Process of Thi
Nai lagoon (Binh Dinh Province, Viet Nam)”,Environment and Natural Resources Research;
Vol. 5, No. 3, 2015, pp. 19-27[8] Lee AH, Nikraz H, “BOD:COD ratio as an
Indicator for River Pollution”, International
Proceeding of Chemical, Biological andEnvironmental Engineering Vol. 88 (2015).
[9] Metcalf
and
Eddy,
“ConstituentsinWastewater”, Wastewater engineering treatment,
disposal and reuse, 4th edn. McGraw Hill, New
York, 2003, pp. 96-97.
[10] Contreras S, Rodriguez M, Al Momani F,
Esplugas S, “Contribution of the ozonation pretreatment to the biodegradation of aqueous
solutions of 2,4 dichlorophenol”, Water
Research, 2003 37:3164-3171[11] Pirsaheba M, Ghayebzadeh M, Moradi M,
Gharogozlou F, Sharafi K, “Ratio variations ofsoluble to total organic matters at different unitsof a full scale wastewater integrated
stabilization pond”, Journal of Chemical andPharmaceutical Research, 2015, 7(5):1326-1332.
[12] Turak UG, Fsar HA, "Research of BOD And
COD Values of Wastewaters that Contain
Certain Organic Materials", A Donor Menderes
Univ., 4th AACD congress, Kusadasi – Aydin,
Turkey, Proceeding Book , p177, 2004.
[13] American Public Health Association-APHA;
American Water Works Association-AWWA;
Water Environment Federation-WEF. 2012.
Standard methods for the examination of water
and wastewater. 22nd edition. Washington.
[14] Mala J, Maly J, “Effect of Heavy Metals on
Self-Purification Processes in Rivers”, Applied
Ecology and Environmental Research 7(4): 333340.
[15] Ostroumov SA, “The Effect of Syntetic
Surfactants on the Hydrobiological Mechanismsof Water Self-Purification” Water Resources
September 2004, volume 31, Issue 5, pp 502510.
[16] Owa FD, “Water Pollution: Sources, Effects,
Control and Management”, Mediterranean
Journal of Social Sciences, Vol. 4 No 8, 2013

CONCLUSION
Jakarta as a capital city of Indonesia has urbanrivers affected by its activities. The ratio of
BOD/COD decreases from the year of 2011 to 2014,
and slightly increases in the latest year. Based on the
BOD/COD ratio values, it can be concluded that the
Jakarta’s rivers generally have slow biodegradation
capacity during 2011-2015, except in the year of2014 that showing the non-degradable condition.
Improvement was observed in the latest year which
gives slight increment of biodegradation capacityand decrease of self-purification inhibition
parameters’
concentrations.
Althoughtheimprovement has been perceived lately, themeasurement to manage the domestic and nondomestic wastewater need to be continuously
conducted.
ACKNOWLEDGEMENTS
This paper is supported by data set completed by
the Ciliwung-Cisadane River Basin Agency.
REFERENCES[1] Morley SA, Karr JR, “Assessing and restoring
the health of urban streams in the Peuget Sound”
Basin Conservation Biology, 16(6) 2002 14891509.
[2] Gurnell A, Lee M, Souch C, “Urban Rivers:
Hydrology, Geomorphology, Ecology andOpportunities of Change”, Geography Compass
1/5 (2007): 1118-1137.
[3] [3] Epstein DM, Kelso JE, Baker MA, “Beyond
the urban stream syndrome: organic matterbudget for diagnostics and restoration of an
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(2014) Final Opportunity to Rehabilitate an
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doi:10.1371/journal.pone.0102081

803

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

EFFECT OF MODIFIED CASSAVA FLOUR (MOCAF), LENTIL, DATESBISCUIT ON THE BLOOD GLUCOSE LEVEL OF DIABETIC PATIENT
Fatmah 1,2
1 Public Health Nutrition Department, Faculty of Public Health, University of Indonesia, Depok City, West Java
Province, Indonesia
2 CAS (Center of Aging Studies) University of Indonesia. Depok City, West Java Province, Indonesia

Problemstatement:
Management
of
type
2
diabetes
mellitusundertaken
throughpharmacological and non pharmacological therapies to maintain blood glucose levels (BGL) arestill remains within th range of normal values . One of the effort of non pharmacological therapy
is eating foods with low GI (glycemic index) value to maintain the value in normal range.
Approach: The objective of the study was to assess the effect of consumption of biscuits mocaf
lentils dates to the change of BGL status of diabetic patients. Randomized Controlled Trial(RCT) pre-post test design was used on 141 subjects who divided in the 4 groups: the treatmentgroup (biscuits mocaf lentils dates) and three control group s (mocaf tempeh dates, tempeh dates,and dates biscuits). Anthropometric data collection; intake of energy, protein, and fat; BGL
examination were collected before and 2 hours after eating biscuits at the beginning, middle, andthe end of the study. Results: Biscuits mocaf lentils dates contains carbohydrates, zinc, and vitamin A isslightly higher than the mocaf tempeh dates; tempeh dates; and dates biscuits. Mocaf lentils dates
biscuits has low glycemic index value (less than 50). Increased post-prandial BGL at 2 hours
after consumption of biscuits was the lowest (6.4 points) compared with the control group at theend of the study. There were significant differences on the BGL treatment group before and after
the study. Conclusion: Mocaf lentils dates biscuit can be an alternative choice of nutritious snack foods fordiabetics.
Keyword: Type 2 Diabetes, Mocaf Lentils Dates Biscuit, Low GI

INTRODUCTION
The prevalence of diabetes mellitus (DM) is still anutritional problem in Indonesia as it continues toincrease every year. The total prevalence of DM in
Indonesia happens to the patients aged over 15 years
at 5.7% out of 24 417 citizens in urban areas. It isestimated that in 2030, the prevalence of DM in
Indonesia will reach 21.3 million people [1].
International Diabetes Federation (IDF) 2015
estimates that an increasing number of diabetic
patients in Indonesia, from 7 million in 2009
predicted to reach 12 million by 2030 [2].
Meanwhile, the WHO estimates that the higher
increase is 8 million patients in 2000 to 21 million in
2030. In fact, DM becomes the 2nd cause of death ofthe elderly in Indonesia [3]. Obesity, smoking habit,
eating less fruits and vegetables, often consuming
sugary foods and beverages, as well as lack ofphysical activity such as exercise are risk factors fordiabetes mellitus [4]. DM disease often does notcause symptoms, so patients do not know they havesuffered from diabetes for a long time. Whendiagnosed, blood glucose levels are already highunnoticed. Changes in lifestyle modification
including diet and physical activity are somepreventive actions of type-2 diabetes mellitus. This
type occurs in many developing countries especiallyfor patients aged over 45 years old who do notdepend on insulin. Diet in patients with DM includes
the arrangement of consuming calories, andcarbohydrates, fats and proteins that are found in thegrouping of seven food classifications. One of somemeal arrangements or diet can be made through thecorrect selection of the amount and type ofcarbohydrates by using the concept of the Glycemic

804

Index (GI). Foods which contain high IG increase
blood glucose levels faster after food is consumed[5]. Foods which are high in gluten such as wheat
flour should also be avoided by diabetics because
they can raise blood glucose levels. Managing type-2
diabetes mellitus is done through pharmacologicaland non-pharmacological therapy to maintain BGL
remains within the range of normal values [6]. One of
the non-pharmacological therapies is to eat foods
with a low GI value so BGL will remain normal.
Biscuit made from lentil dates mocaf can be analternative choice of nutritious snack foods that canlower BGL diabetics. Several studies had proved thethird raw material was effective for diabetics inlowering their BGL. Mocaf gluten-free which is safe
to be consumed by diabetics can also reduce theabsorption of cholesterol, dilute the toxins, andincrease the production of short chain fatty acids [7].
Mocaf flour also has a prebiotic effect that helps thegrowth of microbes in the digestive tract so that thedigestive system becomes healthier because it isproduced by fermentation. Lentil contains protein andessence that can lower blood sugar, high inantioxidants compared to soybeans [8]. Dates has
low GI value so they are safely consumed bydiabetics [9].

made through home visits every two days to record
data of daily food consumption and the number ofbiscuits distributed. In addition, measurements offasting blood glucose (FBG), random blood glucose,and blood sugar 2 hours after consuming biscuits
was conducted at the beginning, in the middle, and at
the end of the study. Baseline data collection is doneat the beginning of the study (end line) that includes
the characteristics of the subjects, history of diabetes
mellitus, the health status of the subjects two weeks
before the interview, and the last one-day food intake(food recall). Data of weight was analyzed using thestandard World Health Organization (WHO) in 2007
by the WHO Anthroplus software version 02 of 2009
based on indicators BB/U. Uni-variate data analysis
performed use SPSS version 13. The anthropometricdata include weight, height, waist circumference,
pelvic circumference, blood pressure, and percentage
of body fat was measured by trained field workers.
RESULTS AND DISCUSSION
At the beginning of the study, there were 172
subjects distributed evenly in 4 groups (eachconsisting of 43 people), but there were 31 subjects
who were out of this study, either they resigned
themselves or being dropped out by the researchteam. Their reasons were because they got bored,
they did not want to eat the biscuits again, they went
hometown without any certainty whether or not they
return, and they were hospitalized for a few days thatmade them stop consuming biscuits. The majority ofsubjects in all groups were women, the elderly
women in the treatment group and the pre-elderly
women in three controlled groups. Most subjects inall groups had low education levels and theygenerally did not work anymore (Table 1). Mean of
the highest body weight (BW) in this study was in thecontrolled group 2 (tempeh dates biscuits), and thelowest is in the treatment group (Table 2). The
controlled group of tempeh dates mocaf biscuits has
the highest mean of height of all the three othergroups. Nutritional status was shown by the indicatorof BMI (Body Mass Index) of BB ratio with TB.
Average nutritional status of the treatment groups
was within normal limits, but all of the controlledgroups had better nutritional status (overweight).
Mean of waist and pelvis of treatment group was thelowest of all other control groups. Mean of body fat
percentage of all subjects in the treatment group andthe controlled group were high enough in the range of
30 to 34.9% (Body Fat Monitor, Omron). Mean of

MATERIALS AND METHODS
Study used a quasi-experimental design of the 172
patients with type-2 diabetes who live in sevenselected villages: Rangkapan Jaya Baru, Mekarjaya,
Beji, Kukusan, Pangkalan Jati, and Cimanggis.
Ethical Clearance was obtained from the Research
Ethics Committee of Board of Health Research &Development, Ministry of Health of RI. Subjects of
the research were chosen if they met the inclusion
criteria as follows: male and female, aged between
35-75 years old, suffering from diabetes at least for
12 months, are taking oral diabetic medications, nottaking herbal medicines such as sour sop leaves,crown god, rosalia tea, and other foods that can lower
blood glucose, not suffering from other chronic
diseases such as cancer, coronary heart disease,stroke; diagnosed with type-2 diabetes mellitus by aphysician (based on examination of fasting blood
glucose > 200 mg / dl and 2 hours after a meal > 126
mg / dl, and having some symptoms of DM patients:
polyphagia, polydipsia, and polyuria, and rapid
weight loss). A total of 172 subjects who were evenly
distributed in four groups participated in this study.
The intervention group gets lentil dates mocaf
biscuits (Caromma), and three controlled groups get
tempeh dates biscuit (Temma), tempeh dates mocaf
biscuit (Catemma), and placebo biscuit (Bisma) for 4
weeks. Compliance level of consuming the biscuits

805systolic and diastolic blood pressure was already inthe category of prehypertension and was at risk of
becoming hypertension. High weight, BMI, body fat
percentage, mean of waist and pelvis, andhypertension in the study usually found among thetype 2 diabetic patients. Most diabetic patients haveoverweight due to high body fat percentage
especially in abdominal area. Body becomes resistantto the effects of insulin. Accumulation of body fat inobese people can improve blood glucose level due toincreased insulin resistance [10].Waist circumference
and waist hip ratio shows the distribution of fat in
abdomen (central obesity) and trigger an increase
glucose level [11].Hypertension (high bloodpressure) is one of risk factors of diabetes as cause
non beta cells to insulin (insulin resistance) [12].
More than three-quarters of the study subjects in thetreatment group and the controlled group said thatthey got the diabetes because of their habit of eating
sweet foods and drinks since they were young. The
rest subjects said that they get it because of ahereditary (genetic), low physical activity, andobesity. Most subjects have suffered from diabetes
since 2-3 years ago. 43.3% of the subjects admitted
that his family member is suffering from this disease
before. Until now 63.1% of the subjects are stilltaking drugs such as glibenclamide DM, metmorfin,
glimeferid. However, there were also some subjects
who consume mahogany fruits, and ginger herbs.
BGL changed on the subjects during fasting, andpostprandial 2 hours after consuming biscuits can beseen in Table 3. Mean of fasting BGL difference atthe beginning and at the end of the study stated thatthe lowest was in the controlled group of tempeh datebiscuits. Most of the subjects in the treatment group,
the controlled group of tempeh date mocaf biscuits
has a decrease of fasting BGL, except for the groupof dates biscuits which had increased by 29.4 points
at the end of the study. Mean of the lowest increasein post-prandial BGL 2 hours after consuming
biscuits at the end of the study found in the treatmentgroup which was 6.4 points. For the subjects in thecontrolled group consumed tempeh date mocaf
biscuits, the largest increase was in the group of datebiscuits which was 67.3 points. Table 4 shows themean of macro-nutrients intake including energy,
carbohydrate, protein, fat, and fiber. The treatmentgroup and two of the controlled groups had adecreased mean of energy intake, except for thecontrolled group of tempeh date biscuits which had
increased 16 calories at the end of the study. The
mean of carbohydrate intake in the treatment group
showed an increase of 10.6 grams compared to thethree controlled groups which had generally
decreased of their carbohydrate intake. The treatmentgroup has the most decrease of the mean for protein
intake (6.6 grams), the mean of fat intake (8.9grams), and the mean of fiber intake (1.7 grams)compared to the other controlled groups. The
treatment group has the highest rate in consuming
biscuits whichwais 850 grams for four weeks ofintervention compared to the controlled group. The
value of glycemic index (GI) for four types ofbiscuits can be seen in Table 5. All kinds of dates
biscuits have a low glycemic index levels (<50).
Tempeh dates biscuits have the lowest GI value anddates biscuits have the highest GI value of thestandard glucose and white bread. This study
concluded that the nutritional status of the subjects
from all groups show the majority of over-nutritious,
the waist hip ratio was quite high, prehypertension
blood pressure, and percentage level of body fat isquite high. These four indicators show the risk factorsof DM. The lowest increase in post-prandial KGD 2hours after consuming lentil dates mocaf biscuitswais(6.4 points) compared the other controlled groups at
the end of the study. There were significant
differences of BGL diabetes in the treatment group
before and after the study for four weeks. The
prolong period of study and the number of subjects
need to be done in order to give more significant
different results in the treatment group who consumelentil dates mocaf biscuits. In addition, the change ofthe comparison in BMI value, body fat percentage,
waist hip ratio, and blood pressure of the subjects
before and after the study are needed to assess theeffects of consuming lentil dates mocaf biscuits on all
four indicators of the nutritional status.
The Nutrition Facts of the Four Types of Biscuits
Table 6 illustrates the content of macro-nutrients(energy, carbohydrates, protein, fat) and micronutrients (Na, Zn, Fe, and vitamin A) of four types ofbiscuits. Mocaf lentil dates biscuit contains more
vitamin A than the other three types of biscuits do.
The content of protein in this type of biscuits was
equivalent to the content of protein in tempeh datebiscuits. Mocaf tempeh date biscuit containd the most806

energy and fat. The highest carbohydrates was foundin the placebo biscuits.
ACKNOWLEDGEMENT
The study was highly supported by Higher
Education - The Indonesian Ministry of Culture and
Education. We would like to express our gratitude to
all the subjects who participated in the study.

Diabetes Association. Am J Clin Nutr 85: 1197–
202.
[12] Ronnback Matts et al. Complex relationshipbetween blood pressure and mortality in type 2
diabetic patients a follow-up of the Botnia
Study. http://hyper.ahajournals.org accessed on
July 9, 2016.

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vascularcomplication.
Media
MedikaIndonesiana Faculty of Medicine University of
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[4] Kathleen J. Melanson. 2007. Nutrition Review:
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[5] Kelley DE. 2003. Sugars and starch in the
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meaningandits
benefit.
http://www.majalahkesehatan.com/indeksglikemik-arti-dan-manfaatnya. A c c e s s e d o n
J a n u a r y 5, 2014.
[7] Nimenibo R, Uadia. 2003. Effect of aqueous
extract of Canavalia ensiformis seeds on
hyperlipidaemia and hyperketonaemia inalloxan-induced diabetic rats. Biokemistri 15(1): 7-15.
[8] Sinta.
2013. Mocaf as the wheat replacement.
http://shintaluki.blogspot.com/2013/11/mocafsebagai-pengganti-terigu.html. Accessed on
January 5, 2014.
[9] Al-Mamary M, Al-Habori M, Al-Zubairi AS.
2010.
The in vitro antioxidant activity ofdifferent types of palm dates (Phoenix
dactylifera) syrups. Arabian Journal ofChemistry. Available online 2 December 2010 .
[10] Wedman William a. et al. Indexing severity of
diabetic foot infection with 99mTc-WBC
SPECT/CT Hybrid Imaging.
Diabetes Care
35(9): 1826–1831.
[11] Klein Samuel et al. 2007. Waist circumference
and cardiometabolic risk: a consensus statementfrom Shaping America’s Health: Association for
Weight Management and Obesity Prevention;
NAASO, The Obesity Society;the American
Society for Nutrition; and the American

807

Table 1.
Variable
Caromma (n=35)
n%Profile of sosio-demography

Type of group
Catemma (n=39)
Temma (n=27)n%n%Bisma (n=40)
n
%

Sex
Man
Woman
Age : < 60 years old>= 60 years old
Mean + SD
Educational level
Low (not graduatedfrom elementary graduated from juniorhigh school)
Middle (graduated fromsenior high school –academy/university)
Working status
No
Yes

11
21.8
24
35.5
13
17.3
33.3
22
63.1 + 10.5

13
23.6
26
41.9
23
30.7
16
24.2
57.8 + 8.9

2
6.5
25
22.7
14
18.7
13
19.7
57.2 + 8.8

5
16.1
35
31.8
25
33.3
15
22.7
55,9 + 7.9

19

54.3

28

71.8

15

55.6

32

80.0

16

45.7

11

28.2

12

44.4

8

20.0

28
7

80.0
20.0

24
15

61.5
38.5

21
6

77.8
22.2

34
6

85.0
15.0

Table 2

Subjects’ anthropometric profile
Type of group

Variable
Caromma (n=35) Catemma (n=39)
Mean + SD
Mean + SD
Weight (kg)57,. + 11.2
60.9 + 11.5
Height (cm)151.5 + 6.5
155.5 + 8.6
BMI(kg/m2)24.7 + 3.8
25.3 + 4.7
Waist
(cm)
85.7 +10.4
88.7 + 9.2
Hip(cm)
96.1 + 8.4
97.4 + 10.8
Waist hip ratio
0.9 + 1.0
0.9 + 1.1
Body fat percentage 33,1 + 4,931.5 + 6.6
Blood tension
134.2 + 25.0/
136.8 + 19.7/(sistolic/diastolic)84.3 + 13.2
81.1 + 9.8

808

Temma (n=27)
Mean + SD
62.2 + 9.1
152.6 + 6.9
26.7 + 3.4
90.9 + 8.1
99.3 + 8.5
0.9 + 1.0
34.9 + 5.1
132.0 + 15.5/
82.1 + 10.9

Bisma (n=40)
Mean + SD
58.7 + 11.5
152.1 + 5.9
25.3 + 4.5
89.8 + 10.2
96.7 + 8.8
0.9 + 1.1
34.0 + 6.1
186.5 + 65.1/
84.6 + 13.1

Table 3. Mean blood sugar at fasting and at two hours post-prandial after eating biscuit

Type of group
Variable

Caromma (n=35)

Catemma (n=39)

Temma (n=27)

Bisma (n=40)

Mean + SD
Mean + SD
Mean + SD
Mean + SD
pre
post
pre
post
pre
post
pre
post
Blood sugar shortly 290.3 + 81.9 346.8+ 192.3 212.3 + 92.8 409. 0 + 106.5 210.5 + 69.3 217.0 + 0.0 209.7 +76.0 311.6 + 120.5
Fasting blood sugar 163.3 + 70.1 152.2 + 62.3 178.4 + 83.3 165.1 + 72.2 126.6 + 59.9 121.1 + 43.6 186.5 + 65.1 215,9+73.1
Blood sugar
205.8 + 74.8 212.2 + 105.8 205.8 + 83.5 224.6 + 89.9 149.4 + 57.0 201.6 + 63.3 213.3 + 70.9 280.6 +99.8
at post-prandial
after eating biscuit)

Table 4. Mean macronutrient intake of subjects
Indicator

Type of biscuit
Caromma (n=35)
Mean + SD
preEnergy (cal)post

Catemma (n=39)

Temma (n=27)

Mean + SD
prepost

Mean + SD
pre

post

Bisma (n=40)
Mean + SD
prepost1339.7+ 307.7 1290.5+ 409.8 1327.2 + 369.6 1260.9 + 435.6 1396.9 + 293.2 1412.9 + 249.1 1298.8 + 310.7 1252.5 +370.6

Carbohydrate (gr) 174.5 + 50.3
Protein (gr)43.9 + 15.2
15.6

185.1 + 52.2 173.9 + 57.0
37.3 + 15.7 40.6 + 14.3

164,6 + 54.2
36.7 + 15.9

202.9 + 54.1
40.1 + 14.7

193.4 + 53.1
47.3 + 9.6

179.8 + 45.4
39.6 + 14.5

Lemak
Serat

45.9 + 22.4
8.5 + 3.9

53.6 + 27.5
9.0 + 3.9

49.3 +19.4
8.9 + 4.6

52.4 + 20.8
9.5 + 3.0

48.8 + 20.3 50.2 + 23.1
8.6 + 3.6
8.1 + 3.7

54.8 + 15.7
10.2 + 4.3

54.9 + 23.2
9.0 + 3.6

Table 5. Glycemix Index (GI) of biscuits
Type of biscuit

Reference/standard
GlucoseBread

Caromma
Catemma
Temma
Bisma

27.2
27.4
17.1
32.0

37.6
37.8
23.6
44.1

Source:Food and Nutrition Center Laboratory UGM Yogyakarta, 2015

809

168.2 + 46.
34.7 +

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

CHARACTERISTICS OF THE SLUDGE PARTICLES IN REMOVALPROCESS OF RADIOACTIVE CESIUM FROM OCEAN SLUDGE BY
DECOMPOSITION SYSTEM WITH CIRCULATION TYPE USINGMICRO BUBBLES AND ACTIVATING MICROORGANISMS
Kyoichi OKAMOTO1, Takeshi TOYAMA1 and Tomoe KOMORIYA2
1

CST, Nihon University, JAPAN, 2CIT, Nihon University, JAPANABSTRACTThe Fukushima nuclear accident of March 11, 2011, soil and water had been contaminated by radioactive
cesium. Moreover, radioactive cesium was found in the ocean sludge in Tokyo Bay flowing from rivers. Cesium
which is adsorbed to the sludge cannot be easily removed. One of the authors developed decomposition andpurification system, a circulation-type system by micro bubbles, that is, by creating aerobic state, aerobic
bacteria are activated resulting to decomposition and purification of ocean sludge. Based on the hypothesis thatradioactive cesium is adsorbed on the surface of the sludge deposition. It is considered cesium can be eluted after
decomposing the deposited sludge. Once the cesium is eluted in the water, it can fix to a mineral such as zeolite.
Now we need the properties of sludge in removal process by decomposition system with circulation type. In thisstudy, our objects is to check the characteristics of the sludge particle in removal process of radioactive cesium
from ocean sludge by decomposition system with circulation type using micro bubbles and activating
microorganisms. As the results of this experiments, we had very good purification ratio on total nitrogen and had
made 40 times of smaller size on diameter of the particle of sludge.
Keywords: Decontamination, Radioactive Cesium, Ocean Sludge, Micro-bubble, Microorganism, Zeolite

INTRODUCTIONDECOMPOSITION SYSTEM WITH
CIRCULATION TYPE

The Fukushima nuclear accident on March 11,
2011, soil and water had been contaminated byradioactive cesium. Moreover, radioactive cesium
was found in the ocean sludge in Tokyo Bay
flowing from rivers. A report says radioactive
cesium is still existing in seashore in Tokyo Bay,2015 in [1]. Cesium which is adsorbed to the sludge
cannot be easily removed.
One of the authors developed decomposition andpurification system, a circulation-type system by
micro bubbles, that is, by creating aerobic state,
aerobic bacteria are activated resulting todecomposition and purification of ocean sludge.
Based on the hypothesis that radioactive cesium isadsorbed on the surface of the sludge deposition. It
is considered cesium can be eluted after
decomposing the deposited sludge.
Once the cesium is eluted in the water, it can fix
to a mineral such as zeolite. Now we need theproperties of sludge in removal process bydecomposition system with circulation type.
In this study, our object is to check thecharacteristics of the sludge particle in removal
process of radioactive cesium from ocean sludge bydecomposition system with circulation type using
micro bubbles and activating microorganisms.

It is very important to reduce sedimentary sludge
in the ocean. Plans to reduce the sludge are usually
dreading or sand covering. Dredging is a simple way
and aims to cut off the sludge. But after cutting off,
treating the dredged sludge takes much more timeand, of course, cost. Sand covering, in general, gives
a big load to living organisms and the ecologicalsystem.
wave

current

Sea Bottom

Micro-bubble Generating

Pump

Experimental Tank

Fig. 1 Purification System of Circulation Type.

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SEE-Osaka, Japan, Nov. 21-23, 2016

ELUTION EXPERIMENTS FOR CESIUM
So that, a more efficient way is needed to reduce
the sludge while not imparting environmental load in
the local sea area. Here, attention was paid to microbubble technology for application to the purificationof the sludge. The important point in this technique
is to activate the bacteria existing in the area by
micro-bubbles.
Micro-bubbles (that is MB) can change
conditions into an aerobic state. If the bubbling stops,
the situation changes into anaerobic state, according
to recent research. So, we selected a method fordecomposing the sludge by microorganisms.
One of the authors had developed thedecomposition system for ocean sludge withcirculation type by micro-bubbles, shown in Fig.1,
which decompose and purification sludge byactivating the aerobic bacteria, after creating an
aerobic state by micro-bubbles.

Procedure of Experiment
The experimental devices consist of two parts,
shown in Fig. 4. The water circulates through twotanks. In one tank (Width40xLength28x Hight28cm),
micro-bubbles are generated. The micro-bubbles
have micro-size diameter and high solubility. Thismeans the water with high concentration ofdissolved oxygen circulates through these tanks. The
other
part
is
the
experimentaltank(W60xL29xH35cm). We used sea-water 30(litter)and sludge 1(kg). Here, a micro-bubble generator isbased on [4], [5] and the flow rate is 900 (litter/hour).
The flow rate of water pumps connected each tanks
are 300 (litter/hour).
Cooler

ZeoliteMECHANISM ON FIXING OF CESIUM FROMELUTION
In general, ocean sludge has a negative charge.
When cesium with a positive charge flows fromriver, sludge was adsorbed cesium, shown in Fig 2.
So that, sludge adsorbed cesium cannot eliminate byusual way.
Sludge
-

-

-

-

Cs+

Cs+

Cs+
Cs+
Cs+

Cs+

-

Cs+

- Cs+

-

We had caught the sludge and the sea water at
Funabashi Port in Chiba Prefecture in JAPAN, as
shown in Fig.5 and 6. Here, we had removed under
10cm of the sludge from seabed before sampling as
experimental procedure, because we have to remove
the initial value of cesium in the sludge, from [3].

- Cs+
-

Cs+

Cs+

-

-

Cs+

Cs+

- Cs+ -

Cs+-

Fig.2 Mechanism on Adsorption of Cesium

Cs+

-

Cs+

- Cs+

-

- Cs+
-

Cs+

-

Cs+

Cs+

- Cs+ -

Cs+

-

Cs+

Decompositionof Sludge

Ｂｙ Usual Technology

Yokohama

Cs+

Cs+

Cs+

Cs+

Cs+
Cs+

Fixing of Cesium
Not elute
In the adsorbed
state

Tokyo

ElutionAdsorption

Pump for Circulation

Fig.4 Experimental System for Elution of Cesium.

Adsorption

Cs+

-

-

Cesium

MB Generator

Cs+

Cs+

OK

for example: Zeolite,
Fiber for Adsorption etc.

Fig.5 Catching Point of Sludge and Sea Water at
Funabashi Port in Tokyo Bay.

Fig.3 Mechanism on Fixing of Cesium from Elution.
Here, we have a way by using of thedecomposition system for ocean sludge withcirculation type. After decomposition of the sludge
adsorbed cesium by our system, cesium is eluted
into water, shown in Fig 3. That is our hypothesis.

Fig.6 Scene of Catching Sludge.

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SEE-Osaka, Japan, Nov. 21-23, 2016

Start
Generate MB-24h
Set Sea Water, Sludge
and Cesium

0h

6h

24h

48h

72h

96h

Fig.7-9 show the water temperature, pH and DO(Dissolved Oxygen) as the results of environmental
condition of this experiment.
Water temperature was almost constant about 30
degree centigrade after 6 hours, by setting the cooler
for water tank in the experimental system. pH was
also constant about 8.0 to 9.0. DO in Case 1 and 3
were 7.0 to 8.0 and also saturation state after 24hours, but DO in Case 2 was about 4.0 and lower
oxygen state.

120h

Set Activator of
Microorganisms

Fig.7 Procedure for Liquid Measurements.

Measurement Procedure for Liquid Phase
We used the cesium chloride before 24 hours ofstarting time and the concentration of cesium ion is
100 (ppm). A cooler for water tank was set at side of
the tank for generating microbubbles, for the
purpose of setting water temperature 30 degree
centigrade.
After setting the decomposition system withcirculation type by micro-bubbles, experiment starts
at the same time of generating micro-bubble device
and also the zeolites were set in the tank.
After 6 hour, the microorganism activator was
put in the experimental tank. Main staff of theactivator is Kelp and including nutrients and someenzyme. Our used activator is reported to show
effective results in purification for grease trap.

W
ate
r
Te
m
pe
rat
ur
e
[℃
]

Fig.7 Changes in Water
Environmental Conditions.

Measurements for liquid phase did each 6 hours
until 12 hours, and then every 12 hours to120 hours,
shown in Fig.7.
Dissolved oxygen (DO), water temperature andpH are measured by using of multi-parameter water
quality meter. Ammonium nitrogen (NH4-N) andtotal nitrogen (T-N) are measured by using ofdigital-water-analyzer by digital “Packtest”, bywater filtered after sampling in experimental tank.

Temperatureas

Fig.8 Changes in pH as Environmental Conditions.

Experimental Conditions
Case 1 is to use our purification system withcirculation type and Case 2 is not use the system
which means do not use the micro bubble andactivator of microorganisms.
Case 3 is to do current velocity control inpurification system for reducing hydrogen sulfide.
As procedure of experiment in case of current
velocity control by our purification system withcirculation type, setting the water pomp (2400L/h) ina tank is worked from starting time to 24 hours later.

Fig.9 Changes in DO as Environmental Conditions.

Results and Consideration for Liquid Phase

Results of H2S, DIN and T-N

Results of water temperature, pH and DO as
environmental condition

Fig.12-14 are shown in results of H2S (Hydrogensulfide), DIN (Total Inorganic Nitrogen) and T-N

812

SEE-Osaka, Japan, Nov. 21-23, 2016

(Total Nitrogen).
H2S (Hydrogen sulfide) in Case 1 and 3 decrease
rapidly, it seemed by the supply of Oxygen. It
decreased more rapidly in Case 3 by flow control
and then became N.D. value. Case 2 showed not big
change and relatively constant values, because of no
supplying oxygen.

Results and Consideration for Solid Phase

Measurement Procedure for Solid Phase
Measurements for solid phase did every 24 hours
to120 hours, shown in Fig.13. There are 6 patterns; 0,24, 48, 72, 96, 120 hour. When it comes eachclosing time, the experimental tanks are prepared formeasurement of solid phase. The sediment in thetanks are carried out filtration and dry. After
filtration and dry, cesium in solid was analyzed by
the energy dispersion type X-ray analysis device(EDX).
The characteristics of the sludge particle inremoval process are also measured by ScanningElectron Microscope (SEM).

Fig.10 Changes in H2S.
StartGenerate MB

DIN (Total Inorganic Nitrogen = NH4-N+NO2N+NO3-N), shown in Fig. 11. DIN of Case 1, 3
reduced 100% at 120 hours, it seemed it happen to
denitrification by microorganism from [8].

-24h

0h

Set Sea Water,
Sludge and Cesium

6h

24h

72h

48h

Filtration
and Dry

Set Activator of
Microorganisms

Fig.13 Measurement Procedure for Solid Phase.

Results of Cesium (Solid)
We paid attention to cesium and silica (Si), as
there are many chemical elements in sludge. We
used the energy dispersion type X-ray analysis
device (EDX), because we can measure by the solidstate. Weight ratio of cesium and silica (CS/Si) in
solid of dry sludge are shown in Fig.14.
Results of cesium in solid phase by EDX in Case
1 reduced 47.1% but in Case of 2 did not reduce. It
seems cesium adsorbed on sludge was decomposedand eluted to water by decomposition andpurification system of circulation type.

Fig.11 Changes in DIN.
T-N (Total Nitrogen) is expressed innormalization; initial values in Case 1, 2 and 3 were
4.0, 1.5, 4.3, respectively. T-N in Case 1 and 3
reduced 80 and 85 %, respectively. It seems these
are activated by microorganisms. A little high values
in Case 3 caused rapidly decreasing of H2S by flow
control, so that it seems purification efficiency isvery good.

4.5

Cs/Si in Solid Phase

4.0
3.5
3.0
2.5
2.0
1.5

Case 11.0

Case 2

0.5
0.0

0

24

48

72

96

120

Time[hour]

Fig.12 Changes in T-N.
Fig.14 Changes in (Cesium)/(Silica) in Solid Phase.

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SEE-Osaka, Japan, Nov. 21-23, 20160h

100 - 200μm

24h

about 100μm

48h

72h

40 - 70μm

about 20μm

96h

120h

10 - 15μm

about 5μm

Fig. 15 Photo by SEM (Scanning Electron Microscope) of Case 1 (Upper=100 times / Lower=1000 times)

0h

24h

48h

72h

96h

120h

No subtilization, Particle cannot be resolved through for 120 hours.

Fig. 16 Photo by SEM (Scanning Electron Microscope) of Case 2 (Upper=100 times / Lower=1000 times)

Characteristics of Sediment by SEM

CONCLUSION

Results of SEM (Scanning Electron Microscope)
are expressed for each 24 hours from 0 to 120 hours,
shown in Fig.15 and 16.
Diameter of sludge particle in Case 1 is 100 to 200(micro meter) when experiment starts, and then it
becomes 5 (micro meter) at 120 hours later, so thatthe size became about 40 times small. That in Case 2
denoted no change. It seems the diameter of sludge
particle is decomposed and becomes very small
according to the working time of decomposition andpurification system of circulation type.

We had carried out the elution and fixing cesiumby setting zeolite, after decomposing the by using
the decomposition system with circulation type, by
not using it and by using it adding flow control.
From the results for water qualification,(1) for T-N, it decreased 80% in case of use thedecomposition system and decreased 85% in
adding flow control.
From the results for cesium in solid phase,(2) the eluted performance of absorbed cesium on
the sludge is indicated 47.1% by using thedecomposition system, compared with no use of
microbubble and activator of microorganisms.
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SEE-Osaka, Japan, Nov. 21-23, 2016

(3) Diameter of sludge particle in removal process
by using the decomposition system became
about 40 times small.

Radioactive Cesium from Ocean Sludge byUsing Micro bubbles and Activating
Microorganisms”, The Japan Society of Naval
Architects and Ocean Engineers, May, 2015.
[8] Okamoto Kyoichi and Toyama Takeshi, “Ocean
Decontamination: Removal Efficiency ofRadioactive Cesium from Ocean Sludge byusing
Microbubbles
andActivating
Microorganisms”, International Journal of
GEOMATE (Geotec., Const. Mat. & Env), May,
2016, Vol. 10, Issue 21, pp. 1924-1928.
[9] Okamoto Kyoichi and Toyama Takeshi, “Ocean
Decontamination: High Efficiency Removal
Method of Radioactive Cesium from Ocean
Sludge by Using Microbubbles and Activating
Microorganisms", The Japan Society of Naval
Architects and Ocean Engineers, May, 2016.

ACKNOWLEDGEMENTS
The authors would like to express sincere thanks
for executing the experiments to Takahiro
ARAKAWA and Taiyo KOKATSU, Students of
Nihon University, in Japan.
This work was supported by KAKENHI (Grantin-Aid for Scientific Research (C-26420831)).

REFERENCES[1] Tokyo News Paper, “Radioactivity pollution in
the Tokyo Bay, A nuclear power plant, farconvergence”, March 10, 2015.
http://www.tokyo- np.co.jp/feature/
tohokujisin/archive/fouryears/150310_1.html[2] Okamoto Kyoichi, Hotta Kenji, Toyama
Takeshi and Kohno Hideki, “Purification
System of Ocean Sludge by Activating
Microorganisms”, International Journal of
GEOMATE (Geotec, Const. Mat. & Env.),
Vol.6, No.1, pp.791-795, March, 2014.
[3] Okamoto Kyoichi and Toyama Takeshi, “Ocean
Decontamination: Removal of Radioactive
Cesium from Ocean Sludge by Using Microbubbles and Activating Microorganisms”, The
Japan Society of Naval Architects and Ocean
Engineers, May, 2014.
[4] Okamoto Kyoichi and Toyama Takeshi,“Ocean Decontamination: Removal Efficiencyof Radioactive Cesium from Ocean Sludge byusing
Microbubbles
andActivating
Microorganisms”, International Journal of
GEOMATE (Geotec., Const. Mat. & Env.), Vol.
9, No. 1, pp. 1390-1394, May, 2015[5] Imai, T, Shioshige, K, Ukita, M, Sekine, M,
Higuchi, T, Fukagawa, K and Fujisato, T.
“Development of Device for Dissolving High
Concentration Gas for Purification at bottom
layer around enclosed water area like Dam
Lake”, Proc. 39th Forum on Environmental
Engineering of Civil Engineering Society, 10-12,
2002.
[6] Matsuo, K, Maeda, K, Ohnari, H, Tsunami, Y,
and Ohnari, H., “Water Purification of a Dam
Lake Using Micro Bubble Technology”,
Progress in Multiphase Flow Research I,
pp.279-286, 2006.
[7] Okamoto Kyoichi and Toyama Takeshi, “Ocean
Decontamination: Removal Performance of815Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

STRATEGY OF TURBIDITY REMOVAL IN CIKAPUNDUNG ANDCISANGKUY RIVER AS WATER SOURCES FOR BANDUNG CITY,INDONESIAEvi Afiatun1, Hary Pradiko1 and Hari Prayoga1
Department of Environmental Engineering, Pasundan University, Bandung, Indonesia

1

ABSTRACT
Cikapundung and Cisangkuy river are the sources of raw water used by Bandung City. The special
characteristics are the fluctuations of flow and turbidity in the dry season and the rainy season with the highest
turbidity > 600 NTU. The turbidity fluctuation is not accompanied significantly by the changes of coagulant
dosage. This research was conducted in order to evaluate and strategize the optimal performance of the water
treatment plant based on the evaluation of the processed water. The laboratory analysis was carried out to findthe dominant parameters, namely turbidity, with the steps such as 1) comparing the coagulation process that has
been or has not been through preliminary sedimentation using coagulant polyaluminium Chloride (PAC); 2)
observing the stability and efficiency of sedimentation that resulted by coagulation process for the several
variation of time; 3) analyzing the efficiency of the preliminary sedimentation and coagulation process. The
results of laboratory analysis showed that the optimum time for the deposition process is 35 minutes with adecrease in turbidity of about > 80%. The highest efficiency of sedimentation processes occur at the initial
turbidity of 514 NTU in the amount of 85.02%. The optimum coagulant dosage without using the preliminary
sedimentation reached at initial turbidity of 147 NTU with an efficiency of 99.76%; while those using thepreliminary sedimentation process is achieved at initial turbidity of 514 NTU with an efficiency of 99.46%.
Based on these analysis, it is necessary to adjust the operational of preliminary sedimentation process.
Keywords: Coagulant, Strategy, Turbidity, Water resources, Preliminary sedimentationwater sources that relatively have low quality can beallocated to the industrial and agricultural need [3] .
The aim of this research is to determine the strategy
of turbidity removal of Cikapundung River andCisangkuy River as raw water sources with finding
the optimum dosage of coagulant. This research was
conducted by comparing the process with andwithout silt deposition as a pre-sedimentation
process illustration to optimize the performance ofexisting water treatment plants.

INTRODUCTION
Cikapundung and Cisangkuy river are thesources of raw water used by Bandung City.
Drinking water needs that increasingly higher
inversely proportional to the decreasing of raw water
availability and quality. The special characteristics
are the fluctuations of flow and turbidity in the dry
season and the rainy season with the highest
turbidity > 600 NTU[1]. Based on observations anddata from PDAM (Regional Water Company)
Bandung City, raw water sources still meet water
quality standards for drinking water even though theturbidity of raw water is often high because offluctuating every month. Turbidity of water sources
is strongly influenced by rainfall fluctuation eachmonth. Rain upriver brings many particles of mud,sand and plant debris and even manure affectturbidity in the river. In the rainy season theturbidity value can reach ± 600 NTU, whereas in thedry season only ± 100NTU. At this time there is aquite important problem in the processing of raw
water, the affixing of coagulants do not in line withfluctuations in raw water turbidity value thatfluctuates each month[2]. In ideal conditions, a goodquality of water sources allocated for drinking waterwith the aim of improving human health, while the

MATERIALS AND METHODSThis research was conducted with experimental
methods. The experiments were done with determine
the optimum dosage of coagulant Polyaluminum
Chloride (PAC) through two ways, ie. with andwithout silt deposition. This research was conductedat the Laboratory of Environmental Engineering
Pasundan University, Bandung - Indonesia. The
variables which analyzed in this research were thewater turbidity (NTU) and the coagulant dose (ppm)
which were conducted using jar-test method for eachturbidity variation.
The data collection technique started with the
preparation phase which includes literature review
and field observations. The next stage was the816

SEE-Osaka, Japan, Nov. 21-23, 2016

collection of secondary data to determine turbidity
fluctuations and existing coagulant dosage. The next
phase was the Jar test method to determine theoptimum dosage of coagulant in two ways, with andwithout silt deposition. The deposition process used
Imhoff cone as a pre-sedimentation process
approach. The time variation of the deposition
conducted to determine the optimum time of silt
deposition. It was done by checked the turbidity
every 5 to 60 minutes for each turbidity variations,and calculated the stability of turbidity decrease. The
best strategy for turbidity removal based on the
optimum coagulant dosage and whether or not the
pre-sedimentation used. Flow diagram of theresearch can be seen completely in Fig. 1.

700
600
500
400
300

100
0

Fig. 3 Turbidity fluctuation and coagulant dosage
existing (September – December 2014)[1]Figures 2 and 3 show that turbidity fluctuation
occurs in either the rainy season and dry season.
Turbidity fluctuations in the rainy season shows thehigher concentrations, which reached > 600 ppm.
Based on the above picture can be seen that the
turbidity fluctuations do not result in significant
changes in the use of coagulants.

Secondary data :turbidity fluctuation, existing coagulant dose

Variations of turbidity concentration
using sludge samples of raw water

Determination of the optimum coagulant dosewith and without silt deposition

Experiment
withwithsiltation
process
Experimentsiltation

Variation of time siltation :Determine
doseof coagulant
Determinethe
theoptimum
optimum
doseof coagulant

determine the stability of turbidity
decrease
determine the optimum time of siltation

Comparison of the optimum coagulant dose using
the same initial turbidity concentration

Determine
doseof coagulant
Determinethe
theoptimum
optimum
doseof coagulant

The experiments were performed by comparing
the optimum dose of coagulant carried out with andwithout the silt deposition.

Determination of thestrategy
Determination
the best
bestturbidity
turbidityremoval
removalstrategy

Tabel 1. The comparison of the optimum
coagulant dosage using the same initial turbidity
concentration

Fig 1. Flowchart of research
RESULTS AND DISCUSSION
Turbidity fluctuation and existing coagulant
dosageFigure 2 and 3 show the turbidity fluctuations in
the raw water and coagulant dosage in the existingtreatment process from April to August 2014 which
represent the dry season and
September toDecember 2014 for rainy season:

turbidity/coagulant dosage

300
250
200
150

coagulant dosage
(ppm)

200

Preparation

without siltation
Experiment without
Experimentsiltation

turbidity (NTU)

turbidity (NTU)
coagulant dosage (ppm)

Without silt
deposition
InitialOptimumturbidity coagulant
(NTU)
dose
(ppm)
634
98
543
94
435
90
374
40
231
36
147
28
99
18
25.35
16

100

With silt depositiom
Initialturbidity(NTU)

Turbidity
after
desposition

606
514
450
361
223
147
84
28.73

111
77
70
64
53
47.29
36.9
20.98

Optimum
coagulant
dose
(ppm)
40
38
38
30
32
24
14
14

Based on Table 1 it can be seen that the higher of
initial turbidity value, need much coagulant dose.
Table 1 and Figure 4 shows that the optimum
coagulant dosage with and without silt deposition
have a considerable margin at the high turbidity (>400 NTU). The silt deposition process at highturbidity can reduce turbidity significantly, more

500Fig. 2 Turbidity fluctuation and existing coagulant
dosage (April – August 2014)[1]817SEE-Osaka, Japan, Nov. 21-23, 2016

than 80%, so the coagulant dosage less than theother.

In figure 5 shows that the optimum dose of
coagulant in turbidity that has been deposited isgreater than the result of the determination of the
optimum dosage of coagulant without deposition
treatment. This is because the possibility of particles
in the sample that helps coagulant to react if thewater sample was not deposited in advance.

120

PAC dosage (ppm)100

without siltation
with siltation

80
60
40

VariationofTime
Precipitation
Prasedimentation Experiment

20
0
0

100

200

300

500

400

600

700

To

The following will be displayed settling time
efficiency and the percentage of stability reduction
in turbidity

Turbidity (NTU)

Fig.4 Coagulant dosage with and withoutsiltation process

Precipitation efficiency
Comparison of optimum coagulant dose based on
turbidity concentration after deposition process

The efficiency of deposition was conducted todetermine how many percentage for turbidity
removal. The experiment was conducted every 5
minutes within 60 minutes
The results of laboratory experiments that theefficiency of turbidity reduction for 60 minutes for
initial turbidity 604 NTU is 89.07%, 559 NTU is88.73%, and 426 NTU is 85.68%.
The experimental results can be seen in Figure 6.

The determination of optimum coagulant dose bycomparing the optimum coagulant dose on the initial
turbidity concentration after the silt deposition
process.
Table 2. The comparison of optimum coagulant
dosage using the initial turbidity concentration after
silt deposition process

10090With silt depositiom
Initialturbidity(NTU)

Turbidity
after
desposition

606
514
147
28.73

111
77
47.29
20.98

80

Optimum
coagulant
dose
(ppm)
40
38
24
14

PAC Dosage (ppm)

without siltation
With siltation

30
20
15
10
5
0

20

40

60

80

100

50
40

604 NTU

30

559 NTU

20

426 NTU

10
0
5'

10'

15'

20'

25'

30'

35'

40'

45'

50'

55'

60'

Times (minutes)

The stability of deposition was conducted todetermine the time that is considered to be stable, ie
two sequential time difference of less than 10% in
terms of turbidity before.
Testing is done to achieve a steady state
condition, ie with fluctuation of 10% . The results oflaboratory experiments that the efficiency ofturbidity reduction during the 60 minutes are
89.07% for 604 NTU, 88,73% for 559 NTU, and88.73% for 426 NTU.
The results of laboratory experiments stated thatthe stability of the reduction in turbidity is stable if
precentage of drop taken at 2 consecutive time lessthan 10%. Testing is done to achieve steady state, ie

25

0

60

The stability of Precipitation

45
35

70

Fig. 6 Efficiency of turbidity reduction withoutsiltation

According to the table 2 the optimum of
coagulant dosage without silt deposition is smaller
than the turbidity results from the silt deposition.
Here is a comparison graphs of determining the
optimum coagulant dose for turbidity without silt
deposition and turbidity after silt deposition.
40

Efifciency (%)

Without silt
deposition
InitialOptimumturbidity coagulant
(NTU)
dose
(ppm)
112
22
79
20
51
20
25.35
16

120

Turbidity (NTU)

Fig.5 Determination of coagulant dosage using
deposition turbidity results
818

SEE-Osaka, Japan, Nov. 21-23, 2016

with fluctuation of 10%.
Time deposition taken at the beginning of 604
NTU turbidity is at minute 30 with% reduction in
1.11%, at the beginning of 559 NTU turbidity time
taken is in the 35th minute with% decrease 8.43%
and at the beginning of 426 NTU turbidity time ietaken at minute 40 with% decrease 4.05%. Here is achart of stability percentage reduction in turbidity:
Prasedimentation
dosageefficiency

andEfficiency Turbidity Removal
Doposition (Prasedimentation)

sample is, if efficiency is > 50% starting fromturbidity of 84 NTU.
Coagulation efficiency
Without Slugde Deposition
Table 3. The efficiency of the coagulant dose
without sedimentation
Turbidity (NTU)
634
543
435
374
231
147
112
99
79
51
25.35

coagulant

With

Sludge

The efficiency of sedimentation was conducted
to determine the highest reduction in turbidity
performed on sludge deposition process using
Imhoff cone. Table 5 below presents data initial
turbidity removal efficiency after using Imhoff cone
deposited by turbidity variations.

606
514
450
361
223
147
84
28.73

Turbidity
after deposition (NTU)
111
77
70
64
53
47.29
36.9
20.98

Efficiency(%)
99.23
99.17
99.50
98.76
98.25
99.76
96.86
97.42
97.01
90.86
97.08

With Slugde Deposition
Table 4. The efficiency of the coagulant dose withsedimentation process

Efisiensi (%)
81.68
85.02
84.44
82.27
76.23
67.83
56.07
26.98

Initial Turbidity (NTU)
606
514
450
361
223
147
84
28.73

90,00

Optimum dose (ppm)
40
38
38
30
32
24
14
14

Turbidity (ppm)
3.48
2.78
4.29
3.34
2.19
4.77
2.9
1.08

Efficiency (%)
99.43
99.46
99.05
99.07
99.02
96.76
96.55
96.24

The highest efficiency occurs at the initial
turbidity of 514 NTU using optimum coagulant doseachieving 38 ppm final turbidity of 2.78 NTU with
an efficiency of 99.46%.

80,00
70,00

Efficiency (%)

Turbidity
4.89
4.48
2.18
4.62
4.04
0.36
3.52
2.55
2.36
4.66
0.74

Efficiency of turbidity removal in theexperiments is almost the same that is> 90%, withthe highest efficiency is on the turbidity of 147 NTU
doses achieving 28 ppm final turbidity of 0.36 NTU
with an efficiency of 99.75%.

Table 2. Turbidity removal efficiency after using
imhoff cone (represent sedimentation process)Initial Turbidity

Optimum dose (ppm)
98
94
90
60
36
28
22
18
20
20
16

60,00
50,00
40,00

CONCLUSION

30,00
20,00
10,00

There are several conclusions from the researchas follows:
1. In the rainy season, fluctuations in raw water
turbidity increased significantly in the range of
300-600 NTU.
2. The optimum time of siltation is 35 minutes,
with of turbidity removal > 80%.
3. Efisiensi penyisihan kekeruhan tertinggi
denganpemakaiankoagulan
tanpa
pengendapan terjadi pada kekeruhan 147 NTU
sebesar 99,76 %4. The highest turbidity removal efficiency withthe use of coagulants without siltation occurs at
147 NTU turbidity of 99.76%

0,00
606

514

450

361

223

147

84

28,73

Initial turbidity (NTU)

Fig. 7 Turbidity removal efficiency after using
omhoff cone (represent sedimentation process)From the Table 2 and Figure 7 visible turbidity
removal efficiency is greatest at the beginning of
514 NTU turbidity of 85.02%. This is due to thehigh turbidity many contain materials such as mudand sand deposited so many small comparedturbidity that contain less material. From theexperimental results that turbidity removal
efficiency could be devoted to planning
prasedimentation on water characteristics of this819

SEE-Osaka, Japan, Nov. 21-23, 20165.

The highest efficiency of coagulation withoutsiltation occurs at 514 NTU turbidity of
99.46%The Second International Conference on
Sustainable
Infrastructure
and
Built
Environment (SIBE-2013), Bandung, Indonesia– November 19th – 20th 2013
[3] Lim, S.R., Suh, S., Kim, J.H., Park, H.S. “Urban
Water Infrastructure Optimization to Reduce
Environmental
ImpactsandCosts.”
Environment Management volume 91 issue 3,
2010: 630-637.
[4] Pemerintah
RepublikIndonesia(2010)
Peraturan Menteri Kesehatan No. 492 Tahun
2010 Tentang Kualitas Air Minum, Jakarta.
[5] Pemerintah
RepublikIndonesia(2001)
Peraturan Pemerintah No. 82 Tahun 2001
Tentang Pengelolaan Kualitas Air Dan
Pengendalian Pencemaran Air, Jakarta.

ACKNOWLEDGEMENTS
1.

Ministry of Higher Education
Indonesia for the cost of research.

Republik

REFERENCES[1] Protokol & Humas PDAM Kota Bandung. 2011.
Booklet Informasi PDAM Kota Bandung.
Bandung.
[2] Evi Afiatun, Suprihanto Notodarmojo, Styvani
Merinda, “The Impact of Water Quality
Degradation in Cikapundung River on the
Dago Pakar Water Treatment Plant”, proceeding820

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

EFFECTS OF DRYING METHODS ON UTILIZATION OF DIETARYFIBER FROM PINEAPPLE WASTES

1

Lalita Siriwattananon1
Faculty of Agricultural Technology, Rajamangala University of Technology Thanyaburi, Thailand

ABSTRACT
Among the fruits, pineapple is one of the most popular fruits which have high demand all over the world.
Recently, Thailand is in the top countries that produce a lot of pineapples and now become the major producers
and exporters of pineapple in the world. Due to the high production, there are huge amounts of pineapple wastes
remained. To reduce those pineapple wastes is important as it may cause the environmental pollution or affect tothe human health. So, research interest has been focused on effective utilization of pineapple wastes; pineapple
peels and pineapple cores. These pineapple peels and pineapple cores are expected to be the dietary fiber which
can be additional source of fiber in various foods. In the experiment, the drying technique with different drying
methods such as sun drying, hot air oven drying and electronic home drying were applied for producing the
dietary fiber. After drying process, the amounts of remaining fiber from different methods were analyzed andcompared among them. The results of this research showed that the amounts of dietary fiber with hot air ovendrying method were higher compared to that with sun drying and electronic home drying. Accordingly, it was
concluded that hot air oven drying method was the most effective and to get higher amounts of dietary fiber.
Keywords: Drying, Waste, Dietary fiber, Pineapple

consists of non-digestible carbohydrates and lignin,
which is intrinsic and intact in plants that havebeneficial physiological effects in humans [10].
Additionally, dietary fiber intake has been linked tothe prevention and management of many diseases[11]. There were several researchers have focusedon utilizing fibers of pineapple wastes [12]-[14] andhave reported that dietary fiber powder preparedfrom pineapple shell has 70.6% total dietary fiberwith better sensory properties than fibers from apple
or citrus fruits.
Several processing techniques were applied to
produce or preserve dietary fiber from fruits orvegetable for a long use, while one of the most usedtechniques for preserving is to dehydrate and keep it
as a dried products or powder, which are the key
ingredients in dairy product, cereals, dietetic foods
formulated, etc. In tropical countries dehydration offruits and vegetables by sun drying method is a
popular practice due to its low cost. However, thequality of those products such as color, texture or
dying period may resulted in different quality indifferent dying methods [15-16].
It’s inspiring in apply dehydration techniques to
produce dietary fiber, while remaining its nutrition
value. So, research interest has been focused on
effective utilization of pineapple wastes; pineapple
peels and pineapple cores. These pineapple peels
and pineapple cores are expected to be the dietaryfiber which can be additional source of fiber invarious foods. Drying technique with different

1. INTRODUCTION
Pineapple is one of the most marketable fruit
consumed worldwide. Besides the fresh eating,canned fruits are mainly produced [1]. Due to thehigh consumption and production, there are hugeamounts of pineapple wastes remained [2]. There
were various studies have been carried out to utilize
the possibility of using pineapple wastes, such as[3]-[6] pineapple syrup, bromelain extraction,
phenolic antioxidant, organic acids, ethanol, andfiber, etc.
Recently, food manufacturers have embarked ona health criterion in the development of “functional
foods”, the latter being defined as food products thathave an added positive health benefit [7]. Highdietary intake of fruits, vegetables and whole grainsis strongly associated with reduced risk ofdeveloping chronic diseases, such as cancer andcardiovascular diseases, which are the highest causesof death in Europe, United States and in mostindustrialized countries [8]. It is estimated that onethird of all cancer deaths in industrialized countries
could be avoided through appropriate dietary
formulations. This suggests that dietary behavioral
changes, such as increasing consumption of fruits,
vegetables, and whole grains, and related changes inlifestyle, are practical strategies for significant
reduction of the incidence of cancer [9]. Now a day,people are concerned more to their consumption
quality and food nutrition. Especially, dietary fiber821

SEE-Osaka, Japan, Nov. 21-23, 2016

drying methods of sun drying, hot air oven drying
and electronic home drying were applied for
producing the dietary fiber. After drying process, theamounts of remaining fiber from different methods
were analyzed and compared among them.

3. RESULTS AND DISCUSSION
3.1 Physical property of dried pineapple
Pineapple cores
Dried pineapple cores using hot air oven dryer(at 60°C) and electronic home dryer (50-60oC) each
took 17 hours to decrease the moisture content tobecome less than 8%, while sun drying method took
40 hours (temperature during drying period was
range between 32-55oC). As shown in Table 1 andFigs. 2-4, the color of dried pineapple cores becamedarker compare to the initial in all drying methods.

2. MATERIALS AND METHODS
2.1 Materials
Pineapple peels and pineapple cores of Ananas
comosus (L.) Merr. cv. Pattavia were selected forthis study as it widely growth and high consumptionin Thailand.

Table 1 Colors of dried pineapple cores fromdifferent drying methods

2.2 Methods
Cutting pineapple peels and pineapple cores intoa size of 10 mm (wide) × 10 mm (long) × 5 mm(high), then boil in hot water of 90°C for 1 hour atratio of 3:1 (pineapple : water). After that divided
into 3 groups, and make dried by the following
methods of sun drying, hot air oven drying (at 60°C)
and electronic home drying (Fig.1) until thepineapple materials having the moisture content lessthan 8%. Then dried materials were blended using amoulinex and sieved to get dried pineapple coresand peels powder of 212µm particle, and keep in alocked plastic bag for the chemical and physicalanalyses.

Drying methods
Hot air oven
Electronic home dryer
Sun dryL*
41.66c56.56a50.90b

a*
1.56b
0.99c
3.23a

b*
22.93b
19.73c29.60aNote: a-c shown significant different (p ≤ 0.05) in column

According to the experimental results, colors ofdried pineapple cores by different drying methods
shown significant different (p ≤ 0.05) and darknessof dried pineapple cores has a direct variation to theincreasing of temperature. Drying conditions has
effect on the formation of browning in dried food[18].

Fig.1 Electronic home dryer

Fig.2 Dried pineapple cores by hot air over

2.3 Analysis
For a physical property analysis, the color ofdried pineapple in both of pineapple peels andpineapple cores were measured and showed as L*,
a* and b* using Minolta Color Reader CR.10 [17].
For the chemical analysis, the moisture content,
ash and dietary fiber contents were measured
according to the AOAC (2000) methods.

Fig.3 Dried pineapple cores by sun drying

2.4 Statistical analysis
Statistical analysis was conducted using SPSS
software Ver.20. Significant differences (p ≤ 0.05)
between means were evaluated by one-way ANOVA
and Duncan’s multiple range tests.
Fig.4 Dried pineapple cores by electronic home dryer822

SEE-Osaka, Japan, Nov. 21-23, 2016

Pineapple peels
Dried pineapple peels using hot air oven dryer(at 60°C) and electronic home dryer (50-60oC) each
took 17 hours to decrease the moisture content tobecome less than 8%, while sun drying took 36
hours to decrease the moisture (temperature duringdrying period was range between 32-55oC).
However, it was hard to remain certain temperatureduring the day. As shown in Table 2 and Figs. 5-7,
the color of dried pineapple peels became darker
compare to the initial in all drying methods.
Additionally, color of dried pineapple peels by sun
drying showed higher in color of L*, a* and b*,which appeared brighter that other methods.
Browning in color is increases with an increase of
temperature. Color is one of the quality attributes
that influences customers’ perceptions of a product,
and for fruit, which is preserved by drying, the fruit
color also changes due to the drying process. The
color of the dried fruit changes due to the formationof browning, which has often been associated with
the Maillard reaction [18].

Fig.7 Dried pineapple peels by electronic homedryer
3.2 Chemical properties of dried pineapple
According to the results shown in Tables 3 and
4, different drying methods were not affected to theash contents in both of dried pineapple cores andpeels. So, there were no significant different(p>0.05) in ash, however there were significant
different (p≤0.05) in moisture contents. Dried
pineapple cores using hot air oven dryer (at 60°C)
and electronic home dryer (50-60oC) took 17 hours
to decrease the moisture content to become less than
8%, while sun drying method took 40 hours(temperature during drying period was range
between 32-55oC). Even though, sun drying method
took 40 hours but it could not bring the moisture
content of dried pineapple cores to below 8%. Thisis because of the drying temperature of sun drying
was lower that other methods of hot air oven drying
or electronic home drying. During the day under sun
drying process, the temperature was varies up to thetime. Even in dried pineapple peels also showed thesame tendency of moisture contents by sun drying.

Table 2 Colors of dried pineapple peels fromdifferent drying methods
Drying methods
Hot air oven
Electronic home dryer
Sun dryL*
38.70b
37.08c39.35a

a*
1.14c
0.63b
1.68a

b*
14.60c20.07b
29.86aNote: a-c shown significant different (p ≤ 0.05) in column

Table 3 Moisture and ash contents in dried pineapple
cores from different drying methods
Drying methods

Hot air oven
Electronic home dryer
Sun dry

Moisture
Content
(%)

Ashns

6.92b
6.93b
9.89a

1.38
0.47
2.27

(%)

Note: a-b shown significant different (p ≤ 0.05) in column
ns shown no significant different (p > 0.05) in column

Fig.5 Dried pineapple peels by hot air overTable 4 Moisture and ash contents in dried pineapple
peels from different drying methods
Drying methods

Hot air oven
Electronic home dryer
Sun dry

Fig.6 Dried pineapple peels by sun drying

Moisture
Content
(%)
b

7.40
7.13c
8.90a

Ashns
(%)
2.34
2.97
2.24

Note: a-c shown significant different (p ≤ 0.05) in column
ns shown no significant different (p > 0.05) in column

823

SEE-Osaka, Japan, Nov. 21-23, 2016

As shown in Table 5, dietary fiber contents indried pineapple cores and peels from hot air ovenmethod showed significantly (p ≤ 0.05) higher thanthe other two methods of electronic home dryer andsundry. Additionally, compared the amount of
dietary fiber contents between pineapple cores andpeels, the results showed that pineapple peels has
contain higher dietary fiber than those in pineapple
cores in all drying methods.

4. CONCLUSION
In order to the utilization of pineapple wastes;pineapple peels and pineapple cores as an additionalsource of fiber in various foods. In this experiment,
the drying technique with different drying methodsof sun drying, hot air oven drying and electronichome drying were applied for drying pineapple coresand peels in order to compare dietary fiber contents.
The results showed that the amounts of dietary fiberwith hot air oven drying method were significantly(p ≤ 0.05) higher compared to that with sun drying
and electronic home drying. Therefore, it was
concluded that hot air oven drying method was themost effective and to get higher amounts of dietaryfiber.

Table 5 Dietary fiber contents in dried pineapple
cores and peels from different drying methods
Drying methods

Hot air oven
Electronic home dryer
Sun dry

Dietary fiber content
(%)
Cores
81.56a65.90c72.80bPeels
143.64a128.43c
137.82b

Note: a-c shown significant different (p ≤ 0.05) in column

5. ACKNOWLEDGEMENTS

Processing methods, especially a process which
applying thermal treatments such as boiling, drying
or canning, etc. It is well documented that heating
can considerably change the texture of plant tissues
and that this modification depends on thecomposition and structure of the fiber components.
So, it is crucial to study the effect of thermal
treatments on the physic-chemical and physiologicalproperties of the fiber in order to establish theprecise amount and bio-availability of the dietaryfiber that remains in the final product that gets to theconsumer.
In this experimental process, pineapple coresand peels were boiled in hot water in order tobreakdown the structure for easier extraction process.
This process may results in the inactivation ofpractically all the enzymes that could negatively
affect the organoleptic properties of the final
products. Some of the undesirable effects that could
happen are excessive softening of the plant tissues,
loss of color and flavor. Also, temperature duringdrying of hot air oven dryer was set at 60°C,
electronic home dryer was set in the rang at 50-60oC
and the temperature during drying period of sun dry
was range between 32-55oC. Those temperatures
may affect in the amount of dietary fiber contents.
Garau et al. (2007)[19] has reported that dehydration
promoted important modifications affecting both thephysico-chemical properties of dietary fibre and theantioxidant capacity of orange by-products (peel andpulp remaining after juice extraction). The
significance of such changes was largely dependent
on the air-drying temperature used (from 30°C to90°C).

The author gratefully acknowledges use of theservices and facilities of the Faculty of Agricultural
Technology, Rajamangala University of Technology
Thanyaburi (RMUTT), Thailand. Gratefully thanks
research funded by the Institute of Environmental
Rehabilitation and Conservation (ERECON), Japan.
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New Health System for the 21st Century”.
Washington, D.C: National Academy Press.
2001.
[11] Weinstein J.S., Vogt T.M., and Gerrior S.A.
“Healthy eating index scores are associatedwith blood nutrient concentrations in the third
National Health and Nutrition Examination
Survey”. Journal of the American Dietetic
Association, 2004, 104, pp. 576–584.
[12] Bartolome A. P. and Ruperez P. “Dietaryfiber in pineapple fruit”, J. of Clinical Nutr.,
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[13] Gorinstein H., Zemser M., Haruenkit R.,
Chuthakorn R., Grauer F., Martin-Belloso O.
and Trakhtenberg S. “Comparative content of
total polyphenols and dietary fiber intropical825

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

SIMULATION OF THE INFLUENCE OF SHADE TREES AND
REFLECTIVE PAVEMENTS ON THE MICROCLIMATE IN HOT AND
HUMID REGIONS
1,2,3

Julia Md. Tukiran1, Jamel Ariffin2 and Abdul Naser Abdul Ghani3
School of Housing, Building and Planning, Universiti Sains Malaysia, Malaysia

ABSTRACT
Shade tree coverage and reflective pavements are useful mitigation strategies to help cool the air and provide
shade. It also helps to lower building energy consumption by providing better outdoor boundary conditions. This
study presents a simulation approach to evaluate and determine the cooling effect of greening modification
developments of a study area on the surrounding environment. This study presents two approaches, including an
on-site measurement and a numerical simulation model that uses ENVI-met V 4.0 BETA. Five scenarios withdifferent types of tree coverage and density canopy by adding reflective pavements at ground surface are used.
This study was conducted at the RST Complex of Universiti Sains Malaysia. The simulation results showedsignificantly lower air temperatures in three greening scenarios compared to the current condition scenario with
10% tree coverage. Increasing 20% of tree coverage with less dense and high dense of canopy in the study area
led to a maximum air temperature reduction of up to 0.97 °C and 1.15 °C, respectively. Meanwhile, increasing
20% tree coverage with a highly dense canopy and applying reflective pavements on the ground surface
contributed to a maximum air temperature reduction of up to 1.16 °C. The outcome of this study could be used tohelp urban planners and designers to select strategies for designing outdoor spaces to relieve heat stress with themain aim of improving the outdoor living environment.
Keywords: ENVI-met, Microclimate, Cooling effect, Shade tree, Reflective Pavement

combined effect of increasing solar reflectance ofboth roofs and pavements which can reducesummertime urban temperature and improve urban
air quality [9], [14], [15].
Many methods have been applied to investigate
the effect of vegetation and ground pavements on
the microclimate, such as numerical modeling,
empirical analysis, on-site measurements andsatellite images. However, numerical modeling has
become more popular during the recent years
because researchers have greater control overmodeling in regards to time and resources [16]. The
ENVI-met model is normally utilized to simulate
urban and landscaped environments in terms ofpotential air and surface temperature, solar radiation,
relative humidity, wind speed, and other variables.
The ENVI-met model has also been employed to
examine the effect of greenery [17], [18] and paved
areas [19], [20] on the thermal environment. Most
investigations have focused on either the effect ofvegetation and pavements on the environment or thedifferences between thermal stress in the current
state and those in various scenarios. Some studies
have investigated the effectiveness of modifying
configurations of landscape designs [21], [22] andbuildings [23] by comparing the thermal
performances of before and after a design isimplemented.
This study uses a numerical simulation model

INTRODUCTION
Shade trees are actually an ecological solution
and one of the strategies that can be used to mitigate
heat islands and improve community comfort. It is
well-known that plants strategically placed aroundbuildings can bring thermal benefits to the
inhabitants. Vegetation not only provides
pedestrians with pleasurable visual scenes, but also
provides shading, improves air quality and reduces
noise levels [1]. The cooling effect of vegetation
occurs through the process of shading,evapotranspiration and changing wind patterns [2],[3]. Microclimatic benefits of vegetation have been
extensively investigated in previous researches [4],[5].
Pavements (roads, pedestrian walkway, parking
area, bicycle path, squares, etc.) are one of the main
hardscape contributing to the development of a heatisland [6], [7]. Several studies have reported thatpavements cover almost 29% to 45% of the urban
fabric [8], [9]. Heat islands can also be mitigated byusing “cool” materials during the summer period[10]–[12]. Cool materials are characterized by highsolar reflectance and high thermal emittance. The
two properties could reduce the temperature of thesurfaces [13]. Solar reflectance is the ability of amaterial to reflect solar energy from its surface backinto the atmosphere. Many studies report the826

SEE-Osaka, Japan, Nov. 21-23, 2016

such as ENVI-met to generate microclimate data forthe study area and examine the cooling effect ofdifferent greening scenarios in an urban thermal
environment in Penang. This study produced
different scenarios based on the different leaf
densities of shading trees and reflective pavement
applications on the ground surface.

On-site measurement program
On-site field measurements were taken between
10.00 and 14.00 local time on December 30th, 2015.
This period was used to collect the variables ofclimatic data during a clear day. There are a total of
12 observation points in the study site. The
observation points were selected as they havevarious landscape features as shown in Fig. 2.
The first instrument that is involved in thismeasurement is the (Extech 45160) 3-in-1 Humidity,
Temperature and Airflow meter that was placed on acamera tripod at a height of 1.5 m above groundlevel. This instrument has a sensor to measure airtemperature and can record between 0°C to 50°C
with an accuracy of ±1.2°C. The sensor for windspeed is capable of measuring outdoor convection
air speeds of between 0.4 m/s to 30 m/s with reading
speeds from wind ≤ 20 m/s with an accuracy of ±0.9% m/s, while if the reading speeds winds >20 m/s
with an accuracy of ±1.2% m/s. In addition, a
relative humidity sensor is used to measure thepercentage of humidity of between 10% to 95% withan accuracy of ± 4% between 10% to 70% and ±5.2%> 70%. The second instrument is the (TES1333) Solar Power Meter which was also placed ona camera tripod at a height of 1.5 m above groundlevel. This instrument has a sensor to measure solar
radiation with a measurement range of up to 2000
W/m² and an accuracy of ±10 W/m². To consider thethermal effects from the pedestrian level, the two
instruments were installed at a height of 1.5 m above
the ground level and were calibrated before the onsite operation. The time interval for themeasurement of each point of observation is 10
minutes.

METHODS
The methods that were used in this study are an
on-site measurement program and a simulation
model [24], [25], [17]. The on-site measurement
program was designed to measure current
microclimate conditions in the hostel complex
environment at the pedestrian level. These results
were used to verify the accuracy of the model. The
simulation model was designed to simulate andvalidate actual conditions and predict themodification effects of the proposed greening
scenarios using the ENVI-met V 4.0 BETA.
Study area and climatic condition
The study site is located in a student
accommodation area around the Desasiswa Restu,
Saujana and Tekun (RST) Complex (5.356042 ° N,
100.292087 ° E), as shown in Fig. 1. The study area
is part of the Universiti Sains Malaysia (USM),
Penang campus. Penang is situated in the northernpart of peninsular Malaysia. Characteristics of thestudy area climate are hot and humid. In year 2015,
the average annual temperature was recorded at
28.1°C with the maximum and minimum averagetemperatures of 31.6°C and 24.7°C respectively. The
site’s area measures at 105,650m². The area isdominated by tall buildings of one to ten levels
ranging from dormitory buildings, an administrativebuilding, halls and entrepreneur squares.

ENVI-met model parameterization
For the ENVI-met model geometry settings inthis study, the simulated base model domain was
built based on satellite images from Google Maps.
The number of floors in each building was manuallycounted. Each level was assumed to be 3 m high.
The total maximum building height in the study area
was 30 m (10 levels). The main model domain area
represented the current conditions in the area ofinterest and was built within 153 x 109 x 25 gridswith input dimensions of dx, dy and dz = 3 m x 3 m
x 4 m, as shown in Fig. 2. Only major elements suchas trees and ground surfaces were considered in thissimulation. Table 1 presents the initial settings of themodel.
Table 1 Input configuration data applied in the
ENVI-met simulations
Setting data
value
Initial temp. of atmosphere (°C)
28.10
Relative humidity in 2m (%)
70

Fig. 1 Plans involved for the study area; (a) key
plan, (b) location plan, and (c) site plan827

SEE-Osaka, Japan, Nov. 21-23, 2016

Wind speed in 10m height (m/s)
Wind direction (deg)Fig. 2 3-dimensional
geometry

view

of

2.0
33:North

initialAfter the calibration process, a paired t-test wasused to determine if a significant difference occurred
between the average measured values that weremade under different conditions which are between
the values measured on-site and the simulated values,
as shown in Table 2. The paired t-test results fromthe four validation criteria display the relationships
between the paired differences within a 95%
confidence interval. The null hypothesis states that
there is no significant difference between the meansof the twelve on-site measurement points and thesimulated results of the four validation criteria.
Table 2 and Table 3 indicate that the significance(Sig.) value is greater than 0.05. Therefore, nosignificant difference occurred and the null
hypothesis was accepted. Thus, the calibrated ENVImet model predictions agreed with all validation
criteria and accurately represents the realenvironment.

model

Systematical calibration process for ENVI-met
models of outdoor environment
The aim of the systematical calibrated ENVI-met
model for outdoor environment is to predict
environmental conditions that agree with the on-sitemeasurements. The initial ENVI-met model was
created based on the actual site geometry and the onsite field measurements. The boundary conditions
for improving the accuracy of the ENVI-met modelin this study were called the Lateral Boundary
Conditions (LBC) which include the optimal
boundary settings by simulating the initial model
domain by adding any grids as nesting areas. For
this study, the optimum boundary setting is obtainedby adding 18 grids (54m) at the x-axis and 66 grids(198m) at the y-axis. In addition, the simulated airtemperature (°C), relative humidity (%), windvelocity (m/s) and solar radiation (W/m2) of theoutdoor environment were validated at 12 points
with on-site measurements as shown in Fig. 3.

Table 2 Paired samples’ test for validation criteria
which compares the on-site measurements and initialmodel data from the ENVI-met simulation model
Crite

Paired differences

t

Sig.*

-ria
Mean

StD

95% conf. interval ofthe difference
Lower

Upper

AT

0.551

0.968

-0.064

1.166

1.970

0.074
0.220

RH

1.285

3.420

-0.888

3.458

1.301

WS

0.333

0.276

-0.142

0.209

0.418

0.684

SR

17.40428.921-0.97135.780

2.085

0.061

Notes: * significant at 0.05 level (2-tailed)
Table 3 Paired samples’ test for validation criteria
which compares the on-site measurements andcalibrated model data from the ENVI-met simulation
model
Crite

Paired differences

t

Sig.*

-ria
Mean

StD

95% conf. interval ofthe difference

AT

0.498

0.981

-0.126

1.212

1.756

0.107

RH

2.438

4.583

-0.475

5.350

1.842

0.093

Lower

Upper

WS

0.058

0.332

-0.152

0.269

0.609

0.555

SR

17.34728.889-1.00835.702

2.080

0.062

Notes: * significant at 0.05 level (2-tailed)
Development of simulation scenarios

Fig. 3 Comparison of calibration stages for
improving the accuracy of the ENVI-met model toobtain a better correlation with measured results for
air temperature.

To compare and evaluate the cooling potential ofgreening modifications on 30 December 2015 and828

SEE-Osaka, Japan, Nov. 21-23, 2016

difference of 0.22°C when the quantity of current
trees was at 10.43%. The air temperature reduction
occurred between these scenarios with a maximum
average difference of up to 1.12°C. This condition
was believed to result from the lack of greenery, theground pavement material and the greater building
density within that area. Thus, the cooling effect of
the current conditions was not enough to provide
optimum cooling for the entire RST Complex,
especially along pedestrian walkways and outdoor
spaces where most activities occur during the day.

the specific contributions of shade trees andreflective pavements, five different scenarios were
simulated, which are (a) case A: current condition,(b) case B: no trees, (c) case C: adding trees withless density, (d) case D: adding trees with highdensity, and (e) case E: adding trees with highdensity and reflective pavements. The simulation
included three greening development strategies thatwere proposed to improve the outdoor thermal
environment through its implementation.
The differences between cases C and D could
indicate the effect of shade trees with different
density canopies, while the differences between
cases D and E could show the effect of reflective
pavements. The tree species that were used in the
ENVI-met simulation was Dalbergia oliveri torepresent low density canopies (LAI = 2m²/m²), andSwietenia macrophylla to represent high density
canopies (LAI = 5m²/m²). Use of reflective
pavements in the ENVI-met scenario simulation
focuses on the walkways by using concrete
pavement light, while parking lots and driveways
use asphalt with red coating.

The cooling potentials of the three greening
scenarios
The current conditions were compared with threegreening modification strategies. The peaktemperature taken at 15:00 of the five different
conditions (Fig. 5) were compared at the pedestrianlevel of 1.5m. This comparison was conducted tounderstand the impact of these greening
modifications on reducing air temperature at the
study site, as shown in Fig. 5. The color gradient in
Fig. 5 specifies the air temperature range to identify
the hot and cool spots in the RST Complex.

Table 3 Details of the coverage for different
scenarios in the simulation domain
Details

Scenarios
Case A

Case B

Case C

Case D

Case E

Current

No trees

Add

Add

Add trees

trees

tree

with high

with

with

dense

less

high

and

dense

dense

reflective

condition

pavement
Building

24.30%

24.30%

24.30%

24.30%

24.30%

10.43%-

30.04%

30.04%

30.04%

16.68%

27.11%

14.24%

14.24%

14.24%

Open area

48.59%

48.59%

31.42%

31.42%

15.30%

Reflective

-

-

-

-

16.12%

coverageTreecoverageGrasscoveragepavement

RESULTS AND DISCUSSSION
The cooling potentials of the current condition

Fig. 4 Air temperature under five different
scenarios, taken at 15:00 at the pedestrian level.

The ENVI-met simulation under the current
conditions were done on a summer day with atemperature between 32.58°C and 22.50°C with anaverage 27.54°C during the peak of the day, as
shown in Fig. 4a. Case A was compared with case B,
which is the scenario with no trees in the area toproduce Fig. 5a. The air temperature has an average

Case A was compared with case C, which is after
adding trees with low density canopies and the resultis shown in Fig. 5b. The air temperature has anaverage difference of 0.14°C when the quantity oftrees with less density was increased by 19.61%. Air
temperature reduction occurred between these829

SEE-Osaka, Japan, Nov. 21-23, 2016

scenarios with a maximum average difference of up
to 0.97°C. The hot spots which initially occur at thewest part of the RST Complex, became much cooler
due to the cooling effects of trees with low density
canopies.

that have no tree to optimize cooling effect on theoutdoor thermal environment at the pedestrian level.
Therefore, these strategies are recommended in
implementation with outdoor landscape designs.
CONCLUSION
The university-in-a-garden concept wasconceptualized by Universiti Sains Malaysia (USM),
Penang. This study focuses specifically on the RST
Complex, USM which is a newly developed area.
The study found small quantities of tree coverage inthe vicinity. This study developed different scenarios
to model the urban thermal impact in order toanalyze greening performance following theimplementation of feasible green campus policies.
The outcome from this study can give solutions andideas to support the university’s planning of
improving its thermal environment.
In this study, the ENVI-met computer
simulation model was used to understand tree
coverage quantities, their canopy densities andreflective pavement on ground surface in an area.
These green areas have a pronounced cooling effectand had reduced the ambient outdoor temperature.
The calibration and comparison done to improve theaccuracy of the ENVI-met model against the initialmodel, calibrated model and on-site measurements
representing the real environment were verified.
Therefore, the use of urban planning andmicroclimate assessment tools will be useful inassessments of climate which could then feed into
decision processes towards providing better living
conditions in the future. Designers will be able toassess the impacts of their proposed development on
urban climatic conditions.

Fig. 5 Comparison of the different air temperature
reductions from greening modifications, at 15:00 at
the pedestrian level.
Case A was compared with case D which is after
adding trees with high density canopies and theresult is shown in Fig. 5c. The air temperature has anaverage difference of 0.29°C. Air temperature
reduction occurred between these scenarios with amaximum average difference of up to 1.15°C. Thesemitigation strategies rely on the density of tree
canopies.
Lastly, the combination of both trees with highdensity canopies and reflective pavement
modifications achieved the optimum cooling effects
beneath the canopy level as shown in Fig. 5d.
Although the results were similar, the yellow color
in Fig. 5c becomes greener, while fewer blue spots
are shown in Fig. 5d. The air temperature has anaverage difference of 0.34°C. The largest air
temperature reduction occurred between thesescenarios with a maximum average difference of up
to 1.16°C. The reflective pavements only
contributed a small portion of the maximum airtemperature reduction by about 0.01°C.
In this study, the modification by adding trees
with high density canopies provides a larger coolingpotential than adding tree with low density canopies
or applying reflective pavements on ground surfaces.
The selection or replacement of tree with highdensity canopies is recommended in open spaces

ACKNOWLEDGEMENTS
Our sincere appreciation goes to our lab assistant
Mohd. Faizal Mohd. Nasir and Nurul Huda Zakaria
from the Environmental Lab at the School of
Housing, Building and Planning, USM for providing
instruments and services during the fieldmeasurement process. Lastly, special thanks to ourfamilies and friends for moral support.
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Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

THE RELATION BETWEEN PRECIPITATION AND THE RIVERRUNOFF IN THE SHINGU RIVER BASIN AT THE TYPHOON NO.12
IN 20111

Masanobu Taniguchi1 and Hiroyuki Ii1
Facultyof System Engineering, Wakayama University, Japan; 1
ABSTRACTThe water runoff in the river basin was unknown, and therefore the relation between precipitation and theriver runoff was analyzed. The residence area had damaged by typhoon No.12 in the Shingu River Basin in 2011.
The max of flow rate in the lowest point is estimated 19000m3/sec, and the value is not confirmed. The value isbigger than the planned river flow. Compared with the rain runoff and the flow rate, the cause of flooding iscleared. As a result, the rainfall intensity is high in the Kitagami River, and however it is estimated that the causeof the flooding is rain runoff in the upper Shingu River. The slope collapse was caused the decrease of river flow
rate, the flood was occurred in the upper slope collapse. If the narrow area of flow pass is also exists in one, it isestimate that the place decrease the water sending capacity. Therefore the estimation of flooding is important tograsp of distribution of rainfall runoff.
Keywords: typhoon, runoff, precipitation, river flow rate, floodof the Shingu River Basin, and flowing into the
Pacific Ocean from Shingu.
In past, The Totsugawa hazard occurred inAugust 1889 was triggered by heavy rainfall. It wasestimated that the maximum daily precipitation was
at least about 1000mm. The maximum daily
precipitation of typhoon No.12 in 2011 was less than
1000mm. This study is to analyze the cause of theflooding has occurred in a small typhoon than in thepast.

INTRODUCTION
The Shingu River Basin has most rain in Japan
Main Island. The flood was occurred by typhoon
No.12 in 2011 in the Shingu River Basin. The
rainfall intensity of the typhoon No.12 was not large,
mostly less than 50mm/hour and the average wasfrom 20 mm to 30 mm/hour. However the residence
area is big damaged by the typhoon. And the someslope collapse was occurred in the middle of the
Shingu River Basin. The rain water was collected,
and the amount of water is need to be cleared thecause of flooding. The traveling time is unknown,
and the river flow rate become bigger by thetraveling time. And finally the flood was occurred at
September 4 in the Shingu River Basin. The flowrate is unknown in the time of typhoon, and thestation could not recorded the flow rater at theflooding time because water is overflow. The
research is clarify to relation between the rainfall
runoff and the river runoff, and is clarify the causeof the flooding.

Shingu River Basin
Wakayama
Ohdai-ga-hara Plateau
KazayaUpper Kitayama Hukuoka Osaka

Tokyo
Japan

City Area

ShinguMeteorological weather station

10

Ministry of Land, Infrastructure and Transportwater level observatory(16)

Altitude, 50m mesh,
Geospatial Information Authority of Japan(data)
Kashimir 3D(software)

Fig. 1(19)

Ministry of Land, Infrastructure andTransport rainfall observatory
(13)

20 km

The study area overview

STUDY AREA OVERVIEW
B

bridge widthFig.1 shows study area overview. The flow pass
extending of the Shingu River is 183km. The
average flow rate is 119m3/sec. The area of the
Shingu River Basin is 2360km. There are 11 dams in
the Shingu River Basin. The Odai-ga-hara Plateau
has a lot of rain, is the headwaters of three majorbasin, the Kino River, the Miya River and the
Shingu River. The origin of the Shingu River is the
Odai-ga-hara Plateau, and the Kitakami and the
Shingu River meets at the Miyai, at the lowest point

H1

H2

H3

H4

H5

river width
the flow velocity measurement ofa straight line channel② ①observera survey of a cross-sectional area
observerdepth

bridgebridgerope

10m
weight
The measuring method of
depth of water

Fig. 2832

vinyl string

a floata weight

Reference point (1m interval)（ The lid of a PET bottle ）Measurement of the flow velocity

The creation of analytical data

SEE-Osaka, Japan, Nov. 21-23, 2016

THE ANALYSIS OF METEOROLOGICAL
DATA

Fig.3 shows the amount of precipitation per day
in the typhoon No.12 period. The 3 days ofprecipitation is same to the annual precipitation atUpper Kitayama and Kazaya. The Upper Kitayama
and Kazaya is the observing station of Odai-ga-haraPlateau, most rainfall region in main Island of Japan.
The max of precipitation par day is 600mm, and thevalue is not so big at the region. The Tsu,
Wakayama and Shingu station is located in the eachCity. The precipitation is low value, so residents was
not careful to the typhoon. In order to clarify thecause of the flood, it is necessary to clarify the
relation between precipitations and rain runoff. And
the analysis requires a more detailed rainfall data.

The precipitation is water height in situ. To
compere river runoff and rainfall runoff, it isnecessary to determine the water volume bymultiplying the precipitation and area. The area isdetermined by Thiessen Law method. And theprecipitation area is determined by catchment datathat the Ministry of Land, Infrastructure andTransport has been published. The precipitation data
was the data of the Japan Meteorological Agency
and the Ministry of Land, Infrastructure andTransport. The number of observing station of theJapan Meteorological Agency is 27. And the numberof observing station of the Ministry of Land,
Infrastructure and Transport is 13. The research useddata of 25 point.
THE MEASUREMENT OF RIVER CROSSSECTION
The river cross section is important to calculate
the river flow rate. The Ouga Station data isimportant in calculating the flow rate at the time of
the flood condition in typhoon No.12 because it is
the lowest point in the Shingu River Basin and ispoint of the flooding. However there was no flowrate data at the Ouga Station in 2011 so it wasnecessary to estimate the flow rate. Flow rate in2011 had to be calculated from water level value
using relation between water level and flow rate
values.
The flow rate at the flood condition is follow
formula.
11

v = 1n a 2 H 6(1)

v:velocity, n:Roughness coefficient, a:Eigenvalue ofobservatory, H: average water depth
The formula has been proposed by Taniguchi etal. The formula is possible to calculate velocity fromwater level.
ANALISYS OF THE RAIN RUNOFF
Fig. 4 the distribution of precipitation

(mm)
2000
1800
1600
1400
1200
1000
800

Fig.4 shows the distribution of precipitation pereach days. The precipitation on September 1 is lessin whole basin. The peak of precipitation is
September 3, and the value is high in whole basin.
The maximum of precipitation of the typhoon period
is 1814mm in upper stream of the Kitagami River.
And the Kitagami River Basin of precipitation ishigher than the main stream of the Shingu River.
Moreover lower stream of the Shingu River at Ouga
is 1690mm, and the precipitation is tend to always
high in the typhoon period. It is estimate that the

9/6
9月6日
9/5
9月5日
9/4
9月4日
9/3
9月3日
9月2日
9/2
9月1日
9/1
8月31日
8月30日
8/31
8/30

Average of Japanese annual Precipitation

3day =annual precipitation

600
400
200
0
上北山
Upper
KitaYama

Fig. 3

風屋Kazaya津Tsu

和歌山
Wakayama

新宮
ShinguThe amount of precipitation in the typhoon
No.12 period (mm/day)833

SEE-Osaka, Japan, Nov. 21-23, 2016

the rain runoff is almost less than the planed value. Itis estimated that the rain water flows late, and thatthe water had accumulated in the river basin.
Therefore it is necessary to compare the rain runoff
with the river runoff.

high precipitation of Ouga is occurred the slope
collapses, and the slope collapse shut off the water,and occurred the flooding in its upper stream. The
precipitation in the upper stream of Shingu River is alittle rain, the precipitation is more than 500mm in
the Kitagami River. The distribution of precipitation
is different in a day, so there is no rain in the region,
the distribution of precipitation is need for the
analysis of the rain runoff.

ESTIMATE OF FLOW RATE

10

9/6

9/5

The time series of river water level

9/6

9/5

9/4

9/3

9/2

Fig. 7
9/1

0

9/4

-5

20

9/3

30

9/2

本宮
新宮
上北山
風屋
大台ヶ原（電発）
猿谷

40

辻堂
成川
相賀

10

2011/08/31

50

2011/08/31

新宮川流域雨量時系列(分布図解析用)

60

9/1

任意期間時刻水位一覧表

20Fig. 7 shows the time series of river water level.
The Narukawa is lowest point of the Shingu River,
all data is measured in the time of the typhoon. The
Ouga is not measured in the flooding peak time.
Tujidou is near Sarutani Dam at upper main streamof the Shingu River and is not measured after
flooding. Moreover Tujidou and Narukawa did nothave flow rate data. Therefore the research used
Ouga data for analyze.

Fig. 5 The time series of precipitation (mm/hour)
The number of precipitation observing station is
25 point. The data of two organizations of thecountry is different, and we did not know whether
the period of the data is present until the analysis of
the data. So, the existence of data changes theanalysis area, moreover analysis of actually is
improved. Therefore the analysis area is determinedby existence of measured data. Fig.5 shows the timeseries of precipitation per hour. The figure shows
mainly points of precipitations change. The averagevalue is from 20mm/hour to 30mm/hour, max is
60mm/hour. The characteristic of typhoon is thatmaximum is not bigger and that long time
precipitation is continued. Therefore in order toanalyze flooding the rain runoff, it is necessary to
grasp the whole Shingu River Basin of rain runoff.

-10

runoff (m3/sec)

0
Average Depth 1614.8 cm
Area 4101.8 m3
Average velocity 5.51 m/sec
Flow rate 22859.00 m3/sec
a 0.12

10

20
0

100

200

300

Distance from the base point
龍神
栗栖川
本宮
西川
新宮
色川
高野山
護摩壇山
かつらぎ
風屋
日出岳
天川
上野地
上北山
山上ケ岳
高見
荒神岳
五條
玉置山
吉野
下北山
尾鷲
御浜
熊野新鹿
熊野
宮川

30000

25000
22500
20000
17500
15000
12500
10000
7500

Fig. 8Flow rate (m3/sec)

5000

Fig. 6

9/6

9/5

9/4

9/3

9/2

0

9/1

2500
2011/8/31

Rainrunoff (m3/sec)
雨量流出(m3-sec)計算結果

27500

The time series of rain runoff (m3/sec)

Fig.6 shows the time series of rain runoff in the
Shingu River Basin. The rain runoff was calculated
from precipitation per hour and sum of precipitationof the whole basin area. The amount of rain runoff
exceeds 10000m3/sec is September 2. The amount ofrain runoff had not exceeds 20000m3/sec. The
Shingu River of planed flow rate is 19000m3/sec, so
834

The measurement of river cross section at
Ouga
30000
27500
25000
22500
20000
17500
15000
12500
10000
7500
5000
2500
0

0 2.5 5 7.5 10 12.5 15 17.5 20
Water level(m)SEE-Osaka, Japan, Nov. 21-23, 2016

Fig. 92,264,114,790m3 and the river runoff is
2,162,444,796 m3. Therefore it was estimated thatthe rain runoff before September 4 is equal to theriver runoff and flows out directly. The rain runoff
after September 4 is different from the river runoff.
it is considered that the reason is either the effect ofthe delay of the outflow by the dam, or the reductionof river runoff due to slope collapse. In order toconform the reason of the difference of the both
runoff, it was necessary to grasp the damage of thecondition of the Shingu River Basin.

Relation between water level and flow rate

Fig.8 shows the measurement of river crosssection at Ouga. Fig.9 shows relation between waterlevel and flow rate. The circle mark is real data andthe cross mark is calculated data. The flow rate in
the period of the typhoon was not measured. The
observing station was damaged by the flood, so thedata was not collected after the typhoon. The flowrate is necessary to estimate from the water level.
The flow rate is fitting from the of flow rate data ofsame year. The parameter a was decided from thereal data of slope of relation between water level andflow rate. The velocity is calculated from formula(1), and river cross section area is decided fromwater level. So, the flow rate is possible to calculate
from water level. The parameter a is used by 0.12.
COMPARE THE PRECIPITATION
THE RAIN RUNOFF

Table 1 list of storage capacity of dams
Dams

ShinguKawaseKuo

WITH

Kitagami

30000
27500
25000
22500
20000

runoff (m3/sec)

River

17500
Rain runoff(m3 /sec)
Flow rate(m3 /sec)

15000
12500
10000
7500
5000

Stragecapacity(m3)400,000
648,000

Sarutani

17,300,000

Seto

12,500,000

Asahi

12,500,000

Kazaya89,000,000

NItsuno11,000,000

Sakamoto

68,000,000

Ikehara220,100,000

Nanairo10,700,000

Komori

4,700,000

Sum ofvolume446,848,000

9/7

9/6

9/5

9/4

9/3

9/2

9/1

0

2011/08/31

2500

It is estimate that the high precipitation of Oauga
is occured the slope collapes, and the slope collapse
shut off the water, and occurred the flooding in its
upper stream. The precipitation in the upper streamof Shingu River is a little rain, the precipitation ismore than 500mm in the Kitagami River. The
distribution of precipitation is different in a day, so
there is no rain in the region, the distribution of
precipitation is need for the analysis of the rain
runoff.

50000000
0-50000000-1E+08

2E+09
0-2E+09Discharge

Fig. 10 The time series of rain runoff and river
runoffFig.10 shows the time series of rain runoff andriver runoff. The filled blue circle is rain runoff andred circle of disintermediation is river runoff. The
rain runoff is bigger than river runoff before
September 3. The bar graph of the above is obtainedby subtracting the river runoff from rainfall runoff.
The below the bar graph shows the storage amount,integrating the difference in the runoff. The sum of
all days of rain runoff is 2,646,764,350m3, and river
runoff is 3,315,617,568 m3. It is different values, it
is estimate that the river runoff is bigger than in fact.
The reason has been occurred slope failures before
and after September 4, and it is estimated that water
did not flow than in fact even if water level is same.
The rain runoff and the river runoff is samevalue before September 4, the rain runoff is

INFULLUENCE OF DAMSThe Shingu River has 2 big rivers, Shingu mainstream and the Kitagami River. The Shingu Riverhas 7 dams, Kawase, Kuo, Sarutani, Asahi, Kazayand Nitsuno. The Kitagami River has 4 dams,
Sakamoto, Ikehara, Nanairo and Komori. The
objective of 8 dams is for electric power, except the
Sarutani. The river flow delayed, and it is estimatedthat the reasons are the long distance of water trip
and the reservoir of the dam. The flooding has
occurred in this confluence. The dams is usual fullof water, so the dams have no flood control function.
Table.1 shows list of storage capacity of dams. The
sum of volume of all dams in the Shingu River
835

SEE-Osaka, Japan, Nov. 21-23, 2016

Basin is 446,848,000m3, so the rain fall runoff is
2,646,764,350m3, the value is one fifth of thevolume of rain runoff. It is estimate the dams is fullat the time of the typhoon No.12 period, and thedams has no water storage capacity. It is estimatethat the rain water mostly flow out directly or theeffect of dam is little.

Fig. 12 The location of the disaster and The Field
survey by GIS camera
Fig.11 shows the location of the disaster at thetime of the typhoon No.11 in 2011 and the
distribution of geological hardness. The geologicalmap was created by geological 1km mesh of GIS
data and catchment 100m mesh of data that the
Ministry of Land, Infrastructure and Transport has
been published. The river GPS data is made bytracing a map of the Geographical Survey Institutein Kashmir 3D. The combined map was made using
by Taniguchi’s GIS software. Yellow is soft rock,blue is hard rock. The disaster tend to be located in
the yellow or orange colors. The disaster is notoccurred in hard rocks. The map is possible toestimate the location of disasters in future.
Particularly, the lowest stream of the Shingu River
Basin had many disasters.
Fig.12 shows the location of the disaster and The
Field survey by GIS camera. The disaster location
data is identified by report of the Ministry of Land,
Infrastructure and Transport. The disaster point has
no access for the reason that the road is broken. The
survey of disaster point was necessary for the graspof the flow rate. However the no access was
impossible to measure both of the distance andvolume of the slope collapse and the slope collapse.
And so, the slope collapse was estimated by GIS andlocation data of information of GPS camera. The
distance of the slope collapse is total about 2km.

Rock mass Soft-Rock fragmentSoft(1-a)
Rock mass Soft-Rock fragment midiam(1-a)
Rock mass Soft-Rock fragment Hard(1-a) (1-c)
Rock mass Midiam-Rock fragment Soft(1-a)
Rock mass Midiam-Rock fragment midiam(2-b)
Rock mass Midiam-Rock fragment Hard(2-c)
Rock mass Hard-Rock fragment Soft(3-a)
Rock mass Hard-Rock fragment midiam(3-b)
Rock mass Hard-Rock fragment Hard(3-c)

Waterway

25cm

21cm

83%

stagnation

4.95kg per 3 second=1.65L/sec
1.7cm

Fig. 11 The location of the disaster and The
distribution of geological hardness

25cm
50cm/sec
2.13Ｌ/sec

Fig. 13

Flow area

3m
2.5cm

25cm

21cm
43cm/sec

10.9cm

2.26L/sec

8.0cm/sec
2.19L/sec

The waterway experiment

The water flows constantly 1.65L/sec by pumpin the flow pass. The experiment was conductedwith the next three case, shallow case, deep case,and the case that there is an obstacle. By comparing
836

SEE-Osaka, Japan, Nov. 21-23, 2016

the depth water in the presence or absence of an
obstacle, the flow rate was verified whether theactual calculated flow rate changes. As the actual
flow rate is not changes in the all cases. The velocityof shallow case is 50cm/sec, the water depth is 2cm.
The breadth is 25cm, and the flow rate is calculated
to be 2.50L/sec.
The velocity of deep case is 8.05cm/sec, the water
depth is 10.9cm. The breadth is 25cm, and the flowrate is calculated to be 2.19L/sec. The velocity of thecase that there is an obstacle is 43cm/sec, the water
depth is 2.5cm. The breadth is 21cm, and the flowrate is calculated to be 2.26L/sec. Therefore the flow
coefficient is calculated to be 0.75, the ratio isagainst for 1.65L/sec. The flow coefficients of three
condition is same value, so the obstacles makes thestagnation of water, and it is estimated that the water
depth is same condition to the case of constantly
waterway of 21cm width. In the Shingu River, theslope collapse was occurred in the typhoon period,
and the waterway became narrowly by broken rocks,
finally it is estimated that the stagnated water had
been occurred the floods.

Fig.14 shows the distribution of precipitation in
upper Shingu River Basin. The total precipitation of
the Upper Shingu River is 1110mm per 6 days, andthe total precipitation of the Kitagami River is
1302mm per 6 days. The area of the Upper Shingu
River is 1203km2, and the area of the Upper Shingu
River is 763km2. Compared with precipitation of
the Kitagami River and Upper Shingu River, theprecipitation is much in the Kitagami River Basin.
However the precipitation of Upper Shingu River in
September 3 is much than the precipitation of
Kitagami River. Moreover the area of the Shingu
River is larger than the area of the Kitagami River.
Therefore it is estimated that the amount of the rain
runoff is bigger in the Shingu River.
Fig.15 shows the time series of rain runoff in theupper Shingu River and Kitagami River. The peak ofamount of rain runoff is September 3 in the bothriver basin. The total of the amount of rain runoff in
the Shingu River is 1,309,647,360 m3, the value ofKitagami River is 981,200,300 m3. The total of theamount of rain runoff in the Shingu River is bigger
than the amount of rain runoff in the Kitagami River.
Therefore the rainfall intensity is high in the
Kitagami River, and however it is estimated that thecause of the flooding is rain runoff in the ShinguRiver

THE RAIN RUNOFF OF KITAGAMI AND
UPPER SHINGU RIVER
Total

9/3

CONCLUSION
The cause of flood in typhoon No.12 in 2011
was confirmed. The relation between the rain runoff
and the flow rate in the Shingu River Basin was
analyzed by survey and GIS data and government
measured data. The flow rate data is not exist in thetyphoon period, therefore the flow data wasestimated by the analysis of the flow rate and thewater level in the another data in 2011. The
calculated flow rate were in good agreement to thesum of rain runoff before the peak of flow rate.
However the amount of the flow rate after the peakis bigger compared with the amount of rain runoff.
The dam’s delay is no longer nothing, the dam
capacity of water is full. It is considered that thecause of the different runoff is the sloop collapse in
the lowest stream in Ouga, the waterway became
narrowly by broken rocks, finally it is estimated thatthe stagnated water had been occurred thefloods. The rainfall intensity is high in the Kitagami
River, and however it is estimated that the cause of
the flooding is rain runoff in the Shingu River.

1203.72km2
763.58km2

1110mm

1302mm

506mm

456mmaFig.14 the distribution of precipitation in upper
Shingu River Basin(Left:Upper Shingu River, Right: Kitagami River)(m3/day)

8000
7000
6000
5000
4000
3000
2000
1000

0
2011/8/31 2011/9/1 2011/9/2
Kitagami River

REFERENCES
2011/9/3 2011/9/4 2011/9/5
Upper Shingu River[1] Masanobu Taniguchi, and Hiroyuki Ii ,”Distribution characteristics of the Annual
nitrogen load in Yamato River Basin in 2011”,
International Journal of GEOMATE, June, 2016,
Vol. 10, Issue 22, pp. 2043-2049 , Japan

Fig.15 the time series of rain runoff in the upper
Shingu River and Kitagami River

837

SEE-Osaka, Japan, Nov. 21-23, 2016[4] Japan
Meteorological
Agency, http://www.jma.go.jp/jma/index.html[5] Kashmir 3D, http://www.kashmir3d.com/indexe.h[2] Ministry of Land, Infrastructure and Transport,
Japan,
Water
information
system, http://www1.river.go.jp/[3] Digitalnational
land
information, http://nlftp.mlit.go.jp/ksj/

838

Second International Conference on Science, Engineering & Environment,
SEE-Osaka,
Japan,
Nov. Nov.21-23,
21-23, 20162016, ISBN: 978-4-9905958-7-6 C3051
Osaka City,
Japan,

1

IS THE SOUTH CHINA SEA HAS UNDERGONE A SEA LEVEL RISE?
A PRELIMINARY STUDY IN TERENGGANU, MALAYSIA
Muhd. Barzani Gasim1,2 , Hafizan Juahir1,2 Azizah Endut1, Azman Azid1 , Mohd. Khairul Amri Kamarudin and
Norsyuhada Hairoma1
1

East Coast Environmental Research Institute (ESERI), Universiti Sultan Zainal Abidin, Gong Badak Campus,
21300 Kuala Terengganu, Terengganu, Malaysia

2

Faculty of Bio Resources and Food Industries Universiti Sultan Zainal Abidin, Tembila Campus 22200 Besut,
Terengganu, Malaysia
ABSTRACTThe effect of the sea level rise has been detected globally, this study taken more seriously due to theexistence of phenomenon such as sea water intrusion, increase of sea waves and coastal erosion. The objective of
this study is to determine fluctuation of high and low tides of the South China Sea based on change on water
quality trend of Marang and Paka Rivers and from a well monitoring in Terengganu. Sampling was done twice,first in November 2012 and was repeated in November 2015. Selected water quality parameters such as salinity,
EC, TDS, DO, pH and turbidity were measured using standard instruments, nine parameters from monitoring
well such as Ca, Na, Mg, Fe, Cl, TDS, TSS, EC and pH were carried out from 2006 to 2012. Two-way t-test wasused for statistical analysis in this study. There is significant temporal variation in DO and turbidity meanwhilefor pH, significant variation is only present during low tide in Marang River. These parameters show anincreasing trend from downstream to upstream between 2012 and 2015 due to the increase of land use activities,
while other parameters such as EC, salinity, TDS as well as pH were decreased during high tide in Marang Riverand high and low tides in Paka River. These results were concluded that global change coupled with theenactment of heavy storm and flood phenomenon during 2014 and other external causes was lead to the rising ofsea level and salinity dilution of the South China Sea.
Keywords: Marang and Paka Rivers, Northeast and South monsoons, Sea level rise, South China Sea, Water
quality parameter

Melting glaciers and thermal expansion of seawater
are among the major factors that caused sea level
rise [7]. In conjunction to these phenomena, theinflux of saltwater into the river through estuary
was amplified. As a consequence, there is variationin water quality of surface water. Besides, diurnal
variation of sea level which is also known as tidal
activities was also affected by this phenomenon. It
was shown by the alteration of low and high tides
level. Sea level rise interrupts the freshwater
characteristics as the projection of salinization
towards groundwater and estuaries reservoirs. Thus,
disturbance in water quality of freshwater such as
rivers by influx of marine water might cause acertain fish in stress condition, as some species
especially at juvenile and egg stages which cannot
tolerate due to change in quality of water. For
example, eggs of trout cod have limited survival
rate of 50% when expose to increasing of salinity
level of fresh water around 450 mg/L [8].

INTRODUCTION
Malaysia received abundance amount of rainfall
every year. Peninsular Malaysia received average
rainfall approximately 2400mm per year [1]. Someof the water will seep into the ground to become
groundwater resources, some will undergo
evapotranspiration and the rest will form surface
runoff [2, 3]. Some of activities related to the riverare fisheries, aquaculture, sand mining, water sport
activities, farming activities and many more. Yearsago, rivers in Malaysia is commonly very clean andless polluted if it is compared to the present
condition, this situation is resulted from theincreasing populations living along the riverbank
and numerous activities carried out close to riverareas [4, 5].
Some of anthropogenic activities, such as
settlement, sand quarries, fish farming and thenatural phenomenon such as sea level rise and tidal
activities are degraded the river water quality [6].
839SEE-Osaka, Japan, Nov. 21-23, 2016
1

A study conducted by [9] showed that most of
the tidal ranges are usually highest during springtides and lower during neap tides. In the mixedtides, the diurnal and semidiurnal oscillations areboth important factors and the tide is characterized
by a large inequality in the high water heights, lowwater heights, or both. Normally, there are two highand two low waters each day, but occasionally thetide may become diurnal. However, some of thewater quality parameters such as calcium, chloride,magnesium, potassium, and sodium are usefulchemical analyses to confirm conductivity readings.
[10] stated that increase of high tides has influenced
the movement of seawater further to the upstream
and affected salinity and total dissolve solids
concentrations in the river, this is due to theconcentration of high dissolved salts mainly
consisting of sodium, chloride and magnesium
composition in the seawater. Physiochemicalparameters such as total dissolve solids (TDS),
dissolve oxygen (DO), salinity, electricalconductivity (EC), turbidity and pH are effective inassessing of water quality due to sea level rise [11,12]. The declination of some water quality
parameters are caused by an influx of freshwater
into the ocean contributed by rainfall, melted
glaciers and ice [13]. Freshwater addition into
ocean was lead to salinity dilution [14, 13]. As
salinity decreases, electrical conductivity and TDS
are also decreases.
This is due to linear
relationshipbetweensalinity,electricalconductivity and TDS, and makes their values
varied spatially [15, 16, 17]. The decreased of pH
trend toward upstream show that the river water
became more acidic when further away from thesea [18]. It has a linear relationship with salinity[18]. As salinity decreases towards upstream andriver water became more acidic. Therefore, a water
quality assessment with respect to sea level rise
impact at Marang and Paka Rivers is carried out inthis study to determine water quality trend
variations spatially and temporally as well as thepotential factors that contributing to this variations.
The main objective of the study is to conduct a
comparative study on water quality parameters ofMarang and Paka Rivers between 2012 to 2015 and2006 to 2012 wells monitoring assessment which
they are can be used and serves as sea level riseindicator.

was carried out along these rivers on 13 November
2012 and was repeated on 25 November 2015. Bothsamplings were conducted during Northeast
monsoon period. During this period, the easternpart of Peninsular Malaysia received heavy rainfall
and its sea surface temperature declined [19, 6]. A
sampling station was selected from upstream todownstream in this water quality assessment, totalof nine sampling stations were carried out duringsecond sampling at Marang River and sevensampling stations at Paka River. The first station is
located at the estuary where the meeting point
between Marang and Paka Rivers and the South
China Sea. The last station is located at upstream
where this area is less disturb by tidal activities.
Each station is 2km apart, the total sampling
distance along this study as approximately 18 to 20
km. In this study, tidal activities are considered as
one of the factors that influenced river water qualityof the river. Sampling is done twice where the firstsampling during low tide, the other sampling duringhigh tide. Both samplings were done at the same
location according to the coordinate pinpointed by
Global Positioning System (GPS). A secondary
data of nine water quality parameters from theeleven wells such as Ca, Na, Mg, Fe, Cl, EC, TDS,TSS and pH were provided from the Malaysian Geo
Science and Mineral Department for the six years
period (2006 to 2012). The selection of theseparameters is limited to parameters that related tothe activities / reaction with seawater. The locationof well is situated along the coastal of the Kuala
Terengganu.
Measurement of in Situ parameters
Parameters such as DO, EC, TDS, salinity, pH
and turbidity were measure using YSI 556
Handheld Multiparameter meter. Turbidity wasmeasured using 2100Q Portable Turbidimeter. To
get a more accurate reading, the instruments were
calibrated before measurements.
Statistical analysis
Two-way t-test was used to determine thesignificant difference between two samples [20].
For each parameter, the two-way t-test was
performed twice. Firstly, it was performed by using
low tide 2012 & 2015 data samples; secondly, it
was performed on high tide 2012 & 2015 data
samples. The outcome for the two-sample t-test is
p-value that will be used to determine either thenull hypothesis should be accepted or failed to be
accepted. The significance level established for thisstudy is 0.05. Samples with p-value more thansignificance level (0.05) should accept null
hypothesis meanwhile, samples with p-value lessthan significance level (0.05) has fail to accept null

METHODOLOGY
Sampling stations and Study area
Marang and Paka Rivers were chosen in thisstudy as the two rivers are very affected by highand low tides, located at Marang and Kemaman
districts of Terengganu, Malaysia. Water sampling840

SEE-Osaka, Japan, Nov. 21-23, 20161

hypothesis [20, 21]. The first null hypothesis for the
first two-sample t-test is stating that there is nomean difference between parameter readings during
low tide 2012 & 2015. Meanwhile, the second null
hypothesis is stating that there is no meandifference between parameter readings during hightide 2012 & 2015.

data water quality well monitoring, such as Na, Ca,
Mg, Fe, Cl, TSS, TDS, pH and EC were evaluatedfor their pattern.
Monitoring Wells
The results of nine water quality parametersfrom 2006 to 2012 water quality monitoring wells
are stated in Table 1. Sampling and analysis of eachparameter has been carried twice a year, thesampling time is adjusted based on the monsoon
season. Unit of each parameter is ppm or equal to
mg/l, except for EC (µS/cm). The result of theanalysis shows that each parameter has increased
annually or at least has increased in the past 6 years(Table 1).

RESULTS AND DISCUSSION
Water Quality Analysis
Six physicochemical water quality parameters,such as DO, EC, TDS, salinity, pH and turbidity
were analysed to determine their water quality
condition of the Marang and Paka Rivers based on
temporal and spatial variations. Nine of secondary

Table 1 Nine of water quality parameters result based on 2006 to 2012 wells monitoring
Date

Na

Ca

Mg

Fe

Cl

TSS

TDS

pH

EC (µS/cm)

May 2006
Nov 2006
Feb 2007
Feb 2008
June 2008
Mac 2009
Oct 2009
April 2010
Nov 2010
May 2011
June 2012

56.00
53.00
50.00
43.00
31.00
41.00
37.00
48.00
50.00
53.00
62.00

14.00
16.00
15.50
15.00
16.00
17.00
14.00
13.00
11.00
28.00
16.00

2.10
1.60
1.10
3.10
3.40
4.90
3.20
3.20
3.00
3.50
3.70

1.60
1.40
1.40
2.00
2.10
4.10
2.10
2.60
2.20
2.40
2.00

23.00
31.00
30.50
28.00
18.00
32.00
30.00
25.00
27.00
25.00
36.00

274.00266.0028.00
288.00280.00334.00266.00262.00254.00284.00278.00216.00246.00225.00158.00163.00328.00262.00202.00244.00268.00270.00

7.20
7.20
5.30
7.30
7.60
8.80
7.60
7.80
7.60
8.20
7.30

292.00305.00330.00349.00235.00482.00359.00307.00323.00308.00385.00from 1,094 – 14,336.8 mg/L with average 5,172
mg/L. Low tide 2012, DO reading were ranging
from 4.11 – 4.41 mg/L with average of 4.21 mg/L;
during high tide, DO were ranging from 4.01 – 6.02
mg/L with average reading of 4.66 mg/L.
Low
tide 2015, DO reading were ranging from 2.32 –2.94 mg/L with average of 2.62 mg/L; during hightide, DO were ranging from 2.45 to 3.26 mg/L withaverage reading of 3.03 mg/L.
In general,
distribution trend of DO is increasing from M1 to
M9. It has an inversed trend to salinity. Low tide
2012, pH readings were ranging from 5.96 to 7.34
with average of 6.61; during high tide, pH readings
were ranging from 6.09 to 8.5 with average of 7.02.
High tide 2015, pH were ranging from 5.55 to 8.22
with average of 6.11; during low tide, pH readings
were ranging from 5.89 – 7.22 with average of 6.59.
During low tide 2012, turbidity were ranging from10 to 70 NTU with average reading of 35 NTU,
during high tide, turbidity were ranging from 4 to
58 NTU with average of 28 NTU. Low tide 2015,
turbidity were ranging from 3.7 to 12.87 NTU withaverage of 8.54 NTU for meanwhile, turbidity were

Water quality of Marang River (M)Low tide 2012, salinity was ranging from 0.49
to 9.32 ppt with average of 3.26 ppt, during hightide, salinity was ranging from 0.68 to 25.36 ppt
with average of 9.37 ppt. Low tide 2015, salinity
was ranging from 0.57 to 8.22 ppt with average of
3.26 ppt; during high tide, salinity were ranging
from 0.84 to 13.1 ppt with average of 4.13 ppt. Low
tide 2012, EC readings were ranging from 1070 to
17541 μS/cm with average of 6407 μS/cm; duringhigh tide EC readings were ranging from 1478 to
44027 μS/cm with average of 16975 μS/cm. Low
tide 2015, EC readings were ranging from 1203 to
15432 μS/cm with average of 6309 μS/cm; duringhigh tide, EC readings were ranging from 1755 to
23685 μS/cm with average readings of 8499 μS/cm.
Low tide 2012, TDS were ranging from 900 to
10,430 mg/L with average 4,091 mg/L; during hightide, TDS were ranging from 900 to 25,970 mg/L
with average 10,046 mg/L. Low tide 2015, TDS
were ranging from 745 to 9,276 mg/L with average
3,832 mg/L; during high tide, TDS were ranging
841

SEE-Osaka, Japan, Nov. 21-23, 2016
1

ranging from 7.18 to 13.2 NTU with average of
9.56 NTU (high tide).

ranging from 0.03 – 8.15 ppt with average of 1.34
ppt. Low tide 2012, EC readings were ranging from33 to 3470 μS/cm with average of 652 μS/cm,
meanwhile, during high tide EC readings wereranging from 35 to 6810 μS/cm with average of1549 μS/cm. Low tide 2015, EC readings wereranging from 56.2 to 13118.7 μS/cm with averageof 2712 μS/cm, meanwhile, EC readings wereranging from 68 to 18259 μS/cm with average of
2986 μS/cm during high tide. Low tide 2012, TDS
were ranging from 0.022 to 2.1 mg/L with averagereading of 0.4 mg/L; meanwhile, TDS were ranging
from 0.021 to 4.17 mg/L with average 0.95 mg/L
during high tide. Low tide 2015, TDS were ranging
from 35.1 to 6905 mg/L with average 150326
mg/L; meanwhile, TDS were ranging from 42.9 –10244 mg/L with average reading of 1,695.2 mg/L
during high tide. Low tide 2012, DO were ranging
from 4.9 to 5.65 mg/L with average of 5.25 mg/L,
meanwhile, DO were ranging from 4.71 to 5.85
mg/L with average 5.28 mg/L (high tide). Low tide2015, DO reading were ranging from 2.68 to 3.36
mg/L with average of 3.09 mg/L, meanwhile, DO
were ranging from 2.36 to 3.72 mg/L with averagereading of 3.27 mg/L (high tide). In general,
distribution trend of DO is increasing from P1 to P7.
The 2012 pH readings were ranging from 5.19 to
6.43 with average of 5.79 (low tide), meanwhile,
pH readings were ranging from 5.54 to 6.8 withaverage of 6 (high tide). During 2015, pH wereranging from 5.55 – 6.82 with average of 6.05 (lowtide), meanwhile, pH readings were ranging from5.46 to 6.7 with average of 5.95 (high tide). Low
tide 2012, turbidity were ranging from 10 to 71
NTU with average reading of 35.57 NTU,
meanwhile during high tide, turbidity were ranging
from 2 to 61 NTU with average 27.86 NTU. Low
tide 2015, turbidity were ranging from 3.96 to 11.9
NTU with average reading of 8.17 NTU for
meanwhile, turbidity were ranging from 2.22 to
14.47 NTU with average 9.28 NTU during high tide.

Statistical Analysis of Marang River
Salinity, EC and TDS parameters were showing
similar distribution trend which are declining from
M1 to M9. The similar trend suggests anassociation between these parameters. Two-sample
t-test (P < 0.05) was performed on these threeparameters by using low tide 2012 & 2015 as data
samples. It revealed that salinity, EC and TDS
readings show no significant difference during low
tide 2012 & 2015. The p-value for each parameteris 0.552, 0.5182 and 0.4264, respectively. Twosample t-test (P < 0.05) was also performed on hightide 2012 and & 2015 data samples. The results
revealed that salinity (P = 0.0992), EC (P = 0.0992)
and TDS (P = 0.116) readings during high tide 2012
& 2015 were not significantly different. However,salinity, EC and TDS reading amplitudes for 2012
are greater than 2015 and significantly shown at M1
and M2. These results emphasized a slightdeclination in salinity, EC and TDS from 2012 to2015 but it is not significant enough as had been
revealed by two-sample t-test. DO in 2012 wererapidly declined from M1 to M3 and then slowly
increased until M9. During 2015, DO was slowly
increases from M1 to M9. Two-sample t-test (P <0.05) between low tide 2012 & 2015 as well as hightide 2012 & 2015 revealed that the DO readings oflow tide and high tide between 2012 and 2015 weresignificantly different (P < 0.0001).
The
distribution of pH trend was gradually decreasingfrom M1 to M9 during low and high tides in 2012
and 2015. Two-sample t-test on pH readings during
low tide 2012 & 2015 show that there is significant
differences (P = 0.0199) between the pH reading
during 2012 and 2015. However, two-sample t-test(P < 0.05) failed to reject that there is no significant
difference (P = 0.1133) between pH readings duringhigh tide for both years. For turbidity, two-sample
t-test (P < 0.05) performed on low tide 2012 &2015 data samples emphasized that the low tideturbidity reading during 2012 and 2015 issignificantly difference (P = 0.008). Two-sample ttest on high tide data samples is also showing asignificant different (0.0119) between the turbidity
readings during high tide 2012 & 2015 data
samples.

Statistical Analysis of Paka River
The readings trend of salinity, EC and TDS
parameters were decreasing from downstream (P1)
to upstream (P7) during high and low tides for both
years. Two-sample t-test (P < 0.05) was performedon low tide and high tide data samples obtained
during 2012 and 2015 for salinity, EC, TDS and pH
parameters. The tests revealed no significancedifference between the readings of low tide 2012 &2015, where the p-value for salinity, EC, TDS and
pH were 0.2862, 0.2888, 0.1374 and 0.3846,
respectively. Two-sample t-test also shown that thereadings of salinity, EC, TDS and pH during hightide 2012 & 2015 were not significantly different.
P-value for salinity, EC, TDS and pH were 0.6597,

Water quality of Paka River (P)Low tide 2012, salinity was ranging from 0.01
to 1.67 ppt with average of 0.31 ppt meanwhileduring high tide, salinity was ranging from 0.01 to
3.48 ppt with average of 0.77 ppt. Low tide 2015,
salinity was ranging from 0.02 to 5.94 ppt withaverage of 1.25 ppt; during high tide, salinity were842

SEE-Osaka, Japan, Nov. 21-23, 2016
1

0.6100, 0.2595 and 0.8385, respectively. DO showsa steady reading with a small variation between
stations, two-sample t-test (P < 0.05) determinedthat there are significant differences between the
DO readings for low tide data samples (P < 0.0001)
and high tide data samples (P < 0.0001) during
2012 and 2015. Turbidity readings show an
inclining trend from P1 to P7 for both years. Twoway t-test (P < 0.05) on turbidity readings revealed
a significance difference of turbidity readings
between 2012 and 2015 on both low tide (P =0.0052) and high tide (0.0409).

the alteration on water quality of Marang and Paka
Rivers.

CONCLUSIONS[1]

Che-Ani, A. I., Shaari, N, Sairi, A, Zain, M F
M, & Tahir, M M, “Rainwater Harvesting asan Alternative Water Supply in the Future”,
European Journal of Scientific Research, 34(1),2009, pp. 132–140.

[2]

Supatimusro, D, Areerachakul, N, &Poomsripanon, J, “The Applied Geographic
Information System and the Relation of
Mollusk with Water Quality in Ayutthaya
Province, Thailand”, Energy Procedia, 34,2013, pp. 99–108.

ACKNOWLEDGMENTS
The authors would like to express anappreciation to the East Coast Environmental
Research Institute (ESERI), Universiti Sultan
Zainal Abidin (UniSZA) for giving advice, guides,
support and for the use of their research facilities.
REFERENCES

Basically, high tide 2012 was the highest
parameter reading variation between stations,followed by high tide 2015, low tide 2012 and thelowest was low tide 2015 for Marang River whilehigh tide 2015 was the highest for Paka River,followed by low tide 2015, high tide 2012 and thelowest was during low tide 2012. During high tide,
sea water level rises and causing saltwater to
intrude into river, meanwhile, less of saltwatercontent in the river during low tide. The readings ofsalinity, EC and TDS in Marang River were higher
during high tide compared to low tide for both in2012 and 2015. This variation was due to tidal
activities. The 2015 reading of TDS, salinity andthe EC in Paka River were higher than 2012; pH
can be said uneven, but DO and turbidity trend for2015 show a decreased compared to 2012. The
effect of high turbidity and low DO of Paka River iscould be the effect of pollution due toanthropogenic activities in the upstream of the river.

[3] Taylor, R. G., Scanlon, B., Döll, P., Rodell, M.,
van Beek, R., Wada, Y., Treidel, H, “Groundwater and climate change”, Nature Climate
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Results from the eleven wells water quality datashows that the value of each parameter wasincreased during dry season and it drops during
rainy season, it can be shown that most of theparameters increased during March 2009, it seems
as the peak of dry period. Tidal activity, especiallyduring high tide will be move far into the landthrough the river systems. Due to the above
condition, the readings of nine water quality
parameters from the eleven wells were increased
between 1.4 to 43.2% from May 2006 to June 2012.

[5]

Azhar, S C, Aris, A Z, Yusoff, M K, Ramli, M
F & Juahir, H, “Classification of River Water
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[6] Toriman, M E, Gasim, M B, Ariffin, N H,
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Malaysian Journal of Analytical Sciences,19(5), 2015, pp. 1099–1108.

The increases of salinity, EC and TDS readings
between 2012 and 2015 and the increases of ninewater quality parameters from 2006 to 2012 mostprobably were due to the occurrence of sea levelrise. The evidence of global change coupled withthe enactment of heavy storm and flood
phenomenon during 2014 Northeast monsoon
season was lead to the rising of sea level andsalinity dilution of the South China Sea. As aconsequence, salinity was diluted and resulted in

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Physico-Chemical Properties of Ground Water
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[8]

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[15]

O’Brien, T, “Assessment of the impact ofsaline drainage on key fish species”, In
Banens, R J & Lehane, R (Eds.) Riverine
Environment Research Forum. Eds. Canberra:
Murray-Darling Basin Commission, 1995, pp.
43-46.

[16] Viswanath, N C, Kumar, P G D & Ammad, K.
K, “Statistical Analysis of Quality of Water in
Various Watershed for Kozhikode City,
Kerala, India. Aquatic Procedia, July 2014, pp.
1078–1085.

[9] Li, L, Barry, D A, Stagnitti, F, Parlange, J Y &Jeng, D S, “Beach water table fluctuations due
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effects”, Advances in Water Resources 23(8),2000, pp. 817-824.

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[18] Dunlop, J, Mcgregor, G, & Horrigan, N,“Potential impacts of salinity and turbidity inriverine ecosystems”, 2005, Queensland
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“Hydrology Properties and Water Quality
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Malaysia”, Procedia - Social and Behavioral
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[19] Curry, R, & Mauritzen, C, “Dilution of thenorthern North Atlantic Ocean in recent
decades”, Science, 308(5729), 2006, pp.
1772–1774.

[12] Gasim, M. B., Khalid, N. A., & Muhamad, H.
(2015). The Influence of Tidal Activities
onWater Quality of Paka River Terengganu,
Malaysia. Malaysian Journal of Analytical
Sciences 19(5), pp. 979–990.

[20] Henneberry, Y, Kraus, T E C, Krabbenhoft, D
P & Horwath, W R, “Investigating the
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Presence of Dissolved Organic Matter”,
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[13] Werner, A D, Bakker, M, Post, V E A,
Vandenbohede, A, Lu, C, Ataie-ashtiani, B,
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[21] Ander, E L, Watts, M J, Smedley, P L,
Hamilton, E M, Close, R, Crabbe, H, Fletcher,T, Rimell, A, Studden, M & Leonardi, G,“Variability in the chemistry of private
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Environmental Geochemistry and Health,
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[14] Sharif, S M, Kusin, F M, Asha’ari, Z H & Aris,
A Z, “Characterization of Water Quality
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Using Self Organizing Map and K-means

844

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

A SIMPLIFIED METHOD FOR SOIL ANALYSES LABORATORIES
1

N.CHAOUQI1, 2, M.EL GHAROUS2, Z.NACERI3, M.BOUZZIRI1Laboratory of Applied Chemistry and Environment, Faculty of Sciences and Techniques, University
Hassan 1st, Morocco-Settat
2
INRA, Regional Center for Agricultural Research, Morocco-Settat
3
Phosphorus-Morocco, Safi-Direction. Quality Control Department (OIS / L / Q)
ABSTRACTThe research goal was to develop a simplified method for estimating the available phosphorus for routine
analysis. This study compared the measured Soil-P using the ICP-NaHCO3 with the simplified extraction method(SM-P). The correlation (r=0.99) and the regression(using xlstat-pro) were employed for comparing the data ofavailable phosphorus content in soil samples for a variety of Moroccan soil types, with contrasted
physicochemical characteristics: Ali Moumen,, Oued Qibane, Ouled Said, Settat, Dower Lhfaya, and
HadGhoualem (are located using ArcGIS 10.1 and fertiMap). SM-P is most suited for soils with pH >= 7 andCaCO3 content above 5%. In this experiment, several parameters are modified, the fineness, the type and degreeof mechanical agitation ,the color development solution ((2.5 % (NH4)6Mo7O24.4H2O, in 5 mol.l-1 H2SO4),
1 %(w/v) ascorbic acid solution), and the adaptation of the reading at 860 nm, are improving the accuracy of P
analysis, the high correlation of this method with ICP-NaHCO3 content can be an indication for it. The results ofthis experiment showed that SM-P can be the best method for predicting the available phosphorus, simple, quick,and easy to execute.
Keywords: Fertilizer Phosphate , Extraction Methods, Available Phosphorus, Moroccan Soils
INTRODUCTION
Phosphorus forms or freshly introduced fertilizers,
less or non-mobile. Despite the limits observed in
the case of acidic soils, these results make one
considers that Na HCO3 is the reagent that reflects
the availability of P for the crop in question.
The research goal was to creating a
synchronization between the nutritional element
demand and offer through a method capable ofreproducing the best possible the action of the roots
based on extraction by sodium bicarbonate.
Accordingly, it is necessary that this method besuitable for all the types of the Moroccan soils. It isalso necessary that the implementation of thismethod be accessible to all Moroccan soil analysis
laboratories that are less equipped or have weakmeans.

One of the first problems that arise while
studying soil phosphorus is the extraction method toapply in order to determine a fertility scale for thecultivated plant. Several authors highlighted that
phosphate-based fertilization of soils should take
into account the assimilation of P reserves by theroots [1]-[4]. That is why it is necessary to assess therelationships existing between the fraction of thephosphorus likely to be extracted by cultivation andthe phosphorus extracted by the traditional chemical
methods. In the field of methods, Dyer (citric acid at2%) [5]-[6], Bray-1(0.03N NH4F + 0.025N HCl),
Bray-2 (0.03N NH4F + 0.1N HCl), DA-4 North
Caroline (0.05N HCl + 0.025N H2SO4), Joret–
Hébert (ammonium oxalate)[7],Chang and Jackson(sodium citrate+ sodium hydrosulfite)[8], Olsen
modified by Dabin (NaHCO3 + NH4F)[9],Resin
2-X8,300-800µm),
MehlichHCO3-(DOWEX(0.015N NH4F + 0.012N HCl)[10],Desorption
Kinetics (IMPHOS),anion exchange resin, isotopic
exchange kinetics32PO43- and 33PO43- [11], Olsen
method 0.5N NaHCO3, prevails worldwide over theothers[12]-[13].
The information given by Olsen method is the most
relevant with the biological results [14]-[15].
The reagents, other than sodium bicarbonate,extracted larger quantities of soil

MATERIELS AND METHODS
Soil sampling and analysis
This study concerned five types of representative
soil with contrasted physicochemical characteristics(The locations of sampling stations on the groundare located using ArcGIS 10.1 and fertiMap). The
collected samples have been dried at a temperatureof 40°C for 24 hours, ground and sieved (according
to AFNOR 11-464), before passing to the otheranalyses. The soils studied here (iron oxide, vertisol,
acidic soil, calcimagnesic soil, isohumic soil) have845

SEE-Osaka, Japan, Nov. 21-23, 2016

been collected from a deepness of 20 cm ofthickness from different sites, namely (table 1):

After the first analysis of their P content, therepresentative zones for the evaluation of thebioavailable phosphorus are : Ali Moumen-N°5 (AL5),
Oued Qibane- N°3 (OQ3), Ouled Said-N°11 (OS11),
Ouled Said-N°10 (OS10), Settat- N°6 (S6), Dower
Lhfaya-N°7 (S7), HadGhoualem-N°19 (SA19). Theirmain characteristics (These characteristics will help
interpret the results after the analysis of the plantthat will validate the simplified method), as shownby the physiochemical analyses carried out in the
Regional Center for Agricultural Research in Settat(CRRAS)and Phosphorus-Morocco, SafiDirection (OCP-Safi), are presented in Table 2.

Table 1 Sites of the 1st sampling of soils
Sample N°

X

Y

13446322566902264347275277329280323740042743452551535285052258140

Soil Type

Zone
MeglouIron oxide

Oulad Abou
Oued Qibane
Ouled Said

VertisolAli Moumen

6297508269066

Settat7302087286586

Dower Lhfaya

8299756279399930611728583310269495251677112655132604171227221424720913284524258008

VertisolAli Moumen

14

292827237252Iron oxide

Oued Qibane

15265358260014Isohumic

Oulad Said

16

272248

246 95717

300114279423

Vertisol

Settat-Dowar
Hbatta18302158286592

Calcimagnesic

Settat19____

Acidic Soil

Had Ghoualem

Calcimagnesic

Isohumic

The method used forpreliminary results

Ben Ahmed

OS10
7,1

OS11
6,9

S6
7,5

S7
7,5

AL
7,6

SA
5,1

OQ
7,6

6,24

6,11

7,03

7,37

7,21

5,85

7,6

0,12

0,14

0,15

0,35

0,14

0,15

0,26

24,4

23,1

28,3

30,9

19,2

17,8

88,5

3,0

3,02

3,78

2,67

2,61

1,02

3,77

0,29

0,37

0,39

0,49

0,37

0,41

0,40

6,01

4,75

5,69

3,19

4,08

1,43

5,41

11,74

11,38

7,32

4,29

8,45

0,60

6,70

1,27

1,23

6,33

5,59

7,01

0,14

6,69

5

5,01

3,52

1,5

3,77

1,69

4,81

10,2

10,2

6,88

1,33

7,68

2,59

7,76

0,25

0,26

0,58

0,129

0,31

0,19

1,42

-1,11

-1,08

-0,74

-0,43

-0,12

-0,50

1,61

1,018

1,017

1,24

0,43

0,94

0,23

1,98

0,03

0,03

0,036

0,02

0,041

0,02

0,07

0,03

0,02

0,107

0,09

0,06

0,041

0,145

comparison of-Inductively Coupled Plasma (ICP) using NaHCO3
as an extracting agent:
weighing 1 g of soil into a 50 mL Erlenmeyer
flask, adding 20 mL of extracting solution (0.5M
NaHCO3, pH 8.5) to each flask and shaking at 200
epm for 30 minutes at a room temperature at 24 to
27°C,filtering extracts through Whatman N° 42 filter
paper.
Analyze for P inductively coupled plasma
emission spectroscopy using a blank and standards
prepared in the Olsen P extracting solution. [16]Ouled Said

RESULTS AND DISCUSSION

Table 2 Physicochemical characterization of theseven sites of the five types of the study

pH
pH
(Kcl)
E.C
(mmhos)NO3(ppm)
MO
(%)
N
(%)
C/N
H
(%)
Ca
(%)
Fe
(%)
Al
(%)
K
(%)
Cd
(ppm)
Mg

the

The modified parameters toavailable P extraction method

simplifytheFor mineralization phase:-Fineness

Figure 1 Available P content extracted, based on
the fineness of the soil.
-Type and degree of mechanical agitation

(%)

Na
(%)
S
(%)

Table 3 Available P content extracted based ontime and type, of agitation.

846

SEE-Osaka, Japan, Nov. 21-23, 2016

30

152

60

168

30

161

TargetExtract the available phosphorus compounds
contained in the soil by selective dissolution with thesodium bicarbonate.

The soil is finely ground in order to increase thespecific surface to ensure a good contact and makethe reaction as total as possible (Fig 1). The use of asoil with a fineness of 500 µm requires less of
NaHCO3 to be attacked (40 ml for 2.5 g).
Rotation speed is fixed at 250 vibrations per minute,
this speed is sufficient to allow a good diffusion ofreactants.
The necessary duration for the maximum
extraction process of P2O5 of the soil is determinedat 20 min in an attack tank of 250 ml.

Principle
Alkaline solution reduces the concentration of
calcium by precipitation in the form of calcium
carbonate and that of aluminum and ferric ions by
precipitation in the form of hydroxides. Phosphateions concentration increases accordingly and thephosphorus may be extracted from the soil sample
by the solution of sodium hydrogen carbonate andfiltration.

For color development phase:

Field of application-2.5 % (NH4)6Mo7O24.4H2O, in 5 mol.l H2SO4-1 %(w/v) ascorbic acid solution- 5 min at 99°C
- Wavelength : 860 nm-1This method applies to the determination ofavailable phosphorus in the samples of the
Moroccan soil for the different types with pH >=7.
Identification of the sources of uncertainties

Place
Contamination

Workforce

BalanceMeans

Spectrophotometer
analysis instrument

-1

Staff

MatterPressure

PurityMatrix EffectMethod-Weigh 2.5 g of 0.5 mm of soil into a 250 ml
Erlenmeyer flask Add 40 ml of the extracting
solution (0.5M NaHCO3, pH 8.5) to the sample,
shake 20 minutes (250 vibrations per minute) in aconstant temperature room(22°C).
-At completion of shaking time immediately filter
the suspensions through whatman N°42 filter paper.
If the filtrates are dark colored add carbon black andfilter again to abtain a clear filtrate-To a 5 ml aliquot of the filtrate add 6 ml ofsulfomolybdic solution (2.5 % (NH4)6Mo7O24.4H2O),
in 5 mol.l (H2SO4)) degas by shaking.
-Add 1 ml of 1 %(w/v) ascorbic acid solution.
-Add 14 ml of demineralized water and mix.
-Prepare standards of 0; 0.2 ; 0.4 ; 0.6 ; 1 and 2ppm
of P by diluting 0.5 ; 1 ; 1.5 ; 2.5 and 5 ml of themother solution (Dissolve 0.4393 g of KH2PO4 dry
at 110°C for 2 hours in 1000 ml of demineralized
water ) in 250 ml of 0.5M. sodium bicarbonate, pH
8.5(Treat the standards in the same way as the
samples).
-Heat all the solutions to be determined for 5 min at
99°C.Immediately cool with running water at 20°C
(12 min). Homogenize carefully by turning (1 min).
-DeterminePconcentration
withaspectrophotometer at a wavelength of 860 nm.
Results:
P (µg.g-1) = (C*V) / S
Where:
C: Micro-grams of phosphorus determined on thecalibration curve (µg/ml)
V: Extraction volume in ml
S: Weight of the soil sample in g

Temperature

Describing trial process% P2O5

Rotating AgitatorP(ppm)

Accuracy

Agitator goes back and forthtime (min)Homogeneity

Type of agitation

Figure 2

Uncertainties sources/ISHIKAWA
DiagramSeveral parameters influence the quantity of theextracted available P. A first analysis (Fig 2) for thesimplified method allow to exclude certain sourcesof uncertainties:847

SEE-Osaka, Japan, Nov. 21-23, 2016

Homogeneity and stability

Figure 3 Preliminary comparison between ICP and
the simplified method for the available P content(ppm) in relation to the different types of Moroccan
soils.

A fineness of 2 mm = 50 %< 500µm + (500µm<
25 %< 1mm) + (1mm< 25 %< 2mm), this finenessdoes not ensure the granulometric uniformity of thesample, which affects the obtained result. But,
sieving with a 500µm ensures homogeneity, andrequires less NaHCO3 (40ml).
Temperature
The molecules of the reagents are within the same
phase and can therefore easily enter in contact toreact. Yet, this is an independent process oftemperature so that it will not affect the reaction
speed.

Figure 4 the content of active limestone for thedifferent soils

Extraction solution (pH)The pH should be close to the conditions of thesoil in place. Yet, the results obtained for the acidsoils by the 0.5M NaHCO3, pH 8.5 are far fromthose obtained by Bray.
Regarding the increase of pH : 8.5/1st day, 8.65/2nd
day, 8.77/3rd day and 8.94/4th day, the results were
not significant. [21]*Away from the light, pH remains constant for fivedays. However, a control is necessary prior to any
use.

Chemical methods, in practice, overestimate theavailability of phosphorus of the soils which havemuch free aluminum (table 2), whereas it is not thecase for this simplified method which is clearly notaffected by aluminum, in contrast to ORSTOM
method (a modified version of Olsen methodreferenced by the AFNOR standard under number
NF ISO 11263), which, by the action of the fluoride,
reacts more actively with the forms related toaluminum.
Fig (4) shows us that the Moroccan soils
contains a dominance of P-Ca, these results confirm
the choice of NaHCO3.
Correlations involving the Bray-P method werevery low when all soil samples were included in theanalyses but improved when calcareous soils were
dropped. Concerning the SA19 as an acid soil (table1), the comparison of the extracted content of P, iscarried out with Bray, pH 1.5 (104.2ppm).However,
It seems that the Bray method extracted a muchhigher proportion of phosphorus compared to thesimplified method (13 ppm) or to the ICP method(33 ppm).
Correlation coefficients (r=0.99) between
methods were strongly dependent on the soil pH(Table 2) of the samples included in the analyses. In
addition, the slope of linear relationship (y=0.997x)(Fig 3) between the ICP and the Simplified method
were similar for the different groups of samples.
These results suggest that in many calcareous soils(Fig 4) the simplified method is comparable to the
ICP method.

Spectrophotometer analysis instrument
Color intensity decreases after 45 min. In
addition, it is necessary to add the ascorbic acidsolution at appropriately adjusted time intervals toensure that the readings of the molybdenum blue
color intensity, related to each sample, are madeabout 10 min after the addition of this reagent and,in all cases, not more than 15 min.
Method choice justification
ICP method is chosen, in order to compare theresults and get an interpretation basis (the statisticalanalyses were done using xlstat-pro).

CONCLUSION
The method is not better appropriate to provide
criteria for interpreting the phosphoric fertility of theacid soils. The low correlation coefficient between
the Bray-P1 and the simplified method was expected848

SEE-Osaka, Japan, Nov. 21-23, 2016

because other research has shown that the Bray-P1
tend to underestimate available P on calcareous soils.
However, it can be recommended for the soils
having received large doses of fertilizers (Fig 3), andfor the different types of soil with pH >=7.
Taking into account the amount of work thatneglected through this SM-P compared to ORSTOM
method, as well as the weaknesses of its functioning,
namely: Agitation time that takes an hour; Wave
length (660 nm), which corresponds at the same timeto an interference of soluble organic P; Arsenatesthat react with the ammonium molybdate to form a
blue complex producing an interference on theanalysis result; The P extracted comes from theproducts of the reaction with phosphatic fertilizers
and the ammonium fluoride.
Determining available P for the Moroccan
laboratories has become unquestionably much more
instructive while being much easier to obtain. This
simplified method constitute an improvement(r=0.99/ Olsen-ICP) with regard to currently usedmethods.

[2] Admont P.G., Boniface R., Jahiel M. & Morel C.
Quelques obeservations sur les méthodes
actuelles de dosage du phosphore assimilable
des sols. C.R. Acad. Agric.Fr. 1986, 72,69-79.
[3] Bouyadid A. Étude de l'évolution de lasolubilité des engrais phosphatés et leurs effets
résiduels sur les plantes. Mémoire de 3èmecycle en Agronomie. Institut Agronomique etVétérinaire Hassan II,Rabat,1989.
[4] Loudyi B. Niveau de carence en phosphore et lephosphore assimilable des sols de la région deMeknès. Bulletin de l'ENA de Meknès(Maroc),1986,23: 23-29.
[5] Olsen S.R.,Cole C.V.,Watabnave F.S. et Dean
L.A., Estimation of available phosphorus insoils by extraction with sodium bicarbonate,
U.S.D.A., Circular,1954,939,8p.
[6] Dyer B. «On the analytical determination ofprobably available «mineral» plant-food in soil»,I.Chem. Soc., London, 1894, 65,115-129.
[7] Joret G et Hebert J., « Contribution à ladétermination du besoin des sols en acide
phosphorique »,Ann.Agron., 1955,233-299.
[8] Chang S.C. et Jackson M.L., « Fractionation ofsoil phosphorus »,Soil Sc., 1957,84,133-144.
[9] Dabin B., « Application des dosages
automatiques à l’analyse des sols » 3e partie,Cah.
ORSTOM, sér.Pédologie, 1967,vol.3, 257-286.
[10] Mehlich,A. a. Influence of fluoride, sulfate andacidity on extractable phosphorus, calcium,magnesium and potassium.Comm.SoilSci.Plant
Anal. 1978, 9:455-476.
[11] Roche P., Griere L., Babre D Calbah et
Fallavier P., Le phosphore dans les solsintertropicaux : appréciation des niveaux decarence et des besoins en phosphore, Inst.
Mondial du Phosphate, publ.scient.n°2, Prais,
1980.
[12] Oslen S.R. et Sommers C.E., « Phosphorus » in
Methods of Soil Analysis, Part 2 Chemical andMicrobiological Properties, Sec.édition.Page
A.L.,Miller R.H. et Keeny D.R. éd.,Agronomy
n°9,Madison,USA,1982, 403-430.
[13] Fardeau J.C., Biodisponibilité du phosphoredans les sols, les déchets et les Sédiments: desapproches isotopiques, Com. Séance thématique
AFES,6 mars 1997,Paris INA.
[14] Bingham F. T. Chemical tests for available
phosphorus. Soil Sci. 1962, 94, 87-95.
[15] Admont P. H., Boniface R., Fardeau J. C., JahielM., Morel C., Quelques observations sur lesméthodes actuelles du dosage du phosphore
assimilable des sols. Applications à l’étude de lavaleur fertilisante des phosphates naturels. C.R.
Acad. Agri. Fr., 1986, 72, 1, 69-79.
[16] Kuo, S. Phosphorus. In D.L. Sparks. (ed.).
Methods of Soil Analysis: Part 3- Chemical
Methods. SSSA, Madison, WI, 1996, p. 869919.

PERSPECTIVES
The results obtained by the chemical comparison
only are not enough to evaluate the efficiency andthe reliability of the chosen method and judge theavailability of P. This work is the second part of astudy made about the status of phosphorus in thesoils of Morocco. Its target is to compare theefficiency of this method of analyzing the available
P in order to predict the increase of the yield andsampling of the phosphorus by the plant (chickpea).
It also aims at measuring the importance of thechemical and physical characteristics of the studied
soils, particularly the content of free iron andaluminum, texture, pH, exchangeable calcium, theform of P dominating the extraction of P, the yieldand the sampling of this component by the chickpea.
The plant to be studied is the chickpea because of
its important needs of phosphorus and shortvegetative cycle. The adopted experimental protocol
is a device of complete randomized blocks withthree repetitions. The Observations are : Evolutionof the dry matter in the growth cycle, yield andamount of the P sampled by the plant.
It is necessary to make sure that, under a given
weather, in a given soil, this SM-P provides resultsthat are in correlation with the cultural behavior of
the soils and the response to the phosphatic
fertilizers.
REFERENCES.
[1] Gachon L. & Triboi E. Fiabilité et limites dudiagnostic de la fertilité phosphatée des solsétabli à partir du phosphore isotopiquement
diluable et pouvoir fixateur. C.R Acad. Ag,.ic.Fr.
1979, 13: 981-988.
849

SEE-Osaka, Japan, Nov. 21-23, 2016[17] Maghanga K.Justin et al., Comparison of soil
phosphorus extraction by Olsen and double acid
methods in acid soils of western Kenya., East
African Journal of Pure and applied Sciences
2012, Vol.2(1):1-5[18] Fixen, P.E. and J.H. Grove. Testing soils forphosphorus.In R.L. Westerman (ed.) Soil
Testing and Plant Analysis. SSSA, Madison, WI.
1990. p. 141-180[19] Kuo, S. Phosphorus.In D.L. Sparks. (ed.).
Methods of Soil Analysis: Part 3- Chemical
Methods. SSSA, Madison, WI. 1996, p. 869919.
[20] Olsen, S.R., C.V. Cole, F.S. Watanabe, and L.A.
Dean. Estimation of available phosphorus insoils by extraction with sodium bicarbonate.
USDA Circular 939. U.S. Government Printing
Office, Washington D.C. 1954.
[21] M. R. Maghsoodi, A. Reyhanitabar, N. Najafi
Development of an alternative to the Olsen testfor determining corn plant-available phosphorus
in calcareous soils. Iran Iran Agricultural
Research, 2015, 34(1) 92-104.

850

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

BIOGEOCHEMICAL FEATURES OF CHEMICAL ELEMENTS
ACCUMULATION IN THE ECOSYSTEM OF LAKE ILMENSKOE
Tatyana G. Krupnova, Irina V. Mashkova, Anastasiya M. Kostryukova, Egor V. Artyukov
Chemistry Department, South Ural State University, Russia
ABSTRACTIn the present study Mg, Al, Si, P, S, Cl, K, Ca, Mn, Fe, Zn, Ag, Sr contents were determined by X-ray
fluorescence analysis in sediments and organisms of Contectiana listeri and Potamogeton lucens L. of Lake
Ilmenskoe located on the territory of the Ilmen State Reserve (South Ural, Russia). It was shown thatmicroelements-rich sapropels are formed in the Lake Ilmenskoe. The Lake Ilmenskoe is free of anthropogenic
impact and may be regarded as models while assessing the lakes under anthropogenic impact. The averageelement composition of macrophytes, gastropod shells and muscles, sapropel and sandy sediment were comparedwith the clarkes of elements in the continental crust with a preliminary aluminium rating, aluminium being theleast fluent and abiogenic element of the system ‘sediment – hydrobiont’. Sapropel was particular rich in
microelements in comparison with sandy sediments. Study is shown that most elements are accumulated inaquatic organisms. Contectiana listeri and Potamogeton lucens L. may be considered as geochemical barriers.
They can be used as biomonitors. We found out that low-iron, low-calcium, low-ash sapropel was forming in
Lake Ilmenskoe.
Keywords: Sediment, Sapropel, Gastropod, Macrophyte, Bioindication

impact [21]–[23].
The Ilmen State Reserve is situated in the central
part of Chelyabinsk region near the town of Miass.
There are 30 lakes in its territory. The lakes of theReserve that are free of anthropogenic impact may
be regarded as models while assessing the lakes
under anthropogenic impact. For the study we chosethe Lake Ilmenskoe, it is located on the territory of
the reserve. It has tectonic origin and a small area,
which is typical for lakes of the South Urals.
Previous studies of Lake Ilmenskoe are shownthat the dominant species of gastropods andmacrophytes
areContectiana
listeriandPotamogeton lucens L., respectively [24]. We also
started to study chemical composition of gastropod
shells and muscles [25].
The aim of the research is to study chemicalcomposition of sediments and organisms ofContectiana listeri and Potamogeton lucens L. of
Lake Ilmenskoe and to investigate their potential use
in biomonitoring.

INTRODUCTION
Sediments and hydrobionts interact with lakewater and soluble constituents in such a manner thatthey give many unique insights into limnologicalprocesses.
Sediment
informationuse
forunderstanding water quality into lake monitoring
and assessment programmes [1], [2].
Environment
comprehensively
impactshydrobionts, gastropods in particular. Each region
has its own distinctions caused not only by thefactors of nature and geography, climate andmeteorology, and other similar factors to whichhydrobionts adapt, but also by anthropogenic ones
that are closely connected with environmental
pollution [3], [4]. Due to the natural andanthropogenic factors complex geo-chemicalelement associations are forming in gastropod shells
and muscles. As a result it may change organism
functions, and exhaust adaptive resources [5]–[8].
It is well known that gastropods are long-lived
mollusks that are sensitive to water- and bedsediment quality [9]–[11]. Many laboratory studies
have documented freshwater gastropods' sensitivity
to water and sediment contaminants that include
dissolved metals [12]–[15].
Macrophytes are also important as indicators ofwater quality, water bodies eutrophication andpollution [16]–[18]. Aquatic macrophytes [19], [20]play an important role in the formation of sediments.
The results on macro and microelement compositionof water plants can be used to assess xenobiotics
presence in waterbodies under anthropogenic

METHODS
Study area
The Ilmen State Reserve is a state nature reserve.
In 1920 Ilmen mountains were declared
mineralogical reserve. It is one of the first nature
reserves created in Russia. Today it is a nature
protecting, scientific and researching institution.
Specialists protect animals from extinction. There
are some rare spices of animals and plants registered851

SEE-Osaka, Japan, Nov. 21-23, 2016

in the Red Book.
Lake Ilmenskoe belongs to the Karshydrographic basin (Ob basin of the Arctic ocean). It
has a flow in a system of rivers Miass – Iset – Tobol– Irtish – Ob. Lake Ilmen runs in the foothills of theSouth taiga landscapes of the gray forest soils which
are covered with pine-birch forests with anadmixture of small-leaved breeds such as an aspen,
an alder, a linden. Lake Ilmenskoe is of tectonic
origin (surface area: 4.56 km², water volume:
14.6 km3, max. depth: 6.1 m, average depth: 3.0),
and is located at an altitude of 331.4 m a.s.l.
The sampling was carried out during thevegetation period in June-July 2015 in 7 stations
distributed along the entire Lake Ilmenskoe
perimeter (Fig. 1). The coordinates of the samplingstations are: site 1 – 54°59'40.48" N, 60° 9'44.35" E;site 2 – 54°59'45.33" N, 60° 9'49.57" E; site 3 – 55°
0'3.23" N, 60° 9'47.11" E; site 4 – 55° 0'17.20" N,
60° 9'56.03" E; site 5 – 55° 0'51.95" N, 60°
9'9.17" E; site 6 – 55° 1'2.40"N, 60° 8'53.64" E; site
7 – 55° 1'13.31" N, 60° 8'3.24" E.

Europe but not accepted by current European
malacological taxonomy. So, in this work wedetermined it as Contectiana listeri.
Contectiana listeri was collected using thehydraulic arm. Also manual collection along thelakesides was used. Samples were washed on a 1
mm mesh sieve. Live mature individual gastropods
were collected at all sites. Snails ≥20 mm were
defined as matures.
Potamogeton lucens L. was hand picked from the
freshwater habitat. The plant material was washedthoroughly using water from the sampling sites andwas then freed of any adhering material.
Sediment samples were collected from all thesites. Sediment was collected from relatively slowmoving water near physically adequate gastropod
habitat consisting of riffle/run complexes withrelatively stable gravel sized particles. Eachcomposite sample contained 3 subsamples collected
within an approximately 1 m2 area, from water lessthan 15 cm deep. Collected subsamples were
deposited into a high density polyethylene (HDPE)
mixing vessel using a plastic scoop. Approximately
0.5 kg of sediment was collected at each location.
Sample analysis

Fig. 1

Samples were collected for verification by X-ray
fluorescence (XRF) analytical results.
The gastropods were boiled and separated. The
muscles (soft tissue) were removed from eachgastropod.
Macrophytes, sediment, shells and muscles were
washed and dried. Air-dry samples were ashed at
550°C for five hours. Ashed samples were ground ina mortar. The finely ground rock powder, mixed
with a small amount of polyvinyl alcohol dissolvedin water, were compressed using a hydraulic press
into a pellet.
XRF patterns were registered in the lab of Center
for Nanotechnology at South Ural State University.
Rigaku SuperMini200 XRF Spectrometer was used
for XRF analysis. The relative standard results
deviation was not more than 5 %.
Organic matter content was calculated then as
the difference in weight between the sample dried at
60ºC and the ash created following ignition at 550ºC
within a high temperature muffle furnace
All physico-chemical water parameters were
measured in the lab of the Department of Chemistryof South Ural State University according to thestandard methods [25].

Map of Lake Ilmenskoe and location of thesampling stations.

Sample collection
In this work, we used the taxonomic system ofgastropods developed by Y. I. Starobogatov’s school,
which is followed by Russian malacologists.
Contectiana listeri (Forbes et Hanley, 1849) (=Viviparus contectus auct.) is a species of a large,
freshwater snail with an operculum and a gill, anaquatic gastropod mollusk of Viviparidae family.
However, it has been found that the waterbodies ofSouth Ural are inhabited by another viviparous
species, which has slight, but consistentconchological differences from Contectiana listeri.
Starobogatov [26]. Vinarski [27] determined it asContectiana fennica, but this suggestion should be
confirmed by examining the type material of thespecies that have been described from Eastern

RESULTS AND DISCUSSION
Lake Ilmenskoe is a freshwater, salinity
114...123 mg/l. The lake belongs to the bicarbonate
type, calcium group.

852

SEE-Osaka, Japan, Nov. 21-23, 2016

Fig. 2. The abundance coefficients (EF): 1 – gastropod muscles; 2 – gastropod shells; 3 – macrophytes; 4 –sapropels; 5 – sandy sediments of Lake Ilmenskoe. The rating was done with Al and clarkes of thecontinental crust.
Lake’s waters are slightly alkaline with pH of
8.16...8.88. Waters have high levels of oxygen
saturation from 76.2 to 98.6 % .
In two stations there were sandy sediments(organic matter content 5.1%, SiO 2 58.5–70.1 %,Al 2 O 3 9.9–11.4%). In five stations we found silty
sediments (organic matter content – 40.6%, SiO 2 –0.4–1.8 %, Al 2 O 3 – 0.2–0.6 %). According to Korda,
silty sediments may be referred to sapropels [28].
Sapropels are organic rich lake sediments formed
from aquatic plants, plankton and benthic organisms
and transformed under influence of bacteria.
Formation of sediments with high organic matter
content (over 15%) is typical of freshwater lakes ofSouth Urals [28].
Organic matter content of Contectiana listeri
shells and muscles was 6.3% and 89.8%,
respectively. Potamogeton lucens contained 0.5% oforganic matter.
The
averageelement
compositionofmacrophytes, gastropod shells and muscles, sapropeland sandy sediment were compared with the clarkes
of elements in the continental crust [29] with apreliminary aluminium rating, aluminium being theleast fluent and abiogenic element of the system“sediment – hydrobiont”, according to Eq. 1 [30]:( x i / x Al ) Sample
EF =
,
(1)
( x i / x Al ) ACC

comparison with sandy sediments, the abundance
coefficient of which is close to 1.
Magnesium is found in gastropod muscles (it is
not accumulated in shells) and macrophytes, as it isa part of chlorophyll pigment. Unlike in sandy
sediments magnesium abundance in hydrobionts wasmuch higher. There was no magnesium in sapropels.
It should be noted that small Mg abundance in sandy
sediments may be partly explained by carbonates as
they have magnesium (magnesian calcite MgCaCO 3 ) in their composition.
Cuprum, zink and argentum were found to be
extremely abundant in sapropels and gastropods. It
is associated with high cuprum and zinkconcentration in the water. We didn’t study thepresence of argentum in the lake, but there is a 80meter-deep well of artesian water rich in Ag. So we
may assume that Ag gets into the lake fromunderground. Hydrobionts are the geochemicalreservoirs of these elements. Gastropods actively
accumulate Ag, Cu, Zn and it may be connectedwith their feeding habits. Gastropods are
detritophages whose food is primarily silty mass.
The largest cuprum concentration was insapropels and muscles of Contectiana listeri, as
Cuprum is a part of respiratory pigments ofgastropods. Zink activates ferments in hydrobionts.
Cuprum and zink accumulation is associated withphysiological processes in living organisms.
Sulfur, phosphorus and chlorine prevailed in
gastropod muscles and in sapropels where they havean autochtonous origin, i.e. they are accumulated byplants and with plants withered away they get into
the silt.
Mangan abundance coefficient was high, with its
most concentration in plants. There is a lodeamazonite pegmatite mine on the lakeside. Itsdistinguishing feature is a great amount of helvinewith Mangan concentration of 35 % [31].

x iSample is the abundance of i-element in the
researched object; x АlSample - the abundance ofaluminium; x iACC – the abundance of i-element in thecontinental crust; x АlACC sample – the abundance ofaluminium in the continental crust.
Figure 2 illustrates the chemical element
abundance coefficients of different researchedobjects.
Sapropel was particular rich in microelements in
853

SEE-Osaka, Japan, Nov. 21-23, 2016

Table 1. Oxides in sandy sediments, sapropels, macrophytes, gastropod shells and muscles of Lake Ilmenskoe(average data in all the points, in % in ash)
Oxide
MgO
Al 2 O 3
SiO 2
P2O5
SO 3
Cl
K2O
CaO
MnO
Fe 2 O 3
CuO
ZnO
Ag 2 O
SrO

Sandy
sediments
0.58
10.68
64.30
1.48
0.32
3.75
15.49
0.11
3.15
0.26

Sapropels

Gastropod
muscles
0.87
1.09
3.83
13.29
11.15
1.13
3.44
59.77
1.10
2.90
0.18
0.85
0.17
0.27

0.30
1.0
0.70
0.33
0.02
0.12
95.56
0.72
1.05
0.12
0.82
0.09
0.18

Due to this the water of Lake Ilmenskoe isgetting enriched with Mn accumulated byhydrobionts. In addition, there are literature data on
the increased content of Mn in the lakes of the South
Urals [32].
Calcium was accumulated by gastropod shells,
plants and sapropels. Gastropods were rich in
Ferrum, when they wither away, Fe is accumulated
in sapropels. Kalium was mainly accumulated inplants and gastropod muscles.
Silicon abundance coefficient of all the samples
was close to 1. This fact allows us to compare theabundance of different elements not only against
Alluminium but also against Silicon as we havedone in our previous research [25].
Strontium was particularly worth mentioning, it
was accumulated in sapropels, gastropod shells andshining pondweed. Stable strontium is known for its
insignificant value for animals and plants but it isalways present in them as a constant companion of
calcium partially replacing the latter. The Strontium
enrichment of the sediment is explained by the factthat this element is included in the composition ofcarbonates, in particular calcite and aragonite.
Strontium is likely to accumulate in hydrobionts of
the Ilmen State Reserve from water and silt where its
concentration is the highest.
In sandy sediments silicon oxide prevailed –64.3%, calcium oxide content was slightly higher
than 15% (see Table 1). The chemical compositionof sapropels (Table 1) was dominated by calciumoxide. Its content was to 95.5% in the organic part of
sediment. The content of silicon oxide (terrigenous
component) was much lower, around 1%. Thus,
sapropels were highly calcareous. It is associatedwith high phytoplankton production.
Two biological types of sapropels are now

Gastropod
shells
0.29
1.129
0.83
0.40
0.02
0.13
94.03
0.98
1.80
0.01
0.26

Macrophytes
2.59
2.20
3.73
1.95
2.54
1.99
11.79
31.30
34.55
2.07
0.14
0.13
0.68
0.45

known to be forming in small lakes of Ural region.
They are plankton-genetic with plankton being themain producer of organic substance; andmacrophyte-genetic with macrophytes as the main
producer of organic substance of sapropel. Thus, we
can assume that sapropel of Lake Ilmenskoe isprimarily plankton-genetic, but we can’t exclude thesapropel dual character because of the element
accumulation both in macrophytes and sapropels.
CONCLUSION
The results of the analysis carried out in thisresearch show that sapropels are formed in Lake
Ilmenskoe.
Thedistinguishinggeochemical
characteristic of the sapropel in the lake is highcarbonate content.
It should be conclusions that hydrobionts arenatural geochemical reservoirs of metals and may beconsidered as geochemical barriers. The given
research is of an exceptional importance as baseline.
The elemental composition data received may befurther used in bio-indication study of South Ural
lakes.
ACKNOWLEDGEMENTS
The authors wish to thank D. Uchaev (ERC
Nanotechnology, SUSU) for XRF quantification
measurements.
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Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

ECOLOGICAL RESTORATION OF LAKE UVILDY, RUSSIA: SHORTTERM BIENNIAL STUDY
Irina V. Mashkova, Tatyana G. Krupnova, Anastasiya M. Kostryukova, Elena E. Shchelkanova
Chemistry Department, South Ural State University, Russia

ABSTRACT
Lake Uvildy is situated in the North of Chelyabinsk region. Lake Uvildy is one of the largest and the mostunique of South Ural’s lakes. In 1975-1977 the drought occurred and water supplies dried up in South Ural. 234
million cubic meters were moved from the Uvildy lake in Argazi reservoir, which was a source of water supplyof the Chelyabinsk city. The lake’s water level fell by more than 4 meters. Only in 2008 the water level returnedto the previous position, but riparian vegetation was flooded. In July 2014 we carried out an ecological survey ofthe lake in five sites. We discovered submerged tree and shrub vegetation at 50-70 meters from the bank.
Chemical analysis of water revealed the accumulation of organic substances and the transition of nitrogen from
nitrate to nitrite and ammonia, of sulfur from sulfate to sulfite and hydrogen sulphide, of carbon to methane. We
found blue-green algae (Microcystis, Anabaena, Oscillatoria) in all the sites. It indicates the beginning of water
eutrophication. We proposed a new method of ecological restoration of the lake. In August 2014 we cleaned thebottom of the lake in two research points with a special innovative bottom-cleaning machine working both as apump and a crusher. The research in summer 2015 showed that the water quality had significantly improved andthe process of eutrophication had stopped in the points where the bottom was cleaned. Works on the lake
trophicity will be continued.
Keywords: Ecological Restoration, Eutrophication, Lake, Water Quality

the device for mechanical cleaning of the lakebottom at the coast.

INTRODUCTION
Lakes are complex ecosystems able to restore
and clean themselves. Lake ecosystem is developing
very slowly from oligotrophic stage to eutrophic or
dystrophic [1]. Nowadays the study of lake
evolution to forecast the change in lake trophicity inprospect is of much interest [2]–[4].
Natural eutrophication increases if a lake issubject to human made load. Different
characteristics are used to assess the previous andcurrent environmental condition of eutrophic lake
under human made impact, e.g. phytoplankton
data [5].
There are two basic types of restoration methods
relative to eutrophication [6]. The first type ismeasure which decrease phosphorus availability(increased bottom up control), it is sediment removal,
hypolimnetic oxygenation and alum treatment. The
second type is measure which increase thezooplankton grazing on phytoplankton (increased
top-down control), it is pike stocking and removal
zooplankti-benthivorous fish.
The method of lake biomanipulation is now
widespread in Europe. The sustainability of thepositive effects of biomanipulation has been
considered over a decade. But there are cases offailures [6].
The aim of this research was to study theenvironmental condition of lake Uvildy and to test

METHODS
Study Area
Lake Uvildy is a typically tectonic lake in a deep
piedmont fault. Its catchment area and water surface
are 209 and 69 m2 respectively [2]. Its length is
13.5 km, its maximum width is 9 km. The average
depth of the lake is 15.6 m. The maximum depth
measured by echometer is 37 m. The volume of thelake is near 1 km3. The coasts are considerably
fringed by peninsulas and bays. The coastline of thelake is 117 km.
In the forests around the lake there are manysmall boggy brooks, springs, bogs, especially in the
North-West of the lake catchment area where tworivers Cheremshanka and Kosaya flow from lowmountain foothills and vanish in the bogs near lake
Uvildy. Water catchment area is in the borderline
between two natural zones.
Sample collection
The sampling was carried out during thevegetation period in July 2014 in 5 sites in the
North-West and North-East of lake Uvildy (Fig. 1).

857

SEE-Osaka, Japan, Nov. 21-23, 2016

Fig. 1

KSL-111, Semico Ltd, Russia, Novosibirsk) Air
temperature was determined with a mercury
thermometer. Oxygen saturation (P, %) was
calculated.
At each site, water samples were also collected
for further laboratory analysis including redox
potential (Eh), nitrate–nitrogen (NO 3 –), nitrite–
nitrogen (NO 2 –), ammonium–nitrogen (NH 4 +),orthophosphate-phosphorus (PO 4 3–), sulfate–sulfur(SO 4 2–), hydrogen sulfide–sulfur (H 2 S), chlorides(Cl–), sodium (Na+), potassium (K+ ), total hardness(H), calcium hardness (Са2+), bicarbonates (HCO 3 –),carbon dioxide (CO 2 ), permanganate oxidability([O]), total iron (Fe). All these parameters were
measured in the lab of the Department of Chemistryof South Ural State University according to thestandard methods [8]. For spectrophotometricanalysis the Spectrophotometer KFK-3 was used.
Dissolved CO 2 concentrations were determined by
calculating from pH and alkalinity, measured bytitration with 0.1 N HCl to an end point pH of 3.5.

Lake Uvildy and sampling sites.

The coordinates of the sampling sites: site 1 –55°32'9.13" N, 60°25'34.05" E, site 2 – 55°31'47.91"
N, 60°26'50.46" E, site 3 – 55°31'41.29" N,
60°29'58.96" E, site 4 – 55°31'47.42" N,
60°33'38.89" E, site 5 – 55°32'55.95" N,
60°31'54.10" E.
Lake Uvildy is one of the largest lakes of South
Ural. In 1974–1978 South Ural was experiencing asevere drought. To tackle a water shortage problem,
there was built a channel, through which more than
one third of the lake water volume was carried overto Argazinskoye Reservoir. The water level of thelake fell by 4 meters eventually, and most of thecoastal areas became outcropped [7]. The waterlevel started to rise only 20 years later, in 1999, andit resulted in a significant transformation of coast
geosystem. Birch forest grown in the drainage zones
became flooded together with developing soil. It led
to eutrophication in the coastal areas [7]. In 2014
five sites with the highest degree of eutrophication
were selected, and their physicochemical andmicrobiological characteristics were studied. Afterthat in 2015 the lake was cleaned in two sites and thewater of these sites was probed.
At each site the samples of a known volume
subsurface (5–40 cm) water were taken with a 10 L
bucket and then filtered through a plankton net(mesh size: 100 µm). The retained organisms weretransferred into glass containers. The collectedmaterial was preserved in 5 % formalin.

Phyto and zooplankton analysis
Non-diatom algae were analyzed using a 0.1 mL
counting chamberat a magnification of 600× (Altami
BIO 2T microscope, Altami Ltd, Russia, St.
Petersburg.). Permanent diatom slides were preparedafter oxidizing the organic material (by nitric acidand sulfuric acid) and a minimum of 300 valves
were counted for each sample using a Altami BIO
2T microscope at 1000× under oil immersion.
Species were identiﬁed using the handbooks by
Yarushina et al [9]. Eco-geographical characteristics
of species were made using the handbooks by
Barinova [10].
RESULTS AND DISCUSSION
Submerged trees and shrubs at 50-70 m from thecoast were visually determined (Fig. 2). Organic
pollutants in water were formed due to the trees andshrubs decay. There was a significant reduction ofdissolved oxygen (DO) concentration and higher
values of oxidation ([O]).

Water Quality Analysis
The following instream parameters including pH,
dissolved oxygen (DO), and water temperature (WT)
were measured in situ by a Portable Meter (Multitest
IPL-513, Semico Ltd, Russia, Novosibirsk).
Conductivity (COND) and salinity (SALIN) were
measured in situ by a Portable Meter (Multitest

Fig. 2 Submerged trees and shrubs.
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SEE-Osaka, Japan, Nov. 21-23, 2016

Table 1 shows the results of physicochemical
analysis of water in the sampling sites.

The study of phytoplankton of the waterbody in
2005–2006 revealed [11] diatoms (Bacillariophyta,
42 %) as a dominant algal group, green algae(Chlorophyta, 31 %) as the second in species
diversity, and blue-green algae (Cyanophyta)
accounted only for 10 %.
But new species of
Cyanophyta were identified, and that became an
unfavourable sign for interannual dynamics ofspecies diversity.
The study of phytoplankton species diversity of2014 showed that diatoms had kept their dominantposition. They accounted for 42 % of the total
number of species. Blue-green algae became secondin species diversity, which corresponds to 39 % of
the total number of species [12]. It may be explainedby the presence of phosphorous and nitrogencompounds in water [13]. The blue-greens weremainly represented by Anabaena lemmermannii,
Microcystis aeruginosa and Anabaena flos-aquae.
The most abundant diatoms were the most numerous
representatives of Fragilaria crotonensis andAsterionella formosa. Blue-green algae species(Microcystis, Anabaena, Oscillatoria) evolved on
the surface of the lake. The waterbody trophic state
was characterized as mesotrophic.
The decay of lots of submerged organic matterand the following die-away of water plants rapidly
growing on that soil during the first years offlooding led to bogging of the lake coast (Fig. 3). At
these sites trophic status develops into eutrophic.

Table 1 Physico-chemical parameters
Chemicalparameters
TW, °C
DO,
mgO/l
P, %
рН
Eh, mVCOND,
mS/m
SALIN,
mg/l
NH 4 +,
mg/l
NO 3 –,
mg/l
NO 2 –,
mg/l
SO 4 2–,mg/l
H 2 S,mg/l
РО 4 3–,mg/l
CO 2 ,
mg/l
Cl–, mg/l
Na+, mg/l
K+, mg/l
НCO 3 –,
mmol/lH,
mmol/lСа2+,
mmol/lMg2+,
mmol/lFe, mg/l
[O]

Site
1

Site
2

Site
3

Site
4

Site
5

20

18.4

19

20

20

3.12

4.55

3.9

3.4

2.95

34.6
8.712
259.1

48.8
8.751
251.1

42.3
8.860
257.5

37.7
8.896
256.0

32.7
8.950
238.2

36.1

36.59

34.86

35.94

35.71

192.3

194.9

185.5

191.4

190.1

0.54

0.70

0.96

0.95

0.75

0.24

0.28

0.51

0.51

0.34

0.005

0.006

0.008

0.006

0.005

32.8

25.6

25.2

28.4

33.1

0.05

0.05

0.08

0.06

0.09

0.002

0.002

0.04

0.10

0.300

3.5

3.8

4.2

4.2

4.5

32
13.87
0.80

32
12.08
0.70

37
12.08
0.80

32
12.08
0.695

32
13.9
0.80

3.6

3.4

3.6

3.3

3.3

4.8

4.8

5

5

4.9

1.9

1.8

1.8

1.9

1.8

2.9

3

3.2

3.1

3.1

0.02
8

0.05
8.0

0.06
15

0.03
10.5

0.07
11.0

Fig. 3

Boggy site.

In August 2014 at sites 1 and 2 the bottom wasmechanically cleaned from the sediments containing
thick roots of trees and shrubs remains. A special
device was used in cleaning [14].
In July 2015 physico-chemical parameters ofwater at these sites were analyzed (Table 2).
The analysis results prove water pollution
decrease after the use of the device. The oxidation of
the lake self-purification is getting more intense, as
the analysis showed. Organic pollutants andbiogenic elements concentration has substantially

The proportion of different forms of Nitrogen
showed the transition of nitrate form into ammonium.
Dissolving of organic matters in water results in theaccumulation of carbon dioxide and transformationof sulfates into hydrogen sulphide. According todifferent criteria water pollution at these sites varies
from polluted to dirty.

859

SEE-Osaka, Japan, Nov. 21-23, 2016

declined. Dissolved oxygen concentration has
increased. According to different criteria watercondition at these sites varies from clean tomoderately polluted.

Restoration of lakes, streams, floodplains, andbogs in Europe. Principles and case studies, Part2, Eiseltova, Ed. London New York: Springer,
2010. pp. 25–35.
[2] Izmest'eva LR, Moore MV, Hampton SE,
Ferwerda CJ, Gray DK, Woo KH, Pislegina HV,
Krashchuk LS, Shimaraeva SV, Silow EA,“Lake-wide physical and biological trends
associated with warming in Lake Baikal”,
Journal of Great Lakes Research, Vol. 48, 2016,
pp. 6–17.
[3] Mitraki C, Crisman TL, Zalidis G, “Lake
Koronia, Greece: Shift from autotrophy toheterotrophy with cultural eutrophication andprogressive water-level reduction”, Limnologica– Ecology and Management of Inland Waters,Vol. 34, 2004, pp. 110–116.
[4] Chen X, Yang X, Dong X, Liu E,“Environmental changes in Chaohu Lake(southeast, China) since the mid 20th century:
The interactive impacts of nutrients, hydrology
and climate”, Limnologica – Ecology andManagement of Inland Waters, Vol. 43, 2013, pp.
10–17.
[5] Allinger LE, Reavie ED, “The ecologicalhistory of Lake Erie as recorded by thephytoplankton community”, Journal of Great
Lakes Research, Vol. 39, 2013, pp. 365–382.
[6] Søndergaard M, Jeppesen E, Lauridsen TL,
Skov C, Van Nes EH, Roijackers R, Lammens E,
Portielje RE, “Lake restoration: Successes,
failures and long-term effects”, Journal ofApplied Ecology, Vol. 44, 2007, pp. 1095–1105.
[7] Deryagin VV, Belov SA, “Geoecologicalfeatures differentiating the coastal landscape andrecreational areas of Lake Uvildy”, Bulletin of
the Tomsk State University, Vol. 333, 2010,
pp. 172–176.
[8] Mashkova IV, Krupnova TG, Kostryukova AM,“Water quality and aquatic macrophytesinterrelationships for selected reserved lakes ofSouth Ural”, in Proc. 15th Int. GeoConf. SGEM
2015, 2015, Book 3, Vol. 1, pp. 763-770.
[9] Yarushina MI, Tanaeva GV, Eremkina TV,
Algae flora of water bodies of the Chelyabinsk
region. Ekaterinburg: INSS Ural branch of
Russian Academy of Sciences, 2004, pp. 50–290.
[10] Barinova SS, Medvedeva LA, Anisimova OV,
Biodiversity of algae – indicators of theenvironment. Tel Aviv, Pilies Studio, 2006, ch. 2.
[11] Snitko LV, Snitko VP, “Water EPNT: A
Comparison of the state of phytoplankton Uvildy
and Turgoyak lakes at the end of the modern
high-water hydrological cycle in the South
Urals”, Bulletin of the Chelyabinsk State
University, Vol. 5, 2011, pp. 105–109.
[12] Kostryukova AM, Krupnova TG, Mashkova IV,“Phytoplankton taxonomic structure as indicatorof the trophic status and ecological state ofTable 2 Physico-chemical parameters
Codes of chemicalparameters
TW, °C
DO, mgO/l
P, %рНEh, mV
COND, mS/m
SALIN, mg/l
NH 4 +, mg/l
NO 3 –, mg/l
NO 2 –, mg/l
SO 4 2–, mg/l
H 2 S, mg/l
РО 4 3–, mg/l
CO 2 , mg/l
Cl–, mg/l
Na+, mg/l
K+, mg/l
НCO 3 –, mmol/l
H, mmol/lСа2+, mmol/l
Mg2+, mmol/l
Fe, mg/l[O]

Site 2Site 2

20
7.36
81.6
8.031
259.1
36.1
192.3
0.15
0.78
0.006
5.26
0
0.002
2.2
32
13.87
0.80
3.1
4.8
1.9
2.9
0.013
6

20
7.52
83.4
8.074
251.1
36.59
194.9
0.17
2.15
0.006
5.87
0
0.002
1.9
32
12.08
0.70
3.0
4.9
1.9
3.0
0.024
6.8

CONCLUSION
Water eco-system abuse as a result of humanmade impact and inefficient water management is
one of the most crucial problems today.
The paper considers aggravation of Lake Uvildy
trophic status after one third of the lake water
volume was carried over, and water level increased
later and flooded birch forest that had grown in thedrainage zone.
The use of the device for mechanical cleaning ofcoasts from trees and shrubs remains gave positive
results. We suggest using the device for further
cleaning of the lake.
ACKNOWLEDGEMENTS
The authors thank Genadiy Sidorov for his
assistance in the field.
REFERENCES[1] Björk S, The Evolution of Lakes and Wetlands,
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SEE-Osaka, Japan, Nov. 21-23, 2016

Uvildi lake”, in Proc. 15th Int. GeoConf. SGEM
2015, 2015, Book 3, Vol. 1, pp. 501-508.
[13] Kane DD, Conroy JD, Richards RP, Baker DB,
Culver DA, “Re-eutrophication of Lake Erie:
Correlations between tributary nutrient loads andphytoplankton biomass”, Journal of Great Lakes

Research, Vol. 40, 2014, pp. 496–501.
[14] Sidorov GF, Valeev RK, “Apparatus forcleaning the bottom of the reservoir”, Patent,
135331, issued date December 10, 2013.

861

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

SOCIO-ENVIRONMENTAL MEASUREMENT FOR TOURISTSERVICE EXPERIENCE
Boo Ho Voon1, Jamil Hamali2, Patricia Melvin Jussem3, Ai Kiat Teo4, and Agnes Kanyan5
1, 2, 5
3

Faculty of Business Management, Universiti Teknologi MARA, Malaysia;
Faculty of Tourism and Hospitality, Universiti Teknologi MARA, Malaysia;
4
Sekolah Menengah Kerajaan DPHA Gapor, Kuching, Malaysia.

ABSTRACT
Culture, adventure and nature (CAN) have been recognized as the critical components of eco-tourism
products for tourism-friendly nations like Malaysia. Many tourists have enjoyed the social and environmental
aspects of the various tourist destinations and there are also tourists who are not very happy with certain aspectsof their experiences. This research investigated the tourists’ experiences with the homestay programmes using
qualitative and quantitative techniques, namely the focus groups and questionnaire survey to discover theirexperiences and thereafter developed a multi-item measurement. Responses of 330 sampled respondents wereanalyzed. A total of nine dimensions were found and the measurement fit indices of these socio-environmental
measurement was satisfactory. The socio-environmental issues included culture, guiding, accommodation,
services, food and beverages, journey, natural environment, access and cleanliness. The homestay service
environment indeed must be holistic and sustainable to create the memorable and delightful tourist experience.
Implications and future research were also discussed for continuous improvement of the environment-driven
performance measurement and management process.
Keywords: Socio-environmental, Measurement, Homestay, Experience.

INTRODUCTION

LITERATURE REVIEWThe social and natural aspects of the tourist
destinations are essential to attract and maintain thecritical mass of tourists for sustainable eco-tourism
development for handsome socio-economic benefits
for the multiple stakeholders. As such, tourism
products such as homestays, tend to capitalise on
these aspects to create memorable tourist experience.
Undoubtedly, the contribution of tourism involves
community, well-being of people, creating job,
distributing income and sustaining regional
development [1]. Specifically, the eco-tourism andcultural-tourism are well-manifested in the homestay
programmes and these programmes are potential
income generators for the local communities (e.g.
Malays, Ibans, Bidayuhs, Kadazans, etc.). The
effectiveness and competitiveness of homestay
programmes if appropriately and systematicallygauged, managed and thereafter enhanced will bringmuch social and economic benefits to theparticipating individuals, families and communities.
This research explored and thereafter measured thetourist service experience for homestay tourism inthe multi-cultural Malaysia which is rich inbiodiversity, for sustainable development. The
qualitative (i.e., Focus Groups) and quantitative
process (Structural Equation Modeling with AMOS)
of developing the measurement cum management
tool were scientifically done to develop themarketing construct (e.g. [2], [3], [4], [5]).

The consistent and continual offerings of new
and beneficial services are critical in all service
industries. In fact, creating the desired authenticity[6] is crucial for customer delight. The public andprivate service organizations have to keep on
improving their service products and customer
service to gain very high levels of customer
satisfaction in order to create and sustain customer
loyalty for optimum profitability. Superior service iscommonly linked to increase profitability, and it isseen as providing an important competitive
advantage by generating repeat sales, positive wordof-mouth, constructive feedbacks, customer loyalty
and service differentiation. Services are the products
offered to the targeted customers and/or stakeholders
and have their unique nature as compared to goods[7]. It is normally characterized by intangibility,
inseparability, heterogeneity or variability, andperishability. Most services are intangible as they
are performances. The functionality and technicalaspects of the service also need to be understood [8]as the more contextual specific domains arenecessary to be managed to satisfy the technicalneeds of the customers (e.g. facility, homestay
packages, food and beverages).
Qin and Prybutok (2008) [9] suggested that
customers were influenced by the physicalenvironment, reliability of the service and attitude ofthe employees such as showing empathy to customer862

SEE-Osaka, Japan, Nov. 21-23, 2016

needs, being responsive, courteous, knowledgeable
and trustworthy.

and analyzed accordingly to generate the required
dimensions and their respective items forconstructing the survey instrument (i.e., structured
questionnaire).
The duly designed questionnaire was validated bya few experts in the field of services marketing andhospitality management and service management.
The refined questionnaire was used and the printed
sets of questionnaires were distributed to therespective respondents, selected through quota
sampling technique (controlled characteristics
include gender, age and types of tourist local/foreign), who participated in the survey
voluntarily. The tourists returned the duly answeredquestionnaires to the trained enumerator concernedat the respective homestay destinations. This was ananonymous survey where the respondents’ answers
would not be personally identified, to enhance thereliability and validity of the data. The collected
questionnaires
werecheckedandusablequestionnaires were then analyzed. Reliability andExploratory Factor Analysis (EFA) were done (e.g.
[16], [17, [5]) on the survey data to identify thedimensions of the tourist experience. Structural
equation model was developed to investigate theimpact on tourist satisfaction. The numerous
goodness of fit indices (e.g. CFI, GFI, RMSEA)
were used to confirm the goodness of the model [18].

Tourist Experience for Sustainable Homestays
Customer experience plays an important role inthe service sector, especially in the hedonic setting
such as the cultural- and people-driven tourism
sector. The very satisfied personal experiences of the
tourists will most probably lead to repeat purchasesfrom the same vendor (e.g. [10]). In fact, experiencein hospitality services has been regarded as acompetitive tool as well as a way to gain superior
service performance (e.g. [11], [12], [13], [14], [4]).
However, there should be greater emphasis on
empirical research of investigating the social andenvironmental aspects of customer experience forthe priority service sector such as homestay tourism.
The natural and engineered environments of the
tourist destinations as well as the acts of service
from the multiple stakeholders are instrumental tocreate favourable encounters and experiences. The
service experience concerns the emotional feelingsof the tourists during the service encounters.
Generally, the service encounters are tangible series
of interactions between the tourists and the service
environment. Emotions are inevitably contagious insocial situations [15] and social science researchers
tend to agree that the favourable service experiencecan effectively satisfy the customers and make themmore loyal to the services (e.g. [12], [9], [5], [14]).

FINDINGS AND DISCUSSIONSThe survey research obtained 330 usable
questionnaires for quantitative analysis. The
characteristics of the respondents are shown in Table
1. There were more female (53%) respondents who
participated in the survey and most of the
respondents were aged 21-30 years old. The
foreigners accounted for 7% and about 54% of the
respondents had bachelor degree holders. But, they
were from different walks of life (i.e., Students –48%, Government servants – 18.2%, Private sector –19.1%, Self-employed – 10.3% and Unemployed4.5%). About 81% of the respondents earned
RM3000 or less per month.
The results of EFA as shown in Table 1
suggested that there were nine dimensions of tourist
experience for the homestays that they recently
visited. The 9 dimensions could explain 64.1% of
the total variance and the main dimension was
Culture which contributed 36.7% of the total
variance explained. The other 8 dimensions and theirrespective variance explained were: Guiding (6.8%),
Accommodation (4.8%), Services (3.3%), Food andBeverages (2.9%), Journey (2.7%), Natural
Environment (2.5%), Accessibility (2.3%) and
Cleanliness (2.2%). As such, there were social andenvironmental components of the homestay
experience for the homestay operators to manage.

METHODOLOGYThis measurement-based fundamental research
aimed to identify the key dimensions for tourist
experience in homestay tourism. The research
employed both qualitative and quantitativetechniques. The qualitative phrase which involved
focus group interviews helped to capture the verysatisfied and very dissatisfied experiences of theindividual tourists. The main target population of thestudy was the tourists who had visited the homestay
establishments (e.g. villages, longhouses, homes) forthe past six months in Malaysia. The research started
with a relevant literature review on services
marketing and management, hospitality management,
and service quality theories and measurements inorder to identify the tentative critical dimensions forthe customer and service experiences (Figure 1).
This was followed by the focus groups and personal
interviews. Four focus group interviews wereconducted in different locations in Malaysia to
discuss the service and living experiences forexcellent
homestayservicedeliveryandmanagement. Each focus group interview consistedof 8-12 participants representing the various selectedgroups of customers (by age groups, gender andrace). All the group discussions were audio-taped863

SEE-Osaka, Japan, Nov. 21-23, 2016

These suggested that the homestay service
environment needed to be holistic in order to create
the memorable and delightful tourist experience.
Table 1: Dimensions of Tourist Service Experience
Dimensions and Items
Factpr(Total variance explained =64.1%)
Loadings
1. Culture (36.7%)
0.57
1. Fascinating traditional and customary practices.
2. Homestay cultural activities are very interesting.
0.57
3. Fascinated with the homestay architecture.
0.51
4. Enjoyed cultural activities organized by them.
0.54
5. Have opportunity to understand a new culture.
0.74
6. Enjoyed knowing the language of the people.
0.81
7. Have opportunity to learn their native language.
0.73
8. People of the homestay are special/unique.
0.52
9. Unique cultures for the homestay.
0.57
2. Guiding (6.8%)
0.67
10. Sufficient info. about the homestay before the trip.
11. Person in charge of the trip understands my needs.
0.72
12. Person who brings me there is friendly with me.
0.65
13. The person gives me individual attention.
0.71
14. The person is always willing to help me.
0.62
15. The person is knowledgeable about the homestay.
0.52
3. Accommodation (4.8%)
0.53
16. Enough bathroom/toilet to accommodate visitors.
17. Do not have to spend much for accommodation.
0.65
18. Sufficient electricity supply in the homestay.
0.68
19. Water supply is enough for visitor’s use.
0.66
20. Can go to the homestay conveniently.
0.53
4. Services (3.3%)
0.71
21. Good telecommunication services.
22. Tour guiding services are provided.
0.75
23. Good homestay packages/programmes available.
0.63
5. Food & Beverages (2.9%)
0.71
24. There are many choices of food and drinks.
25. Can get exotic (special) local food in homestay.
0.76
26. Can taste foods that I have never eaten before.
0.75
27. Can taste drinks that I have never drunk before.
0.74
28. I enjoyed the food that they served.
0.53
6. Journey (2.7%)
0.67
29. The journey to the homestay is enjoyable.
30. Enjoyed activities along the journey to homestay.
0.68
31. The visit to the homestay is memorable.
0.66
7. Natural Environment (2.5%)
0.69
32. Good nature trail(s) is/ are found near homestay.
33. Serenity (quietness) surrounding of homestay.
0.68
34. Restful and relaxing atmosphere at homestay.
0.71
8. Accessibility (2.3%)
0.71
35. Location of the homestay is easily found.
36. Homestay is accessible by right mode of transport.
0.67
37. Road condition along the journey is satisfactory.
0.67
9. Cleanliness (2.2%)
0.61
38. Clean environment surrounding homestay area.
39. Guestroom cleanliness is acceptable.
0.57
40. Food and drinks served are hygienic.
0.61
41. Bathroom and toilets are clean.
0.53

Fig. 1: Path Diagram for the Measurement Model
The 9 dimensions were significantly correlated
among them and their correlation coefficients range
from 0.38 to 0.72. These associations suggested
satisfactory validity of the measure. The convergent
and discriminant validities were exhibited. Besides,
the overall construct also related significantly (at 5%
level of significance) with the meaningful variables
namely tourist satisfaction (path coefficient, 0.78)
and behavioural intentions (0.24). The effect of
tourist satisfaction on behavioral intentions was 0.71.
This suggested an indirect effect (through tourist
satisfaction) of tourist service experience on
behavioural intentions.
The homestay programmes which could offer
multi-dimensional service experience (social andenvironmental aspects, socio-environmental) for thevisiting tourists should be managed and improved interms of the various dimensions in order to please
the tourists as well as for sustainable development
which would benefit the multi-stakeholders. The
social aspects would be very much people- andcultural-driven where human elements were
essential. Training on human relations and culturalconservations would be essential to improve andsustain the competencies and authenticity which thelocal and foreign tourists treasure for the uniqueexperiences. Besides, the components of service
environment which were essentially tangibles andhence to a great extent could be carefully engineered
and conserved, taking into consideration the humanA path diagram (Figure 1) was drawn and themeasurement modeling was done using the AMOS
software. The 9 dimensions indicated a satisfactorymodel fit and the indices (CFI=0.88, GFI=0.80,
TLI=0.87,
RMSEA=0.06)
wereconsidered
acceptable.

864

SEE-Osaka, Japan, Nov. 21-23, 2016

factors too. For instance, the accommodation,
natural environment, accessibility, and cleanlinessaspects could be engineered. The green engineering
can be instrumental to preserve, conserve andenhance the original and authentic naturalenvironment and biodiversity. The natural trails,
building architecture, cultural artifacts, road system
and landscape were among the homestay
destinations and journey aspects in which the civil,
electronic and electrical, ICT and human-factor
engineers could assist to improve and sustain. Whatthe homestays have and operators do would be
important in order to create delightful and authentic
experiences. Ultimately, the tourists must be verysatisfied as the findings indicated that the tourists
who had had very good experiences with thehomestays would then to be very satisfied, andthereafter would like to revisit or tell other people
about the homestay programmes and destinations.

the perspective of development plans. AsianSocial Science, 9(9), 11-18.
[2]Hair, J.F., Anderson, R, Tatham,R.L. &Black,W.C. (1995). Multivariate Data Analysis
with Readings, 4th Edition, NJ: Prentice HallInternational.
[3]Nunnally, J. C. & Bernstein, I. H. (1994).
Psychometric Theory, 3rd ed. New York:
McGraw-Hill, Inc.
[4]Voon, B.H. (2006). Linking a Service-Driven
Market Orientation to Service Quality. Managing
Service Quality, 16 (6), 595-619.
[5]Voon, B.H., Abdullah, F., Lee, N. & Kueh, K.
(2014). Developing a HospiSE scale for hospital
service excellence. International Journal of
Quality & Reliability Management, 31 (3), 261280.

CONCLUSIONS[6]Gilmore, J. H. & Pine II, B. J. (2007).
Authenticity – What Consumers Really Want,
Boston: Harvard Business School.

This empirical research suggested that tourist
service experience of homestay programmes was
multi-dimensional in nature. The homestay service
environment indeed must be holistic and sustainable
to create the memorable and delightful tourist
experience. The socio-environmental aspects
essentially required much attention from themultiple stakeholders for a more sustainable tourism
development and improved quality of life for thehomestay operators. The exploratory researchsuggested nine dimensions of experience for tourism
marketing and management. Ideally, the homestay
destinations should be a ‘living habitat’ though on atemporary basis. Future research can employ
relevant quantitative techniques such as logistics
regressions and Kansei Engineering to identify items
which will lead to greater tourist satisfaction or
loyalty. Besides, samples from different cultural
settings from other parts of the world can be used tounderstand the situations more contextually for
effective tourist relationship management.

[7]Zeithaml, V. & Bitner, M. (2000), Services
Marketing: Integrating Customer Focus Acrossthe Firm, Second Edition, The McGraw-Hill
Companies, Inc., USA.
[8]Grönroos, C. (1982). Strategic Management andMarketing in the Service Sector, Marketing
Science Institute, Cambridge, MA.
[9]Qin, H. & Prybutok, V.R. (2008). Determinantsof customer-perceived service quality in fastfood restaurants and their relationship tocustomer satisfaction and behavioral intentions.
The Quality Management Journal, 15(2), 35-50.
[10]McKenzie, R. (2000). The Relationship-BasedEnterprise – Powering Business SuccessThrough Customer Relationship Management,
Singapore: McGraw Hill Ryerson Limited.

ACKNOWLEDGEMENT[11]Kim, S., Cha, J., Knutson, B. J. & Beck, J. A.
(2011). Development and testing of theConsumer Experience Index (CEI). Managing
Service Quality, 21(2) 112-132.

This research was financed by Ministry ofHigher Education of Malaysia, under theFundamental
Research
Grant
Scheme(FRGS/1/2014/SS05/UiTM/02/5).
The
kindassistance from the administrative staff of Research
Management Institute (UiTM Shah Alam) andUiTM Sarawak, Graduate Research Assistance andenumerators are much appreciated.
REFERENCES[12]Kim, W.G. & Moon, Y.J. (2009). Customers’
cognitive, emotional, and actionable response to
the servicescape: A test of the moderating effectof the restaurant type. International Journal of
Hospitality Management, 28, 144-156.

[1] Bhuiyan, M.A.H., Siwar, C. & Ismail, S. M.
(2013). Tourism development in Malaysia from

[13]Qu, H. (1997). Determinant factors and choiceintention for Chinese restaurant dining: A
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Multivariate approach. Journal of Restaurant &Foodservice Marketing, 2(2), 35-49.

for total quality service. International Journal ofService Industry Management, 12 (4), 378-412.

[14]Woo, G. K., Ng, C.Y.N & Kim. Y (2009).
Influence of institutional DINESERV on
customer satisfaction, return intention and wordof-mouth, International Journal of Hospitality
Management, 28, 10-17.

[17]Voon, B.H., Jamil, H., Lee, N., Firdaus, A. &Kueh, K. (2012). Developing a service culturevalue chain for hospitals. IACSIT International
Journal of Engineering and Technology, 4(4),354-357.

[15]Soderlund, M. & Rosengren, S. (2007).
Receiving word-of-mouth from the service
customer: An emotion-based effectivenessassessment. Journal of Retailing and Consumer
Services, 14, 123-136.

[18]Byrne,
B.
M.
(2001).
Structural
EquationModeling with AMOS: Basic Concepts,
Applications, and Programming. London:
Lawrence Erlbaum Associates.

[16]Sureshchandar, G. S., Rajendran, C. &Anantharaman, R. N. (2001). A holistic model

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Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

RESEARCH AND DEVELOPMENT OF INCULCATION PROCESS FOR
FUTURE AGRICULTURAL RESEARCH OFFICER
Supasit Deeraksa1 , Paisarn Worakham1, Piyatida Panya1
Faculty of Education, Rajabhat Mahasarakham University, Mahasarakham, Thailand

1

ABSTRACTThe purposes of this study were to study and to develop the process of agriculture wisdom holders andlocal philosophers in multi-cased studies. The samples were 2 agriculture wisdom holders and 2 local
philosophers. The data collection was done through in-depth interview, documentary study and non-participatory
observation. The developed of the inculcation process of agriculture wisdom holders and local philosophers wasevaluated by the experts with focus group discussion method. The research findings were as follows:
In the study of inculcation process of agriculture wisdom holders and local philosophers, theresearcher found that. They are all doing modern agriculture according to the sufficient economy concept,
following the new theory of His Majestic the King as a guide to life and farming that rejects the use ofchemicals but regardless of how the natural environment and essentially reduce expenses and reduce pollution
from toxic chemicals. The process consisted of 5 steps which were Creative of understanding, Adjusting or
modifying the way of thinking, Transferring the knowledge and experience, Field study at the farmland spot andpractical performance and Summarizing the knowledge and assessment.
Keywords: Agriculture Wisdom Holders, Local Philosophers, Future Agricultural Research Officer
safely products for the consumer and eco-friendly toall other living thing and organics leading to thedevelopment for food sustainable in the future.
To research and study the development process
how to instill the Future Agricultural Research
Officer

INTRODUCTION
At the present time the farmers have changed
the method of working process into the new hightechnology for practical and management of theirfarm, but still not succeed in their career , instead
being indebted , affecting that they have to sell the
farm-land. Most of the farmer of the country being
in poverty condition more than other vocations ,therefore many people refuse to work as a farmer
because this career always being poor , and so lonely
no any agency to support. The new generation
therefore interesting in working in other career, as
to earn more salary or move income from thebusiness , but not to work as the agriculturist. The
tendency of number of the labors who work for
agricultural systems has been declined at the present
time , in the near future Thailand may facing the
problem do not have enough man power or labor
who want to work in the agricultural sector. The
result from census survey in October 2013 foundthat total population who have a job 38.02 million ,but have the worker who working in the agricultural
sector only 12.85 million or 33.8% of all total workforce, comparing to the statistic of October 2012 ,found that the worker work in the agricultural sector
has reduced by 2.02 million [4].
Therefore
this
research
study
apprehended the significant of the process , how to
instill the technical academy for new generation
farmer in the future , through the direct learning
process , transferring the knowledge to the learnerfrom the experience of the successful farmer , whohave been working as the farmer until successful insustainable career , living securely and produce

METHOD
This research study were using Qualitative
Research, Case study , Field Research andDocumentary
Research. The researcher haveselected purposive study for data collection in thefield research sector , and using self interview andobservation by the researcher. The case study about
agriculture wisdom holders , two Teacher Suthi Nun
PratchaPrit (How to modify the suitable technology)
From Buri Ram province , and Mr. Lek Kud Wong
Kaew (Agriculture by Agricultural system) From
Sakon Nakhon province and local philosophers,
two participants were sub-district Headman Adison
Lao Sapan (Mix agricultural process) From Maha
Sarakham province and Mr. Khumpan Lao Wong Si(Sustainable Agriculture) from Maha Sarakham
province.
1. Researching Method
1.1 Documentary study and some othermedia materials , such as research papers , andprinting materials.
1.2 Non-participant Observation , theresearcher have observed the process of how theagriculture wisdom holders and local philosophers to
instill the new generation by observing and keep
record step by step and how they use the media

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SEE-Osaka, Japan, Nov. 21-23, 2016

material , using observation record from and take apicture of the activities.
1.3 In-depth Interview , the researcher haveinterview the agriculture wisdom holders and local
philosophers which considering that they were thekey informants by using the informal interview
method. [3].
2.Tool used for this research
Tool used were as follows
2.1 The researcher to study and gather andcollect the significant document and record ,observing the activities in the local community andin-deph interview for the key informants
2.2 Observation for using non-participant
observation form prior to the observation in order toinvestigate the sign of how the teacher instill , andinstruction.
2.3 Interview format using the in-depth
interview with the participant for the key informants.

2. The result of case study with Mr. Lek Kud
Wong Keaw (Agriculture by agricultural system)
Sakon Nakhon province.
The process for instill the knowledge of Mr.
Lek Kud Wong Keaw were emphasizing on thethinking system or process more than the text
knowledge which means that we are all give theimportance to the way how to think , once we know
how to think step by step , then the knowledge willcomes later on , because every one can conclude
what they can get from the knowledge , andexperience. The instill process from Mr. Lek tocreate the awareness about how oneself can survive ,first to all one must have food then therefore
emphasizing on producing agricultural products forlife survival , reducing the expenditure , including
for buying food , medicine , and others by planting
enough vegetable and fruit for own consumption ,produce or make material and tool or equipment for
use by oneself eat the food that you plant , and plant
every thing that you need to eat. The result of casestudy at Mr. Lek agriculture can be summarized asfollows. 1. Inspiration of the awareness. 2. Adjust
the way of thinking process. 3. Adapt and modify
the suitable way of life , know how to save , andeconomize on spending. 4. Transferring theknowledge and experience by emphasizing on theway of good thinking process , more than the text
knowledge. 5. Gain the knowledge from practical
study in the farmland 6. Discussion summarized andtake the best knowledge for practical performance.
3.The result of case study of Mr. Adisorn Lao
Sapan (Mixed agricultural) Maha Sarakham
province.
The instill or transferring knowledge of Mr.
Adisorn LaoSapan were, that he will inquire theneed of the learner in order to justify the objective ofthe learner and then explain the text of theknowledge briefly , then take the learner to study inthe farmland , lecture and explain the detail step bystep so the learner can understand all of the processof mixed agriculture and can be able to do bythemselves , and then will divided the land for each
student to practice. The process of instill can besummarized as follows. 1. Inquire the objective ofthe learner. 2. Exchange the knowledge andexperience of mixed or combination agriculture ,process , frog raising Turkey raising , Making
fertilizer , and Mushroom planting. 3. Practicallearning from the farmland. 4. Summarizing theknowledge. 5. Assessment and take the best
knowledge for practical performance.
4.The result of case study at Mr. Khampan
LaowongSi (Sustainable agriculture process) Maha
Sarakham province.
The instill process of Mr. Kha-mpan
Laowongsi, he stating that “Wishing all of you to
use the Royal initiative project of our King to apply
in your own farmland our Thai Farmer are very

RESULTSThe result of research study on how to instill
the Future Agricultural Research Officer from theThai agricultural wisdom holders and the local
philosophers from the community.
1.The result of case-study from teacher Kruba
Suthinun pratchapruk (How to adjust of modify thesuitable technology) at Buri Ram province.
The process for instill or training of teacher
Kruba Suthinun which have been given theknowledge to the near by people and all over theregion including the government sector personnel
and private sector personnel. The majority of the textof the knowledge were about forestry emphasize thebig tree such as Blackwood (Dalbergia cochinensis)
Yang gurjun (Dipterocarpus alatus) Malabat
ironwood (Hopea odorata) and Indian Oak(Barringtonia spp.). To conservation the natural
resources and the environment , management anduse proper technology , produce and transform theagricultural production for sustainable agriculture ,develop Thai education under the basic rule ofsufficiency economy such as careful agriculture
process on 1 Rai farm land. The practical process for
instill or training of the knowledge can besummarized as follows. 1. Compile the problems
and the requirement of the student who need to betransfer the knowledge. 2. Change the way of
thinking. 3. Give the example of suitable guideline
for better life living. 4. Create co-learning lesson
plan. 5. Transfer the knowledge and experience. 6.
Practical performance on the real farmland. 7. Pilot
study and practice. 8. Summarize the result of pilot
study project and practical performance on the
farmland. 9. Assessment and take the best
knowledge for practical performance.

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SEE-Osaka, Japan, Nov. 21-23, 2016

lucky to live under His Royal highness the king’s
grace.” Rising from the man who not even have theland for his own farming , but after modify anddevelop using the new theory for agricultural
practice Mr. Khampan have a new life andprosperity no debt , his instill process can besummarized as follows. 1. Inquire the need of thelearner. 2. Explain and exchange the knowledge andexperience. 3. Study from agricultural farmland andpractical performance. 4. Summarize the knowledge.
5. Be self confidence and strongly believe inagricultural career and Organic agriculture.
Table 1

Field study at the farmland
and practical
performance. 5.Summarige of the gained knowledge.
6. Assessment and take the best knowledge forpractice
The result for data analysis and discussion withthe expert group , the researcher have summarized 5
proposal steps and 12 sub-topic as the suggestion fordeveloping the instill process to train the newgeneration academic Agriculturist as follows.
Step 1 Creative of understanding
To compile the problem and inquiry the needof the learner in order to resolve the problem
together , and to find out from the learner what is themost requirement that the learner need to know inthis step there were sub-topics to be discussion as
follows:(1) To have a meeting for create
understanding with self volunteer to receive theinstill process and to make understanding for making
decision to participate in instill process.
(2) Compile the problem and therequirement of the participants by questioning theneed of participants , what is the problem in order toresolve problem to the directly need.
Step 2 Adjusting or modifying the way of
thinking
To change the way of thinking concerning the
agriculture knowledge by inspiration for the
agricultural career awareness at this step need togive the challenge for the learner to think , by using
the key informants knowledge for and analyzed inorder to train how to use the imagination to analyze
and identify the original root of the problem at thisstep have the sub topic as follows.
(3) Develop the capability by using groupprocess and brain storming for finding out thepositive aim , such as dividing into subgroup , plant ,animal , fishery and mixed or combination
agriculture in order to gain the knowledge precisely
for each group and having the group leader for
driving the activity.
(4) Develop the capability of the groupleader or core leader to gain the knowledge and fully
understand the development activity , and have theteacher as the group advisor.
Step 3 Transferring the knowledge andexperience.
To transferring the knowledge and experienceis the most importance step that need the advisefrom the teacher or the expert who have capability
and experience in the agricultural field , totransferring the knowledge by lecture and retell thestory and experience therefore the informers musthave the acceptable knowledge , and understand theneed or requirement of the learner , at this step
divided into sub topics as follows:(5) Specify the place for practical
performance such as the farmland or agricultural in

Synthesis process form

Khampan LaowongSi

total

1. Compile the problems
and Inspiration of theawareness
2. Change the way of
thinking.
3. Exchange the knowledge
and experience
4. Adjust the way of
thinking process
5. Adapt and modify thesuitable way of life
6. Give the example ofsuitable guideline for better
life living
7. Create co-learning lessonplan
8. Transfer the knowledge
and experience.
9. Practical performance on
the farmland
10. Pilot study and practice.
11. Summarize the result ofpilot study
12. Assessment and take thebest knowledge
13. Be self confidence andstrongly believe inagricultural

Adisorn Lao Sapan

process

Lek Kud Wong Keaw

Case study

Suthinun pratchapruk

case studies

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4

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3
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2

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1

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1

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1

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1

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

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

4

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1
4

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3

3


1

The researcher have collect all the data fromthe field work survey and analyzed the process of
how the teacher using Thai intelligence and local
folk wisdom in agricultural practice of each teacher
and summarized into 6 steps as follows
1.Summarizing for the requirement of the learner. 2.
Adjust the way of thinking and the process of
thinking system 3. transferring the knowledge. 4.
869

SEE-Osaka, Japan, Nov. 21-23, 2016

the civilization and happiness to both mind and the body ,of the community member.

the university campus or use the farmland of theteacher in the near by local area.
(6) To transferring the knowledge in the from ofshort term training , exhibition lecture discussion andquestioning or using teaching aid media such as audio –vision equipments.
Step 4 Field study at the farmland spot and practical
performance(7) Field study at farmland spot after have gained
the knowledge and understand the process from theteacher’s experience the learner must have his own
experience in the field study and do the actual practical
performance.
(8) For the practical performance , each of thelearner group and every one must participate in theactivity step by step until proving that every one is capablefor doing the new agricultural process in the reality.
Step 5 Summarizing the knowledge and assessment(9) Exchange the knowledge within the group
number who were interested in the same topic in order tobuilt the understanding for development or the interesting
subject.
(10) Presentation the result of the knowledge fromlearning process to all concern or all groups including thesuggestion using appropriate technic for fully
understanding and successful achievement.
(11) Analyzed and use the model for improve theprocess , for producing the agricultural product in the
better quality.
(12) Assessment the changing behavior of thelearner that haw much can be develop the process ofworking in agricultural production emphasizing on giving
mental support and give cooperative help , maintain good
relationship and assessment form the knowledge , attitude
and skill.

CONCLUSIONThe Inculcation Process for Future Agricultural
Research Officer development is consistent with thefindings of [5] have studied the form and process
knowledge to the Thai profession whose wisdom 14
participants, [2] to study and develop the transmission
process. knowledge, wisdom, teachers in rural Thailand
agriculture. The study of teacher wisdom of Thailand 6
participants who find wisdom there is and [1] study
common characters of wise community leaders withmodern agriculture in northeastern. The transfer process isdifferent. But the pattern transfer process knowledge in theprofession. The match in four stages, namely theawareness of the importance of vocational training to therecipient happens to be broadcast. Joint planning teaching
Course exercises And evaluate recipients relay which isconsistent at each step
ACKNOWLEDGEMENTS
The study was supported by the Graduate School andInstitute of Research and Development Rajabhat
Mahasarakham University, Faculty of Education, Rajabhat
Mahasarakham University, Office of Vocational
Education Commission .
REFERENCES[1] Pengpinit Thawadchai 2006. Common Characters ofWise Community Leaders with Modern Agriculture
in Northeastern. Organization Humanity and Social
Science Suan Dusit Rajabhat University[2] Popoonsak Pongtorn. 2003. Development of theknowledge transmission process in rural areas ofagriculture wisdom holder. Dissertation for the
Degree of Doctor of Philosophy in Non-Formal
Education Faculty of Education, Chulalongkorn
University.
[3] Supang Chantavanich, 2010, Qualitative Research
Method. Bangkok, Chulalongkorn University.
[4] The office of National Statistic. The results of theLabor Force Survey for the month.
October , 2013. searched on December 23, 2013[5] Yaipuak, Darunee. 1999. Local wisdom for the
improvement of quality of life project.
[Online]. Available
from: http://www.accu.or.jp/litdbase/break/index.ht
m The Educational of Supervisory Unit, NonFormal Education Department, Ministry of Education,
Thailand.

SUMMARY AND DISCUSSION
The process of how to instill the agricultural
knowledge by the agriculture wisdom holders and local
philosophers total 4 expert were the process for
performing the agricultural production base on thesufficiency theory which was initiated this new theory by
His Royal Highness King Rama IV of Thailand , basicallyemphasize to produce the product for own consumption
the left over can be given to the neighbor and friend , andafter that the product can be sold in the local market,“plant any vegetable that need for consumption and eat
what ever you plants”, Try to be cooperate in groupproduction for the agricultural product and expanding themarketing in order to can be able to become strong in selfefficiency and become happy family living with no debt,
the people in community fully cooperate, the environment
and ecological system were well balance , and full of
biodiversity which consistent with the ecologist
philosophy that give significant to the relation between theliving thing and the environment both physical andbiological , and by this agricultural practice process canbuilt the community to become more stronger and bring870

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

MONITORING AIR QUALITY USING LICHENS IN CHELYABINSK,RUSSIAN FEDERATION
Anastasiya M. Kostryukova, Tatyana G. Krupnova and Irina V. Mashkova
Chemistry Department, South Ural State University, Russia

ABSTRACT
Air pollution in large cities is one of the most serious ecological problems, because emissions always go into
the atmosphere. One of the specific methods of pollution monitoring is lichen indication. The aim of the study isto evaluate the quality of the atmospheric air of Chelyabinsk city (Russian Federation). The results were obtained
from samples collected in June-July 2015. The trees for the lichen sampling were chosen from the areas withdifferent pollution levels: relatively clean, moderately polluted, hardly polluted. For the purposes of thecomparison lichens were measured in Ilmen reserve, as the protected relatively clean territory. Using the methodof lichen indication mapping we identified an indicator species Parmelia sulcate. Based upon epiphytic lichen
distribution in sampling areas we distinguished several zones of atmospheric pollution: polluted zone, relatively
clean zone, the cleanest zone. Lichen biodiversity and their projective cover are stated to decrease as theanthropogenic load is increasing. In urban and anthropogenic environment lichen population density is declining
more intensively than the number of species. Also we measured elemental composition of lichens by X-ray
fluorescence (XRF) analysis. We have studied the presence of heavy metals. Zink oxide, chrome and manganoxide rate in the samples from environmentally troubled areas near steel factories and the power plantis almost
twice higher.
Keywords: Lichens, Monitoring Air Quality, Bioindication, X-Ray Fluorescence Analysis

chloride hydrogen (HCl), ozone (O 3 ) are primarily
known to have a destructive influence on lichens.
Pollutants together with precipitation and dust
penetrate into thallus from air. Among eco-substrategroups, epiphytic lichens are the most sensitive tothe change of chemical substances concentration in
air. Lichens are stated to accumulate heavy metals
from precipitation 2–5 times faster than higher
plants, with epiphytic lichens being more intensivein the process than soil lichens [7]–[10].
There is no data concerning the use of lichens as
air quality indicators in South Ural (Russia). Todaysuch studies are of special importance because manylarge industrial cities with an intensive traffic aresituated on the territory of South Ural. Chelyabinsk,
for example, is a large industrial city with asteelworks, three power stations and other industrial
facilities. The present study contains an X-ray
fluorescence analysis of lichen element composition
in some sites of Chelyabinsk. Numerous studies
shown the need to study regional geochemical
background at evaluation of the effectiveness of theanthropogenic load [11]. That is why the Ilmen State
Reserve (located near Chelyabinsk) was taken as theunpolluted control site.
The aim of the paper is to study the potential use
of lichens as biomonitors of urban air quality as
exemplified by Chelyabinsk.

INTRODUCTION
In urban ecosystems most of the pollutants are
spread by air. It calls for air emission monitoring.
Today lichen indication is a priority area of modern
eco-toxicological and monitoring researches. It is
one of the promising and most developed ways of
eco-monitoring which lets assess the industrial
impact on the environment (including urban
ecosystems) on a reliable and cost-efficient basis [1],[2].
There are several advantages of using lichens as
bioindicators. First, these objects let forecast thepollution level in time, assess the dynamics of air
quality. Secondly, there are many indicator values toassess the environment on the basis of lichen
population [1], [2]. That makes it possible to uselichens in large-scale mapping [3], [4].
For the last 15 years in many cities of theRussian Federation lichens have been studied indetail. Romanova and Sedelnikova [5] examined thelichen population of large and small cities of Siberia.
Biazrov [3], Anishchenko and Azarchenkova(Safrankova) [4] investigated the lichens of theSouth and North-West of Russia. They revealed
bioindicators and biotic diversity indicators,
measured lichen indication indices and zoned theterritory according to the air pollution level [3]–[6].
The substances increasing atmospheric acidity andspeeding up oxidizing, such as sulfur dioxide (SO 2 ),nitrogen oxides (NO, NO 2 ), fluoro- (HF) and871

SEE-Osaka, Japan, Nov. 21-23, 2016

METHODS

X-ray fluorescence analysis

Methods of Sampling

Air dried lichen samples were burnt in a muffle
furnace at 550 °C. The lichen ash was ground in amortar. The finely ground rock powder, mixed witha small amount of polyvinyl alcohol dissolved inwater, was compressed using a hydraulic press into apellet.
XRF patterns were registered in the lab of Center
for Nanotechnology at South Ural State University.
Rigaku SuperMini200 XRF Spectrometer was used
for XRF analysis. The relative standard results
deviation was not more than 5 %.

The research methods included describing thestructure of epiphytic lichens along the gradient“pollution source – background”. Sampling sites of
20x20 m2 were laid in the vegetation period of June
– July 2015 on the territory of Chelyabinsk and theIlmen State Reserve (the control site) (Fig.1). The
territories under research varied in the degree ofanthropogenic influence. We described the lichen
synusiae from four aspects at the height of 1.0–1.5 mfrom the base of the tree trunks. All the epiphytic
lichens met on the sampling trees were considered.
Then the lichens were dried.

Site Characteristics
Chelyabinsk city is situated in forest steppe zoneof South Ural. It is a large industrial city with adeveloped traffic network. To analyze the chemicalcomposition of lichen thallus we selected average
samples from the typical habitats within the urban
ecosystems: Site 1 is a city pine forest; Site 2 is acity park; Site 3 is the territory of the steelworks;
Site 4 is the territory of a transport hub in the city
centre; Site 5 is the territory near a power station(Fig. 2).

Fig. 1 Map of Chelyabinsk region:
1 – Chelyabinsk city, 2 – Ilmen State Reserve.
Methods to assess occurrence
The species activity was assessed on the basis of
its occurrence on the sampling trees and its
projective cover. A five-grade scale was used tomeasure each species activity: 5 – highly active (it isrich in frequency of occurrence on all the sampling
trees, and covers the tree trunks and/or lower
branches to 50 %); 4 – active (it occurs on most of
the sampling trees, and covers the trees to 10 %); 3 –moderately active (its frequency of occurrence is50–30 %, but it has a low level of cover (5–1 %); 2 –low active (its frequency of occurrence is 30–10 %,and it covers the trees to less than 1 %); 1 – notactive (it rarely occurs (less than 10 % of trees), justsmall thallus, its projective cover approaches zero)[12].

Fig. 2872

Map of Chelyabinsk city and location of thesampling stations (Site 1–5).

SEE-Osaka, Japan, Nov. 21-23, 2016

The city pine forest (Site 1) is a relict pine forestat the western part of Chelyabinsk. It stretches from
North-East to South-West for about 5.5 km. Its
width is about 2 km. The Victory Park (Site 2) is acity park and occupies more than 19 hectares. The
Chelyabinsk steelworks (Site 3) is one of the largest
steel manufacturers in Russia. Its area is more than
22 km2. The transport hub (Site 4) in the city centre
covers the city major avenue with adjusting
highways. The territory of the power station (Site 5)
is to the South-East of Chelyabinsk.
The Ilmen State Reserve is located on the eastern
macroslope of South Ural. It’s a part of the South
Ural physiographic region of the Ural highlands.
The Ilmen State Reserve is of an utmost importanceas a gene bank preserving flora. It serves as astandard of undisturbed and relatively undisturbed
vegetation communities of the South Ural pine andbirch forests that are seriously damaged nearby. The
Reserve is a refuge for many endemic and extinct
plants and for rare and protected species. The
scientific and production center of the South forestryin Ilmen State Reserve was Site 6. It was the control
site

projective cover of lichen synusiae is essentiallylower than on the background territory (the Ilmen
State Reserve) (Fig. 3). In addition, the share of thetrees without lichens is much bigger (64.2 %) in
contrast to the background lichen communities of
the Ilmen State Reserve where that value doesn’t
exceed 12 %.

Fig. 3a)b)
Average projective cover of lichen synusiae
in the city pine forest (a) and in the Ilmen
State Reserve (b)Within the city the share of the trees with lichensis definitely rich. The city pine forest has the largest
number of the trees with lichens (82 %), the citypark – 46 %. There are far fewer such trees in thebuffer zone of the steelworks (27 %) and theadjusting territory of the power station (14 %).
Lichens occurred there in small thallus on 1–2 treesof 10. Lichens were rarely found (10 % of trees).
They are in a poor condition.
Some authors in their works insist not tooverestimate the role of lichens as bioindicators.
Byazorov says empirical indices and correlation
with the concentration of some xenobiotics are
locally important. He also notices that regularities
set in some regions can’t always work in others [2],[3], [6]. There isn’t enough data about the impact ofsome elements where there are other elements in theenvironment. And there is little information about
the pollutant transformation under the environmental
factors. Some organic compounds may form from 16
to 20 transformation products some of which may be
more toxic and harmful than the original substance[3]. For example, the engines of modern cars emit a
lot of organic compounds such as benzene, toluene,
phenol, which as a result of active chemicalinteractions can quickly turn into substances more
toxic than the original.
To make the comparative analysis more reliable
we used Parmelia sulcate as the species occurred in
all the sites, as morphological and physiologicalproperties of each species influence theaccumulation of elements in lichen thallus. The
ration analysis of oxides in mixed sampling of
epiphytic lichens in summer showed that lichen
accumulation of mangan, zink, cuprum and chrome
might be related to the environmental load. The
average rate of copper oxide and silver oxide insamples is small (Table 1). But cuprum and silver inlichen even in small concentrations are known to

RESULTS AND DISCUSSION
Using the method of lichen indication mappingon the territory of the Ilmen State Reserve (Site 6)
we identified an indicator species Parmelia sulcate[13]. To detect the chemical composition more than
300 samples of Parmelia sulcate were gathered anddescribed. To map the zones of urban pollution werelied on the lichens idiosyncrasies to accumulate
pollutants in thallus [14]–[16]. We found out
Parmelia sulcate in all the sites. But we should
admit that there are few lichens on the territory of
the city (Site 3, Site 4, Site 5).
That species, at the same time, is dominant in
epiphytic lichen population in the background zone
(Site 6). It is rich in occurrence with the rate of 3–5.
Based upon epiphytic lichen distribution in samplingareas we distinguished several zones of atmosphericpollution. The first (polluted) zone includes theterritory near the steelworks (Site 3), the territory of
the power station (Site 5) and the transport hub(Site 4). The second (relatively clean) is a park
territory (Site 2). But as far as the park is located in
the anthropogenic zone of the city, the values underresearch are close to the limits. The third (thecleanest) zone corresponds to the background
territory (Site 6) and the city pine forest (Site 1).
Lichen biodiversity and their projective cover arestated to decrease as the anthropogenic load isincreasing. In urban and anthropogenic environment
lichen population density is declining more
intensively than the number of species. For example,
in the city pine forest and the city park lichen
population density is rather high, but the average873

SEE-Osaka, Japan, Nov. 21-23, 2016

make cell membrane more permeable and therefore
they “push off” potassium more intensely than othermetals. In fact the increase of cumulative percent ofthese oxides in samples leads to the decrease ofpotassium oxide rate.

steelworks (3), transport hub in the city centre (4),power station (5).
CONCLUSION
The study revealed the main regularities of thelichen distribution on the territory of Chelyabinsk.
Environmental assessment of the territory of
Chelyabinsk was conducted. With the increase ofanthropogenic load there is a tendency towards thedecrease of lichen species diversity and the amountof trees with lichens. The projective cover of lichen
groups and the amount of trees with lichens are more
informative, in comparison with species diversity.
The chemical lichen monitoring revealed atrustworthy difference between the rates of metaloxides in lichen thallus gathered on the territories of
the Reserve and the city. To detect the degree ofpollution chrome and copper oxide rates in Parmelia
sulcate thallus may be used. The use of these oxides
to give a similar characteristic of the territory
pollution based on other lichen species considers
revising.

Table 1 The content of oxide in the sol lichens
Oxide

Sites
1
2
3
4
5
6
MgO 0.94 2.26 3.12 2.13 2.79 1.6
Al 2 O 3 8.21 17.52 10.67 14.51 16.43 9.6
SiO 2 16.70 31.89 28.53 27.13 19.54 16.34
P 2 O 5 3.37 2.93 1.74 2.13 2.67 4.98
SO 3 3.66 3.58 7.04 3.29 5.28 4.15
Cl
0.72 0.48 1.34 0.71 1.30 0.78
K 2 O 6.51 6.49 3.24 4.23 5.32 9.67
CaO 34.65 10.74 8.65 9.76 12.74 23.64
TiO 2 2.50 1.6 3.24 3.12 2.95 2.85
MnO 1.00 0.45 1.96 2.01 2.04 0.87
Fe 2 O 3 18.46 20.33 25.56 26.41 24.45 23.10
ZnO 1.02 1.02 1.56 1.43 1.74 0.86
SrO
–
–
–
–
–
0.11
Ag 2 O 0.51 0.33 0. 42 0. 31
–
0.41
CuO
–
0.33 0.51 0.49 0.47 0.63
CrO 1.70–
2.10 2.11 2.14 0.36
ZrO 2 0.05 0.05 0.23 0.16 0.14
–
Y2O3
–
–
0.09 0.08–
0.05

ACKNOWLEDGEMENTS
The authors wish to thank D. Uchaev (ERC
Nanotechnology, SUSU) for XRF quantification
measurements.

Zink oxide rate in the samples fromenvironmentally troubled areas is almost twice
higher (Fig. 4). For example, zink oxide rate of the
background territory is 0.86 %, that rate in lichen
samples gathered from the trees of the territory near
the power station is 1.74 %. Chrome and manganoxide in the anthropogenic sites is two and moretimes higher.

Fig. 4

REFERENCES[1] Nimis PL, Scheidegger C, Wolseley PA,“Monitoring with lichens – monitoring lichens”,
NATO Science Series, IV. Earth andEnvironmental Sciences, Vol. 7, 2002, pp. 1–4.
[2] Byazrov LG, Maximova VF, Rukhadze EV,“Use of epiphytic lichens as indicators of air
pollution degree in Moscow”, Ecology andindustry of Russia, Vol. 8, 2004, pp. 4–7.
[3] Biazrov LG, “Die Dynamik der Artendiversität
epiphytischer Flechten im Nordbezirk von
Moskau (Russland)”, Archive for lichenology,
Vol. 6, 2010, pp. 1–8.
[4] Anishchenko LN, Azarchenkova (Safrankova)
EA, “Background monitoring of habitat bylichen indication method (as in protected areasof Nerusso-Desnyansky woodlands)”, BSU
Bulletin: Exact and Natural Sciences, Vol. 4,
2012, pp. 27–32.
[5] Romanova EV, Sedelnikova NV, “Lichens as
bioindicators of air pollution in Novosibirsk
urban agglomeration”, Novosibirsk: Geo, 2010,
pp. 5–49.
[6] Byazrov LG, Epiphytic lichens of Moscow:
modern dynamics of species diversity, Moscow:
KMK, 2009, pp. 3–112.
[7] Boutron CF, Patterson CC, “Relative levels ofnatural and anthropo-genic lead in recent

The content of oxide (MnO, ZnO, CrO) in
the sol lichens.

Three zones different in chrome and mangan rate
are distinguished: relatively clean (to 0.9 %) – thebackground territory; moderately polluted (from1.0 % to 1.9 %) – the city pine forest; significantly
polluted (from 2.0 % to 2.9 %) – the territory of the874

SEE-Osaka, Japan, Nov. 21-23, 2016

Antarctic snow”, Journal of GeophysicalResearch, Vol. 92, 1987, pp. 8454–8464.
[8] De Bruin M, “Les indicateurs biologigues,
l’analyse par activation neutronique, et leursapplications à l’étude de la pollution
atmosphérique par les métaux lourds, AIEA
Bulletin, Vol. 4, 1990, pp. 22–27.
[9] Nriagu JO, Pacyna JM, “Quantitative
assessment of worldwide contamination of air,water and soils with trace metals”, Nature,
Vol. 333, 1988, pp. 134–139.
[10] Reimann C, Caritat P, Chemical elements in theenvironment, Berlin: Springer-Verlag, 1998,
pp. 5–16.
[11] Dubrova SV, Podlipskiy II, Kurilenko VV,
Siabato W,“Functionalcityzoning.
Environmental assessment of eco-geologicalsubstance migration flows”, Environmental
Pollution, Vol. 197, 2015, pp. 165–172.
[12] Furbish CE, Geiser LH, Rector C, “Lichen-air
quality pilot study for Klondike Gold Rush

National Historical Park and the City of
Skagway,
Alaska,Naturalresources
management program, 2003, pp. 2–17.
[13] Shcherbina AG, Mashkova IV, “Air quality
assessment with method of lichen indication
monitoring in Ilmen State Reserve”, Natural andMathematical Sciences in the modern world,
Vol. 36–37, 2015, pp. 173–177.
[14] Hauck M, “Ammonium and nitrate tolerance inlichens”, Environmental Pollution, Vol. 158,
2010, pp. 1127–1133.
[15] Van Herk CM, “Mapping of ammonia pollution
with epiphytic lichens in the Netherlands”,
Lichenologist, Vol. 31, 1999, pp. 9–20.
[16] Van Herk CM, Mathijssen-Spiekman EAM., deZwart D, “Long distance nitrogen air pollution
effects on lichens in Europe”, Lichenologist,
Vol. 35, 2003, pp. 347–359.

875

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

MECHANISM OF COAGULATION USING CHITOSAN FROMMYTILUS VIRDIS LINNEAUS SHELLS IN WATER TREATMENT
Sinardi1, Prayatni Soewondo2, Suprihanto Notodarmojo3, Cynthia Radiman4
Bandung Institute of Technology, Doctoral Program Environmental Engineering Department, Bandung
40132, Indonesia
Fajar University, Chemical Engineering Departement, Makassar, 90000, Indonesia
2,3Bandung Institute of Technology, Environmental Engineering Departement, Bandung 40132, Indonesia
4Bandung Institute of Technology, Chemistry Departement, Bandung 40132, Indonesia
1

sinardi@unifa.ac.id
ABSTRACTGreen mussel (Mytilus viridis Linnaeus) is one of the shells from marine source that can be used as chitosan.
On the other side of drinking water treatment using synthetic coagulant such us aluminum sulphate (Al2 (SO4)3)
concerns about the residual aluminum in the water that contains inorganic compounds are carcinogenic so it isnecessary to do research about potential use of chitosan as a coagulant. This study conducted on laboratory-scaleuse of chitosan from green mussel shells as a coagulant in coagulation-flocculation process using turbid waterfrom Tirtawening in Bandung City, Indonesia. The purpose of this study was to determine the mechanism of
coagulation-flocculation process based on the characteristics of chitosan. Preparation of chitosan with
deproteination process done using a solution of NaOH 3.5% 10: 1 (v: w), stirring 2 hours 65oC. Demineralization
process using a solution of HCl 1 N 15: 1 (v: w), stirring 30 minutes 50 °C. Deacetylation process using a solution
NaOH 60% 20:1 (v: w) stirred 60 minutes 120oC produce chitosan with degree of deacetylation about 77.8% andmolecular mass about 4,26x104 g / mol. The degree of deacetylation of chitosan effect ability formation of flockand the molecules of mass of chitosan effect in binding colloids in turbid water into one and form a flock large.
The results concluded that chitosan from green mussel shells can be used as a coagulant for turbidity removal inwater treatment and use it safe for the environment and health because from natural compounds and biodegradable.
Keywords: Mytilus viridis Linnaeus, Chitosan, Degree of Deacetylation, Molecular of Mass, CoagulationFlocculation, Turbid Water, Turbidity Removal

obtained, from an economic point of relatively
cheaper price. But the use of synthetic coagulant
excess it undesirable effects on the environment andhealth as a coagulant of this type is not biodegradable.
This is the basis of the researchers focused on the useof natural coagulants such as chitosan is a solutionthat can be used as a coagulant derived from natural
materials [1].
The process of coagulation is the charge
neutralization process by adding a coagulant or
chemical, while coagulation is to destabilize theprocess of agglomeration of the particles to form aflock becomes larger and easier to settle [2]. With theaddition of coagulant, the colloidal stability in
disturbed water as coagulant will stick to the surfaceof colloidal and change their electrical charge to form
aggregates which can be precipitated [3].
Chitosan is a chitin derivative obtained bydeacetylation process, a cationic polymer which isbiodegradable. Chitosan can substitute synthetic
coagulants in water treatment with the advantages: (1)residual coagulant is not harmful to human healthbecause it is an organic material, (2) generate sludge
biodegradable, and (3) can be made using the waste

INTRODUCTION
Human consciousness about the importance of
health led to the need for clean water increases. But
the problem of clean water availability decreased
mainly quality, the most common problem
encountered is the turbidity of the water. Turbidity iscaused by the presence of organic and inorganic
materials are suspended and dissolved, as well as
inorganic and organic materials in the form ofplankton and other microorganisms contained inwater. Turbidity in the water treatment process canbe eliminated through the process of coagulation.
Coagulation is one process of the water treatment
to improve the quality of water produced.
Coagulation process aims to eliminate the solute to beprecipitated by adding a chemical compound into thewater resulting in the incorporation of particles thatare difficult to settle and form a flock.
Until now, the polymer coagulant derived fromsynthetic are commonly used type of coagulant. In
between the two types of the coagulant, the coagulant
is a synthetic material that is widely used in water
treatment processes, in addition to more easily876

SEE-Osaka, Japan, Nov. 21-23, 2016of fishery products [4].

Jar Test
Research conducted in batches in a laboratory
scale using jar test, which is also the operational
simulation of conventional treatment processes.
1. Jar test use Flocculation SW1 Stuart Scientific,
using a beaker containing 500 mL of turbid water.
2. Stirring rapidly performed at 100 rpm for 1 minuteafter the addition of coagulant, followed by slow
mixing at 60 rpm for 10 minutes.
3. After the flocculation process is completed, flock
had formed allowed to settle for 30 minutes,
separated from the flock, turbid water and thenanalyze.

Figure1. Structure Molecule of Chitosan
Chitosan is a biopolymer obtained bydeacetylation of chitin contained in some marine
shells [5]. Amine groups (NH2) on chitosan (seeFigure.1) is a strong nucleophile that can be used as apolyelectrolyte that has many functions and is morereactive than chitin.

RESULTS AND DISCUSSION

MATERIAL AND METHODS

Effect of the Chitosan Dosage

ChitosanChitosan coagulant dosage effect on the amountfor turbidity removal that occur after the coagulation
process, as seen in the results of tests conducted jar in
Figure.2.
Turbidity removal increased withincreasing dosage of chitosan, but the addition of
coagulant dosage showed excessive turbidity removal
which does not different much even decline, this isdue to the failure of flock formation and saturation of
chitosan aside turbidity.
In addition to turbidity, pH is a very importantparameter in the coagulation process, because it canaffect the pH of the surface charge of the colloidal
molecules, the charge of the functional groups oforganic material contained in the charge of water andother components dissolved in water. At high pH(alkaline), colloid-containing organic compounds
will be ionized due to the carboxyl groups of chitosan
will lose a proton (due react with alkali), as well as
the positive charge of coagulant required to neutralize
the charge of colloids will also be reduced. As a result,
the required dosage of coagulant will also increase at
higher pH.

Turbid Water
This study uses turbid water from the outlet unit
PDAM Tirtawening in Bandung, Indonesia. The
characterization of raw water can be seen in the
Table.1 below.
Table 1 Physical and Chemical of Turbid Water
Turbid30.10

Conduct
110.83

TSS
25

TDS
77.77

OM
1

Fe
0.34

Mn
0.05

Turbidity Removal (%)

pH
6.73

Total Suspended Solid
Total dissolved solids
Organic Matter
Turbidity, NTU; Conductivity, μS/cm; all concentrations are in mg/L.; pH were
determined by the author

Dissolution Chitosan
Dissolution of chitosan following the method [7]of 1 g chitosan was dissolved in 100 mL of 1% acetic
acid (v / v) to obtain 10 mg of chitosan in 1 mL ofsolution (1% w / v). Stirring chitosan solution usinga magnetic stirrer for 6 hours to ensure perfectchitosan dissolved. With this dissolution, 100 ml ofacetic acid solution 1% (v / v) then obtained 1000 mg/ ml of chitosan in solution.

8

90

7.5

70
50

7

30

6.5

10

pH

Chitosan was extracted from Mytilus viridis
linnaeus shells prepared using Knorr method withsome modifications [6]. Preparation of chitosan with
deproteination process done using a solution of
NaOH 3.5% 10: 1 (v: w), stirring 2 hours 65oC.
Demineralization process using a solution of HCl 1 N
15: 1 (v: w), stirring 30 minutes 50 °C. Deacetylation
process using a solution NaOH 60% 20:1 (v: w)
stirred 60 minutes 120oC. Chitosan produced has
characteristics of the degree of deacetylation was
77.80% and a molecular mass was 4,26x104 g/mole.

6
200 250 300 350 400
Coagulan Dosege (mg/L)

Turbidity Removal

pH

Figure2. Turbidity Removal using Chitosan

877

SEE-Osaka, Japan, Nov. 21-23, 2016

Provision for turbidity using chitosan as a
coagulant optimum dose of 300 mg/L of 88.60% andpH 6.73 to 6.9 after coagulation. At higher coagulant
dosage higher concentrations are 350 and 400 mg / L
allowance for the lower turbidity, is due at the dose of
chitosan as cationic polyelectrolyte becomessaturated. The result will damage the bridge between
the particles so that not all of the colloidal particles
can be deposited.

dissolved in advance by using acid to obtain asolution of chitosan. The mechanism is based on theproperties of the chitosan-containing amine groupwhich reacts with the acid when it will form a salt.
Therefore it must be dissolved into the acidic chitosan.

Mechanism of Coagulation
Mechanism of coagulation using chitosan inwater treatment due to chitosan cannot react withwater because of the hydrogen bonds that are formed
are very weak. So that the OH and NH2 owned makes
chitosan is alkaline. The amine group attached to the
C atom, while the primary hydroxyl groups attacheddirectly to a carbon atom other and bonded to thesecondary hydroxyl amine group.
Chitosan can be used as a coagulant that is more
effective and efficient than the use of alum in theprocess of coagulation, evident from the reduced
turbidity of river water with the use of chitosan in the
chitosan concentration is low [8]. Coagulation
process using chitosan flocculation can decrease
inorganic and organic particles suspended anddissolved organics contained in water [9].
Mechanism of coagulation using chitosan waswhen the polymer molecules into contact with thecolloidal particles, then some of chitosan groups
adsorbed on the surface of the particle and the rest
remain in solution. Furthermore, the particles will be
attached to another part of the polymer chain which
serves as a bridge that can confine the particles andform flocks larger so as to bring the particles together
down and deposited polymer. In acidic conditions,the amino group (-NH2) chitosan will catch H+ fromthe environment so that the amino group protonatedbe -NH3+ and then chitosan acts as a salt that can be
dissolved in water.
Associated with the mechanism of coagulation,
colloidal chitosan can bind into flock by two methods,
namely the charge neutralization and bridge colloid
polymer [10]. Chitosan with a large molecular massmeans having long-chain polymer colloids will bind
together and form large flocks. NH2 group in the
chitosan will catch H+ in water and form a group NH3+. This group will neutralize the negative chargeof colloid and polymer chain of chitosan will catch
colloids into a single unit see Figure.3 below.
Chitosan is a cationic polyelectrolyte and longchain polymer, has a large molecular mass andreactive because of the amine and hydroxyl groups
which act as electron donors. Due to the properties of
the regular chitosan interacts with the colloidal
particles contained in the water through the bridge
between flock particles (coagulation) [11] and [12].
To simplify the process of coagulation, the chitosan

Figure3. Illustration Chitosan as a Coagulant
Amino groups of chitosan (NH2) in a solution of
making the chitosan is positively charged (indicatedas a polyelectrolyte cationic) so attractive forflocculation and application of binding different thatallow molecules binding different that allows themolecules bind to the surface of the negatively
charged through the binding of ionic or hydrogen [13].
The mechanism of coagulation and flocculation of
chitosan, beginning with the charge neutralization
colloid charge neutralization in turbid water, amine
containing a lone pair on the nitrogen atom, the amineis alkaline (Bronsted-Lowry) and nucleophiles
character. Then the bridge is formed between theparticles form a flock colloids, the chitosan polymer
chain of chitosan increasingly charge (-) colloidal
neutralized by NH3+ group see Figure 4. The chitosan
polymer colloids catch into a single unit to form
larger aggregates so easy to settle.

Figure 4. Illustration Coagulation and Flocculation
Process Using Chitosan
SEM images in Figure.5 shows the surface of theslab-shaped chitosan large and stringy. While thesurface of the flock formed has a solid surface andporosity smaller, it shows that during the process ofcoagulation merger colloidal particles which are thenattached to the surface of chitosan. SEM on chitosan
and flock that is formed can be known before thechange of the surface structure of chitosan is used asa coagulant and after the coagulation process.

878

SEE-Osaka, Japan, Nov. 21-23, 2016[3] Eckenfelder, W. J, Industrial Water Poluttion
Control, Third edition,. Mc Graw-Hill
Company, Singapore, 2000.
[4] Pan, J.R, Chihpin Huang, Shuchuan Chen, andYing Chien Chung, Evaluation of a Modified
Chitosan Biopolymer for Coagulantion of
Colloidal Particles, Physicochemical andEngineering Aspects, 147, (1998) 359-364.
[5] Marganof. Potensi Limbah Udang Sebagai
Penyerap Logam Berat (Timbal, Kadmium dan
Tembaga) di Perairan. Information on
http://rudict.topcities.com/pps70271034/margonof.html[6] Sinardi, Soewondo P, Notodarmojo S, andRadiman C, The Degree of Deacetylation
Chitosan Various Marine Shells, International
Journal of Applied Engineering Research,(2014) 18047-18051.
[7] Danwanichakul, P., Werathirachot, R., Kongkaew,
C., and Loykulnat, S, Coagulation of Skim
Natural Rubber Latex Using Chitosan or
Polyacrylamide as an Alternative to Sulfuric
Acid, European Journal of Scientific Research,
Volume 62 No. 4, (2011) 537-547.
[8] Mu’minah, Aplikasi Kitosan Sebagai Koagulan
untuk Penjernihan Air Keruh, Program Studi
Kimia, FMIPA. Institut Teknologi Bandung.
Indonesia, 2008.
[9] Renault, F, B. Sancey, P.M Badot, dan G. Crini,
Chitosanfor
Coagulations/Flocculation
Processes–An
Eco-Friendly
Approach,European Polymer Journal, Volume 45, Issue 5,(2008) 1337-1348.
[10] Tripathy, Tridiband De, and Bhudeb R,
Flocculation: A New Way to Treat the Waste
Water, Journal of Physical Sciences, Volume 10,(2006) 93-127.
[11] Chung GH, K. B, Physicochemical Properties of
Chitin andChitosan Prepared from Lobster
Shrimp Shell, Korean Journal Food Science
Technology, 28, (1996) 870–876.
[12] Prashanth KVH
and Tharanathan RN,
Chitin/Chitosan: Modification and Their
Unlimited Application Potential an Overview,
Journal Food Science Technology, 18, (1997)
17-131.
[13] Hasan M.A, and Mohd Hafiz Puteh, PreTreatment of Palm Oil Mill Effluent (POME):
Comparison Study Using Chitosan and Alum,
Malaysian Journal of Civil Engineering, (2007)
19:2.

Figure5. Scanning Electron Microscope (SEM) of
Chitosan and Flock Formed after
Coagulation
Changes in the surface structure of chitosan andchitosan flock occurs because of the addition of theturbid water in water treatment caused colloidal
particles will come closer together and the collisions
between colloidal particles and alter its cargo into
neutral, causing clumping and forming flock.
CONCLUSION
Chitosan from Mytilus viridis linnaeus shells canbe used as a coagulant to substitute synthetic
coagulant in water treatment because it has the ability
for turbidity removal. The ability of chitosan aside
turbidity because it has a large molecular mass solong chitosan polymer molecule chains that play arole in the neutralization of the charge of colloids andpolymers as a bridge that has the ability to bind andprecipitate colloids into flock.
ACKNOWLEDGEMENTS
The authors gratefully acknowledge the financial
support received in the form of Dissertation Research
Grant from Ministry of Research, Technology andHigher Education in Indonesia.
REFERENCES[1] Yang, Z, Yabo Shang, Yaobo Lu, Yichun Chen,
Xin Huang, Aimin Chen, Yuxiang Jiang, Wei
Gu, Xiaozhi Qian, Hu Yang, dan Rongshi
Cheng,
Flocculation
Properties
ofBiodegradable Amphoteric Chitosan-Basen
Flocculants, Chemical Engineering Journal, 172,(2011) 287-295.
[2] Hammer, M. J, Water Supply & Polluti on
Control 7th Edition, Pearson Prentice Hall,
United States of America, 2005.

879

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

FEATURES AND ACTIVITIES FOR OVERCOMING THE
CHALLENGES IN THE LANDCARE MOVEMENT IN AUSTRALIA:
A MODEL OF COMMUNITY SUPPORT SYSTEM
Tomomi Maekawa
1Graduate School of Humanities and Social Sciences, Chiba University, Japan

ABSTRACT
It is recognised that environmental problems are best handled with the participation of all concerned citizens
at the relevant level, but the development of effective models for promoting citizen participation to solve
environmental issues remains a work in process. With the goal of suggesting such a model, this study focuses on
the system of Landcare in Australia, a nation-wide movement of community-based natural resource managementthat has been tackling Australia’s serious environmental problems. Through analysing the outcomes of in-fieldresearch in Australia, this study describes that the community support system of the Landcare movement inAustralia has three characteristic elements: establishing a system and a spirit of multi-party partnership
throughout the nation; securing coordinators who, with flexibility to adjust to each locale, support local groups;
and maintaining a holistic support system from governments who respect the autonomy of local groups. Throughthe discussion, this study shows the strengths of the three elements such as the diversity of the financial sources
and the challenges regarding the provision of financial and coordinating support to the communities. Also itshows that there are activities that local groups and their networks have carried out in the movement that aim to
overcome these challenges.
Keywords: Landcare in Australia, Community-based Natural Resource Management, Voluntary Groups, Citizen
Participation, Multi-party Partnership

The aim of this study is to suggest a community
support system model that promotes citizen
participation in solving environmental problems andto this end describes three main structuralcharacteristics of Landcare. In order to achieve thisaim, a model has been constructed by analysing theoutcomes of in-field research carried out by theauthor in Australia, mainly in Victoria, with support
from universities, other organisations andindividuals from both Australia and Japan [6]-[9].
The in-field research in Australia was carried out
through interviews with individuals, observation
through participation and documentation analysis,
during the periods 24th August to 6th September
2012 and from 1st June 2013 to 20th May 2014.

INTRODUCTION
It is recognised that environmental problems are
best handled with the participation of all concerned
citizens at the relevant level [1]. However, thedevelopment of effective models for promoting
citizen participation to solve environmental issues isstill in its early stage. With the aim of suggestingsuch a community support system model, this study
focuses on the system of the Landcare movement inAustralia (here, referred to simply as Landcare).
Landcare is a nation-wide movement ofcommunity-based natural resource managementborn in Victoria in 1986. It has been tackling
Australia’s serious environmental problems, whichhave resulted from extensive deforestation and fromweed and pest animal infestations begun with
European settlement in 1788. Landcare promotes
and supports local voluntary groups which aremanaged by the local people themselves [2][3]. Its
effectiveness has been evaluated by the government[4] and research shows that participating in Landcare
leads to significantly higher levels of awareness andconcern for a range of environmental and social
problems among landholders [5].

ANALYSIS AND DISCUSSION
Through analysing the outcomes of the author’s
in-field research, from the perspective of trying to
identify the institutional structure, it was found that
there were three main characteristic elements which
comprise the structure of Landcare: Establishing a system and a spirit of multi-party
partnership throughout the nation [6].
 Securing human resources who, with flexibility
to adjust to each locale, act as coordinators
supporting local groups [7][9].

PURPOSE AND METHODOLOGY

880

SEE-Osaka, Japan, Nov. 21-23, 2016

 Maintaining a holistic support system fromgovernments who respect the autonomy of localgroups [8].

insurance packages to them in case of accident.
Within the Victorian State Government Departmentof Environment and Primary Industries (DEPI) there
is a team called the Victorian Landcare Team whose
members work at regional or state level.
At the national level there are a further twoorganisations. Landcare Australia Limited (LAL)
manages public awareness and sponsorship
campaigns. It obtains corporate sponsorship fundingfor Landcare and similar groups associated with it,
and raises awareness of the programs, brands andlogos of Landcare across the nation. The AustralianFederal Government invests in the 56 regional
natural resource management (NRM) bodies acrossthe nation, including CMAs, to support farmers andland managers and encourage conservation in local
communities. This is carried out primarily throughRegional Landcare Facilitators (RLFs) whose roles
will be described later.
At the international level, Australian Landcare
International (ALI) helps other countries or regions
outside of Australia to learn from the Australian
Landcare movement, and promotes crossreferencing and learning between different countries
or regions.

Establishing a System and a Spirit of Multi-Party
Partnership
The first characteristic element of Landcare isestablishing a system and a spirit of multi-party
partnership across the nation. In this section I willsummarise the findings of [6]. The basic unit ofLandcare is each local voluntary group called a
Landcare group, and there are six core relatedorganisations which support and empower Landcare
groups and one organisation which supports andconnects overseas groups/activities to Landcare inAustralia (See Table 1). This network of multi-party
partnership works at four different levels.
Table 1 Core related organisations in Landcare(including Landcare groups and Landcare networks
which are systems of networking among the
Landcare groups)

Support from the Organisations and Coordinators
The seven identified core organisations and thepeople collectively called Landcare Coordinators or
Landcare Facilitators (here, referred to simply as
coordinators) support individuals, the Landcare
groups and their activities in various ways byprovidinginformation,
consultation,
funds,
volunteers, and know-how about how to accessappropriate resources to care for the land.
For example, focusing on the state level, in
Victoria, each CMA encourages landholders,
community groups, and governments to address
NRM issues through providing information,
allocating funds, and through communication withlocal people, communities, organisations andgovernments. On the other hand, focusing on thenational level, the National Landcare Programme(NLP) was launched, taking its lead from the state ofVictoria, with the goal of achieving efficient,sustainable, and equitable management of natural
resources throughout Australia. The 56 NRM bodies
across the nation (including the CMAs) act asdelivery agents at the regional level of the NLP.
Each of them works with communities to identify
and set local priorities for how funding is to be used.
The coordinators at regional NRM bodies linkindividuals, community groups including Landcare
groups and networks, and funding organisations at
the regional level.

Core Organisations at Regional, State, National andInternational Levels
Ten Catchment Management Authorities(CMAs) function as delivery agents at the regional
level in Victoria providing information and skilled
staff members, allocating funds, and facilitating
collaboration between individuals, community
groups, local organisations, and others.
Three organisations function at state level. The
Victorian Landcare Council (VLC) presents theinterests of grassroots individuals and groups to stateand federal governments, government agencies,
local government and CMAs. It participates indeveloping government policy on natural resource
management and building a stronger partnership
between Landcare members and policy makers.
Delegates of the Landcare groups, networks, and thestaff supporting them make up the council. The
Farm Tree and Landcare Association (FTLA)
provides information, governance training andconsultation to the groups and to individual
members, and also since the 1990s has provided

Securing Coordinators to Support Local Groups881

SEE-Osaka, Japan, Nov. 21-23, 2016

Positions and Roles of Coordinators

among the various stakeholders. Through the fourlevels of coordination, Landcare as a whole has astructure that enables individuals and groups whoneed information, volunteers, funding, and knowhow to access these resources.

The second characteristic element of Landcare issecuring coordinators who support local groups
including Landcare groups. In this section I willsummarise the findings of [7] and [9]. There are six
identified Coordinator positions working at four
different levels (See Table 2).

Motivating Local Groups to have Coordinators andProvide Training Programs
An initiative called the Victorian Local Landcare
Facilitators Initiative motivates local groups to havecoordinators. In this initiative, the roles andresponsibilities of each local Landcare facilitator are
defined in a way that is adapted to the circumstancesand needs of the particular area, thus contributing to
the empowerment of the local people. The Initiative(known as the Victorian Landcare Facilitator
Program since 2015) supports Landcare groups andnetworks in Victoria by providing funds to 60 new
LLFs, who are paid part-time coordinators, based on
the recognition that “recruiting from within the local
community means the facilitators will have a goodunderstanding of the local area and issues and will
be able to work more closely with their local groups”[10]. Funding can be used to cover the salary andoperating costs of the new position.
It has become apparent that various skills such as“computer skills, sponsorship marketing, mappingand monitoring, project management, publicity andcommunity education” are required of coordinators[11]. A one day training program entitled “Secrets to
Successful Groups” which is held at a local hallprovides coordinators with the opportunity to learn
about the governance of groups or networks. The
training is provided by the FTLA with support fromthe RLF in that area. The program covers topics
such as “Effective Decision-Making”, “Legal Duties
of Committee Members” and “Volunteer
Recruitment”, and includes lectures by a staff
member of the FTLA, a lawyer, and a specialist incommunity engagement and facilitation [12].
Through attending this program, participants acquire
the basic knowledge needed for managing a group ora network, such as decision making, risk
management, and how to get more people involved.

Table 2 Identified coordinator positions

Local Landcare Facilitators (LLFs) and Landcare
Project Officers/Project Officers/Project Managers(LPOs) who work at the local level help the
Landcare groups and networks to concentrate on theon-ground work by assisting them withadministration and other duties.
Regional Landcare Coordinators (RLCs) andRegional Landcare Facilitators (RLFs) who work at
the regional level support Landcare networks orgroups and similar associated groups by providingthem with relevant information such as upcoming
events, funding, forums, training for capacity
building and allocating funding from thegovernments in the form of grants.
The members of the Victorian Landcare Team
(VLT) who work at the regional and state levels
manage the state-wide program of Landcare throughallocating funds and by providing information where
needed. They hold forums in each region, publish
newsletters, and manage a website where people canaccess information related to Landcare in Victoria
including contact numbers of coordinators.
The National Landcare Facilitator (NLF) who
works at the national level plays an advisory rolewith a special focus on sustainable production in the
primary industry sector and the engagement andparticipation of community groups in natural
resource management programs. This role links
Landcare in the six Australian states and two
territories through communicating with RLFs basedin 56 NRM bodies across Australia.
In short, at each level, coordinators havepromoted the building of a network of partnership

Maintaining a Holistic Support System from
Governments
The third characteristic element of Landcare ismaintaining a holistic support system from state andfederal governments. In this section I willsummarise the findings of [8]. There are four typesof government support (See Fig.1).
With regard to informational support, theVictorian state government provides information
related to Landcare through managing a website
called the Victorian Landcare Gateway where
people “can find news from Landcare groups and882

SEE-Osaka, Japan, Nov. 21-23, 2016

networks, including up-coming volunteer activities
and events, resources and toolkits for groups,
information on grants and projects, as well as group
and network contacts” [13] and through a magazine
calledVictorian
Landcare&Catchment
Management. At the national level, LAL provides
information on its website which includes a National
Landcare Directory.
As for financial support, in the state of Victoria,
the state government provides funding in the form ofVictorian Landcare Grants which are for “on-groundworks that deliver on local, regional and Statepriorities, capacity building activities for landstewardship and on-ground change, projects that
promote innovation through experimental trials andpilot programs, start-up funding and maintenancegrants to ensure a strong Landcare base across theState, and opportunities to promote Landcare andincrease membership and volunteer numbers” [13].
At the national level, the federal government
provides funding through the National Landcare
Program and also provides the possibility of tax
deductions for landowners incurring capital
expenditure for their property improvements.
Regarding technical support, in Victoria, thestate government invests in RLCs, one based in eachregion in Victoria, and also, the federal government
invests in RLFs, one based in each of 56 regional
NRM bodies across Australia.
With regard to motivational support, the state
government of Victoria provides the Victorian
Landcare Awards (VLA), and the federal
government provides State & Territory LandcareAwards (STLA) and National Landcare Awards(NLA). STLA including VLA are held “toacknowledge the success and achievements ofcommunity Landcarers, groups, networks, andorganisations who have been working to protect andrestore our environment” and the winners of somecategories will go on to represent their state or
territory at the NLA [14].

Firstly, there are three strengths of the Landcare
multi-party partnership structure. Continuous
economic support towards local Landcare groups
and their activities is ensured based on the diversityof the financial sources such as state and federal
governments and LAL who provide or allocate
grants to local groups and their activities. Because
Landcare groups are basically self-funding, they
won’t immediately cease to function even if some of
the financial support from governments or others iswithdrawn. Due to the diversity of the financial
sources in Landcare which result from its multiparty partnership structure its economic base isstrong.
Also, the efficiency of solving environmental
problems and managing natural resources from agovernment perspective is improved. It is more costeffective for governments to support and promote
maintenance of the local environment by localgroups at the local level, than to carry out the sameactivities using public expenditure [15].
Finally, the structure provides opportunities forcompanies, schools and individuals to contribute toimproving or regenerating their own local
environment. For example, Landcare has been
regarded as a valuable activity for companies
wishing to invest in the environmental sector.
Furthermore, Landcare provides opportunities for infield education about the local environment for local
school children, and it also provides opportunities
for older persons to connect with the community
through Landcare groups enabling them to sustainsocial connectedness through working with others
for their local environment.
Secondly, securing coordinators who support
local groups in Landcare is a strength in that it isprotecting and enhancing the local knowledge
regarding the natural environment and culture which
has been passed from one generation to the next andamongst individuals within each local community.
As shown in the previous sections in this paper, theinitiative called Victorian Local Landcare
Facilitators Initiative (VLLFI) and the training
program organised by FTLA support local Landcare
groups and networks to employ and improve theskills of coordinators who are familiar with the local
environment and community. Such initiatives andprograms improve the management of the localgroups and expand the range of their activities while
protecting and enhancing the local knowledge inlocal communities.
Thirdly, support from the state and federal
governments is a system strength in that it has beenencouraging
sustainable
management
anddevelopment of the local groups and networks
holistically whilst maintaining their autonomy.
Examples of government support include providing
grants which promote and support the establishment

Fig.1 Four types of government support
Features and Challenges of Landcare andAddressing these Challenges
Features–Strengths of the Three Elements
883

SEE-Osaka, Japan, Nov. 21-23, 2016of new groups and networks, publishing magazines,
managing websites, and funding coordinators who
provide information related to NRM ranging fromknow-how regarding soil conservation to groupmanagement, which supports sustainable groupmanagement and the development of activities.

government policy on NRM from the local
perspective to wider perspectives such as regional,
state or national. It has been pointed out that groupmanagement and the development of activities has
been slowed down by such tendencies [18]. At
meetings of the Victorian Landcare Council (VLC),
the tendency to switch off the priority in government
policy on NRM from the local perspective to a wider
perspective was one of the topics of discussion [19].

Challenges in the Three Elements
Firstly, there are two challenges regarding thestructure of the multi-party partnership in Landcare.
The budget allocated by governments to Landcare
has declined due to changes in the economic
situation and changes in government policy [15].
The decline of the budget does not immediately
affect the local Landcare groups and their activities
because they are basically self-funding. However,ultimately it affects the local activities which aresupported by government grants and it also affects
the employment of coordinators who are employedthrough funding from the governments.
Another challenge is the aging of the membersof local Landcare groups and the limited number ofyounger participants. This is a shared challenge
across the state of Victoria [16]. It is apparent
Landcare needs to develop and implement a plan tofoster the next generation, and encourage them totake over local group management and the planningand implementation of activities.
Secondly, there are also two challenges withregard to securing coordinators to support local
Landcare groups. It is becoming increasingly
difficult for local groups and networks to employ
coordinators. With regard to this, Curtis and Sample(2010) point out that the Landcare groups andnetworks rely heavily on the work of coordinators incommunicating
with
co-operators
includinggovernments, and also point out that most of thecoordinators who are employed by Landcare groups
and networks are funded through grants fromgovernments [17]. Thus the decline in the budget
provided by the governments to Landcare affects theemployment of coordinators.
Another challenge is the excessive amount ofwork of coordinators and the unstable situation someof the coordinators find themselves in. The VLLFI(VLFP) stipulates that the role of coordinators is tohelp local groups become self-sustainable and also,that day to day administrative work for groupmanagement and activities are not the coordinator’srole. However, their workload remains huge,
especially regarding paperwork related to reports
and fundraising. This makes it difficult for
coordinators who are employed part-time to sustain
their role due to limited work time and salary.
Thirdly, the challenge with regard to maintaining
a holistic support system from state and federal
governments is the tendency to depend on
government support and to switch off the priority in

Activities for Overcoming the Challenges
Activities for overcoming the challenges in the
structure of the multi-party partnership in Landcare,local Landcare groups and networks include
encouraging others to join the activities carried out
by local groups, by putting more recreational
activities rather than purely conservation or
agricultural activities into tree planting programs orother field day events [6]. As for the recruitment of
new members, especially younger people, by localgroups, this is still in process, but the current
members have been implementing plans to promote
the activities of local Landcare groups in order toencourage others to join to compensate for the
shortage of participants.
Also, the VLC holds meetings and discussions at
which they share information about the situation ineach region and suggest ideas for improvement
through communication with the staff of CMAs andother local groups. The VLC has its own website
and provides notes and other information regarding
its meetings and the outcomes to interested people.
CONCLUSION
From the perspective of institutional structure,
this study has described three main characteristic
elements which comprise the structure of Landcare
in Australia. It has been put forward as a model for acommunity support system which promotes theestablishment of local voluntary groups which planand implement activities for improving their local
environment. The three characteristic elements are:establishing a system and a spirit of multi-party
partnership throughout the nation; securing humanresources who have the flexibility to adjust to each
locale and function as coordinators supporting localgroups; and maintaining a holistic support systemfrom governments who respect the autonomy oflocal groups.
With regard to the three characteristic elements,
this study has described the strengths of Landcare
such as a diversity of financial sources within thesystem as a whole. At the same time, it showed there
are challenges such as the broad and heavy workloadwith a limited budget for each coordinator, and theshift of the priority in NRM from local to wider
perspectives. Also discussed is the establishment and884

SEE-Osaka, Japan, Nov. 21-23, 2016

September 2015, pp.17-31.
[8] Maekawa T, “A Method of Partnership between
Governments and Citizen’s Community Groups
for Achieving Environmental Sustainability inthe Landcare Movement in Australia”,
International Journal of GEOMATE, Vol. 11,
Issue. 24, accepted in 2016, pp.2284-2290.
[9] Maekawa T and Aron D, “Community
Coordinationfor
Addressing
Local
Environmental Challenges: Application of theAustralian Landcare Model to Japan”,
Interdisciplinary
Environmental
Review,
accepted in April 2016.
[10] The Hon Ryan Smith MP, Media release[online] Ready to recruit: 60 new Landcare
facilitator positions now open, Tuesday 6
December 2011.
[11] Johnson M, Poussard H, and Youl R,“Landcare in Australia” Landcare: Local actionglobal progress, Catacutan D, Neely C, Johnson
M, Poussard H, and Youl R, Eds. Nairobi:
World Agroforestry Centre, 2009, p.20.
[12] Based on an observation and on the provided
documents at the event “Secrets to Successful
Groups” held at Yackandandah, 4 April 2014.
[13] Department of Environment and Primary
Industries,
the
State
of
Victoria.
<http://www.depi.vic.gov.au/environment-andwildlife/communityprograms/landcare/victorian-landcare-gateway>(Accessed 8 June 2016).
[14] The State of Victoria Department ofEnvironment and Primary Industries, 2013
Victorian Landcare Awards Winners’ Booklet.
Melbourne: The State Government of Victoria
Department of Environment and Primary
Industries, August 2013, p2.
[15] Based on an interview with a member of theVictorian Landcare Team at Thurgoona, 12
May 2014.
[16] Based on an observation at the North East
Landcare Forum held at Wodonga, 7 June 2013.
[17] Curtis A and Sample R, CBNRM in Victoria:
Contributing to dialogue, learning and action.
Institute for Land, Water and Society, Charles
Sturt University, Albury, NSW, 2640,
Report/ILWS, No.55, 2010, pp.52-53 and p57.
[18] Tennent R and Lockie S, “Vale Landcare: therise and decline of community-based natural
resource management in rural Australia”,
Journal of Environmental Planning andManagement 56, no.4, 2013, pp.572-587.
[19] Based on an observation at annual meeting of
VLC at Nhill, 8-10 November 2013; anobservation at annual meeting of VLC at Ovens
Valley, 17 and 18 May 2014.

management of an organisation representing local
community groups which enhances communication
between grass-roots community groups andgovernments/other authorities with the intention of
overcoming the challenges.
ACKNOWLEDGEMENTS
This work was greatly supported by Charles
Sturt University Institute for Land, Water andSociety, and Mr. Rob Youl and his family andcolleagues at the Australian Landcare International,
and the administrative officers at the relevantorganisations. I also express my appreciation to thepeople who kindly helped with the in-field researchin Australia, and for the support from the Secretariat
for Promoting the Establishment of Landcare in
Japan and from Kuwako Lab at the Tokyo Instituteof Technology.
REFERENCES[1] United Nations Department of Economic andSocial Affairs, “Report of the United Nations
Conference on Environment and Development(Rio de Janeiro, 3-14 June 1992)” [online],<http://www.un.org/documents/ga/conf151/aco
nf15126-1annex1.htm> (Accessed 8 June 2016).
[2] Campbell A, “Landcare－communities shaping
the land and the future－”, Allen & Unwin Pty
Ltd, NSW, 1994, pp. 31-36.
[3] Youl R, Marriott S, and Nabben T, Landcare inAustralia –founded on local action. SILC andRob Youl Consulting Pty Ltd, Australia, 2006.
[4] The State of Victoria Department ofEnvironment, Land, Water and Planning,<http://www.depi.vic.gov.au/environment-andwildlife/community-programs/landcare>(Accessed 8 June 2016).
[5] Curtis A, “Landcare in Australia: Does it Makea Difference?”, Journal of Environmental
Management, 46, 1996, pp.119-137.
[6] Maekawa T, Seigel M, and Kuwako T, “A
Study of the Educational Approach of theAustralian Landcare Movement”, International
Journal of Affective Engineering, Vol.15, No.2
(Special Issue), 2016, pp.73-82.
[7] Maekawa T and Seigel M, “Fostering andOrganizing a System of Human Resources to
Encourage Local Groups to Care for the Land:
A Study of an Australian Model with a View toLearning from this for the Benefit of Japanese
Rural Areas”, proceedings of the 4th Asian
CulturalLandscape
Association
2015
International Symposium on AgriculturalLandscapes of Asia: Learning, Preserving, andRedefining, Indonesia, presented on 11885

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

DEVELOPING A PACKAGE OF LOCAL CAPITAL STOCKSMANAGEMENT FOR ACHIEVING ENVIRONMENTALSUSTAINABILITY: A CASE OF ICHIHARA CITY
1,2

Tomomi Maekawa1 and Hidefumi Kurasaka2
Graduate School of Humanities and Social Sciences, Chiba University, Japan

ABSTRACT
It is necessary that capital stocks be maintained for achieving environmental sustainability, however, there isas yet no firmly established methodology for maintaining and managing capital stocks. In order to develop amethodology of capital stocks management, this study focuses on the developmental process of creating amethodology package that will assist city officials and others such as the staff of not-for-profit organisations inJapan to manage local capital stocks. The package has two main elements; providing access to a simulator whichshows expected changes in local capital stocks in each city; and providing workshops to promote the sharing of
knowledge and discussion among local students and people of other generations. Through the implementation ofthis package by the project members, it has been found that the package generated realisation within junior highschool and high school students of expected changes to the cities, and encouraged a diversity of ideas among
them. Through promoting the sharing of ideas, it has proved effective as a tool for generating suggestions
regarding the management of capital stocks to be presented by participants at the workshops to the city mayor.
Keywords: Sustainable Resource Management, Local Capital Stocks Management, Participation, Simulator,
Workshops

stocks at the level of the basic administrative unit:
city, town, or village [2].
In order to assist city officials and others such as
the staff of not-for-profit organisations withmaintaining and managing the local capital stocks,
the project called OPoSSuM (Open Project on Stock
Sustainability Management), was launched in
November 2014 [2].

INTRODUCTION
It is recognised that there are four categories ofcapital stocks which need to be maintained forachieving sustainability of societies, including
environmental sustainability [1][2]. These categories
are “natural stock” such as agricultural land
maintenance and fish stock maintenance, “material
stock” such as architecture and recycling, “humanstock” such as education and care, and “social stock”
such as public service and community NPOs [3].
Focusing on the situation in Japan, especiallysince 2008 when the population of Japan began to
decline [4], there are various challenges due to the
population decline. Some of these challenges are thefollowing: population decline and ageing, global
warming and environmental degradation, ageing
infrastructure, and disappearance of communities
and decline of social connectedness [3]. To deal withthese challenges, it is necessary to consider theparticular context of each locality and also to
respond to local needs, from the perspective of thesubsidiarity principle which means that what can be
dealt with by the basic administrative unit should beleft to that unit, and a wider administrative unit
should deal with other issues [2][5]. However, thebasic administrative unit tends to lack the necessary
information and human resources for dealing withthe challenges mentioned above, and further, there isno firmly established holistic methodology that canbe used for maintaining and managing these capital

PURPOSE AND METHODOLOGY
In this study, the authors, who are members ofthe management team of the project (Tomomi
Maekawa joined in March 2016 and Hidefumi
Kurasaka has also joined since the launch of the
project), focus on the developmental process and theoutcomes of the project OPoSSuM, which have beenachieved during the period from November 2014 toJune 2016.
The purpose of this study is to analyse thedevelopmental process and the outcomes of the
project and to identify the challenges for the futureof the project with a view to improving the contentsof the package. In order to achieve this purpose, theauthors focus on a case study of the implementationof the package in Ichihara city, Chiba prefecture.
The implementation was carried out on 19 and 20
August 2015, and on 24 March 2016.
The methodologies used in this study are
documentation analysis on the project including
materials such as the brochure and leaflet used for886

SEE-Osaka, Japan, Nov. 21-23, 2016

carrying out the implementation in Ichihara city, andparticipatory observation through participating in the
management team of the project as members.

following changes: the supply and demand inchildcare, education, medical and care services; thelevel of labour which is necessary to maintain thecurrent level of cultivation; the amount of housing
and number of households; and future revenue andexpenditure.
Using the “Future Simulator”, the projectproduces the “Future Card” which summarises what
the “Future Simulator” shows. The project
distributes a “Future Card” to each city/town/village
which requests it from the project.

ABOUT PROJECT OPoSSuM
In order to deal with the various challenges thatJapan has been facing, mentioned in the first chapterof this paper, the project team of OPoSSuM (whichis composed of researchers from several different
universities and institutes) has been developing a
package, which is intended to assist people such ascity officials and the staff of not-for-profit
organisations to maintain and manage local capitalstocks in their areas [2]. In this chapter, we describe
the contents of the package through analysis of the
project’s documents such as the brochure and theleaflet [3][6].

Developing the “Future Workshops”
The project team has also been developing aworkshop method which it has named “FutureWorkshops”. This encourages local people such as
junior high school students, high school students andelderly persons to recognise the challenges in theirown areas identified through the “Future Simulator”,
and to start thinking about and taking action towards
solving the challenges.
At the “Future Workshops”, the participants―
mainly junior high school students and high school
students ― give policy recommendations to thecurrent mayor, as future mayors of 2040. With aview to enhancing the understanding of the local
area by the participants themselves, after a lecture on
the results of the “Future Simulator” by the project
members, the participants walk around key areas of
the city/town/village which demonstrate the type ofcommunity, the local industrial structure,
educational facilities, etc. Then, the participants are
divided into several groups and through discussion
within the groups work on generating policy
recommendations.

Designing a Package as an Approach
Based on the recognition that local capital stocks
management should respond to local needs and that
future generations are an important part of thecommunity, the project team decided to develop a
package with the following two elements.
The first is providing access to a simulator whichshows expected changes in local capital stocks ineach basic administrative unit―city, town or village― , which is named the “Future Simulator”. And
secondly, providing workshops to promote thesharing of knowledge and discussion between local
students and people of other generations, which are
named the “Future Workshops”.
Developing the “Future Simulator”
The project team has been developing the“Future Simulator” in order to identify thechallenges facing local capital stocks management ineach basic administrative unit. The aim of thedevelopment of the “Future Simulator” is to predictthe gaps generated between demand and supply for
maintaining human capital stock such as childcare,education, medicine and care; between demand andsupply of housing; and between revenue andexpenditure of local authorities. These gaps are
predicted based on the hypothesis that the trends
existing in or around 2015 will continue until 2040.
For example, with regard to the industrial
structure, the “Future Simulator” predicts the likely
industrial structure in 2040 based on the long term
population projection while assuming that the trends
in the number of people employed by industry since2000 will continue ― It is estimated that the
population in Japan in 2040 will have shrunk by
about 15% compared to 2015 and the number ofpeople who are employed will have decreased by
20%―. Regarding the other topics, it predicts the

Implementing the Package
Implementing the package involves three steps:
lecturing on the results of the “Future Simulator” tothe participants; leading the participants on a walkaround key areas in the locality; and facilitating thediscussion and generating policy recommendations
among the participants. The 3 steps are carried out
by the members of the project.
Step 1: Lecturing on the Results of the “Future
Simulator”
Firstly, the participants learn about the status of
the local capital stocks in their own area from theresults of the “Future Simulation.” This is carriedout through listening to a lecture referring to the“Future Card” which is made and distributed by the
project team.
Step 2: Leading Participants on a Walk around Key
Areas in the Locality887

SEE-Osaka, Japan, Nov. 21-23, 2016

students and 1 high school student participated in theimplementation [7].

Secondly, the participants walk around key areasin the locality while referring to a map whichreflects the estimated local population in 2040. The
project members ensure the safety of the student
participants, and also enhance awareness in theparticipants about the expected changes in reality.

Implementation―Step 1
In Step 1 the results of the “Future Simulation”
were presented in a lecture to the participants at ahall in Ichihara city. Information presented regarding
the results of the “Future Simulation” for Ichihara
city included the following [6]: The population of the city will decline by about
20% by 2040 as compared to 2015.
 The number of workers in 2040 will shrink toabout 75% of that in 2015.
 The number of people working in both theconstruction industry and agriculture in 2040
will decline to about 40% of that in 2015, andthe number of people working in the areas ofcare and welfare will increase by about 10% in
2040 as compared to 2015.
 The population of school children in 2040 will
decline to about 60% of that in 2015, and due tothis, the number of schools in the southern areaof the city will decline.
 The rate of abandoned farm land will be about
28% of the cultivated land in the city.
 The rate of vacant houses will be about 15% of
the houses in the city.
 The number of households located far frompublic transport such as railways and bus
services will amount to 8500 (7.5% of the total
number of the households in the city).
 Landfills in the city will be filled to capacity inaround 2026.
 Revenue of the city will amount to 640 billion
yen and expenditure of the city will amount to
698 billion yen.

Step 3: Facilitating Discussion and Generating
Policy Recommendations among Participants
Finally, with assistance from the facilitators (theproject members), the participants, working inseveral groups, generate policy recommendations
through exchanging ideas with the other members of
their group. This workshop style ensures eachparticipant gains new ideas and also clarifies his/her
recognition of the challenges in the local area. Groupdiscussion is facilitated by a series of guidelines(See Table 1) [6].
Table 1 “Future Workshops” Discussion Group
Guidelines
Suggestingideas
toothers Suggest as many ideas as possible,
don’t worry about their quality.
 Unique ideas which might soundstrange to others will be welcome.
 Don’t be critical of others’ ideas.
 Think holistically through seeing
and listening to others’ ideas.

Attitudes Try to show your agreement or
sympathy to others by nodding or
your facial expression.
 Write down ideas in large
characters and speak clearly when
you make suggestions.
 Keep calm and quiet when you
have to concentrate on writing
ideas.

Implementation―Step 2

IMPLEMENTATION
Implementation Targeting Younger Generations
In this section, we describe the process andoutcomes of the implementation of the package inIchihara city on 19 and 20 August 2015, based on
the documentation and reports created by the project
members. This implementation targeted the younger
generation, that is, junior high school and highschool students living in Ichihara city [7]. Throughrecruitment by advertising in the publicity ofIchihara city and by distributing flyers to the local
junior high schools and high schools through theboard of education of the city, 39 junior high school

Fig.1 The participants at the Future Workshop on
19 and 20 August 2015 walking around the area
near Jyousouushiku station. (Photo was taken by
H. Kurasaka.)
888

SEE-Osaka, Japan, Nov. 21-23, 2016

outcomes of an implementation of the package inIchihara city on 24 March 2016, throughparticipatory observation and based on the
documents created by the participants and the
project members. This implementation targeted theelderly generation living in Ichihara city andcomprised of 10 people aged over 65 years of age.
They were recruited at a centre for elderly people
who are willing to work. Step 2 of theimplementation was omitted as the participants hadenough knowledge of the local geography andsituation.

The participants visited the following 3 key areasof the city including experiencing the local railway
called Kominato railway; the area around
Jyousouushiku station (See Fig.1); a community
centre named Uchida Mirai Gakkou which is using abuilding of a closed local school; andIdemitsukousanchibaseiyujo, which produces about
40% of the total oil production of the Idemitsu group.
The participants also listened to lectures given by
the staff at Uchida Mirai Gakkou and at
Idemitsukousanchibaseiyujo [6].
Implementation―Step 3
On the second day of the implementation theparticipants worked on generating policy
recommendations through exchanging ideas with theother members of their groups. In each discussion
group, the participants wrote their own ideas on
small sticky notes which were then placed on a large
blank sheet of paper. The sticky notes were thengrouped according to categories suggested following
discussion of what the students had seen, heard, andlearnt at the lecture and after visiting the key areasof the city. The methodology used in this discussion
was the Jigsaw method where the members are
partly exchanged among the groups during
discussion [7].
Finally, after completing the work on the blank
sheets, the participants gave presentations regarding
what they had generated through discussion in theirgroups to all the other participants and the observers
including the mayor of the city (See Fig.2). The
participants ― local students ― gave their policy
recommendations, as future mayors, to the current
mayor and exchanged comments. Some of thesuggestions which were generated by theparticipants included: Growing seedlings via field learning at schools.
 Students/staff of local schools visiting elderly
people and informing them of events which
they can join in.
 Increasing the salaries of care workers andincreasing the number of care facilities for
elderly people.
Also the project team received comments fromthe participants after the implementation such as:“The most important thing is the relationships
between people. I think interactions among people
will grow Ichihara city as a city where people cantalk together and cooperate with each other. I would
like to talk with various people at another ‘FutureWorkshop’ in the future.” [8].

Fig.2 The list of policy recommendations
generated at the Future Workshop on 19 and 20
August 2015. (The project team compiled thiscomposite list from the recommendations of all
the groups at the implementation. The originallist was made by H. Kurasaka and was thentranslated by T. Maekawa.) The categories of
the ideas are as follows: population/child care,industries(employment/agriculture/others),
schools/education, history, information/PR/sightseeing/ events, ageing/care/medical care,social connectedness, vacant houses, Kominato
railway, golf course, regeneration of southernarea, natural environment/global warming,
rubbish, refreshment of city politic, finance, andothers.

Implementation Targeting Elderly Generations
In this section, we describe the process and889

SEE-Osaka, Japan, Nov. 21-23, 2016

Implementation―Step 1

The lists of policy recommendations based on thecompleted sticky note displays (See Fig.2) show thediversity of the ideas and suggestions generated
through discussion. Also, the participants at the
Future Workshop on 24 March 2016 realised that thetwo groups came up with ideas that were bothsimilar and different, through being able to view
both displays (See Fig.3).
Thus, through implementing the package inIchihara city, it was found that the package
generated a realisation within junior high school andhigh school students and also within elderly peopleof expected changes to the city, and encouraged adiversity of ideas among them.

As with the implementation in August 2015, theresults of the “Future Simulation” were presented tothe participants at a lecture in Ichihara city. Because
the location was the same, the materials used wereidentical to those used at the previous
implementation.
Implementation―Step 3

Fig.3 Participants at the Future Workshop on 24
March 2016 studying the completed blank sheet ofthe other group. (Photo taken by T. Maekawa.)
Fig.4 List of policy recommendations generated
at the Future Workshop on 24 March 2016. (Thislist was compiled and translated by T. Maekawa
Ideas
generated
at…project team and based on the
on behalfof therecommendations made by the groups at theimplementation.) The categories of the ideas areasfollows:
marriage/population,transport/shopping,rubbish,neighborhood
association,socialconnectedness,
education/children, care, elderly persons, forests,
southern areas, agriculture, forestry/golf course,
workers, city politic, natural disaster, sightseeing,
and Kominato railway.

After the lecture on the results of the “Future
Simulator”, the participants divided into 2 groups of5
andworkedon
generating
policyrecommendations through exchanging ideas with themembers of their group. The discussion style wasalmost the same as the implementation in August
2015, but this time the participants studied the othergroup’s recommendations after completing the workwith the sticky notes, instead of applying the Jigsaw
method (See Fig.3). Some of the suggestions whichwere generated from the participants were as follows(See Fig.4):
 Use local temples as venues for local people
who wish to come together to learn.
 Provide education to people on classifying
rubbish in order to promote reducing/reusing/recycling.
 Establish volunteer groups for conservation offorests.
 Switch the way of caring for Satoyama fromconservation to utilising livelihoods.

Difference in Areas of Interest of the Participants by
their Generations
It was found that there were differences in theideas generated by the younger participants andthose of a more elderly generation. The differences
appeared in some characteristic topics for eachgeneration, and these indicated that the interests ofeach generation were different. For example, theyounger generation suggested many ideas on topics
such as child raising and ways of contributing to thesociety or community, while the elderly generationsuggested many ideas on life-long learning and also
on ways to conserve Satoyama, the word which
expresses not only the natural environment but also

DISCUSSION
Findings from the Implementations
Impact of the Package to the Participants

890

SEE-Osaka, Japan, Nov. 21-23, 2016[1] Ekins
P,“Sustainable
Development”,
Environmental thought, ch.8, Edward A. Page
and John Proops, Eds. Edward Edger publishing,
2003, pp. 144-172.
[2] Kurasaka H, Satoh S and Miyazaki F,“Houkoku/Katsudoushoukai:
Chiikistock
management ni kansuru kenkyuu project
OPoSSuM no gaiyou [Report/Introduction ofactivities: A Summary of ‘OPoSSuM’ ― theResearch
Projecton
Local
StocksManagement]”, Koukyoukenkyuu, Vol. 11,
Issue. 1, Koukyoukenkyuu henshuuiinkai, Ed.
Chiba: Koukyougakkai, 2015.
[3] Kurasaka Laboratory Graduate School of
Humanities and Social Sciences Chiba
University, Brochure of the project entitled“Open Project on Stock Sustainability
Management”, Kurasaka Laboratory Graduate
School of Humanities and Social Sciences
Chiba University, Ed. and publisher, 2016.
Available at the homepage on the internet of the
project,<http://opossum.jpn.org/english/>(Accessed on 22 June 2016).
[4] The National Institute of Population and Social
Security Research “Trend of the Births, Deaths
and their Rates (as of October 1 each year)’ in‘Population Projection for Japan’ (January2012), Available at the homepage on theinternet of the National Institute of Population
andSocialSecurity
Research,<http://www.ipss.go.jp/index-e.asp> (Accessedon 22 June 2016).
[5] Kurasaka
H,
Kankyouseisakuron:kankyouseisakunorekishi oyobi gensoku toshuhou[Environmental Policy Studies ―History, Principles and Methodologies ofEnvironmental Policy]. Tokyo: Shinzansha,
2014, pp. 170-171.
[6] Kurasaka Laboratory Graduate School of
Humanities and Social Sciences Chiba
University, Leaflet of the project entitled“Ichihara Mirai workshop, collaboration of
Ichihara-shi and Chiba-daigaku OPoSSuM,
2015. 8. 19 Wed & 20 Thu” Kurasaka
Laboratory Graduate School of Humanities andSocial Sciences Chiba University, Ed. andpublisher, 2015.
[7] Miyazaki F, “Ichihara Mirai workshop no
jisshikekka ni tsuite [A Report on the Result of
the Implementation of Ichihara FutureWorkshop]” Koukyoukenkyuu, Vol. 12, Issue. 1,
Koukyoukenkyuu henshuuiinkai, Ed. Chiba:
Koukyougakkai, 2016.
[8] Based on a comment from one of theparticipants at the implementation. Translated
by T. Maekawa.

the traditional Japanese livelihoods that harmonisewith the native ecosystems.
Challenges for Improving the Package
There are challenges for improving the quality ofthe program and the implementation of the package.
These are as follows: Reflecting the estimated influence on thecity/town/village of the temporary population
decline which is caused when younger people
move away to higher education.
 Designing and incorporating some new steps orother devices for promoting links among theparticipants at “Future Workshops” and also
between the different generations.
 Establishing a system for fostering additional
facilitators and other staff who can deliver the
package, including training in facilitation skills.
CONCLUSION
Through analysing the developmental process
and the outcomes of the package that the project has
been developing, through using a case study of theimplementation in Ichihara city, it has been foundthat the package generated realisation within juniorhigh school and high school students and also withinelderly people of expected changes to thecities/towns/villages, and encouraged a diversity ofideas among them. While the package needs
additional development to improve its impact on theparticipants including building social connectedness
among the participants at the workshops, throughpromoting the sharing of ideas it has proved
effective as a tool for generating suggestions for
managing local capital stocks (in this case in
Ichihara city) which were able to be presented to thecity mayor.
ACKNOWLEDGEMENTS
The project OPoSSuM obtained funding from theJapan Science and Technology Agency (JST) and
the Research Institute of Science and Technology forSociety (RISTEX) in 2014 under the ‘designing andsustainable multi-generational, co-creational society’research and development area. The participants ofthis project are the following universities, institutes,
and authorities: Chiba University, Shibaura Instituteof Technology, National Institute for Environmental
Studies, Yachiyo City, Ichihara City, Tateyama City,
Chiba Prefecture. The principal investigator of thisproject is Professor Hidefumi Kurasaka, Chiba
University.
REFERENCES

891

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

A PRELIMINARY STUDY OF THE UTILIZATION OF LIQUIDSMOKE FROM PALM KERNEL SHELLS FOR ORGANIC
MOUTHWASH
M. Faisal1, Asri Gani1 , Husni2, Hiroyuki Daimon3
Department of Chemical Engineering, Syiah Kuala University, Banda Aceh, Indonesia
2
Department of Agro Technology, Syiah Kuala University, Banda Aceh, Indonesia
3
Department of Environmental and Life Science, Toyohashi University of Technology, Toyohashi, Aichi, Japan
1

ABSTRACTPalm kernel shells are a waste product of the palm oil industry. They have a high content of cellulose,
hemicellulose, and lignin, all of which can be converted through a pyrolysis process into liquid smoke that
contains the oxidized organic compounds ketones, aldehydes, phenols, and carboxylic acid groups with
antimicrobial properties. The objective of this research is to study the potential use of grade 1 liquid smoke asorganic mouthwash. This research considers liquid smoke’s antimicrobial properties and focuses on analyzing its
ability to inhibit the growth of streptococcus mutans living in the oral cavity. The liquid smoke used was
produced by pyrolysis performed in temperatures of 340-420oC. In order to obtain grade 1 liquid smoke,
distillation was subsequently carried out at 190oC. The ability of the produced liquid smoke to inhibit
streptococcus mutans was then tested for its minimum inhibitory concentration and diameter of inhibitory region.
Both minimum inhibitory concentration and diameter of inhibitory region tests were performed with a liquidsmoke concentration of 0.005-0.1 mg/ml. Test results of the minimum inhibitory concentration showed that theliquid smoke possesses good antimicrobial properties against streptococcus mutans, while test results of thediameter of inhibitory region was medium at 6-9 mm. The highest diameter of inhibitory region was obtained
from liquid smoke created from pyrolysis performed at 400oC and a concentrate of 0.1 mg/ml.
Keywords: Palm Kernel Shells, Liquid Smoke, Streptococcus Mutans, Mouthwash

Utami [9], where it was used to treat scabies ingoats. Other research found that the antimicrobial
and antioxidant properties came from its content ofphenol [10]. Liquid smoke was used as a natural
biopesticide to inhibit the growth of colleototrichium
capsici in chili plants [11]. In pharmaceutical andcosmetic industries, it is used mostly as skinointment and additional ingredients in cosmetics[7],[10].
Commercial mouthwash products commonly
contain alcohol as their active ingredient, providing
antibacterial properties while giving clean and fresh
sensations to the users [12]. However, the alcohol
content may cause negative effects; for example, thepotential to cause cancer increases when the alcohol
concentration is above 25% [13]. Therefore, there isa need to conduct studies on non-alcoholicmouthwashes. The antimicrobial compounds foundin liquid smoke have the potential to be developed asorganic mouthwash. These antimicrobial properties
show promise in inhibiting the growth of bacteria
living in oral cavities.
This research aims to study the potential use of
liquid smoke as an organic mouthwash and focuseson analyzing its ability to inhibit streptococcus
mutans living in the oral cavity.

INTRODUCTION
Liquid smoke is a liquid created from smoke
condensation during the pyrolysis process onwooden materials that have cellulose, hemicelluloses,
and lignin. These three components are needed tocreate a high-quality batch of liquid smoke;furthermore, different compositions of thesecompounds alter the quality of the liquid smoke
produced [1]-[3]. Palm kernel shells (PKS) contain
27.7% cellulose, 21.6% hemicelluloses, and 44%
lignin [1].
Haji [4] studied the liquid smoke composition
gained from PKS; his studies showed a liquid smokeyield of 52.02%. Another research was conducted byKim et al.[5], and found that the liquid smoke
composition produced in a temperature of 490oC
contained around 22.1% phenol, 5.46% acetic acid,and 20% comprises other compounds. This
composition indicates that PKS have the potential to
be developed into high-quality liquid smoke.
Liquid smoke possesses antibacterial andantioxidant properties that may be utilized in various
fields, such as medical and food industries. Previous
research found that it contains effective antibacterial
and antioxidant properties which inhibit and killbacteria [6]-[8]. Research on liquid smoke
conducted in the medical field was carried out by892

SEE-Osaka, Japan, Nov. 21-23, 2016

4

6,144

2.9E+08

5.64

5

8,005

2.4E+08

4.64

6

9,425

1.9E+07

0.36

7

9,872

1.8E+070.35

8

10,1082210756

0.04

9

0.257

5458099

0.11

10

10,996

2.2E+070.43

11

11,5495.8E+071.13

12

12,4198.5E+0816.47

13

12,625

7.5E+0814.57

14

13,2602.1E+08

4.00

15

13,603

3.9E+08

7.53

16

14,4789.2E+071.80

17

14,8109.6E+07

1.88

18

15,2081.8E+070.36

19

15,477

4.3E+07

0.84

Hexanoic acid, 5-oxo-,
methyl ester (CAS)
METHYL 5KETOHEXANOATE
Acetic acid (CAS)
Ethylic acid
2-Furancarboxaldehyde(CAS) Furfural
Butanoic acid (CAS) nButyric acid
Butanoic acid (CAS) nButyric acid
2-Pentanone, 5-(1,2propadienyloxy)- (CAS)
5PROPADIENYLOXY2-PENTANONE
2-Butenal, 2-ethenyl(CAS) Crotonaldehyde,
2-vinyl2(3H)-Furanone,
dihydro- (CAS)
Butyrolactone
Benzenamine (CAS)Aniline2,4,6-Cycloheptatrien-1one, 2-hydroxy- (CAS)
Tropolone
Phenol, 2-methyl- (CAS)o-Cresol
Phenol, 2-methoxy(CAS) Guaiacol
Phenol, 2,4-dimethyl(CAS) 2,4-Xylenol
2-Methoxy-4methylphenol
Phenol, 2,6-dimethyl(CAS) 1-Hydroxy-2,6dimethylbenzene
2-Propenoic acid, 2methyl-, ethyl ester(CAS) Ethyl
methacrylate

20

15,7128.4E+07

1.64

2,5-Dimethoxytoluene

21

16,005

6.9E+07

1.34

22

16,513

1.1E+08

2.19

23

17,325

2.7E+070.52

24

17,6926907259

0.13

25

17,9926284551

0.12

3-Methoxy-pyrocatechol
Phenol, 2,6-dimethoxy(CAS) 2,6Dimethoxyphenol
Benzene, 1,2,3trimethoxy- (CAS) 1,2,3Trimethoxybenzene(CAS) Methylsyringol
1,3-Dithiolane, 2-(28norurs-12-en-17-yl)(CAS)
Benzene, 1,2,3trimethoxy-5-methyl(CAS) Toluene, 3,4,5trimethoxy-

METHODOLOGY
Samples of PKS were obtained from PTPN Cot
Girek, North Aceh. Pyrolysis of PKS into liquidsmoke was performed in a pyrolysis reactor, inbatches exposed to temperatures of 340-420oC. The
reactor was composed of a form of stainless steel
and was equipped with a temperature control. Moredetailed explanations into the procedures of creating
liquid smoke may be found in previous research [14].
The smoke was condensed using a condensation unit
made of stainless steel, resulting in a grade 3 liquidsmoke, which subsequently was distilled to a grade 1
in a temperature of 190oC. The chemical compounds
were then identified using Pyro-GCMS (GCMSQP2010, SHIMADZU) based on a method
developed by Guillen and Ibargoitia [15],[16]. The
antibacterial activity test was performed bydetermining the liquid smoke’s minimum inhibitory
concentration (MIC) value against streptococcus
mutans, using the contact method on a nutrient broth(NB) medium. In addition, the diameter of inhibitory
region (DIR) was also tested as a reference tocompare the antimicrobial ability between
substances [17]. MIC and DIR tests were performed
upon the liquid smoke with concentration of 0.0050.1 mg/ml.
RESULTS AND DISCUSSIONS
Composition of Compounds in the Liquid Smoke
The composition of liquid smoke is one
parameter that determines the quality of that sameliquid smoke. Liquid smoke commonly contains
phenol, carboxylic acid, furan, lactone, and alcohol.
Different raw materials will produce different
compositions [11]. The analysis results of liquidsmoke produced at 420oC are shown in table 1. In
addition to the materials used, the pyrolysis
temperature also helps to determine the variety ofchemical components. Liquid smoke produced from
PKS at a temperature of 490oC and with 0.64 mm
samples contained 22.1% phenol and 5.46% acetic
acid [5]. The liquid smoke produced in pyrolysis of afruit stem at 500oC contains around 12.42% w/w
phenol and formaldehyde, as well as around 0.22.0% char [2].
Tabel 1 Composition of liquid smoke produced at
420oC (after distillation)
No.

R.
Time

Area

%

1

2,864

8187797

0.16

2

3,289

3958610

0.08

3

5,639

9.5E+08

18.39

MIC Value of Liquid Smoke From PKS Against
Streptococcus Mutans

Name
Carbamic acid,monoammonium salt(CAS) Ammonium
carbamate
2-Propanone (CAS)AcetoneFormic acid, methyl ester(CAS) Methyl formate

Mouthwash is used in medicines to prevent
caries caused by bacterial activity. Caries often leadto tooth cavities and thus the disturbance of health.
The bacteria that play the main role in forming
caries are streptococcus mutans, which decrease pH,
which prevents tooth mineralization [18],[19].
Streptococcus mutans live in tooth and gum
893

SEE-Osaka, Japan, Nov. 21-23, 2016

surfaces and are the main bacteria behind caries [12].
The research conducted on germ-free animals
showed that the plaque comprising streptococcus
mutans leads to the formation of caries [20].
Streptococcus mutans living in the oral cavity
produced acid from carbohydrate remains on toothand gum surfaces. This research tested the MIC ofliquid smoke against streptococcus mutans.
An MIC value refers to the minimum
concentration of an antimicrobial substance that
inhibits the growth of microorganisms overnight.
MIC is widely used in laboratory analyses to study
the resistance of certain bacteria against
antimicrobial substances. This value indicates thelowest concentration of the antimicrobial substancein which bacteria can grow [21]. MIC is alsofrequently used to determine the in vitro activities of
new antimicrobial substances. MIC values cannot be
used as a direct comparison between the ability of
one antimicrobial substance to another.
Table 2 shows that the growth of streptococcus
mutans started to be inhibited at a concentration of
0.02 mg/ml. This means that the liquid smoke’s MIC
value against streptococcus mutans is 0.02 mg/ml.

properties, whereas 10-19 mm is considered strong
and 20 mm or more is categorized as very strong[17]. Figure 1 shows the effects of various liquidsmoke concentrations on DIR values against
streptococcus mutans. As shown in the picture, DIR
values and liquid smoke concentrations increase inparallel, in which DIR values of 6-9 mm signified
that the liquid smoke possesses medium
antimicrobial properties against streptococcus
mutans at a concentration of 0.005-0.1 mg/ml.
The liquid smoke’s DIR value is highly
influenced by its phenol and acetic acid contents.
Phenol and acetic acid influence a liquid smoke’s
antimicrobial ability, as demonstrated by the DIR atevery temperature. The post-distillation phenol
concentration produced in this research wasapproximately 9.88-15.8%. The liquid smoke
produced at different temperatures contained
different compositions of phenol and acetic acid.
Phenol compound can inhibit the growth of bacterial
population by extending its lag-phase proportionallyinside a body or a product, whereas the speed of
growth in its exponential phase remained the same
except with a high concentration of phenol [23].
The above characteristics led to different DIR
values for each liquid smoke concentration. The
optimum condition in which to produce liquidsmoke with effective antimicrobial activity against
streptococcus mutans was achieved in pyrolysis
conducted in a temperature of 400oC, which
produced a liquid smoke concentration of 0.02
mg/ml, resulting in phenol and acetic acid contents
of 14.15% and 22.64%.

Table 2 MIC values for different pyrolysis
temperatures and liquid smoke concentrations

340°C
360°C
380°C
400°C
420°C

MIC (mg/ml)
0.005

0.01

0.02

-

-

+
+
+
+
+

Diameter of Inhibitory Region (mm)Liquid Smoke
Temperature

At a concentration of 0.005 mg/ml to 0.01 mg/ml,
there was no inhibitory area seen around the paper
disk after a drop of the liquid smoke. The
preliminary study focused, from necessity, on these
MIC values to see whether the bacteria were
immune to a certain antimicrobial substance.
Bacteria are categorized as sensitive to a substance if
MIC value is below 8 mg/ml [22]. The MIC values
in table 2 are the same at every temperature andindicate that the liquid smoke has good antimicrobial
properties against streptococcus mutans residing inoral cavities, due to its active compounds: acetic
acid and phenol.

10
8
340°C
6
360°C
4

380°C

2

400°C
420°C

0

Liquid smoke concentration (mg/ml)

Fig. 1 The effect of liquid smoke concentration on
the DIR against streptococcus mutans.

The Antimicrobial Properties of Liquid Smokefrom PKS Against Streptococcus Mutans

CONCLUSIONSA substance’s antimicrobial properties are
categorized as low if its DIR is less than 5 mm,
meaning that its inhibitory action is weak. A DIR
value of 5-10 mm signifies medium antimicrobial

MIC and DIR tests showed that the liquid smoke
has effective antimicrobial properties against
streptococcus mutans. MIC values obtained were894

SEE-Osaka, Japan, Nov. 21-23, 2016

0.02 mg/ml constant at every temperature, whichindicates that the growth of streptococcus mutans
started to be inhibited at a concentrate of 0.02 mg/ml.
Therefore, the temperature at which the pyrolysis isperformed has no significant influence on the MIC
value. However, the pyrolysis temperature and theliquid smoke concentration significantly influenced
DIR value, in which the DIR increase is parallel tothe liquid smoke concentration. At 0.005-0.1 mg/mlof concentration, the DIR became approximately 6-9mm, indicating that the liquid smoke's ability to act
as an antimicrobial agent against streptococcus
mutans has a medium value.

363.
[9]. Utami ASJ, Dinata ANG, Guntoro S,“Utilization of liquid smoke as scabies
medicine in goats,” JITV, Vol. 19, No.2, 2014.
[10]. Mela E, Arkeman Y, Noor E, Achsani NA,“ Potential products of coconut shell woodvinegar”, Res. J Pharm. Bio. Chem. Sci., Vol 4,
No.4, 2013, pp. 1480-1493.
[11]. Faisal M, Husni, Sriwati R, Chamzurni T,“Pyrolysis of palm kernel shell into liquidsmoke: effect of pyrolysis temperature on
liquid smoke products to inhibit colletotrichum
capsici on chili”, International Conference And
Exhibition of Palm Oil: Jakarta, 2014, 26-28
Mei.
[12]. Nareswari A, “Differences in the effectivenessof mouthwashes without alcohol chorhexidine
compared to alcoholic chlorhexidine inreducing the quantity of colonies of bacteria of
the oral cavity”, Thesis, Medicine Faculty,
Sebelas Maret University, 2010.
[13]. Winn DM, Diehl SR, Brown LM, Harty LC,
Bravo-Otero E, Fraumeni Jr JF, Kleinman DV,
Hayes RB, “Mouthwash in the etiology of oral
cancer in Puerto Rico”, Cancer Causes Contr.,
Vol 12, No. 5 , Jun 2001, pp.419-429.
[14]. Lisa G, Suhendrayatna, Faisal M, Utilization ofliquid smoke from palm oil shell for tofu
preservative”, Jurnal Teknik Kimia USU, Vol.
4, No.3, 2015, pp. 7-11.
[15]. Guillen MD, Ibargoitia ML, “Influence of the
moisture content on the composition of theliquid smoke produced in the pyrolysis processof fagus sylvatica L. wood, “. J.Agri. Food
Chem., Vol. 47, Oct. 1999, pp. 4126-4136.
[16]. Guillen MD, Ibargoitia ML, “New components
with potential antioxidant and organoleptic
properties, detected for the first time in liquidsmoke flavoring preparations”, J. Agri. Food
Chem. Vol. 46, Apr. 1998, pp. 1276-1285.
[17]. Ningsih AP, Agustien A, “Anti bacterial test of
extract viscous of kepok yellow banana plants(Musa paradisiaca Linn.) for Staphylococcus
aureus and Escherichia coli,”J. Bio. UA, Vol. 2,
No.3, Sep.2013, pp. 207-213.
[18]. Pradewa MR, “Dosage formulations of themouthwash made from Gambir (Uncaria
gambier Roxb)”, Thesis, Agrotechnology
Faculty, Fakultas Teknologi Pertanian, Bogor
Agricultural Institute, 2008.
[19]. Marchetti E, Mummolo S, Di Mattia J,
Casalena F, Di Martino S, Mattei A, Marzo G,“Efficacy of essential oil mouthwash with andwithout alcohol: a 3-day plaque accumulation
model”, Trials, Vol 12, No.1, Dec. 2011, pp.
262.
[20]. Angela A, “Primary prevention in children

ACKNOWLEDGEMENTS
This work was supported by the Ministry of
Research, Technology and Higher Education ofIndonesia, under grand research of International
Research Collaboration and Scientific Publication.
The authors also thank Mr. Harita Cahyo forvaluable discussion and help in the data analysis of
this study.
REFERENCES[1]. Abnisa F, Arami-Niya A, Daud WW, Sahu JN,“Characterization of bio oil and bio char frompyrolysis of palm wastes”, Bioenerg. Res., Vol.
6, Jun 2013, pp. 830-840.
[2]. Abdullah N, Sulaiman F, Gerhauser H,“Characterisation of oil palm empty fruitbunches for fuel application”, J. Phys. Sci., Vol.
22, No.1, Jan 2011, pp. 1-24.
[3]. Islam MN, Zailani R, Ani FN, “Pyrolytic oilfrom fluidised bed pyrolysis of oil palm shelland its characterisation”, Renew. Energ.,
Vol.17, No.1, May 1999, pp. 73-84.
[4]. Haji AG, “Chemical composition of liquidsmoke from pyrolysis of oil palm waste”,
JRKL, Vol. 9 , 2013, pp. 109-116.
[5]. Kim SJ, Jung SH, Kim JS, “Fast pyrolysis ofpalm kernel shells: influence of operation
phenol and phenolic compounds”, Bioresour.
Technol., Vol. 101, Dec 2010, pp. 9294-9300.
[6]. Darmadi A, “Utilization of liquid smoke fromsweet wood (Cinnamomum burmanni) for meat
preservative”, Thesis, Faculty of Science andMath., Andalas University, 2008.
[7]. Milly PJ, “Antimicrobial properties of liquidsmoke fractions”, Thesis, The Graduate Faculty
Of The University Of Georgia, 2003.
[8]. Sulistiyowati B, Cahyono F, Swastawati,
Identification of phenolate compounds andantioxydant activities for liquid smoke frombagasse and sugarcane skin (Sacharum
Officinarum)”, Chem info, 1 ,2013, pp. 362-

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with high caries risk”, Dent.J., Vol. 38, Jul
2005, pp. 130-134.
[21]. Wiegand I, Hilpert K, Hancock RE, “Agar andbroth dilution methods to determine theminimal inhibitory concentration (MIC) of
antimicrobial substances,“ Nature Protocols,Vol. 3, Jan 2008, pp. 163-175.
[22]. Andrews JM, “Determination of minimum
inhibitory concentrations”, J. Antimicrob.

Chemother., Vol. 48, Jul 2001, pp. 5-16.
[23]. Barylko N, Pikielna, “Contribution of smoke
compounds to sensory bacteriostatic andantioxidative effect in smoked foods,” Pure andAppl. Chem., 49, Jan 1978, pp 1667-1671.

896

Second International Conference on Science, Engineering & Environment
Osaka City, Japan, Nov. 21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

ASSESSMENT OF OFF-FLAVOR TAP WATER DUE TO NUTRIENTAND RIVER FLOW MANAGEMENT PRACTICES IN THE UPPERKINOKAWA RIVER WATERSHED
1,2

Ryota Hino1, Nobuyuki Egusa2, Yasuhiro Wada3, Masahide Ishizuka4 and Tatemasa Hirata5
Dept. of Environmental Systems, Wakayama University, Japan, 3 City Hall of Wakayama City, Japan,
4
Dept. of Engineering, Kagawa University, Japan, 5 Dept. of Housou University, Japan

ABSTRACTThe off-flavor taste of tap water due to 2-methylisoborneol (2-MIB) is caused by blue-green algae. This is oneof the water quality problems associated with high nutrient loads, such as those found in the Kinokawa River,with drains the southwestern part of the Kii peninsula in Japan. Water quality monitoring data showed that 2MIB tended to increase when total phosphorus (TP) exceeded 0.02 mg/L. This study employed mass load andriver water quality analyses coupled with water runoff analyses to examine ways of mitigating TP load in riverwater. In this study, we showed that (1) TP mass load could be reduced by approximately half if the industrial
drainage volume standards defined in the Water Pollution Control Law were more stringent, (2) TP could bedecreased by 41% in response to TP mass load reduction and by 5% in response to an increase in river flow, and(3) TP mass load reduction combined with an increase in river flow could reduce TP to less than 0.015 mg/L andprevent increases in 2-MIB in tap water.
Keywords: Kinokawa River; off-flavor tap water; total phosphorus; mass load analysis; river water quality
analysis; distribution hydrological model

tap water and to reduce TP inflow to the Seto Inland
Sea.
This study simulated changes in TP concentration
upstream by using a numerical modeling andexamined the control policy in place to decrease TP
concentration. The study area is upstream from
Ooyodo Town to Gojo City (Fig. 2) and the periodof evaluation was from 2004 to 2006.

1. INTRODUCTION
In the Kinokawa River watershed (Fig. 1), offflavor tap water due to 2-methylisoborneol (2-MIB)
produced by blue-green algae has been a water
quality problem since 2004 [1]. 2-MIB was firstdetected downstream from Hashimoto City
(monitoring point (9) in Fig.1), and off-flavor tap
water started to be reported upstream after 2006
(monitoring points (10) to (12)). Periphytic
Phormidium autumnale is considered to be one of
the causative organisms [2].
In research on the relationship between blue-green
algae and nutrient concentrations, total nitrogen(TN) and total phosphorus (TP), along with thenitrogen phosphorus ratio (N/P ratio) are often used.
For example, Yokoyama and Yamashita [3] showedthat an increase in Phormidium tenue, a causative
organism of 2-MIB, was markedly higher under highN/P ratio. Other research showed that the growth ofblue-green algae remained strong under nitrogen
limitation but was slower under phosphorus
limitation [4]. Therefore, the control of nutrient
concentrations in a watershed is considered to be
one of the important strategies for solving the
problem of off-flavor tap water.
In the Kinokawa River watershed, the total
maximum daily loading is set in order to reduce
COD, TN and TP inputs to the Seto Inland Sea. Thatis, control of TP in the Kinokawa River watershed isneeded in order to solve the problem of off-flavor

2. STUDY AREA
Points (1) - (12) in Fig. 1 are water quality
monitoring points set by the Ministry of Land,
Infrastructure, Transport and Tourism (MLIT) or
Wakayama City. The Kinokawa River is about 136
km in length and has a watershed area of about
1,750 km2. The river flows northwest and changes
course to flow west-southwest into the Seto Inland
Sea. There are 23 cities, towns and villages inWakayama and Nara prefectures. The population isapproximately 700,000, about half of which is in
Wakayama City, located downstream frommonitoring point (1) and reaching to the estuary (Fig.
1). Forest covers about 70% of the watershed, but
the land use along the river changes.
The upper reaches of the river are covered byforest but paddy field and orchard gradually increase
from Gojo City (monitoring point (10) in Fig. 1). In
the estuary region of Wakayama City, residential
area is the main land use.

897

SEE-Osaka, Japan, Nov. 21-23, 2016

Rice paddies
Orchards

Water quality
monitring point(12)(1) Funato(10)(11)(2) Takebusa(8) (9)Kinokawa River(6) (7)(3) Fujisaki Dam(5)
Takamigawa (4) Odu Bridge(3) (4)(2)(5) Mitani Bridge
River
(1)
(6) Oda Dam(7) Kishigami Bridge
Yamatonyuugawa(8) Koino Bridge
River(9) Mikura Bridge
Kiinyuugawa(10) Okawa Bridge
Zakurogawa River(11) SaienjiRiver(12) Shimobuchi
10
20
40km
Kisikawa River 0
Irrigation weir

Wakayama PrefectureN

Urban areas
Forests
Monitoring
point

Seto
InlandSea

Nara Prefecture

Fig. 1 Figure of land use of the Kinokawa River watershed(The Ministry of Land Numerical land information in 1997)
Watershed (12)Administrative
Takatori
districtGosyo
Town(10) City
(11)
N
Gojo
Oyodo
City
Town
Orchards
Urban areas
Forests
Monitoring point

Imoze
Bridge10.1-20.0
25.1-30.0

50

Kinokawa
River
Yamatonyuugawa
Shimoichi
Town Kurotaki RIver
Village
Old Nishiyoshino
Village
0
5
10
20km

2-MIB (ng/L)

Rice paddies

4.6-10.0
20.1-25.0

Watertemperature (℃)
60

YoshinoVillage

40
30
20
10

Water quality

0

Flow rate

0

Fig. 2 Study area
In the study area shown in Fig. 2, the river isabout 20 km in length and has a watershed area of
about 220 km2. The population is approximately
115,000, and about half live in Gojo City, which islocated immediately downstream of monitoring
point (10). Forest covers about 60% of the watershedin this region.
Fig. 3 and Fig. 4 show the relationship between 2MIB and temperature and flow rate and between TP
and water temperature and flow rate at the Okawa
Bridge (monitoring point (10)). TP concentration
was determined by the molybdenum blue method(potassium peroxodisulfate decomposition). 2-MIB
concentration was assayed by these methods: gas
chromatography mass spectrometry (GC-MS) of
headspace gas in 2004, GC-MS of purge and trapsamples from 2005 through 2006, and GC-MS ofsolid-phase extractions from 2007 through 2011. As
shown in Fig. 3 and Fig. 4, the 2-MIB concentration
tends to increase when the flow rate of the river is
low and TP exceeds the eutrophication standard(0.02 mg/L, [3]).

10

20
30
Flow rate (m3/s)

40

Fig. 3 Correlation chart (Flow rate, Water
temperature, 2-MIB concentration in Okawa Bridge)
2-MIB (ng/L)

1-10

11-20

21-49

0.06

TP (mg/L)

0.05
0.04
0.03
0.02
0.01
0
0

10
20
30
Flow rate (m3/s)

40

Fig. 4 Correlation chart (Flow rate, 2-MIB andTP concentration in Okawa Bridge)
in this study are as follows (Fig. 5).
<1> River flow rate and runoff rate of surface andsubsurface water to the river are simulated by a
distributed hydrological model.
<2> TP loading from point (discharge load) andnon-point (runoff load) sources is simulated bya macro model using unit load ratios of TP
along with the runoff rate of surface andsubsurface water to the river.

3. STUDY METHOD
3.1 Summary
The models and analytical procedures employed898

SEE-Osaka, Japan, Nov. 21-23, 2016

Upstream flow rate monitoring point(Imoze Bridge)

Watershed<2-1>Discharge TP load analysis(12) Shimobuchi Irrigation weir(11) Saienji
Rice paddies
Forests
N<2-2>Runoff TP load analysis
River

River
Direction ofwater flow
Water quality
monitoring point<3>TP concentration analysis
0

2

8km

4

(10) Okawa Bridge
Downstream flow rate monitoring point (Gojo)<1>Runoff analysis

Fig. 6 Watershed mesh model (2km)

Fig. 5 Model conception diagram

Rainfall<3> TP in the river is simulated by a onedimensional steady state advection equation.
The study area was divided into 2 km × 2 km
units (Fig. 6).

Groundwater outflow
from a grid at
upper reachessin θ 3hn(slope)k ⋅ sinθ

h

γ
q=
5
 k ⋅ sinθ h + sinθ ( h − D ) 3
 γn(h< D)

Rain at ground

Tank 2Groundwater outflow
Subsurface
Tank 3River

Subsurface waterrunoff

Surface water and riverwater runoff

Fig. 7 Structure of the water sentence outflow model
Rainfall on tree crown

Rainfall on tree crown
Forest interception, transpiration

Forest interception, transpiration

α1

α2
S1 mm

S2 mm

Part of tree crown(Tank 1)

Rainfall throughtree crown(1)
Rainfall throughRainfall throughtrunk tree
tree crownRain at groundPart of trunk tree
(Tank 2)
Rainfall throughtrunk tree

Rain at groundFig. 8 Sub model for rain water runoff
with forest interception

5

q=

Slope

Effective rainfall intensity

Motion equation(river channel)

Surface, middle outflow

Outflow froma grid at theupper reaches

The distributed hydrological model proposed by
Ishizuka and Egusa [5] was used to calculate theriver flow rate and the runoff rates of surface andsubsurface water to the river (see Fig. 7).
This model consists of three sub models: surface
water and river water runoff, subsurface waterrunoff, and rain water runoff with forest interception.
In this study, the water intake rate from the weir
(Shimobuchi irrigation weir in Fig. 6) was used forthe river water runoff sub model.
The kinematic wave method was applied as the
sub model for surface water and river water runoff.

∂h ∂q+− I = re∂t ∂x

Rainwater runoff with forest
interception

Tank 1

3.2 Runoff analysis using distributed hydrologicalmodel

Continuous equation

Forest interception, transpiration

Transpiration(2)

Continuous equationdS i= ri − Qidt(4)

Motion equation

S i = K i ⋅ QiPi

(5)

(3)

(h > D)

runoff (mm/h), Ki: storage parameter of watershed,
Pi: model parameter, and i: tank number.
A tank model was applied as the sub model for
rainwater runoff with forest interception (Fig. 8) [5].

Where, h: height of runoff (mm), q: flow rate perunit width (mm3/s), t: time (s), I: water intake ratefrom the weir, re: effective rainfall intensity (mm/s),
x: distance from the top of slope mesh (mm), θ:
gradient of river channel or slope (degrees), n:roughness coefficient of Manning (mm-1/3/s), k:coefficient of permeability (cm/s), and γ: effective
porosity.
A two-cascade storage function method wasapplied as the sub model for subsurface water runoff.
Where, Si: storage height of watershed (mm), t:time (s), ri: inflow intensity (mm/h), Qi: height of

3.3 Macro model using unit loading of TP andrunoff rate of surface and subsurface water to theriver
TP discharge load from point and non-point
sources was simulated using unit load ratios. Thismethod is useful for identifying the causes ofchanges in water quality or water pollution and has
899

SEE-Osaka, Japan, Nov. 21-23, 2016

Table 3 Self-purification coefficient

Table 1 Load ratios of household wastewaterand non-point sources
SourceTP load ratio

Unit

Household wastewater
Urban area

1.3
190

g/(d・person)
kg/(year・km )Forest34kg/(year・km )Self-purification coefficient (1/min)
Age unit
0.022
February 4
0.060
2004
0.008
August 18
0.027
February 2
2005
August 3
0.022
February 1
0.030
July 12
0.028
2006
0.023
August 2
0.034
December 6222

Rice paddy

165

kg/(year・km )Vegetable farm

72

kg/(year・km )Orchard186

kg/(year・km )2
2

Table 2 Load ratios of industrial wastewater
9
10

Food
Drink, tabacco, livestock feed

TP load ratio(g/(d・million yen))
0.67
0.14

11

Textiles (except for cloth)

1.12

Source12

Cloth, others

0.11

13

Food (except for furniture)

0.00

14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
32

Furniture
Pulp, paper
Publication, printing
ChemicalsOil, coal
Plastics
Rubber
Leather
Ceramic
Steel
Nonferrous metals
Metals
Machines
Electoric machines
Communication equipment
Electronic device
Transport equipment
Precision machine
Other

9.04
0.01
0.02
0.22
0.00
0.07
0.08
0.20
0.20
0.03
0.00
0.33
0.05
0.12
0.04
0.13
0.23
0.00
2.11

2

DLi , j = ∑ ki ,n Ai Q aj ,n
2

(6)

n =1

DL5, j = ∑ k5,n A5Q aj ,n M bj ,n
n=1

(7)

Where, DL: daily TP runoff load (kg/day),subscript i: land use (1: urban area, 2: rice paddy, 3:vegetable farm, 4: forest, 5: orchard), j: time (1-365days), A: land use area ratio, R: precipitation, M:
amount of TP in orchard, k: model parameter.
3.4 One-dimensional steady state advection
equation
The TP concentration in the river was calculated
by using a one-dimensional steady state advection
equation.

vdc=−λ c + Sdx(8)Where, c: TP concentration in river (mg/L), v:
river flow velocity (m/min), λ: self-purification
coefficient (1/min), S: TP runoff load calculated by
the macro model (mg/(m3・min)).
The river flow velocity was calculated by using
river flow rate on a target day (14.1 m3/s in 2004,
7.4 m3/s in 2005, 13.5 m3/s in 2006). The selfpurification coefficient used in this study is shown in
Table 3. The self-purification coefficient tends toshow small in high runoff load and small river flowrate in this model. For example, in February, theratio of river flow rate per runoff load is smaller
than the others. It shows 0.038 m3/kg in 2004, 0.077
m3/kg in 2005, 0.073 m3/kg in 2006. August is also
the same and the ratio in 2004 is larger than theothers. As a result, it is guessed that the selfpurification coefficients of 2004 differed from theothers.

sometimes been used for the design of water basinwide sewage treatment strategies in Japan [6]. Table
1 and Table 2 show the unit load ratios used in thisstudy. Household and industrial wastewater, forests,
orchards, rice paddies, vegetable farms and urban
areas were considered to be the main sources, andmost of the unit load ratios were obtained frompublished literature [7].
The unit load ratio for industrial wastewater was
calculated using published literature and the value ofthe industrial shipment for Wakayama and Naraprefectures [7], [8].
The TP load ratio of the orchards was calculated
by subtracting the production of each fruit crop fromthe amount of fertilizer applied to the orchards [9].
This was necessary because the discharge ofphosphorous from the orchards is greatly dependent
upon the type of fruit, the crop of fruit, and theamount of fertilizer applied, and it was therefore
impossible to obtain the proper load ratio fororchards from previous literature.
Daily TP discharge load values from point sourceswere calculated by dividing the annual TP discharge
load by 365.
On the other hand, daily TP runoff load from nonpoint sources was calculated by using the macromodel [10].

4. RESULTS AND DISCUSSION
4.1 River flow rate
Fig. 9 shows the river flow rate at Okawa Bridge(monitoring point (10)). The simulated river flowrate (A) considers the water intake at the Simobuchi
irrigation weir, while (B) does not consider the water900

SEE-Osaka, Japan, Nov. 21-23, 2016

Simulated river flow rate (B)Observed river flow rate

200
180
160
140
120
100
80
60
40
20
0

0
50
100
150
200
250
300
350

Day precipitation (mm)River flow rate (m3/s)

Day precipitation
Simulated river flow rate (A)

400
450
1/1

2/1 3/1

4/1 5/1

6/1 7/1 8/1 9/1 10/1 11/1 12/1
Time (month/day)Fig. 9 River flow rate (Gojo in 2006)
Table 4 Simulated result (TP runoff load,river flow rate and TP concentration)
Year
2004
2005

2006

Time

Load
(kg/day)

River flow rate
(m3/day)

February 4
August 18
February 2
August 3
February 1
July 12
August 2
December 6

109.6
109.6
107.5
107.5
300.3
123.7
123.7
123.7

4.18
16.92
8.35
11.14
22.08
9.40
11.30
6.25

system is pushed forward by a Yoshinogawa Riverbasin sewerage plan started from 1982. Therefore
TP runoff load from households was calculated forsewage system coverage at 100%.
For industrial drainage, the Fifth Area-Wide Total
Pollutant Load Control for water quality was applied
from 2003 to industrial sites with drainage
exceeding 50 m3/d in the Kinokawa River watershed.
However, most industrial sites in this area havedrainage that is less than 50 m3/d. In this simulation,
TP runoff load from industry was calculated on theassumption that the Fifth Area-Wide Total Pollutant
Load Control for water quality was applicable to allindustrial sites. The simulation result shows that the
TP runoff load would be reduced by 46.1%, with42.8% from industry, 3.3% from households,
respectively.
As a simulation of river flow rate, the control ofwater intake from the Shimobuchi irrigation weir
was attempted. River flow rate increased
approximately 30% when the amount of water intake
was reduced 20% in the irrigation period.
Fig. 10 shows the result of the simulation. Whenthe average TP runoff load and river flow rate arecontrolled, the TP concentration decreased 48%. The
decrease achieved by TP runoff load control is 45%,
but the effect of water intake control is only 3%.
When focusing on the irrigation period, the TPconcentration could decrease 46%. The effect of TP
runoff load control is 41% and the effect of water
intake is 5%. This result means that the TP runoff
load control is effective in this study area. It should
be noted that the TP concentration was below 0.02
mg/L, which is the eutrophication standard, except
for on February 1.
The TP discharge load on February 1 was muchlarger than the others, and the effect of concentration
reduction was only 22% and TP exceeded 0.02 mg/L
because TP runoff loading from non-point sources
was large due to rainfall. If the amount of fertilizer
application and runoff load from forest can be
reduced, the TP concentration on February 1 couldTP
simulated observed(mg/L)(mg/L)
0.027
0.027
0.014
0.014
0.023
0.023
0.020
0.020
0.036
0.036
0.023
0.023
0.021
0.021
0.028
0.028

intake.
Particularly in the period of irrigation (June to
September), simulation result (A) better reflects thedecrease in river flow rate than does simulation (B).
Thus, simulation (A) was used in the distributedhydrological model.
4.2 TP runoff load and TP concentration
Table 4 shows the results of the river flow rate,
TP runoff load and TP concentration at Okawa
Bridge. The simulated TP concentration matches themonitoring point observations well. In addition, thesimulation results show that TP tends to increase
when river flow rate is low and/or TP runoff load islarge. These results mean that the increase in TP
concentration can be controlled by management ofriver flow rate and TP runoff load.
4.3 TP concentration control policy
In this section, the policy for reducing TP
discharge load from point sources is examinedbecause the loads from households and industry aremuch larger those from non-point sources. In the
study area in 2006, the sewage system coverage was
22%. Combined type private sewage treatment tanks
were used in 20% of the area, and single type private
sewage treatment tanks were used in 23% of the area.
The remaining 35% of the area had no sewage
treatment. In this area, the switch to the sewage901

SEE-Osaka, Japan, Nov. 21-23, 2016

No control measures
Load quantity reduction effect and 0% water intake reduction
Load quantity reduction effect and 20% water intake reduction
Observed TP concentration
0.04

TP (mg/L)

0.03
0.02
0.01
0.00

2/1

7/12 8/2
Time (month/day)

12/6

Fig. 10 Rise in river TP concentration suppressant effect result (2006)
be below 0.02 mg/L.

[2] Ando N., Numata T., Ueda K. and Asano Y.,“Outbreak and correspondence (III) of the offflavor of tap water in Yoshinogawa, Nara”,
National Water Service Research Papers, Vol.
62, 2011, pp. 590-591 in Japanese.
[3] Yokoyama H. and Yamashita S., “Investigationof the factors of musty odor in a dam reservoir”,
Advances in River Engineering, Vol. 13, 2007,
pp. 23-28 in Japanese with English abstract.
[4] Sato A. and Magara Y., “For tap water highquality by the alga obstacle security inwaterworks”, Gihodo, 1996, pp. 15-40 inJapanese.
[5] Ishizuka M. and Egusa N., “Runoff analysis
using distributed hydrological model withirrigation water use model in the KinokawaRiver”, Annual Journal of HydraulicEngineering, Vol. 52, 2008, pp. 391-396 in
Japanese with English abstract.
[6] Okada M. and Peterson S.A., “Water Pollution
Control Policy and Management”, The JapaneseExperience, Gyosei, 2000, pp. 220-235 inJapanese.
[7] Association of Japanese Sewer, “A sewer
maintenance synthesis plan investigation
guidance and commentary according to thewatershed”, 270 pp., 1999 in Japanese.
[8] Research and Statistics Department, “Economic
and Industrial Policy Bureau, Ministry of
Economy, Trade and Industry.” Census of
Manufacturers 2000 Report by Respective
Industry, pp. 356-363, 2000 in Japanese.
[9] Hino, R., Egusa, N. and Hirata, T., “Primaryconsiderations in calculation method of nutrient
emission factors based on mass balance inorchard”, Papers on Environmental Information
Science, Vol. 25, 2011, pp. 269-274 in Japanesewith English abstract.
[10] Ichigi, A., “Collection of undergroundwaterway formula exercise programs, sixthwater environment (exercise 6-15)”, Japan
Society of Civil Engineering, CD-ROM, 2002
in Japanese with English abstract

5. CONCLUSION
The results of this study can be summarized asfollows:
1) The distributed hydrological model wasapplicable to this system.
2) The increase in TP can be controlled bymanagement of river flow rate and TP runoff
load by using a macro model and onedimensional steady state advection equation.
3) The increase in TP can be controlled bymanagement of river flow rate and TP runoff
load.
4) When the average TP runoff load and river flowrate are controlled, the TP concentration could
be decreased 46%. The TP runoff load control
effect is 41% and water intake effect is 5% when
focusing on the irrigation period.
5) TP mass load reduction combined with anincrease in river flow could reduce TP to lessthan 0.015 mg/L and prevent increases in 2-MIB
in tap water.
6. ACKNOWLEDGEMENTS
This study was funded in part by a Ministry of
Education, Grant-in-Aid for Scientific Research (C),"Elucidation of nutrient runoff from fruit trees inagricultural catchment areas (representative:
Nobuyuki Egusa)".
7. REFERENCES[1] Kusube K., Okamoto M., Motooka S., Simizu
T., Tozaki O., Wada Y., Tabita K. and Yano H.,“The off-flavor of tap water outbreak example
by Phormidium tenue”, National Water Service
Research Papers, Vol. 57, 2006, pp. 570-571 in
Japanese.

902

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

MICROCOSM EXPERIMENTS ON A COCONUT-FIBRE BIOFILM
TREATMENT SYSTEM FOR EVALUATING WASTE WATERTREATMENT EFFICIENCIES
Naofumi Sato1,2, W. N. K. Dharmarathne3, Takeshi Saito1, Hiroyasu Sato4, and Norio Tanaka1,5, and Ken
Kawamoto1,5
1

Graduate School of Science and Engineering, Saitama University, Japan
2
EX Research Institute Ltd., Japan
3
Faculty of Engineering & Built Environment, The University of Newcastle, Australia
4
Graduate School of Frontier Sciences, The University of Tokyo, Japan
5
International Institute for Resilient Society, Saitama University, Japan
ABSTRACTIn developing countries, it is needed to develop low-cost wastewater treatment systems.
Utilizations of locally available biomass as biofilm support media for the wastewater treatment are
increasing interests for applications. In this study, microcosm experiments on a coconut-fibre biofilm
treatment system were carried out for evaluating wastewater treatment efficiencies in the laboratory
using two wastewater, synthetic sewage and leachate, with different pollutant loads. A bundle ofcoconut-fibre was put inside the treatment tank with low density of a single bundle and high density of
two bundles. The wastewater was firstly circulated in the system for 6 weeks (circulation stage) andthen was discharged from the treatment tank for 7-24 weeks (treatment stage). Water quality
parameters of effluents such as pH, DO, EC, BOD, COD, TC, and TN were measured at 1-weekinterval, and sedimented sludge in each treatment tank was collected to determine C and N contents.
Results shows the circulation stage became more effective to reduce BOD and COD in synthetic
sewage. For the synthetic leachate, on the other hand, effective reductions in BOD and COD wereobserved under both circulation and treatment stages. There was no effect on the fiber density on the
reduction in TC and TN values for the synthetic sewage while HFD conditions became more effective
to reduce TC and TN under the treatment stage for the synthetic leachate. The C and N consumptionsin the microcosms were dependent on fibre-densities and pollutant loads of wastewater under both
circulation and treatment stages. The C consumptions under treatment stage became around 2 times
higher than those under circulation stage and the HFD conditions gave the highest C consumptions forboth synthetic sewage and leachate.
Key words: sewage, leachate, coconut-fibre, biofilm treatment
groundwater pollution and trigger numerous
resident complaints in Sri Lanka.
The utilization of local-available biomass
resources as natural biofilm support media for thewastewater treatment is of an increasing interest for
applications due to its low cost and low technology.
Coconut-fiber biofilm treatment system (COTS),
for example, has been introduced at some local
authorities in Sri Lanka to treat the collected
sewage and leachate at waste disposal sites [1]. It
has been reported that COTS performed well fortreating wastewater under the proper maintenanceand operation. However, mechanism of wastewater
treatment in COTS and quantitative analysis fordesigning and optimizing the system are not fully
understood. In this study, we have carried out
microcosm experiments in the laboratory using

INTRODUCTION
Water pollution can be defined as extensive
presence of substances organisms dissolved orsuspended in water causing serious health andenvironmental impacts. Especially, improper
management and treatment of wastewater causesignificant
environmental
degradationindeveloping countries. Even in Sri Lanka, theamount of sewage collected has been increasing
with increase in the number of separate toilets since
1980’s. But, most of the collected sewage has been
directly discharged in vacant lands, forests, streams
or excavated pits without any treatment ([1], [2]).
Furthermore, a common practice of collected solid
waste is open dumping without any leachate
treatment. Thus, improper management andtreatment of wastewater cause surface and903

SEE-Osaka, Japan, Nov. 21-23, 2016

Table 1 Water qualities for supplied synthetic
wastewater.

both synthetic sewage and leachate for evaluating
wastewater treatment efficiency in COTS.

Wastewater
MATERIALS AND METHODS
Pollutant load
pH
DO
mg/L
EC
mS/m
BOD mg/L
COD mg/L
TC
mg/L
TOC mg/L
TN
mg/L
TP
mg/L

Coconut fiber
The fiber of coconut (Cocos nucifera L.) is richin hard organic matters with high specific surface
area and wetting ability ([3], [4]), it seems suitable
for microorganisms adhesion and biofilm formation[5]. Coconut fiber is a waste by products from thecoconut processing industries and is abundantly
available in Sri Lanka.

Synthetic
sewageLow High
8.2
7.6
5.0
2.9
564
1,336
1,450 5,930
1,770 6,360
955
3,423
529
3,018
736
2,590
258
703

Synthetic
leachate
Low
High
8.1
7.8
0.2
0.1
710
1,790
938
14,3001,720 21,400
705
6,490
406
5,570
640
691
780*
780*

*Calculated value from added K2HPO4 [3].

Preparation of synthetic wastewater
The preparation of synthetic sewage in thisstudy has been adapted based on measured data at
Balangoda Urban Council in Sri Lanka and areported data ([6], [7]]. The synthetic leachate wasprepared to meet the following objectives: 1) to be
more representative of real leachate in Sri Lanka, 2)
the medium should be stable during the operationof experiment (2 week). The preparation ofsynthetic leachate in this study has been adaptedfrom a previous study with some modifications ([8],[9]). Water qualities for supplied synthetic sewage
and synthetic leachate were shown in Table 1.

A bundle of coconut-fiber (~0.2 m length) wasused as a biofilm support media. The bundle ofcoconut-fiber was put inside the treatment tank withtwo conditions: low fiber density (LFD; single
bundle per a treatment tank) and high fiber density(HFD; two bundles per a treatment tank). As acontrol condition, a blank container without acoconut-fiber bundle was also used in theexperiment. The synthetic sewage or synthetic
leachate solution flowed into the treatment tankfrom the supply tank through the peristaltic pump at
a rate of 870 cm3/day (two-weeks retention time).
Lightning with illumination intensity of 4,730 lux
was maintained on the top of treatment tank for
twelve hours per day and temperature wasmaintained at 20°C.

Experiment apparatus
Experimental apparatus for the microcosm
experiment consisted of a supply tank for synthetic
sewage or synthetic leachate, a peristaltic pump,
and a treatment tank (0.012-m3 volume) with inlet
and outlet valves (Fig. 1).

Fig. 1 Schematics of microcosm experiment.

904

SEE-Osaka, Japan, Nov. 21-23, 2016

the BOD and COD values increased gradually close
to the concentrations of inflow solutions under thetreatment stage and there was no difference among
LFD, HFD, and control conditions. These results
suggested that the BOD and COD removals under
the treatment stage were more effective for thesynthetic leachate in the microcosm experiments.
Figure 3 shows variations in TC and TN for theeffluents under circulation and treatment stages.
Some fluctuations in measured TC and TN values
observed, however, not so much differences inmeasured TC and TN values observed between thecirculation and treatment stages except for thesyntheic leachate at the condition of low pollutant
load. For the synthetic sewage, there was no effecton the fiber density on the reduction in TC and TN
values. For the synthetic leachate, on the other hand,
HFD conditions became more effective to reduce
TC and TN especially under the treatment stage.
In order to clarify the removal efficiencies of C
and N in the microcosm COTS, the consumption of
C and N per unit volume of microcosm (unit
volume of the treatment tank) per week [mg/L of
microcosm/week] was calculated by using TC andTN values of inflow solutions and effluents, C and
N contents for collected coir and sludge samples.
An example of calculation sheet for C consumption
under the circulation stage was shown in Table 2.
Table 3 summarizes the calculated C and N
consumption values for the synthetic sewage andleachate at both conditions of high and low
pollutant loads with different fiber densities. The C
and N consumptions in the microcosm varied
depending on both fibre-densities and pollutant
loads of wastewater. The C and N consumptions in
the microcosm became more effective at HFD
conditions for both low and high pollutant loads ofwastewater. For both synthetic sewage and leachate,
the C consumptions under the treatment stage
became around 2 times higher than those under thecirculation stage except for the low pollutant loadof synthetic sewage. The C consumptions for thesynthetic leachate were greater than those for thesynthetic sewage under both circulation andtreatment stages; i.e., the C consumptions for thesynthetic leachate became around 2-3 times higher
than those for the synthetic sewage at low pollutant
load conditions and became around 3-7 times
higher than those for the synthetic sewage at highpollutant load conditions.
The N consumptions under the treatment stage
became also higher than those under the circulation
stage. The HFD gave the highest C consumption
values among tested conditions and became around
1.8 and 1.5 times higher than those for blankExperiment procedures
The flow schedule of microcosm experiment
was separated into two stages such as circulation
stage and treatment stage (Fig. 1). For thecirculation stage, a mixture of raw wastewater froma sewage treatment plant in Saitama City, Japan andsynthetic wastewater (1 L of raw wastewater and 35
L of synthetic wastewater) was initially preparedand recycled through the microcosm system toaccelerate biofouling to the bundle of coconut-fiber.
The circulation period was set to be 42 days.
Water samples in the supply tank and treatment
tanks were collected during the circulation stage ona weekly basis for analysis of basic water quality
parameters such as Chemical Oxygen Demand(COD_Cr; hereafter just COD), Biological Oxygen
Demand (BOD), Total Carbon (TC), pH, dissolved
oxygen (DO), Oxidation Reduction Potential (ORP)and Electrical Conductivity (EC). After thecompletion of the circulation stage, water andsludge in the supply tank and treatment tank were
removed. Carbon and nitrogen contents for the coirfiber and sludge settled at the bottom of thetreatment tank were quantified using air-driedground samples in an automatic CN-analyzer(FLASH 2000, Thermo Fisher Scientific, Inc.) .
For the following treatment stage, themicrocosm system was first filled with the synthetic
wastewater solution. Then, the synthetic sewage /synthetic leachate solution was supplied
continuously from the supply tank. During thetreatment stage, water quality parameters were
measured at one week interval.

RESULTS AND DISCUSSION
Figure 2 shows variations in BOD and COD forthe effluents under circulation and treatment stages.
For both synthetic sewage and leachate, BOD and
COD values decreased generally with time during
the circulation stage. The decrease rates in BOD
and COD at the low pollutant load conditions weregreater than those for the high pollutant loadconditions. There were no significant differences in
BOD and COD variations between LFD and HFD
conditions.
For the treatment stage, a different trend wasobserved between the synthetic sewage andleachate; i.e., measured BOD and COD values forthe synthetic leachate became continuously low
values during the treatment stage and reductions in
BOD and COD at LFD and HFD conditions
became higher compared to the control condition.
For the synthetic waste water, on the other hand,905

SEE-Osaka, Japan, Nov. 21-23, 2016

Fig. 2

Variations in BOD and COD of the effluents
under circulation and treatment stages.

Fig. 3906

Variations in TC and TN of the effluents undercirculation and treatment stages.

SEE-Osaka, Japan, Nov. 21-23, 2016

Table 2 An example of calculation sheet for C consumption
No.
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15

Parameter

HFD
3424
3161
263
12
3.16
17
7.13
1.21
48.6
45.8
40.8
2.4
6.8
12
0.0135

TC inflow (mg/l)
TC outflow (after 42 days) mg/l
Total C consumption (mg/l)
volume of leachate in circulation period ( L)Initial C in solution- final C in solution ( g)Accumulated Sludge mass (g)C content in sludge (%)
C content in accumulated sludge (g)Dry mass of coir fiber( g)C content of coir fiber after the recirculation (%)
C content in raw coir fiber (%)
Accumulated C mass in coir fiber (g)Total used C in recirculation phase for 42 days( g)volume of microcosm tank (L)C consumption (g/L of microcosm/day)

LFD
3424
3129
295
12
3.54
18
8.36
1.51
24.6
46.8
40.8
1.5
6.5
12
0.0129

BLANK
3424
3062
362
12
4.35
11
5.50
0.61
5.0
12
0.0098

Table 3 C and N consumptions for synthetic sewage and leachate.
Synthetic sewage

Synthetic leachate

Consumption(mg/L of microcosm / week)% in sludge

Consumption(mg/L of microcosm / week)% in sludge

Consumption(mg/L of microcosm / week)% in sludge

N% in sludge

C

Consumption(mg/L of microcosm / week)N

Treatment tankStage
Circulation
Circulation
Treatment

High

Treatment

Low

Pollutant load.

C

Blank

0.042

15.0

0.002

1.7

0.073

16.9

0.025

1.0

LFD

0.053

16.8

0.002

2.5

0.095

20.4

0.038

1.5

HFD

0.072

16.5

0.002

2.3

0.101

19.6

0.038

1.3

Blank

0.034

6.0

0.001

4.2

0.116

11.5

0.014

0.4

LFD

0.055

9.2

0.004

4.7

0.170

13.0

0.063

0.4

HFD

0.067

7.8

0.004

3.6

0.203

12.4

0.074

0.2

Blank

0.069

5.5

0.005

1.6

0.482

13.3

0.037

1.0

LFD

0.090

8.4

0.006

1.8

0.618

18.0

0.044

1.5

HFD

0.095

7.1

0.004

1.5

0.691

17.0

0.056

1.3

Blank

0.223

3.7

0.021

1.6

0.865

20.9

0.089

0.9

LFD

0.365

4.0

0.011

1.3

1.12

21.6

0.090

1.0

HFD

0.371

5.3

0.025

1.8

1.30

20.0

0.088

0.7

907

SEE-Osaka, Japan, Nov. 21-23, 2016[3] Abad, M., P.Noguera, R.Puchades, A.Maquieira
and V.Noguera (2002). Physico-chemical andchemical properties of some coconut coir dusts
for use as a peat substitute for containerized
ornamental plants. Bioresource Technology, 82:
241-245.

(control) and LFD conditions. This implies thathigher coir fiber condition contributed to the C
consumption in the microcosm COTS. It is notedthat the C % in sludge for LFD and HFD did notvary so much among tested conditions, indicatingthat the C removal in sludge did not directly
contribute to the higher C consumption at HFD
condition.

[4] Nam, T.H., S. Ogihara, N. H. Tung, and S.
Kobayashi (2001). Effect of alkali treatment oninterfacial and mechanical properties of coir fiber
reinforced
poly(butylene
succinate)biodegradable composites. Composites: Part B.
doi:10.1016/j.compositesb.2011.04.001.

CONCLUSIONS
Based on the results from laboratory tests, it
was revealed that the microcosm COTS contributed
to reduce BOD and COD in the effluents and to
remove C and N from both synthetic sewage andleachate. Further quantitative analyses will be donefor evaluating wastewater treatment efficiencies of
microcosm COTS.

[5] Picano, P.A., Vallero, G.V.M., Gianotti, P.E.,
Zaiat, M., Blundi, E.C. (2001). Influence ofporosity and composition of supports on themethanogenic biofilm characteristics developedin a fixed bed anaerobic reactor. Water Sci.
Technol. 44(4): 197-204.
[6] Crites, R. and G. Tchobanoglous (1998). Smalland decentralized wastewater management
systems, McGraw-Hill Science / Engineering/
Math, Page 944.

ACKNOWLEDGEMENT
This study was partially supported by the
SATREPS Project of the Japanese International
cooperation Agency (JICA) and Japan Science andTechnology agency (JST). We would like toacknowledge the Nishibori Treatment Plant,
Saitama City, Saitama Prefecture, Japan, forproviding us raw wastewater. We also acknowledge
Mr. Takuya Ogiso, a former undergraduate student,
Department of Civil
andEnvironmental
Engineering, Saitama University, for his dedicatedeffort on the laboratory tests.

[7] Tanaka, N., A.K. Karunarathna, and K.B.S.N.
Jindasa (2008). Effect of coconut coir-pithsupplement on nitrogen and phosphate removal
in subsurface flow wetlend microcosms.
Chemistry and Ecology, 24(1): 15-22.
[8] Dharmarathne, N.K., N. Sato, K. Kawamoto, T.
Koide, H. Sato, and N. Tanaka (2013).
Evaluation of wastewater treatment efficiency
using coconut fiber biofilm reactor system withsynthetic leachate. Proceedings of International
Conference on Engineering and Applied Science(ICEAS), 629-636.

REFERENCES[1][9] Jamie. F., R. VanGulck, and K. Rowe. (2004)
Evolution of clog formation with time incolumns permeated with synthetic landfill
leachate. Journal of Contaminant Hydrology 75:
115– 139.

Sato, N., K. Kawamoto, H. Sato, M.
Lokuliyanaga, T. Koide, and N. Tanaka (2013).
Utilization of a local-available biomass resource
for wastewater treatment in Sri Lanka:
Comparison between initial and current
performance of coconut-fibre biofilm treatment
system (COTS). Proceedings of FourteenthInternational Waste Management and Landfill
Symposium (Sardinia 2013), 181.

[2] Gunawardana, I.P.P., L.W. Galagedara, and S. De
Silva (2011). Practical issues f partial onsite
sanitation systems: Two case studies from Sri
Lanka. Tropical Agricultural Research, 22(2):144-153.

908

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

TEMPORAL VARIATIONS IN PERCHED WATER AND
GROUNDWATER QUALITIES AT AN OPEN SOLID WASTEDUMPSITE IN SRI LANKA
Udayagee Kumarasinghe1, Y. Inoue1, T. Saito1, M. Nagamori2, Y. Sakamoto3, M.I.M. Mowjood4, K.
Kawamoto1,5
1

Graduate School of Science and Engineering, Saitama University, Japan
Material Cycles and Waste Management Group, Centre for Environmental Science in Saitama, Japan
3
Institute for Geo-Resources and Environment, Advanced Industrial Science and Technology, Japan
4
Department of Agricultural Engineering, Faculty of Agriculture, University of Peradeniya, Sri Lanka
5International Institute for Resilient Society, Saitama University, Japan

2

ABSTRACT: Open dumping of municipal solid waste is a common practice in many developing countries whichleads surface and groundwater contamination in the vicinity. In this study, a long-term monitoring was done at anabundant solid waste dumpsite to characterize the temporal variations of perched water and groundwater qualities
underneath the dumped waste. The dumpsite located on a sloping bank of the Mahaweli River in Udapalatha
Pradeshiya Sabha in Central Province of Sri Lanka. Dumpsite consisted of two sections: old section and new
section used for waste dumping for 7 years (2003-2010) and 0.5 year (2011), respectively. Multiple boreholes were
installed for each section and the water quality has been monitored for 2 years from May 2013-March 2015. Water
quality parameters such as pH, EC, BOD, COD, TN, TP, major cations, anions, and heavy metals were measured
monthly. Leachate Pollution Index (LPI) was calculated to quantify the leachate contamination potential. Results
showed that the groundwater samples from both new and old sections exhibited relatively constant and low LPI
during the monitored period, whereas the perched water samples from new section showed high LPI withfluctuations. No correlations were observed between water quality parameters and rainfall pattern. Perched waterand groundwater persist as two independent bodies in this dumpsite. There were significant linear correlation
between EC and major equivalent cations/anions, suggesting EC is a simple and convenient parameter tocharacterize the dumped waste condition.
Key words: Waste dumpsite, Open dumping, Groundwater, leachate pollution index (LPI).
1.

This polluted water enters to groundwater aquifers
through soil. The subsequent migration of leachate
through the sides and/or bottom of the dumpsite into
subsurface formations is a serious environmental
pollution concern and it is a threat to public healthand safety. In this context, groundwater pollution isby far the most significant concern arising fromleachate migration.
The level of contamination is mostly depends on
the severity of leachate quality at open dumpsites.
Quality of leachate greatly varies with respect to thetype of waste, age of the dumpsite, management
practices at the dumpsites, climatic factors and etc.
The resulted risk of soil and groundwatercontamination can be minimized by applying field
scale treatment mechanisms such as permeable
reactive barriers. In order to do that, the leachate
generated at open dumpsites should be wellcharacterized and their variations should be properly
understood [5].
Leachate Pollution Index (LPI) is a tool whichdeveloped for the leachate characterization withrespective to the quality and severity ofcontamination. LPI quantitatively analyze the effectof organic pollutants, inorganic pollutants and heavy
metals with the different sub-indices of LPI [6]. Thismight be successfully used for the implementation of

INTRODUCTION

Open dumpsites are not designed lands for waste
dumping; there are no landfill liners, leachatecollection systems, final soil covers or leachate
treatment mechanisms. This type of dumpsites
requires minimum operational and maintenancecosts, thus prevalent in developing countries fromseveraldecades[1].
Manygroundwatercontamination incidents have been reported at open
dumpsites and their surroundings, caused byleachate generated as a result of waste degradation[2]. Since leachate consists of high concentrations of
BOD, COD, TOC, cations, anions, xenobiotic
compounds and heavy metals, there is a risk of soil
and water pollution surrounded by dumping sites [3].
Absence of proper waste separation technique leads
to elevated concentrations of heavy metals in theleachate [3]. Heavy metals may release by waste
such as ceramics, electronic wastes, batteries, debris
of motor mechanic industry etc.
Highconcentrations of Cd, Hg, Ni, Mn, Cu and Pb havebeen reported form leachate collected at many open
dumpsites [4]. Leachate generated at waste layers
and rainwater drains downward by gravitational
forces, stagnated at the bottom of the waste dump.

909

SEE-Osaka, Japan, Nov. 21-23, 2016leachate treatment mechanisms and identification ofgroundwater pollution potential at open dumpsites.
This study is focused assessment of water quality
and its variability using LPI indices andidentification of different categories of perchedwater and groundwater in the same dumpsite.
2.

2.2 Monitoring the water quality
The dumpsite was monitored for a period of two
years from May 2013 to March 2015 with one monthinterval. Perched water samples were collected from
PBH wells, whereas groundwater samples werecollected from BH wells, into clean 1L
polypropylene bottles. Water remaining in the wells
was removed by manual pumping before sampling.
Water samples were analyzed for BOD5, COD,
TOC, Major cations/anions, and heavy metals.
Onsite parameters were taken for pH, EC, watertemperature. Standards methods were used toanalyze BOD5 (APHA 5210B) and COD (APHA
5220A). TOC analyzer (TOC-LCSH/TNM-L
Shimadzu, Japan) was used to measure the TOC, IC
and TN, after filtering samples through 0.45µm filter
papers. HCO3- was calculated by DIC in samples.
Anions; Cl-, SO42-, NO3- were analyzed with ion
chromatography (HPLC-IC, SHIM-PACK IC-A3
Shimadzu, Japan). Cations; Na+, K+, Mg2+, Ca2+
wereanalyzedwithatomicabsorption
spectrophotometer AAS (AA-7000 Shimadzu
Corporation, Japan) and NH4+ was analyzed with
UV-Vis spectrophotometer (UV-2700 Shimadzu,
Japan). Heavy metals; Fe, Ni, Cu, Zn, Pb were
measured with AAS and As, Cr were analyzed withinductively coupled plasma mass spectrometry(ICPM-8500, Shimadzu, Japan).
Rainfall data were collected from a close by raingauge station to the dumpsite.

MATERIALS AND METHODS

2.1 Site selection and initiation of monitoring
sessionFig. 1 shows the location of dumpsite andmonitoring boreholes. The study area is an abandon
open solid waste dumpsite located in Udapalatha
Pradeshiya Sabha (070 80’ 30.1” N and 800 34’ 43.2”
E) in central province, Sri Lanka. The dumpsite
consisted with two sections. Old section was used for
waste dumping for 7 years from 2003-2010 and new
section was used for 0.5 year in 2011. Both old andnew sections have a steep slope toward the rightbank of the River Mahaweli. The waste dumping rate
was approximately, 15-20 t/day in the operational
period.
Groundwater and perched water monitoring wells
were installed along the two transits of old and new
sections using rotary boring. Perched water
monitoring wells (PBH) were drilled up to original
soil layer whereas groundwater monitoring wells(BH) were drilled up to the bed rock.

2.2 Leachate Pollution Index (LPI)
Sub-indices and overall LPI were used toevaluate perched water and groundwatercontamination over the monitoring session. Subindices of LPI; LPI organic, LPI inorganic and LPI
heavy metals were calculated according to theequation 1. Then the overall LPI was calculated byequation 2[7].

(a)

𝐿𝑃𝐼 =

∑𝑛
𝑖=1 𝑊𝑖 𝑃𝑖∑𝑛
𝑖=1 𝑊𝑖(1)

LPIoverall = 0.232 LPIor + 0.257 LPIin + 0.511 LPIhm(2)
where LPI is the leachate pollution index, wi isthe weight for the ith pollutant variable, pi is the sub
index score of the ith pollutant variable and, n is thenumber of leachate pollutant variables used in
calculating LPI [6,7].

(b)
Figure 1: (a) Location of the dumpsite and (b)location of the monitoring borehols at the dumpsite(Source: 2015 Google Inc. 17-03-2011)910

SEE-Osaka, Japan, Nov. 21-23, 2016

RESULTS AND DISCUSSION

Table 1 illustrates the sub-indices and overall
LPI calculated for perched water collected from
PBH2 in June 2013. Using the data for different
water quality parameters, sub-index values were
calculated according to the weight factors [7].
Finally, the overall LPI was calculated.
Table 1: Sub-indices and LPI overall calculated for
PBH2 for June 2013
Weig
htfactor
(wi)

WiPi

LPI

mg/L

Subinde
x
(Pi)

BOD

11.0

5.02

0.061

0.3

9.3

COD

333

13.5

0.062

0.8

pH

7.10

5.00

0.055

0.3

TDS

3.20

9.00

0.05

0.5

TN

856

27.2

0.053

1.5

NH4+-N

472

41.5

0.051

2.1

Cl

331

6.18

0.048

0.3

TotalFe

7.60

5.20

0.045

0.2

Cu

0.01

5.01

0.050

0.3

Old section

Zn

0.20

5.04

0.056

0.3

Pb

0.03

5.15

0.063

0.4

Ni

0.06

5.14

0.052

0.4

As

0.01

5.01

0.061

0.3

PBH4 (Old section :Perched water) Vs PBH2
(New section : Perchedwater)
BH6 (Old section :Groundwater) Vs BH2 (New secion : Groundwater)

PBH2 (New section:
Perched water) Vs PBH1
(New Section: Perchedwater)
PBH4 (Old section:
Perched water) Vs PBH3
(Old section: Perchedwater)

Cr

0.04

5.09

0.064

0.3

(a)

(b)

Par
ame
ter

LPI or

LPI in

Value

-

LPIhm

LPI overall

17

20
10

9.3

10

1:1
11

10

0
0

5.1

20

1:1
11

Down SlopeIndexperched and groundwater samples showed similarvalues. The heavy metal concentrations werecomparatively lower than few other studied
dumpsites in Sri Lanka [10].
LPI in, LPI or and LPI overall calculated for PBH2
are 3 - 4 times higher from other perched water andgroundwater samples. Perched water well at old
section; PBH4 showed comparatively higher values
than the groundwater in old section at the initialstage of the monitoring session. LPI indicescalculated for the perched water at new section
gradually decreased with the time and at the end of
the monitoring session, reduced up to that of theperched water at old section. The gradual reductionof LPI indices over the time might govern by the
dissolution factor, since the site is very sloppy. The
contaminants might dissolve in the rain water andmove towards the river. LPI indices calculated forgroundwater is far below than that of the perchedwater. In addition, the fluctuation of LPI overall over
the time is not prominent (fig.3a).

New section

3.

20

0
0

10

Up Slope

20

Figure 3: 1:1 Relationship between LPI overall inmonitoring boreholes
As showed in fig. 3a, LPI overall calculated forperched water and groundwater behaves differently.
LPI overall calculated for perched water scatteredseparately form that for the groundwater. This
depicts that the perched water and groundwater
persists as two independent water bodies in this site.
This might be due to the steep slope (15m/50m) of
the dumpsite and the different permeabilities of thewaste and soil layers. Lower permeability of the soil
may facilitate the development of the perched wateraquifer between original soil layes and burried
wastes. Thus the groundwater contamination at thisdumpsite is comparatively lower. Similar
phenomena was observed by [8], that developmentof a perched water aquifer in an open dumpsite in
Chennai, India.

Temporal variability of general water quality
parameters, heavy metals, total nitrogen, total
phosphate and LPI indices were compared with thetemporal variability of rainfall and watertemperature (Fig. 2). Temporal variability ofperched water quality at new and old sections wasevaluated by PBH2 and PBH4, respectively. BH2
and BH6 were used to evaluate groundwater quality
variations at new and old sections. BOD, COD, TN,
TP showed comparatively higher concentrations inperched water samples over the groundwater
samples. Further the perched water collected fromnew section showed higher concentrations than theold section. EC of the perched water at new section
showed high values; it is higher than 10 times that ofperched water at old section and groundwater at both
sections. Heavy metals (Cr, Pb) and pH of the both

911

BOD
COD
pH
0.2

1
0.1

0
0.01
0
0

1000
30
10000
0.3
40

100
20

10
10

1
0.2

1
0.1

0
0.01
0
0

1000
30
10000
0.3
40

100
20
100
0.2

10
10
1
0.1

1
0
0.01
0

EC
TN
TP

912
Cr
Pb
LPI or
LPI inFigure 2: Temporal variability of meteriological parameters, water quality variables and leachate pollution indices of the monitoring borehols
LPI hm30
Groundwater

Temperature (0C)Mar-2015

Jan-2015

Nov-2014

Sep-2014

Jul-2014

May-2014

Mar-2014

Jan-2014

Nov-2013

Sep-2013

Jul-2013

May-2013

Monthly Rainfall
(mm)

20

Mar-2015

LPI

Perched waterJan-2015

40

RainfallNov-201400.3

Sep-20140Jul-2014

0.01

10000

May-2014

0.1

Mar-20141

Jan-2014

LPI

Temperature (0C)
0
500
1000
1500
2000

Nov-2013

LPI

0.2

Sep-2013

LPI

100
Cr, Pb (mg/L)

0.3

40

Cr, Pb (mg/L)

Mar-2015

Jan-2015

Nov-2014

Sep-2014

Jul-2014

May-2014

Mar-2014

Jan-2014

Nov-2013

Sep-2013

Jul-2013

May-2013

Monthly Rainfall
(mm)
10000

30

Cr, Pb (mg/L)

TN, TP (mg/L)

20

Cr, Pb (mg/L)

TN, TP (mg/L)

Temperature (0C)

0
500
1000
1500
2000

Jul-2013

May-2013

Mar-2015

Jan-2015

1

Nov-2014

10

Sep-201410

Jul-201420May-2014

100

Mar-2014030Jan-2014

1
1000

Nov-2013

10

Sep-2013

10

Jul-2013

20

40

TN, TP (mg/L)

100

pH, EC (mS/m)

30

pH,EC (mS/cm)

Mar-2015

Jan-2015

Nov-2014

Sep-2014

Jul-2014

May-2014

Mar-2014

Jan-2014

Nov-2013

Sep-2013

Jul-2013

May-2013

Monthly Rainfall
(mm)

1000

30

pH, EC (mS/cm)

BOD, COD (mg/L)

20

pH, EC (mS/cm)

100

TN, TP (mg/L)

100

0
500
1000
1500
2000

May-2013

Mar-2015

Jan-2015

Nov-2014

Sep-2014

Jul-2014

May-2014

Mar-2014

Jan-2014

Nov-2013

Sep-2013

BH6
Old section:
GroundwaterJul-2013

May-2013

BH2
New section:
Groundwater
BOD, COD (mg/L)

PBH4
Old section:
Perched water

BOD, COD(mg/L)

PBH2
New section:
Perched water

BOD, COD (mg/L)

SEE-Osaka, Japan, Nov. 21-23, 2016

40

40

20

20

20

20

0

LPI overall

The effect of the age of the dumpsite on the leachate
quality is described in fig. 3b. 1:1 relationshipdevelop for the perched water at new section (PBH2
vs. PBH1) and perched water at old section (PBH4
vs. PBH3), scattered separately. This revealed thatperched water quality at new section significantly
different from that of old section. Further thecontamination level has been reduced with the aging.
This might be due to dissolution and attenuation of
the contaminants over the time. Same results wereobserved in Malaysia, which is a comparative study
to differentiate LPI overall over the aging effect. It isfound that the LPI overall calculated for old dumpsites
are comparatively lower than that of new dumpsites[9]. Thus, when selecting leachate treatment facility,
age factor should be considered.
The effect of rainfall on water quality parameters
were analyzed separately for the perched water andgroundwater. As illustrates in fig. 4, there is nocorrelation observed for both perched water andgroundwater quality parameters with rainfall. Only
BOD at perched water slowed slight correlation.
Since the dumpsite is located at the wet zone Sri
Lanka, the rainfall pattern is not significantly changeover the time. Further no significant dry season
could be observable. This might lead the lower
correlation of water quality with the rainfall pattern.
In another study, LPI overall has been calculated forleachate collected from different open dump sites
located in different climatic regions in Sri Lanka.
There was no significant difference found among thesites located at Wet, Intermediate and Dry zones.
They have suggested, leachate quality in Sri Lanka
depends on waste type rather climatic factors [10].
Thus, seasonal variations of the leachate treatment
facilities might not be required, especially for thedumpsite located at the wet zone Sri Lanka.
Pb*100BOD (mg/L)

LPI overall
20

100
10
50

0
0

250

500

750

Pb*100

LPI overall
20

BOD (mg/L)

10
50

0
0

250

500

750

0
1000

Monthly Rainfall (mm)(b)
Figure 4: Rainfall Vs Major parameters of (a)PBH2 (Perched water : New section) and (b) BH2(Groundwater : New section)

Major equivalentcations (meq/L)

The dependency of EC on major equivalent anions
and cations were evaluated using the same data. Fig.
5 (a) and (b) show the relationship developed for
major equivalent cations and anions respectively.
150

y = 7.35x + 6.05
R² = 0.79

100
50
0

0

5

10

15

20

EC (mS/cm)(a)
Major Equivalentanions (meq/L)

EC

EC

100

EC (mS/cm), Pb*100(mg/L), LPI overall

BOD
150

BOD
150

EC (mS/cm),
Pb*100(mg/L), LPI overall

SEE-Osaka, Japan, Nov. 21-23, 2016150
y = 1.11x + 1.39
R² = 0.77

100
50
0
0

5

10

15

20

EC (mS/cm)(b)
Figure 5: (a) Major Equivalent cations Vs EC and(b) Major Equivalent anions Vs EC

01000

Monthly Rainfall (mm)Both major equivalent cations and anions
calculated for perched water, collected from both
new and old sections highly correlate with the EC,
with regression coefficient of 0.79 and 0.77,
respectively for major equivalent cations and anions.
Thus the concentrations of major equivalent cations
and anions might describe by EC, which is an easy
and portable measurement at the field level.

(a)

913

SEE-Osaka, Japan, Nov. 21-23, 2016

For the calculation of major anion NO3-, SO42-,
Cl- and HCO3- were used. The source of this HCO3might be solid waste or the rainwater. Further thisHCO3- might not come with the geomorphologicalcharacters of the land, since the pH of the water isaround neutral values [10].
For the calculation of major cations, Na+, K+,
2+
Mg , Ca2+ and NH4+ were used. There might be aneffect from the other missing cations such as Fe2+ and
Mn2+. Major cations found in perched water are Na+,
K+, Mg2+, Ca2+ and major anion is Cl-. Similar result
was found by a previous research which have been
done for the leachate quality analysis in Sri Lanka[10]. Since the Sri Lankan municipal soils waste
contains higher proportions of domestic waste, theseions release to leachate at the degradation process.
Further Cl- is highly mobile under all conditions.
Thus it is a readily available ion and directly
contribute for the EC.

4.

6.

[1] Mahees, M.T.M, C. Sivayoganathan, B.F.A.
Basnayaka. (2011). Consumption, Solid Waste
Generation and Water Pollution in Pinga Oya
Catchment area, Tropical Agricultural Research 22:239-250.
[2] Christensen J.B., D.L. Jensen, C. Gron, Z. Filip,
T.H. Christensen. (1998). Characterization of the
dissolved organic carbon in landfill leachatepolluted groundwater. Water Resource, 32:125–135.
[3] Langler, G.J. (2004). Aquatic toxicity andenvironmental impact of landfill leachate.
University of Brighton, 3–6[4] Chen P. H. (1996). Assessment of leachates fromsanitary landfills: Impact of age, rainfall, andtreatment. Environ. Int., vol. 22, n. 2, 225-237.
[5] Esakku S., K. Palanivelu, Kurian Joseph. (2003).
Workshop on Sustainable Landfill Management 3–5
December, 2003, Chennai, India, pp.139-145 139.
[6] Kumar D. and Alappat B. (2005a). Evaluating
leachate contamination potential of landfill sites
using leachate pollution index. Clean Technologies
and Environmental Policy. vol. 7, n. 3, 190-197.
[7] Kumar D. and Alappat B. J. (2005b). Analysis ofleachate pollution index and formulation of subleachate pollution indices. Waste Manage. Res., vol.
22, 230-239.
[8] Esakku S., K. Palanivelu, Kurian Joseph. (2003).
Workshop on Sustainable Landfill Management 3–5
December, 2003, Chennai, India, pp.139-145 139.
[9] Muhammad U, A.A. Hamidi, M.S. Yusoff.
(2010). Variability of Parameters Involved in
Leachate Pollution Index and Determination of LPI
from Four Landfills in Malaysia. Int. J. Chem Eng.
[10] Sewwandi, B.G.N., K. Takahiro, K. Kawamoto,
S. Hamamoto, S. Asamoto and H. Sato. (2013).
Evaluation of leachate contamination potential ofmunicipal solid waste dumpsites in Sri Lanka using
leachate pollution index. Sardinia, 14th international
waste management and landfill symposium, Fortevillage resort, Italy, 30th October – 4th September
2013.
[11] Dergisi T.B. (2010).Morphology, PhysicoChemical Properties and Classification of Soils on
Terraces of the Tigris River in the South-east
Anatolia Region of TurkeyJ. OF AGRIC SCI
16:205-212.

CONCLUSIONS

Groundwater aquifer and local perched wateraquifer persist as two different water bodies, in thisparticular dumpsite. Thus the groundwatercontamination is less. The steep slope of thedumpsite might facilitate leachate to the bottom of
the dumpsite than infiltration through soil.
Water quality parameters and rainfall has nocorrelation.
There were significant linear correlations
between EC and major equivalent cations/anions,suggesting EC is a simple and convenient parameterto characterize the leachate and dumped wasteconditions.
The risk of groundwater contamination iscomparatively higher at the new dumpsites rather old
dumpsites. Dissolution and attenuation processes
reduce the contamination level with the time. Thus
the leachate should be collected and treated before
move into water bodies.
The toxicity of leachate, generated at the olddumpsites is lower than the new dumpsites. Thus
leachate treatment mechanisms might be changed
with respect to the age of the dumpsites.
LPI is an effective tool to characterize theleachate and select suitable treatment facility for thedifferent groups of the leachate.
5.

REFERENCESACKNOWLEDGEMENT

This study was supported by the SATREPS
Project of the Japanese International cooperation
Agency (JICA) and Japan Science and Technology
agency (JST).

914

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

EFFICIENCY OF PUBLIC TRANSPORTATION USING GNSSSYSTEM
Riza Putera1, Anisa Santoso2, Irene Sondang3, Esty Suyanti4, Garrin Nandhito5 dan Okky Pratama6
1,2,3,4Urban Studies, Graduate Programe, Universitas Indonesia, Indonesia;
5
Infomation Technology, Faculty of Engineering, Universitas Islam Negeri Syarif Hudayatulloh, Indonesia;
6
Departement Of Geography, Faculty of Mathematic and Natural Science, Universitas Indonesia, Indonesia

ABSTRACT
Motor vehicles are one of the biggest air pollution contributor in the city. Pollution getting worse by poor
public transport system in the city that caused lack of public services. In order to minimize the impact, so the focus
not only by reducing the quantity of vehicles but also by managing the use of motor vehicles becomes more
efficient. Through the GNSS system as precise navigation tool, the patterns of transport system can be estimatedaccurately by the length of trip, duration, number of vehicle that will be more efficient. This research will test a
GNSS system that is applied to the public transportation system belongs to the campus as a miniature citytransportation. Mode of transportation that will be tested in the form of yellow buses, patrol cars. The method used
is quantitative experimental integrated with Geographic Information Systems (GIS). The results obtained are 1)
GNSS systems can predict the patterns of the most efficient public transport trips, 2) the application of GNSS
systems increased public services of transportation system.
Keywords: Pollution, GNSS, public transportation, spatial, GIS

could make mobility predictable precisely that impact
to the punctuality and less pollute to the environment.
Nowadays the using of navigation technology isvery common. GPS as one of Global Navigation
Satellite System (GNSS) is known as the mostpopular navigation technology that used by public,
particularly in Indonesia. The accessible and open
source navigation system like Google Map, or even
Waze is using GPS. However the open public GPS
has limitation. GPS not to precise if we compare withthe real location. In GPS operation, it is still 8-10
meters deviation if we compare map and real location.
The measurements with real time kinetic (RTK)
GNSS also become a solutions to predict the mobility.
Based on the experimental study, measurements with
RTK have much higher accuracy [5].
Therefore, Tokyo University developed GNSSRTK using the QZSS satellite to make accurately
navigation. It could predict the mobile location until
only 2-3 cm deviation to the real condition [6]. Thisnavigation system applied in Jakarta, Indonesia withcooperate with Multidiciplinary Graduate Study
Universitas Indonesia. Due to the limitations
coverage of the system, we like to explore this system
to pinpoint the urgent urban issues which aretransportation sector. In this research case, throughtechnology methods like GNSS –RTK we like toknow the mobility of public transport as depicted on
the bus trip at campus.

INTRODUCTION
Urban dynamics and mobility has badconsequences such as environmental degradation thateventually matters to health issue [1], [2].
As a development country, cities in Indonesia
deals with growth and environmental degradation at
once. The condition in Jakarta, the capital city itself
has been rated one of the worst polluted in Asia. It
rated 43 from the World Health Organizations in their2013 report. Research have also showed that around58 percent of reported public health issues in Jakarta
itself have been traced to ailing level of air quality inthe city [3]. It needs a better solution in urban
transportation if city want to increase the quality ofenvironment and health.
The use of public transportation is the best answer
for solving the urban transportation issues. However
it does need to be re-examined whether it operate
efficient or not in accordance to better impact not only
for the services changes to urban residents but also forurban environment.
The role of technology in this sense becomes
crucial as it not only facilitates these changes, but also
makes managing issues such as mobility, distance toservice distribution much faster and more effective[4]. The assumption is the more effective, the moresatisfied of passengers and the lesser of pollution on
the local environment, in the end the better of life
quality at urban area. Hence, technology intervention
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METHODOLOGY
In order to expose the efficiency pattern of public
transport, in this research we do several techniques ofdata collecting. Figure 1 shows the workflow of thisresearch.

Urban Environmental
and Transportation
Degradation

BeforeCorrection

User
Satisfaction

Navigation
Technology
GNSS –RTK
After
Correction
Trip
Characte
ristics

Fig 2. Universitas Indonesia
Based on that data, this UI campus could
representative the city life. In particular oftransportation sector, this campus has public transportnamely is BIKUN stand for Bis Kuning or yellow
busesin english.. In order to mobility inside thecampus, this yellow bus is very important to support
the movement from one faculty to others or anotherpoint of interest in campus. This particular
distribution of landuse and infrastructure represents
similar characteristics as that can be found in a big
city. The premises therefore drives this research toutilise the frameworks of university campus as asimulated miniature for a city.

Efficiency of
PublicTransport

Fig.1 Workflow of the research.
Campus as city Minitiature
To test the mapping of transportation, Universitas
Indoensia is chosen as a simulative miniature. With
regards to contextual similarity, a chosen suitable city
miniature should have similar characteristics to a city.
Both need to be similar in terms of being a centre ofresources while at the same time having society
members as supplier of demands that require constant
supply of resources. UI Campus in Depok is one of
the widest campus in Indonesia, with 320 hectare
consist of 25 % are built area and the other 75% aregreen area [7]. Figure 2 shows the campus area of
Universitas Indonesia.
Since they have 11 faculties, the infrastructure andfacilities in this campus are complete enough to meet
the activities more than 3000 inhabitants in thiscampus.

Integrating GNSS RTK and GIS
Device that we used as a Rover is U-Blox EVK-M8T
Evaluation Kit (and U-Center as its supporting
software). We attached U-Blox to the BIKUN along
the tracking movement. This device produce .ubx
data that contain the track movement from BIKUN.
After we got the .ubx data, we used RTKLIB ver.2.4.2
p11 software to process the data. With RTKCONV,
we converted the .ubx data into .obs data (observationfrom the rover). And then, we have to download theraw data (.T02) and navigation data (.P) from theTrimble base station as the correction data. But wehave to convert the .T02 data with Convert to RINEX
to get the observation data (.o).
With RTKPOST, we processed the observation data(.obs) from the rover, observation data (.o) from thebase station, and navigation data (.P) with the916

SEE-Osaka, Japan, Nov. 21-23, 2016

kinematic configuration to get the position data(.pos). This position data (.pos) is more accurate andprecise. We can use and convert this data as needed,
for example, excel extension (.xlsx), keyhole markup
manguage (.kml), shapefile (.shp), etc.

Using Observation and Questionnaire
By doing observation and interview withquestaionnaire, we like to complete the big picture of
public transportation mechanism in UI campus.
Statistical review is important to optimize the spatial
data form the GNSS system.
An observation lead us to uncover thecharacteristic BIKUN trip. We have 4 variables toloof forward such as: number and location of bus
stop, number passengers, headways, lay overtime.
In general, we observe the trip characteristic basedon two time sequence; first is busy hour and the otheris less busy hour. We assumed there are differences
pattern in that two time sequence. So we divides into
6 time phase consist of : 1)Morning-busy hour :07.00-09.00, 2)Morning-less busy hour 09.00-12.00,
3),Noon- less busy hour 12.00-14.00, 4)Noon –busyhour 14.00-16.00, 5) Evening-Busy Hour. 16.0018.00, 6) Evening-Less Busy hour > 18.00.
Meanwhile the structural interview byquestionnaire lead us to find out the user satisfactory
about the BIKUN as public transportation in campus.
We had random purposive sampling to 70
respondents that spread along the bus stop. We ask
about 12 closed question to the BIKUN user. This
structural open ended question become a benchmark
for the user satisfactory
At the processing phase, we use descriptive
statistic to expose the data. By using SPSS andMicrosoft excel we did a modest statistic processing
to describe a characteristic of BIKUN trip.

Fig 3. Mobility pattern of less busy hour (top) andbusy hour (bottom).
Form the figure 3, the after correction dot which
the red dot more precise at the road route, meanwhile
the yellow ones is slightly away, too close to thevegetation edge.
Moreover, if we could see the spatial pattern of
the real time kinematic result so we could know
where the BIKUN/yellow busses slower the speed.
The first red circle show us, the dot is pile up at one
location, so it means the bus slower or even stopby. It
is a bus stop namely Stasiun UI, which are the biggest
bus stop at campus. Then, the second red circle show
the dot also pile up, but there is bus stop surround it.
It was the main gate of campus and ussualy hascongestion on it.
If we compare the busy hour pattern and less busy
hour pattern we could see, the pile up not much morethan the less busy pattern.
BIKUN mobility could monitor by GNSS-RTK.
It helps us to predict where the position of BIKUN at
the real time. Real time Kinematic system with
precisely makes us know whether the BIKUN has

RESULT
This research are defining in two results consist of
the spatial analysis and the characteristic of BIKUN
trip pattern.
Spatial Analysis of Public Transport Mobility
The data show us that there is differences between
before and after correction. Still, we divided the datacollecting using GNSS RTK by two sequence of time:busy hour and less busy hour. Busy hour needs 33
minute for each trip compere with 22 minute in lessbusy hour.

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obstacle or not. It predict from the speed of the
BIKUN movements from one point to other points.
Limitation of this testing using GNSS-RTK is theskyview is disrupt with the vegetation cover. So it
makes the signal and the track is sometimes on andoff. From the survey we known that the skyview isvery important to have the clearer signal and data,
Basen on the map the dot is scrambled not toregularly. It is because the poor signal that stunted byt
the vegetation cover likes leafes, tree branches and soon.

Number of passengers we find out from the 16 bus
stop, there are 2 biggest one which are stasiun UI and
Pocin bus stop.
Table 1. Headways time (minutes).
Route

Busy
Morning

Blue
Red

4
4

Less
Busy
Morning
5
6

Less
Busy
Noon
6
5

Busy
Noon

Busy
Evening

5
5

7
5

Less
Busy
Evening
7
3

Average

BIKUN time headways between the two mostrecently occurred at rush hour afternoon and evening
hours for the blue route. The time headways between
two bikun longest occurred in leisure hours in themorning to the blue route (table 1).

Estimated Pattern of Yellow Bus/BIKUN Trip as
Public Transportation
The infrastructure to support public transport like
BIKUN at campus UI already developed. Based on
our data campus UI has 16 bus stop in each faculty
and another point of interest (Figure 2).
To serve the mobility on campus, so Universitas
Indonesia has 12 yellow bus. Hence the reason
affordability with an area of campus is so large, theservice of BIKUN comprises two routes the blue ones
and the red ones. Actually, it still the same route but
difference sequence of bus stop (Figure 2).
By our observation at 6 time phase, we foundthere is different between pattern busy hour and lessbusy hour, as shown in the figure 4. The average total
number passengers in one day trip of BIKUN
normally around 64 peoples in less busy hour andincrase 100 % to busy hour become 120 or even 160
peoples for each trip. Figure 5 below.

Table 2. Number of road barriers.
U-TurnSpeed Bump

Intersection

14

21

11

14

18

8

Barriers are most numerous along the gerbatamastation UI. Where in the path of the many vehicles
that lined entrance to the UI campus. Plus a lot ofvehicles dropping off passengers at the station UI or
motorcycle-motorcycle line that was waiting forpassengers at the station stops UI. The number of roadbarriers is shown in the table 2.
Meanwhile, base from our data collecting thatshow about user satisfaction. Overall the user issatisfy enough, but not too optimilize (Figure 5).

Fig 4. Number of total Average Passengers
Passenger numbers rose the most numerous in theSatsiun UI bus stop (123), followed by FT bus stop(84). From the data observation it seems that the mostbusy bus stop that stops the station UI, FT, and Pocin.
Average time stops at every stop on the red line is17.5 seconds and 20:14 seconds unutuk blue line. The
average time to stop the longest contained in pocinstop, both the blue line and the red line. The averagetime a round yellow bus trip is 28 minutes on the Red
Line and 29 minutes to the blue line. The longest time
there in the afternoon rush hour (note: the normalpath).

Fig 5. BIKUN service rank.
Moreover, if we talk about services, the waitingtime is very important. The BIKUN arrival as public
transport at campus less punctual and do not haveregularly pattern. Based on the survey form thequestionnaire, the respondents said more than 5
minutes to have the BIKUN in each bus stop (Figure6). And it is ver time consuming. Actualy, theuniversities already have the bus schedule, but it seem
blurry when in operational phase.

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REFERENCES[1] Jiang, B., Zhang, T., & Sullivan, W. C. (2015).
Healthy cities: mechanisms and research questions
regarding the impacts of urban green landscapes on
public health and well-being. Landscape Architecture
Frontiers, 3(1), 24e35.
[2] Xu Liyan 2016).
[3] Haryanto, B., & Franklin, P. (2011). Air Pollution:
A Tale of Two Countries. Reviews on Environmental
Health, 26(1), 53-59.
[4]Graham, S., Cornford, J., & Marvin, S. (1996). The
socio-economic benefits of a universal telephone
network: A demand-side view of universal service.
Telecommunications Policy, 20(1), 3-10.
[5] A. Kluga*, J. Kluga*, A. Bricis*, I. Mitrofanovs*
Multiple Frequencies Precise GNSS RTK System
Research in Dynamic ModeFig 6. BIKUN time arrival.
CONCLUSION
The Multi –RTK could predict precisely the mobilityof public transport, in this case is BIKUN moility at
campus. However the skyveiw is very important to beconsiderd ones. The conclusion obtained are 1) GNSS
systems can predict the patterns of the most efficientpublic transport trips, 2) the application of GNSS
systems increased public services of transportation
system.

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Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

THE INTEGRATION OF GIS AND GNSS SYSTEM FOR
LAND UTILIZATION MONITORING
Komara Djaja1, Riza Putera1, Esty Suyanti1, Irene Sondang1, Garrin Nanditho2 dan Akmal Fathu Rohman3
1
Urban Studies, Graduate Programe, Universitas Indonesia, Indonesia;
2
Infomation System, Faculty of Science and Technology, UIN Syarif Hidayatullah, Indonesia;
3
Departement Of Geography, Faculty of Mathematic and Natural Science, Universitas Indonesia, Indonesia

ABSTRACT
Limited open space area requires accurate monitoring to avoid changes in land use that not suitable with cityspatial planning. The difference between spatial planning and existing land utilization should be minimized.
Currently, land utilization monitoring using GPS System and processed by GIS System but the result has adeviation from the existing land utilization. Within GNSS system as a new approach will correct the result of GPS
become more precise map of land utilization. This research will test a GNSS system that is applied to the land
utilization belongs to the campus as a miniature city land use. The land use will be divided as built up area andopen space. The method used is quantitative experimental integrated with Geographic Information Systems (GIS).
The results obtained are, 1) the difference of land utilization area with GPS system and GNSS system, 2) GNSS
systems can get more accurate data than GPS. Base on the result, the conclusion is through GNSS and GIS system,
landuse monitoring can be more effective because the highly precision of land area.
Keywords : GNSS, land utilization, monitoring, GIS, spatial planningtrying to compare between the GPS to GNSS to see
the level of accuracy to the two tools (Case Urban
Canyon) [2]. Besides the accuracy in the applicationof the navigation system also depends on theavailability of accurate references. At this time
generally commercially available map accuracy rateof less,. The level of map accuracy standards used (forthe metropolitan area) ranging between 5-20 meters[3].
In relation to the land utilization GNSS
monitoring is also used to reconstruct the boundariesof plots of land. Utilization of GNSS-based
technology Continuous Operating Reference System(CORS) can be applied to dynamic cadaster, geodetic
framework that is as dynamic and has a homogeneous
accuracy so it can be used as a reference in theconnective point position changes and limit landparcels that have been measured [4].
This
dynamic cadaster concept which is then tested at the
University of Indonesia, located in Depok, West Javaon land use / land cover. Land use / land cover will begiven for making land utilization monitoring system.
Land cover is an important factor in the analysis of
the environment and spatial planning physicallybecause it is a dynamic variable, which reflects thesocio-economic
interaction
andregional
environmental change [5].
Data retrieval land use / land cover done using
GPS which is then corrected by taking the connective
point using GNSS. Geo-data base and integration ofsatellite data is processed, and analyzed by technicalGeographic Information System (GIS) to map themore accuracy and precision.

INTRODUCTION
The use of various tools to facilitate
positioning for survey and mapping has been growing
and has the speed and accuracy with a high degree of
accuracy. One development of satellite-based
technology is GNSS (Global Navigation Satellite
System) which operates supported by several
satellites and operated for 24 hours as a reference inpositioning both in real time and post-processing.
GNSS (Global Navigation Satellite System) is
a constellation of currently satellites such as GPS(Global Positioning System-USA), GLONASS(Russia), Galileo (Europe), BeiDou (China), and
QZSS (Japan), that transmitting signals fornavigation and positioning applications, anywhere on
the surface of the earth.
Generally GNSS has been widely used byvarious groups to support the data processing models
included in urban studies. Accuracy of measurementand data processing method in a study in urban
becomes very important that the utilization of GNSS
into one solution to increase the accuracy of the data.
In studies in urban areas of signal problems become
obstacles in determining the position and navigation
signal propagation because of problems such as
shadowing and multipath effects [1].
Satellite navigation tools such as the Global
Positioning System (GPS), which is often used as ameans of positioning has disadvantages signal if thearea is covered with high-rise buildings and also havethe imprecision in determining the position should be.
Some experimental research in the field of urban
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GNSS-RTK GNSS is using QZSS satellites
developed by Tokyo University. University ofIndonesia is one of the universities in Southeast Asia
are getting antenna and Receiver GNSS RTK from
Tokyo University's education and research activities
base on navigation system.

Ground Control Points (GCP) was converted to excel
Format that include coordinates of GCP. From
recorded coordinates around 30 minutes must be
combined into a single point. We can get more than
1000 unique coordinates. Simple statistic was used tomeasured average values from recorded coordinates.
Ground Control Points (GCP) must be distributed
well (Fig 1.), it can affluence the accuration andprecision of corretion. For synchronization between
aerial image and GCP, choosed attractive spot is more
better for reducing misinterpretation. Street lights,
street cross section and tree are example o atratctive
spots.

METHODOLOGY
Mapping UI using Drone
Aerial image data was gathered between May 12th
2016 to May 14th by using Phantom 3. Image
gathering was spread into 4 region in 333 hectares of
Universitas Indonesia. The result was 1500 sets ofimage which merged using Agisoft. The result ofmerged image still show some area outside
Universitas Indonesia region. Therefore, the image
was cropped using ArcMap. The Final results wasaerial image of Universitas Indonesia.
Imagery of Universitas Indonesia was acquired bydrone. Consideration chosen drone to be process
imagery mode is the resolution. All imagery must be
taken in same weather characteristic. Because it can
reduce sun exposure differentiation, so we can get
same quality of imagery.
First process of imagery is study area orientation. It isuseful to make flight track Because we choose drone
on automatical mode. We can refer to google earth
imagery for finding coordinate reference. From
imagery we can get photos coordinates from default
GPS system in drone.
Geometric Correction using GNSS Data and GPS
Data
Default GPS system that included in drone has
several weaknesses. Limit of accuration become achallenge for application aerial photos for mapping
purposes, specially in detail mapping activity. GNSS
is one of technology that has developed to fix thisproblem.

Fig 1. The locations of GCP
Result of correction process will show thedifferentiation between GNSS and GPS system. The
accuration both GNSS and GPS can be estimated bycorrection process. It is important for measuring error
in mapping process. RMSE value of geometriccorrection should be an indicator in correction
process. Application for estimated RMSE is ArcMap,that can automatically measure RMSE error from
GNSS and GPS.

There are location bias in aerial image which
influenced by GPS accuracy in the platform.
Therefore, to increase the image accuracy, geometriccorrection was needed. This geometric correction
could reduce bias value from the image. Some
Ground Control Points (GCP) was needed ingeometric correction to bind the true location so thatthey could reduce bias value. For high resolution
image, it needs 9 to 15 minimum points which spreadin the entire area of image. In this research, there are
15 GCPs, as shown in the figure 2. These points was
obtained by using U-blox, a GNSS tools, by recording
data from satellite. Duration of recording was around30 minutes because the result was more accurate than
15-25 minutes recording.

The RMSE value of geometric correction should beconcerned. A good RMSE value ranged between 0 1. If RMSE value was more than 1, then the geometriccorrection is not good enough and couldn't be used tofurther processing. The result of RMSE value in thisresearch is o.o8, which was satisfy for further
processiong.
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Conversion Raster Data to Vector Data
From the result of aerial image that had corrected
geometric can be a Base map for Interpretation land
use change. Aerial image have raster format must be
converted into vector format, so we can analysis
easily. Vector data format is Shape File. Conversion
was using manual digitization. Manual interpretation
has several advantage, it can reduce error because theidentic of spectral values.
Vector data features are acquired by following point,line, or polygon which identified manually (likeforest of building) from aerial image in vector mode.
The accuracy and spatial information of the features
depend on the spatial resolution of the aerial image.
Spatial resolution of the image is 0.83 meter, whichshould be able to map detailed scale up to 1:500.
However, manual digitation has some weakness. It
required a lot of works and concentration. It also a
tedious work, especially if there are a lot of features.
Therefore, manual digitation is susceptible withhuman error. Furthermore, lots of buildings andfeatures in Universitas Indonesia were covered bytrees so that it makes feature identification harder.
Universitas Indonesia 2016
Result of digitization will be divided into 3 classes.
Built up area, vegation area, water body. Bulit up can
be classified into parking area, building and road andvegetation can be classified into konservation forestand park.
RESULT

Figure 2. Comparison between corrected (top) anduncorrected (bottom) image
Figure above shows the comparison between
geometrically uncorrected and correted aerial image
using 15 distributed points of GCP, which
coordinates was obtained from filed survey using
Ublox and GNSS. Uncorrected image still used
default coordinates, while corrected image utilized
GNSS to determine coordinates. Hence, there areshift between object’s location. The RMSE value ofgeorecitified image is 0.08, which means
CONCLUSION
The difference of GPS System and GNSS System isthe process of mapping. Several differences are theprocess of acquairing location coordinate and tools.
So the coordinate result both GPS and GNSS are
different. From RMS Error We can conclued if GNSS
More Accurate than GPS.
Based on result of the research, GNSS System forland utilization mapping is more accurate than GPS
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Pertanahan”, Journal of Bhumi, Vol. 1, No. 1,
May 2015, pp.99-112[5] Marina-Ramona Rujoiu-Mare*; Bogdan-Andrei
Mihai, “Mapping Land Cover Using Remote
Sensing Data and GIS Techniques: A Case Studyof
Prahova
Subcarpathians”,
Procedia
Environmental Sciences , Vol 32, 2016, pp. 244– 255[6] O’ Sullivan, Arthur. 2007. Urban Economics:
Sixth
Edition. Singapure:
McGraw-Hill
Companies.
[7] Sadyohuotmo, Mulyono. 2013. Tata Guna
Tanah dan Penyerasian Tata Ruang.
Yogyakarta.Pustaka Pelajar[8] Sandy, I Made. 1986. Geografi Regional
Indonesia.Jakarta.
Departemen
Geografi
Universitas Indonesia :[9] Scott, Allen. (2012). A World In Emerge.
Cheltenham : Edward Elgar Publishing Limited[10] Wiemwiel, Wim., Persky, Josepj J. (Ed.). (2002).
Suburban Sprawl : Private Decision adn Public
Policy. New York: M.E Sharpe[11] Widiatmaka,
Sarwono.
2007.
Evaluasi
Kesesuaian Tanah dan Perencanaan Tata Guna
Tanah. Yogyakarta. Gadjah Mada University
Press.

System. Because RMS error that estimated total error
in land utilazaztion mapping is lower than GPS RMS
error. Further for implemantation GNSS for land
utilization specially for detail mapping is more better
than GPS, because GNSS System can decrease
potential error in mapping process

REFERENCES[1] A. Bourdeau, M. Sahmoudi, J.-Y. Tourneret,“Tight Integration of GNSS and a 3D City Modelfor Robust Positioning in Urban Canyons”,
Conference Proceedings of the 25th International
Technical Meeting of The Satellite Division of
the Institute of Navigation (ION GNSS 2012),
pp. 1263 – 1269
[2] Paul D. Grove, “Shadow Matching: A New
GNSS Positioning Technique for Urban
Canyons”, The Journal Of Navigation, Volume64, Issue 03, July 2011, pp. 417–430[3] Rafael Toledo-Moreo, David Bétaille, andFrançois Peyret, “Lane-Level Integrity Provision
for Navigation and Map Matching With GNSS,
Dead Reckoning, and Enhanced Maps”, JournalofIEEE
Transactions
On
Intelligent
Transportation Systems, Issue 1, March 2010,
pp.100-112.
[4] Kariyono, Eko Budi Wahyono, Tanjung
Nugroho, “Rekonstruksi Batas Bidang Tanah
Menggunakan Jaringan Referensi Satelit923

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

STUDY ON IMPLEMENTATION OF COMMUNITY-BASED SOLID WASTE
MANAGEMENT AT GUNDIH, BUBUTAN DISTRICT, SURABAYA CITY,INDONESIA
Eddy S. Soedjono1), I Made Wahyu Wijaya1), Nurina Fitriani1), Premakumara Jagath Dickella Gamaralalage2)
1)

Environmental Engineering Department, Institut Teknologi Sepuluh Nopember, Surabaya, Indonesia
2)
Institute for Global Environmental Strategies, Kitakyusu, Japan

ABSTRACT: Gundih is one of the sub-district in Bubutan District in Surabaya City. The current solid waste
generation in Gundih is 0,282 kg/person.day which is below the average of generation from residential area in
Surabaya. Therefore, the purpose of the research is to get the knowledge, attitude, and awareness of community
in Gundih about solid waste management, including 3R (reuse, reduce, and recycle) and waste bank.
Questionnaires were used in this research and focused on people’s knowledge, attitude, and awareness. The
respondents were classified based on economic level and gender. The results shows that 93% of rich people
knows waste separation while it is 79% for the poor. The results about awareness showed that 64% of richpeople and 43% of poor people had conducted waste separation. Regarding recycling process, 43% of richpeople knew about recycling and 64% of them had conducted recycling, poor community, however, only 14%
were familiar with recycling and 36% had conducted the recycling. The existence of waste bank is alreadyacknowledge in Gundih, 93% of all people know about it and become the member of waste bank. In terms ofreuse activity, more than 50% respondents also stated that they always carry their own bag for shopping. Rich
community in Gundih has more knowledge in solid waste management, perform better attitude and awarenessthan the poor.
Keywords: Community-based, 3R, composting, waste bank, solid waste managementtransported to landfill continuously, it needs a solid
waste management which is supported bycommunity based. Solid waste management needbetter approaches to be more efficient and effective.
The stakeholder in solid waste management is an
important part as it is widely claimed thatparticipatory approaches in planning, action, andresearch can be one of the solutions [4]. In thisresearch, community based include some activities
about solid waste management, such as collection,
separation, transportation, 3R, and disposal.
Organic and inorganic waste will have economic
potential or benefits for the community, if they areprocessed and managed properly [5]. Communitybased solid waste management in waste collection
and disposal have been recommended by many
research to develop the management of solid waste
in municipals [12]Gundih Sub-district in Bubutan District,
Surabaya City, is one of the community whichbecomes a pilot model in good environment
management. The area of study is shown in figure
1. The previous research [6] has found the solid
waste generation of Gundih is 0,282 kg/person.day.
According to Indonesia National Standard [21], it isbelow the average of solid waste generation fromresidential. The practice of solid waste managementin Gundih was very good. There was composting
and recycle activity that conducted by thecommunity. The separation of solid waste is still

1. INTRODUCTION
Rapid urban population and economic growth ina city contribute the increase of municipal solid
waste generation. Surabaya is the capital city of
Jawa Timur Province with second largest of
population in Indonesia. Development of solid
waste management has become one of challenging
issues in Surabaya. Since 2005, Surabaya havestarted and implemented community based solid
waste management (CBSWM) [1]. According toAgency of Cleansing and Gardening of Surabaya
City, the amount of solid waste that is transported
to Benowo Landfill was 1.300 tons/day [20]. In
terms of waste composition, range of 60-70% of
waste in Surabaya City belongs to biodegradable
waste. According to Challcharoenwattana [2] Solid
waste composition has also changed according tosome stages of population. Less urbanized town
produce mostly food waste while the more
urbanized town has more diverse waste with highnumber of plastic and paper waste. High income
community generate more solid waste than othercommunity with low or middle of income.
Solid waste management in most developing
countries are characterized by inefficient collecting
methods, inadequate served area of collection
system, inappropriate disposal system, and real
operation and maintenance cost are never fully
covered [3]. In order to reduce the amount of waste
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SEE-Osaka, Japan, Nov. 21-23, 2016

respondents.

going well and supported by separated bin.

2. METHODSThis study was carried out at Gundih SubDistrict, Bubutan District, Surabaya City, Indonesia.
The research was a descriptive survey of selected
members of community in Gundih using wellstructured questionnaire. The questionnaire were
purposed to get the knowledge, attitude, andawareness of solid waste management. The
respondents were classified based on economic
level and gender.
The questionnaires were focused on 2 topics(Section A and B) that would describe theknowledge, attitude, and awareness of community.
Section A consisted of questions to assess theknowledge of community about solid waste
management including separation, recycling, wastebank, and composting. Section B consisted ofquestions to assess their attitude and awareness ofsolid waste management. Each completed
questionnaire was reviewed for completeness. The
questionnaire that has been answered, analyzed by
calculating the percentage of responses from therespondents for each question. All percentage will
be described based on the sight of female and malecategory and also poor and rich community
The research was conducted in three districts ofSurabaya based on the density of community andtheir concern in environment. A total of 84
respondents have been interviewed for all districts.
Bubutan District has been selected to represent thehighest density of community and best concern on
environment. Those respondents include rich andpoor community and also male and female
categories. Collecting data is carried out by door todoor. All items will be presented in form ofpercentage graph.

Fig. 1 Area of Bubutan District in Surabaya City
According to Tallei, et al [7], solid waste
management practices in a community, tends todiffer by gender. It stated that male members ofcommunity had higher awareness scores than thefemale, but on the other side female had better
practices in solid waste management, cause in mosthousehold, female do most cleaning and sweeping
activities. Different research [8] has been stated thatfemales participate more actively in waste
management then male. This study is in support
with Adogu [9], who found that female is moreaware and displayed better attitude than males insolid waste management. Women are the mostpotential segment of the society, most of theirearnings are spent to livelihoods. They have an
important role to bring a sustainable in their family[10]. The sustainability is influenced by selected
technology, investment cost, operation cost,
technical operation, community participation, andinstitutional management [22].
A study from Singhirunnsorn [11] stated thatsocial status of community show the significant
differences in attitude and behavior in solid waste
management. The household income has a negative
relation with the attitude. Socio-economic factor
had a significant impact in determining the waste
generation by each household. This factor had
influence on littering behavior. Percentage of waste
generation by household generally varied
depending on area as well as economic status of theresidence. This study observed that in high income
area, people had more concern about solid waste
management [13]. Solid waste generation depends
on the economic level or income of the family orindividual. An increase of economic growth iscorrelated positively with waste generation [14].
This research is purposed to know theknowledge, attitude, and awareness of community
in Gundih about environment management. Scopeof community in this study is classified into
economic level (rich and poor community) andgender (male and female). A structured
questionnaire will be used for all classified

3. RESULTS AND DISCUSSION
Knowledge about the negative impact of
unmanaged solid waste to environment become
very important for the community. The results
show that 93% of both rich and poor community
were familiar with the negative impacts ofunmanaged solid waste. All males familiar with thisissue, but only about 86% of females who know
about it. Causing bad smell, obstructing the
walkways, and polluting the river are the negative
impact that most widely known by the respondents.
Television become the most frequent source of
information about those problem. In personal,
community based group become the one of
information’s source. In term of city regulation
about solid waste management, only about 50%
from the rich community is familiar with theregulation, while 72% of poor community are never925

SEE-Osaka, Japan, Nov. 21-23, 2016

heard about it. Only about 22% of female
respondent stated that they are familiar with theregulation, but the half of the male also stated. Mostof information about regulation obtained fromtelevision and community based group. The richcommunity will be easier to get some informationfrom others media, such as internet.
Proper solid waste management will affectvarious aspects of the community, such as health,productivity, and economic level. Based on the
results, 43% of rich community stated that properly
solid waste management is very important, 29%
stated it is important, and 28% stated that is enoughimportant. From the poor community, 57% statedthat is enough important. Male respondents statedthat very important in 43% and only about 21% offemale stated the same.
Solid waste collection system in Gundih is stillusing handcart with the service from house tohouse. Operational and maintenance cost ofcollecting system is obtained from the regularly
payment of community members. Based on thatcase, this study also asked the opinion ofcommunity members about the reasonable fee forcollection service per month. The results showedthat from rich community, 28% agree to pay 10005000, 36% argue to pay 5000-10.000, and 36%
stated that they are willing to pay more than 10.000.
A half of poor people agree to pay 5000-10.000.
The same percentage from male respondent showedthat 36% agreed to 1000-5000 and 36% agreed tomore than 10.000. A total of 57% of female
respondents more agree to pay 5000-10.000. Only
about 22% agreed to pay 1000-5000 and 21%
agreed to more than 10.000. Generally, woman willmore thinking about their household needs. This
reason is in line with the previous research [10].

Based on the action of 3R plan, solid waste
management will serve a sustainable separation
system at sources. It shows that all municipal solid
waste is collected and transported to the disposal
facility and support the social manner responsibility
for environment [25].
3.2 Solid Waste Separation
Generally for the rich community, if thecommunity is aware of the collection service andknow that the worker is responsible, they will tend
more likely to pay for the service than the service isimpersonal [6]. The results showed that 93% of richcommunity is familiar with waste separation, while
the poor community only about 79%. About 43% ofrich community stated that solid waste separation isvery important to be implemented, while only about
21% of poor community stated the same and 57%
argue that it is enough important. The best result
performed by male respondent, all of them very
familiar with waste separation, and 43% of themagree that solid separation is very important to do.
Female showed 71% in knowing about this activity,
however only 21% of them stated that it is very
important, 43% expressed to enough important. In
this case, community information board is the most
becoming the choice of all community besides
television and relatives. Separating activity must be
accompanied by the provision of solid waste
storage. Unavailability of separation storage causeof solid waste remained mixed when it is collected.
Based on the solid waste management practicein separation activity showed that 64% of richcommunity separate their solid waste generation
every time, 29% of them just separate 75% of theirtime. In other side, only about 43% of poor
community separate their solid waste every time.
The occurrence of separating activity is influenced
by the availability of separated waste storage. In thiscase, providing some waste storages become an
obstacle for poor community. Male respondents are
more active in performing separation than female,
about 64% of male do separation of their solid waste
every time, while only about 43% do the samething.

3.1 Implementation of 3R (Reuse, Reduce,
Recycle)3R is a strategy to manage solid waste
generation into new resources, reducing pollution,and optimizing natural resource utilization [15].
The results showed that 79% of poor community
has never heard about 3R. The rich community notshowed best results, 36% stated that they arefamiliar with 3R and 36% stated the opposite. The
male respondents performed 11% higher ofpercentage in knowing 3R than female which isonly about 14%. Community information board has
important role in spreading the information about
3R, it is evidenced by the high percentage of
information sources according to the respondents.
Previous study [24] stated that implementation
strategic of 3R in solid waste management which is
fully implemented is in order to decrease the cost,
performance, and people’s throw away culture thatshould be changed through awareness and practice.

3.3 Solid Waste Recycling
Recycling of solid waste into new product withsome process happen in small scale because it
depends on the machinery and technology [15].
Accordance with the that statement, the result
showed that rich community showed higher
percentage in knowing recycling activity that is
43% than the poor community only about 14%.
About half of rich community stated that recycling
is important, however the poor community argue
that it is enough important with 64% respondent.
926

SEE-Osaka, Japan, Nov. 21-23, 2016

Recycling activity depends on the machinery andtechnology, it cause the poor community do notprioritize in recycling. Male respondent showed that36% are familiar with recycling, however thefemale only about 21%. Half of male respondent
thought that recycling is very important to be
implemented, while only 21% of female stated thesame. According to Kumar [16], due to people’sbusy schedule in their daily life, they are only want
to dispose their solid waste out the house. The lackof willingness to do recycling is caused by the lowof awareness, responsiveness, time, and lessinformation. Waste recycling from informal sector
and local community can enhance the efficiency ofrecovering process, reduce the disposal cost, andavoid unnecessary disposal technology.

The research was supported by Institute for
Global Environmental Strategies (IGES), Japan

6 REFERENCES[1] DAI. “Comparative Assessment Community
Based Solid Waste Management (CBSWM)
Medan, Bandung, Subang, and Surabaya”.
2006. Jakarta: Development Alternatives, Inc.
[2] Challcharoenwattana, A., Pharino, C. “CoBenefits of Household Waste Recycling for
Local Community’s Sustainable Waste
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in
Thailand”.
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[3] Ahmadi, M., Hashim, H. S., Mohamed, A. F.,
Moharamnejad, N. “Toward CommunityBased Waste Management: Tehran as a Case
Example”. Middle-East Journal of Scientific
Research Vol. 15 (8), 2013, pp 1102-1107[4] Okalebo, S. E., Opata, G. P., Mwasi, B. N.
“An Analysis of the Household Solid Waste
Generation
Patterns
andPrevailingManagement Practice in Eldoret Town,
Kenya”. International Journal of Agriculture
Policy and Research, Vol. 2 (2), 2014, pp. 076089[5] Tilaye, M., van Dijk, M. P. “Sustainable Solid
Waste Collection in Addis Ababa: The User’s
Perspective”. International Journal of Waste
Resources, Vol. 4 (3), 2014.
[6] Tisna, A., Trihadiningrum, Y. “Study of Solid
Waste Management System in Bubutan
District,
SurabayaCity.
Theses,Environmental Engineering, RSL 628.44 Ayu
k. 2010[7] Tallei, T. E., Iskandar, J., Runtuwene, S.,
Filho, W. L. “Local Community-Based
Initiatives of Waste Management Activities on
Bunaken Island in North Sulawesi,
Indonesia”.
Research
JournalofEnvironmental and Earth Science, Vol. 5 (12),2013, pp. 737-743[8] Agwu, M. O. “Issues and Challenges of Solid
Waste Management Practice in Port-Harcourt
City, Nigeria – A Behavioural Perspective”.
American Journal of Social and Management
Science, Vol. 3 (2), 2012, pp. 83-92[9] Otitoju, T. A. “Individual Attitude toward
Recycling of Municipal Solid Waste in Lagos,
Nigeria”. American Journal of Engineering
Research (AJER), Vol. 3, No. 7, 2014, pp. 7888
[10] Adogu, P. O. U., Uwakwe, K. A., Egenti, N.
B., Okwuoha, A. P., Nkwocha, I. B.
“Assassment of Waste Management Practices
Among Residents of Owerri Municipal Imo
State Nigeria”. Journal of Environmental
Protection, Vol. 6, 2015, pp. 446-456

3.4 Waste Bank
Nowadays, waste bank is very familiar in somecommunities. Waste bank has been developed on
the basis of public participation. The bank is
operated by the local community members andopened regularly [11]. Same percentage of rich andpoor community (93%) showed that waste bank isvery familiar in Gundih. All male respondents
stated that they are familiar with waste bank and
86% of female stated the same. Mostly, members ofcommunity in Gundih have joined become amember of waste bank. In high percentage, richcommunity showed that 93% of them become themember of waste bank in Gundih similar with that,
86% of poor community has become the member ofwaste bank. The same pattern also occurs in themale and female respondents. According toprevious study [11], at the beginning of waste bankdevelopment, the members of waste bank officially
get the credit on their account. Their solid waste thathas been collected and remitted will be sold torecycling network seller whether formal or informal
sector. Then the members will consequently receive
money in exchange their solid waste.

4 CONCLUSION
Economic level and gender influence incommunity-based solid waste management in
Gundih Sub-District. Rich community shows better
performance in solid waste management activities.
Their knowledge, attitude, and awareness were
better than poor community. Male community has
good results in applied community-based solid
waste management in Gundih if compared to thefemale.

5 ACKNOWLEDGE

927

SEE-Osaka, Japan, Nov. 21-23, 2016[11] Muhammad, M. N., Manu, H. I. “Gender
Roles in Informal Solid Waste Management inCities of Northern Nigeria: A Case Study of
Kaduna Metropolis”. Academic ResearchInternational, Vol. 4, No. 5, 2013, pp. 142-153[12] Singhirunnsorn,
W.,
Donlakorn,
K.,
Kaewhanin, W. “Household Recycling
Behaviors and Attitudes toward Waste Bank
Project:
Mahasarakham
Municipality”.
Journal of Asian Behavioral Studies, Vol. 2
No. 6, 2012, pp. 35-47[13] Chengula, A., Lucas, B. K., Mzula, A.
“Assessing Awareness, Knowledge, Attitudeand Practice of The Community Towards
Solid Waste Disposal and Identifying theThreats and Extent of Bacteria in The Solid
Waste
Disposal
Sitein
Morogoro
Municipality in Tanzania”. Journal of
Biology, Agriculture, and Healthcare, Vol. 5
No.3, 2015, pp. 54-65[14] Haider, A., Amber, A., Ammara, S., Mahrukh,
K. S., Aisha, B. “Knowledge, Perception, andAttitude of Common People towards Solid
Waste Management – A Case Study ofLahore, Pakistan”. International Research
Journal of Environment Sciences, Vol. 3 (3),2015, pp. 100-107.
[15] Grover, P., Singh, P. “An Analysis Study of
Effect of Family Income and Size on Per
Capita Household Solid Waste Generation in
Developing Countries”. Review of Arts andHumanities, Vol. 3, No. 1, 2014, pp. 127-143[16] Peprah, K., Amoah, S. T., Achana, G. T. W.
“Assessing ‘3Rs’ Model in Relation to
Municipal Solid Waste Management in Wa,
Ghana”. World Environment, Vol. 5, No. 3,
2015, pp. 112-120.
[17] Kumar, M., Nandini, N. “Community
Attitude, Perception and Willingness towards
Solid Waste Management in Banglore City,
Karnataka, India”. International Journal ofEnvironmental Sciences, Vol. 4, No. 1, 2013,
pp. 87-95[18] Jibril, J. J., Bin Sipan, I., Sapri, M., Shika, S.
A., Isa, M., Abdullah, S. “3R’s Critical

Success Factor in Solid Waste Management
System for Higher Educational Institutions”.
Procedia – Social and Behavioral Sciences 65,
2012, pp. 626-631.
[19] Chowdury, A. H., Muhammad, N., Ul Haque,M., R., Hossain, T. “Developing 3Rs (Reduce,
Reuse, and Recycle) Strategy for Waste
Management in the Urban Areas of
Bangladesh: Socioeconomic and Climate
Adoption Mitigation Option”. IOSR Journalof Environmental Science, Toxicology andFood Technology, Vol. 8, No. 5, Ver. 1, 2014,
pp. 09-18.
[20] Windi, Y. K., Rahariyani, L. D., Wijayanti, D.,
Rustamaji, E. “Assessing the Benefits ofSuper Depo as A Model of Integration ofWaste Pickers in A Sustainable City Waste
Management”. International Journal ofEnvironment and Ecological Engineering,Vol. 3, No. 1, 2016.
[21] Indonesia National Standard (SNI) No. 193694-1994. “Metode Pengambilan dan
Pengukuran Contoh Timbulan dan Komposisi
Sampah Perkotaan”.
[22] Masduqi, A., Endah, N., E.S. Soedjono, Hadi,
W. “Structural Equation Modelling for
Assessing the Sustainability of Rural Water
Supply System”. Journal of Water Science andTechnology. 2010.

928

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

A REVIEW ON IMPLEMENTATION OF SAFETY TRAINING
AMONG STUDENTS IN SCHOOL
Nurul Husna Che Hassan1, Ahmad Rasdan Ismail1, Nor Kamilah Makhtar2,
Nik Anis Amanina Nik Ayub1, Mohd Arifpin Mansor3,
Norhidayah Mat Sout4
1

Faculty of Creative Technology and Heritage, University Malaysia Kelantan
Locked Bag 01, 16300 Bachok, Kelantan. Malaysia
2Institut Pendidikan Guru Kampus Kota Bharu,
Jalan Maktab, Pengkalan Chepa, 16109 Kota Bharu Kelantan, Malaysia
3
Faculty of Technology Engineering, Universiti Malaysia Pahang,
Lebuhraya Tun Razak, 26300 Gambang, Malaysia
4
Faculty of Mechanical Engineering, University Malaysia Pahang,
26600, Pekan Pahang Darul Makmur, Malaysia

ABSTRACTThis paper presents the review of safety implementation from several studies that focus on training program inschool. A school is a strategic organization to develop young people of the country with the characteristics ofsociety expects. Student, teacher and other staff in school expose with the variety of risk and hazard as they
spend a lot of their time in schools. Therefore, training program regarding safety issue need to conduct in theschool society to avoid any unplanned events occur that can bring harm to the people surrounding. The
objective of occupational safety and health training is to equip students with necessary knowledge,
information and also develop their ability so that they realize and know about the safety issue in school. Apartfrom that, training program need to include knowledge about the safety in educational environment to prevent
accident and improve the safety in school. As conclusion, safety training has established support byorganizations of school in improving safer work practice, then there remains limited empirical evaluation todetermine specific impact on improvements in safety culture and safety performance in school.
Keywords: Safety, Health, Training, Students
teachers and other staff spend most of their time inschool. In Turkey, previous study reported that theperiod of students spend their daily in school isabout 180 days of a year and 6 hours [9]. A school
is considered as a place of work. In the Act,
“place of work” means premises where persons
work or premises used for the storage of plant andsubstance [20]. Thus, the probability of the risk
and hazard occurred in school was higher. The
risks and hazards that occur may negatively affect

INTRODUCTION
In recent years, safety has become acentral issue which has been growing in the social
context that increasing the concern for preventionof danger situations [2]. Certain safety conditions
are being explored in entirely life scopes which
are related to quality and welfare. One of thescopes for ensuring safety is from the educational
activities in school. Children, young people,
929

SEE-Osaka, Japan, Nov. 21-23, 2016
in workplace-based learning (WPL). This training
can be applied to the learning method as well as tothe course content [11].
Several authors highlight the importanceof close cooperation between school and work inorder to deliver relevant and desired knowledge.
The knowledge of teachers and experts in theworkplace about the safety in school must higher
and must be more willing to provide workplacebased learning (WPL) for pupils regarding thesafety knowledge hence, the pupils will be awareof the safety issue at school [26]. Reference [28]identified the communication between pupil,
teacher, and supervisor is the most successful way
to reach training goals.

their health and wellbeing. In order to prevent
danger situations in schools, safety condition inschool need to be considered in all of the aspects
which are the school physical environment and thesocial environment [2].
Reference [9] stated that school safetymeans students and staff should feel themselves
free in physically, psychologically andemotionally manners. The basic reason why
schools exist is because of the students and theireducation. Therefore, school safety and student
safety concepts are used interchangeably in
literature. Safety schools provide a social andphysical environment that effect appropriate
behavior of students. The physical environment
includes the way in which the building and theschool’s routines are managed to prevent
problems [8].
Reference [4] clearly stated that,compared with older, young people are more
vulnerable to accidents when entering any of theworkplace. Another major studies were foundthat, although the schools are classed with a lowrisk level, it is necessary to take preventive
measures to prevent accident in school. Therefore,
the community of school need to conduct safety
program to prevent from unexpected situation
occur in the workplace [7].

IMPLEMENTATIONTRAINING IN SCHOOLOF

SAFETY

Reference [5] points out that education
and awareness strategies for preventing frominjuries and accidents among young people
especially students are widely described in thescientific literature. Safety training program isconducted regarding to the attitude or behavior of
student that tend to contribute to the main cause of
injury in school or workplace [16]. Training
program also focus on ‘‘safety culture’’ among
students which is directed a school education
movement in other educational programs
elsewhere in Canada and United States [23].
Previous research studies have revealed that mostof the current occupational health and safety(OHS) training and awareness approach are basedon a behavioral educational paradigm, which isoriented to ensure the student’s attitude or
behavior follow OHS rules [16]. Those
approaches focus on the trainer role andunidirectional of knowledge exchanges from thetrainer to the trainee.

SAFETY TRAINING IN EDUCATION
Training is defined as the systematic ofknowledge, skills and attitudes in order to develop
the competencies for effective performance of thepeople in the work environment [25]. Reference[3] defined a safety program as the control of theworking environment, equipment, processes, andthe workers for the purpose of reducing accidental
injuries in the workplace. Some studies haveconcluded that training in occupational health andsafety (OHS) is important and need to be included930

SEE-Osaka, Japan, Nov. 21-23, 2016
laboratory safety can be stated as taking measures
to risks that can be aroused while making
experiments or possible failure of materials,
devices, hardware. Therefore, both teachers andstudents should be informed about the possible
hazards, and have the basic first aid ability.
Reference [10] point out that the students who aretrained for first-aid are more willing to takeresponsibility and to internalize safe attitudes.
Besides that, schools should have an
emergency escape plan which is known by all
students and staff. Evacuation procedures should
be explained including procedures during lunch orat assemblies. In each floor or class, there has tobe a fire alarm which is connected to early
warning system. Fire drills can be practiced
regularly as well as suddenly and should beconsidered indispensable for health and life safety.
Reference [13] found that the knowledge ofoccupational health and safety hazards, legislation,
standards for measurement of noise, lighting,indoor climate, chemicals in the workplace air,vibration etc. are needed.

Apart from that, with the strict
application of educational and non-educational
regulations are not enough, the prevention of risk
and hazards in schools are requires to integrate themanagement of safety in the usual tasks in orderto guarantee the protection of all the people inschool [17].
Importance of effective safety training inschoolEffective training involves changing
cognition,
attitudes
andbehaviorsandconsequently the way people conduct themselvesat work [27]. According to some researchers, an
important part of preparing people for theoccupational processes is specially the educationand training [24]. The increasing level of
education reflects the improvement of educationin schools [20]. The article proves the importanceof education in field of respecting the safe workand the prevention of student’s health in school[18].
Besides that, other study revealed that todevelop and improve training in OHS education,
headmasters could point out the importance of
training including safety training for the students[1]. One way to improve the supervisors’ role isby inform them about what students had been
trained for at school about OHS, but they should
also be given enough time to discuss the content
of OHS with teachers.
Apart from that, according to researchers
study, they noted that, the training need to include
the knowledge about the safety in educational
environment such as the school building which
covers the all education activities and facilities.
One of the buildings is laboratory which
involving students who are conducting thepractical work. During practical work, they
involve with the chemical hazard [9]. Thus,

Benefits of safety training implementation
Aside from providing specific courses in
Occupational Health and Safety (OHS) at the
beginning of the 3-year training programs, theteachers organize their teaching based on theirown experiences and knowledge. The teaching isbased on risk factors that are present in theworkshops at school, where pupils have theirpractical training, or on the teacher’s own
experiences with accidents or incidents. In areview of 95 different methods of OHS training,some studies found that more implementation oftraining methods increased student’s knowledge
about OHS and were decrease the number ofaccidents and illnesses [6]. Therefore, safety
training could be an effective way to improve thework environment as well as awareness of risks in
931

SEE-Osaka, Japan, Nov. 21-23, 2016
the work environment and thereby decrease thepotential for accidents for students [1].
Reference [14] study found that thecommunication between students, teachers, andsupervisors in the workplace is also an importantpart to achieve well-functioning training. The
teachers normally visited the students at least once
during the practice periods. Other study describes
the importance of combining the rationales of
education in OHS for the groups of pupils, schools,
and workplace-based learning (WPL) companies
to one common goal in order to make learning in
OHS become more useful [12].
Some campaigns were carried out andfocused on children's safety and health andpreventing disease in children with a complete
wellbeing support in school. Throughout theseeducation, all individuals get fully benefit andadvantage [22].
On the other hand, study by researcher
point out that, the training activities was planned
to make sure the employees have the appropriate
attitudes, and also serve to keep their safety andhealth. Regular training is considered as afunction to increase employees’ knowledge, skills
and performance and to protect their physical andspiritual health. Table 1 showed the overall issue
of safety training in school among students.

Author
Reference[14]

2

Reference[21]

Reference[19]

4

Reference[10]

CONCLUSION
Based on the reviews from many studies,it showed that the implementation of safety inschools is an essential aspect to increase theprotection of all the students, teachers and staff
from the risk and hazards in school environment.
The whole school community plays an importantrole in school safety assurance. School must
provide volunteers with the necessary information,
training and supervision and consult with them onwork health and safety matters. According tosome studies, motivation and training that aimed
to adhere the principles of safe work is very
topical today [15]. The objective of occupationalsafety and health training is to equip students withnecessary knowledge, information and develop
their ability and skills [18]. It is very importantduring academic preparation of future teachers inorder to educate them about OSH and provide
them with all knowledge and information about
the OSH topic. The majority of graduate students
work as teacher at high schools, where they
expose with the hazard and harm at school. Thus,
they need to share their knowledge about safety

Table1 Overall Issue of Safety Training in School
among Students.
No
1

3

necessary to improve the
OSH status in their school.
Training in OSH isbecoming more important
towards increasing theculture of job safety at work
place, and to increaseawareness among occupants
Safety training need toinclude the knowledge
about
the
safetyinlaboratory since it isinvolving students to expose
with the chemical hazard.

DescriptionThe
communication
between organizations inschool is important todevelopwell-functioning
training.
Fifty-percent of the school’s
heads agreed that it was932

SEE-Osaka, Japan, Nov. 21-23, 2016
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[17] Leger, L.; Young, I.; Blanchard, C. &Perry, M. Health promotion in schools.
From evidence to action. France:
UIPES.2010.
[18] Melania Feszterova. Implementation Of
E - Learning In To OHS Education
Procedia - Social and Behavioral
Sciences 191.2015: 1275 – 1281
[19] Mustazar Mansur & Ho Shu Pengm .
Effectiveness Of Occupational Safety
And Health Training In Reducing
Accidents At Work Place. Prosiding
Perkem Iv, Jilid 2,2009: 293-324 Issn:
2231-962x[20] NSKC. Promoting Child Safety to
Prevent Unintentional Injury. School
Injury Fact Sheet Washington DC[Online], 2004:
Available: http://www.safekids.org.
[Accessed 10th March 2015].\[21] Nurul .A.H, Tengku M.A.Situational
Analysis On Safety And Health In
Primary School In Kota Bharu. Journalof Community Health, 2009: Vol 15
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[22] Nutbeam, D. Health literacy as a publichealth goal: a challenge for contemporary
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strategies into the 21th century. Health
Promotion International, 15(3), 2000:
259-267.
[23] Power, N., Baqee, S. Constructing a‘culture of safety’: an examination of theassumptions embedded in occupationalsafety and health curricula delivered tohigh school students and fish harvesters
in Newfoundland and Labrador, Canada.
Policy Pract. Heal. Saf. 8 (1), 2010: 5–23.
934

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

HEAVY METAL SPECIATION IN SEDIMENTS AND THE
ASSOCIATED ECOLOGICAL RISK IN SAGULING LAKE
WEST JAVA INDONESIA
1

Eka Wardhani1,2, Suprihanto Notodarmojo3 and Dwina Roosmini4
Environmental Engineering Program ITB, Post-Graduate Academy, Bandung, Indonesia.2Department ofEnvironmental Engineering, Itenas Bandung, Indonesia.
3,4Department of Environmental Engineering, ITB Bandung, Indonesia
ABSTRACTThe purpose of this study was to assess the chemical speciation of selected heavy metals (Cd, Cr, Cu, and Pb)
in 12 surface sediments at Saguling Lake West Java Indonesia. A five-step sequential extraction technique wasused to evaluate speciation heavy metals from Saguling Lake surface sediments. A risk assessment code (RAC)
was applied to estimate the risk of heavy metals release in to the environment. The total mean value of heavy
metals in surface sediment varied in the following descending order Cr>Cu>Cd>Pb. Based on the RAC value thesediments of Saguling Lake had been polluted by heavy metals, and they did pose medium ecological risk. The
information on total metal concentrations in sediment was not sufficient for assessing the metal behavior in theenvironment, but metal speciation greatly determines the behaviors and toxicity of metals in the environment so
it was more effective in estimating the environmental impact of contaminated sediments.
Keywords:Metals, Sediment, Speciation, Saguling.
large amounts of untreated wastewater containing
heavy metals from industrial sources havecontributed to increased pollution of the lakes. The
quality of water in the Saguling lake has beenmonitored since 1990 by the state agency forenvironmental control, there are no reports about
heavy metals in sediment of the lake. There isinsufficient information for an assessment of heavy
metals distribution in the lake [9].
The objective of this study was to evaluate
performance of the heavy metal speciation in
sediments from Saguling Lake West Java Provinces,and to use the calculated risk assessment code
(RAC) to assess the potential ecological risk
associated with the heavy metals present. This work
will provide the direct evidence needed by local
environmental authorities to allow them to design
and implement the measures necessary to improvelake water quality.

INTRODUCTION
Sediments are a significant storage compartment
for metals that are released to the water column inrivers, lakes, and oceans. Because of their ability tosequester metals, sediments can describe water
quality and record the effects of anthropogenic
emissions [6].
It is well accepted that total metal content insediments cannot predict the bioavailability andtoxicity of that metal [4]. It is in fact thephysicochemical forms of the metal that establish its
possibility bioavailability and toxicity. Thus, thespeciation and distribution study of metals in
sediments has become one of the most important
areas of environmental investigation [11],[16].
Metal speciation extremely determines thecharacters and toxicity of metals in the environment.
Speciation indicates to the occurrence of a metal in avariant of chemical form. These forms may include
free metal ions, metal complexes dissolved insolution and sorbed on solid surface, and metal
species that have been co-precipitated in major metal
solids or that occur in their own solid [10]. The
speciation studies of metals in sediments not only
conduct an showing of the current quality of theoverlaying water but also provide important
information on the transportation and fate ofpollutants [5], [7], [14], [15].
Saguling lake was built on The Citarum River.
The Citarum Watershed is home to the largest
industrial area in West Java Province. Several
economic activity are performed along Citarum
River, including mining and agriculture. Futhermore,

MATERIAL AND METHOD
Surface sediment were collected in November
2015 at twelve sampling sites around Saguling lake.
The sampling sites in Saguling lake presented in
TAble 1 and Figure 1. Surface sediment werecollected using a Eickman Grab from the depth of 020 cm. The samples were packed by plastic spatulain plastic boxes and preserved at 4oC until theirs
transfer to the laboratory. In the laboratory, samples
were dried, crushed, grind and sieve to fraction <1.5
mm.

935

SEE-Osaka, Japan, Nov. 21-23, 2016

Table 1 The location of sampling sites in Sagulinglake
No. of thesite

Latitude (N)Longitude (E)106º56'29.8"

107º32'10.7"

206º54'58.9"

107º28'32.3"

3

06º53'13.5"

107º28'32.3"

406º53'13.4"

107º27'09.0"

506º53'13.0"

107º25'54.4"

606º56'07.6"

107º27'25.5"

706º57'14.6"

107º26'03.8"8906º56'14.9"
06º56'00.4"

107º24'50.8"
107º22'22.4"

1006º54'54.4"

107º22'26.3"

1106º51'49.8"

107º20'57.0"

1206º51'10.8"

107º20'58.0"

peroxide was added to the residue 2 in the centrifuge
tube. The digestion was allowed to proceed at room
temperature for 1 h with occasional manual shaking,attended by digestion at 85±2°C for another 1 h.
During the digestion, the centrifuge tube was freely
protected to avoid significant loss of hydrogen
peroxide. Next, the centrifuge tube was disclose andheating was sequented until the volume reduced toabout 2-3 mL. An additional 10 mL of hydrogen
peroxide was added to the tube, covered, anddigested with cover at 85±2°C for another hour.
Heating was continued as before until the volume
reduced to 2-3 mL. Finally, 50 mL of 1 M
ammonium acetate was added to the cold mixture
and shaken for 16 h at room temperature. The
separation of the extract, collection of thesupernatant, and rinsing of residues were the same as
described in step 1.
Step 4 (residual fraction, F4): The residue fromstep 3 was digested using a compound of aqua regia.
An internal check was performed on the products ofthe sequential extraction by comparing the total
quantity of metal extracted by variant reagentsduring the sequential extraction procedure with theresults of the total digestion.
The content of heavy metals (Cd, Cr, Cu, andPb) was determined by Inductively coupled plasma
mass spectrometry (ICP-MS).

Location
Citarum River
Nanjung section
Citarum Rivernear Batujajar
Trash Boom
Cihaur Village
Cimerang Village
Cihaur Estuarynear Morocco
Village
Cipantik Estuary
Ciminyak
Estuary
Cijere Estuary
Cijambu Estuary
intake structure
trailrace
Bantar Caringin
Village

RESULT AND DISCUSSION
Environmental Setting
The Saguling lake region is 4.710 Ha the water
storage capacity is 730,5 million m3. The
surrounding area of Saguling Lake is hilly, while theriver has many tributaries at this location. This
makes the form of Saguling Lake very ragged or
dendriform, with many extended bays. The lake area
was previously densely populated by farmer resident
with extensive agricultural lands. The catchment
areas of the lake or the upper Citarum River basin
are faced with high population tension. This isbecause more 50% of the population consists offarmers with a high annual growth rate (2.34% is thenational average) [9].
Due to the high population density in the upper
catchment of the lake, extensive agricultural land,soil erosion and the presence of industries, the lakewater became polluted and eutrophic. The growth ofaquatic weeds has been accelerated, with frequent
blooms of Microcystis algae. The water is also
contaminated by heavy metals, pesticides, etc. An
extensive growth of water-hyacinth is maintained by
fencing to reduce pollutant contents of water at
inlets of the Citarum River [9]. Originally, theSaguling was planned for a single purpose lake togenerate electricity. Later, considering theenvironmental problems of the area, the SagulingFig. 1 The location of sampling sites in Saguling
Lake
Sequential extraction procedure of heavy metals
Sequential extraction was worked using a threestage modified procedure suggested by BCR plus theresidual fraction [2]. The extraction steps took on inthis study can be amply sum of as attends.
Step 1 (acid extractable/exchangeable fraction,F1): 40 mL of 0.11 M acetic acid was added to 1 gof sediment sample in a centrifuge tube and shaken
for 16 h at room temperature. The concentrate wasthen separated from the solid residue by
centrifugation and filtrate was separated bydecantation as beforehand explained.
Step 2 (easily reducible fraction, F2): 40 mL ofrecently available hydroxyl ammonium chloride wasadded to the residue from step 1 in the centrifuge
tube, and re-suspended by mechanical shaking for
16 h at room temperature. The separation of theextract collection of the supernatant, and cleansingof residues were the same as described in step 1.
Step 3 (oxidizable fraction, F3): The residue instep 2 was made twice with 10 mL of 8.8 Mhydrogen peroxide. First 10 mL of hydrogen936

SEE-Osaka, Japan, Nov. 21-23, 2016

was re-planned as a multipurpose lake such as raw
water, fisheries, aquaculture, and tourism [9].

site 11 at 5.5 mg/kg. In summary the contents of Cd,
Cr, and Cu were conciderable higher than thestandard level.

Phsyco-chemical characteristics of sediments
Table 3. Total heavy metals concentrations of the
Saguling lake surface sediments

The phsyico-chemical characteristics of surface
sediments were related with the speciation of heavy
metals gives at Table 2. The pH is exactly
influenced by many parameters, such as cationexchange capacity (CEC), clay content, redox
conditions and others, being responsible for thesolubility and mobility of metals and metalloids insoils and sediments [3]. The pH in sediments ranged
from 6.1 to 7.0 and the average value is 6.4,
explaining that the sediments were neutral andalmost same value for all sampling location.

pH
7.0
6.4
6.8
6.5
6.2
6.1
6.3
6.1
6.2
6.3
6.4
6.5

Sand
41.2
57.9
26.6
18.5
11.1
67.2
59.1
85.6
8.2
57.1
18.0
8.0

Silt
%
44.4
32.4
55.8
53.7
67.7
25.7
32.2
10.7
73.7
35.0
63.0
67.0

Pb

1
2
3
4
5
6
7
8
9
10
11
12

25.6
29.2
22.6
27.3
26.9
25.1
22.3
22.4
22.5
26.9
12.9
15.6

236.3
236.3
214.0
233.9
253.8
224.0
177.6
255.2
187.3
210.7
93.4
123.9

66.2
75.5
87.8
69.5
96.3
90.9
82.7
85.8
84.1
91.3
37.0
45.2

12.1
28.7
23.2
22.3
29.0
26.0
26.1
17.8
25.8
22.4
5.5
9.9

Mean
Standard
Deviation
SampleVariance
Minimum

23.3

203.9

76.0

20.7

4.8

50.7

14.5

7.7

23.4

2,568

209.6

59.8

12.9

93.4

45.2

5.5

Maximum
ANZECCISQG-Lowa
Average shaleba: [1] b: [13]

29.3

255.2

96.3

29.0

1.5

80

65

50

0.3

90

45

20

No. of the site

Table 1 Phsyico-chemical parameters of the
Saguling lake surface sediments
No. ofthe site
1
2
3
4
5
6
7
8
9
10
11
12

Total Concentration(mg/kg dry matter
Cd
Cr
Cu

Clay
18.1
10.3
23.9
23.9
29.0
13.6
12.2
3.9
37.9
13.1
36.0
30.0

Sand content for the studied samples varies from
8.0-85.6% whereas silt and clay content varies from
10.7-73.7% and 3.9-37.8%, respectively. Sand, silt
and clay value fluctuate from site 1 to 12. Site 8 had
the highest value for sand, site 9 had the highest
value for silt and site clay. Based on the analysis of
the sediment type is silt-sand from site 1 and 2, site
7 and 10 are sand-silt, site 6 and 8 is sand, the lastsite 3,4,5,9,11, and 12 B is silt.

Heavy metal speciations
In a natural, aerobic freshwater aquatic systemwith typical Cd-S-CO 2 concentrations, Cd2+ is the
predominant species below pH 8, CdCO 3 o is
predominant from pH 8 to 10, and Cd(OH) 2 o isdominant above pH 10. The solubility of Cd is
minimum at pH 9.5 [8].
F1 concentrations ranged between 0.0-8.5 mg/kg
with an average of 0.46 mg/kg. The highest
concentration is in site 1 located Saguling lake inlet
in the Citarum River Nanjung section, while thelowest concentration is in the site 11 locatedSaguling lake outlet. F2 concentrations ranged
between 3.6-8.9 mg/kg with an average of 3.1 mg/kg.
The highest concentration is in site 9 while thelowest concentration is in the site 12.
F3
concentrations ranged between 0.0-4.1 mg/kg withan average of 0.8 mg/kg. The highest concentration
is in site 11 while the lowest concentration is in the

Total heavy metal concentrations
The concentrations of Cd, Cr, Cu, and Pb in
surface sediment samples are shown in Table 3, Cd
concentrations were greatest at site 2 at 29.2 mg/kg
and lowest at site 11 at 12.9 mg/kg. The
concentrations of Cr at site 8 is the highest with avalue of 255.2 mg/kg, while lowest Cr concentration
is at site 11 with a value of 93.4 mg/kg. The highest
Cu concentration is at site 5 with a value of 96.3
mg/kg and the lowest Cu concentration is at site 11
with a value of 37.0 mg/kg.. The concentration of Pb
were highest at site 5 at 29.0 mg/kg and lowest at937

SEE-Osaka, Japan, Nov. 21-23, 2016

Concentration (mg/kg dry
matter)site 1, 2, 4, 7, and 10. F4 concentrations ranged
between 19.5-91.1 mg/kg with an average of 39.5
mg/kg. The highest concentration is in site 10 while
the lowest concentration is in the site 7.

The total content of Cr in Saguling lake surface
sediment exceeds the standard base on Australianand New Zealand Environment and Conservation
Council, 1997. Cr total concentration varied from93.4-255.2 mg/kg. The minimum value of Cr is
located in site 11 while the maximum value islocated in site 8. The average value is 203.9 mg/kg,
which is higher than the background value of wordgeochemical background value in average shale [13].
F1 concentrations ranged between 0.2-1.9 mg/kg
with an average of 1.0 mg/kg. The highest
concentration is in site 1 located Saguling lake inlet
in the Citarum River Nanjung section, while thelowest concentration is in the site 12 locatedSaguling lake outlet. F2 concentrations ranged
between 2.8-11.9 mg/kg with an average of 6.7
mg/kg. The highest concentration is in site 9 while
the lowest concentration is in the site 12. F3concentrations ranged between 2.5-13.44 mg//kg
with an average of 7.1 mg/kg. The highest
concentration is in site 8 while the lowest
concentration is in the site 12. F4 concentrations
ranged between 60.38-169.7 mg/kg with an averageof 131.7 mg/kg. The highest concentration is in site
4 while the lowest concentration is in the site 11.
Based on the average value of the concentrationof the largest to the smallest fraction of the heavy
metal Cr in Saguling lake is F4> F3> F2> F1 so it
can be concluded that only a small fraction of heavy
metals Cr which are mobile.

30
20

F1

10

F2

0

F3
1 2 3 45 6 7 89 10 11F4
12No of the site

Fig. 2. Chemical peciation of Cd in twelve sediment
samples from Saguling lake
Based on the average value of the concentrationof the largest to the smallest fraction of the heavy
metal Cd in Saguling lake is F4> F2> F1> F3 so it
can be concluded that only a small fraction of heavy
metals Cd which are mobile.
The speciation of Cd is generally considered to
bedominated by dissolved forms except in cases
where the concentration of suspended particulatematter is high such as “muddy” rivers and reservoirs
and near-bottom benthic boundary layers, andunderlying bottom sediments in river sand lakes [20].

Copper (Cu)F1 concentrations ranged between 4.5-12.3
mg/kg with an average of 8.6 mg/kg. The highest
concentration is in site 9, while the lowest
concentration is in the site 12 located Saguling lake
outlet. F2 concentrations ranged between 1.6-5.4
mg/kg with an average of 3.1 mg/kg. The highest
concentration is in site 7 while the lowest
concentration is in the site 12. F3 concentrations
ranged between 7.2-30.0 mg//kg with an average of
20.5 mg/kg. The highest concentration is in site 3
while the lowest concentration is in the site 6. F4
concentrations ranged between 1.2-54.8 mg/kg withan average of 22.1 mg/kg. The highest concentration
is in site 10 while the lowest concentration is in thesite 4. Based on the average value of theconcentration of the largest to the smallest fractionof the heavy metal Cu in Saguling lake is F4> F3>
F1> F2 so it can be concluded that only a small
fraction of heavy metals Cu which are mobile.

Concentration (mg/kg dry
matter)

Chromium (Cr)Cr, as well as Zn, are the most abundant of the“heavy metals” with a concentration of about 69
mg/kg in the lithosphere. Cr occurs in nature mainlyin the mineral chromite. The metallurgy industry
uses the highest quality chromite ore whilst thelower-grade ore is used for refractory bricks inmelting furnaces. Major atmospheric emissions arefrom the Cr alloy and metal producing industries.
Cr6+ is a potent carcinogen and Cr3+ is an essentialtrace element [19].

200
150
F1

100

F2

50
0

F3
1 2 3 45 6 7 89 10 11F4
12No of the site

Fig. 3 Chemical peciation of Cr in twelve sediment
samples from Saguling lake
938

Concentration (mg/kg dry
matter)SEE-Osaka, Japan, Nov. 21-23, 2016

code (RAC) was determined based on the percentageof the total metal content that was found in theexchangeable and acid soluble fraction (F1). This
fraction is considered to be the most unstable andreactive phase, which has greater potential foradverse effects on the aquatic environment compare
to the other fractions [7]. When the percentage
mobility is less than 1%, the sediment has no risk to
the aquatic environment. Percentages of 1 < RAC <10% may reflect low risk, 11 < RAC < 30% medium
risk, and 31 < RAC < 50% high risk. A RAC
percentage above 50% poses a very high risk and it
is considered dangerous because metals are easily
able to enter the food chain [7]. As can be seen from
Table 4, sediment had no or low risks associatedwith Cd and Cr, which had RAC value below 10%
in all of the samples, indicating that these metals
were only slightly mobile in the lake sediment. Allof the samples had low or medium risks (RAC
values below 30%) associated with Cu. Pb pose amedium risk to the environment at site 1. The results
suggested that Cd, Cr, Cu, and Pb, were not easily
released by the sediments into the water andtherefore that heavy metals wouldnot be likely toenter the food chain in the Saguling lake ecosystem.

60
40

F1

20

F2

0

F3
1 2 3 45 6 7
8 9 1011 12

F4No of the site

Fig. 4 Chemical peciation of Cr in twelve sediment
samples from Saguling lake

Concentration (mg/kg dry
matter)Lead
F1 concentrations ranged between 0.0-1.5 mg/kg
with an average of 0.1 mg/kg. The highest
concentration is in site 1, while the concentration inother site are zero. F2 concentrations in all sampling
point are zero. F3 concentrations almost zero in all
sampling point except in site 6. F4 concentrations
ranged between 3.4-23.3 mg/kg with an average of
12.3 mg/kg. The highest concentration is in site 5
while the lowest concentration is in the site 9.
Based on the average value of the concentrationof the largest to the smallest fraction of the heavy
metal Pb in Saguling lake is F4> F3> F1> F2 so it
can be concluded that only a small fraction of heavy
metals Pb which are mobile.

Table 4. Risk assessment code (RAC) for heavy
metals in surface sediment from Saguling lake
Heavy Metals
No. ofthe site
Cd
Cr
Cu
Pb

30
20

F1

10

F2

0

F3
1 2 3 45 6 7
8 9 1011 12

F4No of the site

Fig. 5 Chemical peciation of Cr in twelve sediment
samples from Saguling lake
The most important environmental sources for
Pb are gasoline combustion (presently a minor
source, but in the past 40 years a major contributor
to Pb pollution), Cu-Zn-Pb smelting, battery
factories, sewage sludge, coal combustion, andwaste incineration [15].

1

Low

No

MediumMedium

2

Low

No

Low

No

3

Low

No

Low

No

4

No

No

Medium

No

5

No

No

Medium

No

6

Low

No

Medium

No

7

Low

No

Medium

No

8

Low

No

Low

No

9

Low

No

Medium

No

10

No

No

Low

No

11

No

No

Medium

No

12

Low

No

Low

No

RAC value can be used as illustration that
Saguling lake surface sediments have been
contaminated by heavy metals and should beplanned recovery efforts of the heavy metal
pollution before causing an adverse impact on publichealth.

risk assessment code (RAC)

CONCLUSION

Metals are bound to different sediment fractions,with the binding strength determining theirbioavailability and the risk associated with theirpresence in aquatic systems. The risk assessment

Based on result in the surface sediment of
Saguling lake demonstrated the existence ofdifferences in the level of Cd, Cr, Cu, and Pb
939

SEE-Osaka, Japan, Nov. 21-23, 2016

concentration. The possible main source of the metal
contamination in the sediment are municipal andindustrial waste water discharge, agriculture runoff,and atmospheric input. Based on calculations with
the RAC value sediment had low to medium risks
associated with Cd, Cr, Cu, and Pb which had RAC
value below 30% in all of the samples. Based on the
average value of the concentration of the largest to
the smallest fraction of the heavy metal Cd in
Saguling lake is F4> F2> F1> F3, Cr in Sagulinglake is F4> F3> F2> F1, Cu in Saguling lake is F4>
F3> F1> F2, Pb in Saguling lake is F4> F3> F1> F2
so it can be concluded that only a small fraction ofheavy metals Cd, Cr, Cu, and Cd which are mobile.

[7] Gupta, A.K., Sinha, S., “Assessment of single
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Czern. (var. Vaibhav) grown on tannery waste
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[16] Zhong, A.P., Guo, S.H., Li, F.M., Li, G.K.,
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2006, pp 1216-1220.

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[3] Camila V.A Santolin, Virginia S.T. Ciminelli,
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[6] Forstner U. Inorganic sediment chemistry andelemental speciation. In Sediments: Chemistry
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1990 pp. 61-105

940

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

EMISSION FACTORS OF BLACK CARBON (BC)FROM RICE STRAW OPEN BURNING SPECIFIC TO DISTRICTCIANJUR, WEST JAVA, INDONESIA.
Hafidawati1, Puji Lestari2 and Asep Sofyan3
Civil and Environmental Engineering, ITB, Indonesia

1,2,3

ABSTRACTOpen burning of rice straw, common practice in Cianjur, West Java, to eliminate rice residues after
harvesting. However, the common practice of post-harvest burning of rice straw emits particulate material ,greenhouse gases, and short lived climate force to the atmosphere. Open burning of rice residues in the fieldreleases a large amount of Black Carbon (BC). In this context, this work aims to determine rice straw burningemission factors for Black Carbon on particulate material smaller than 2.5 μm (PM 2.5 ) in the field open burning
in Districts Cugenang, Cianjur, West Java, Indonesia. Samples of airborne particulate matter (PM 2.5 ) fromopen burning of rice straw were collected at seven locations in District Cugenang for eight varities of rice straw,
from June through October 2015. The samples were collected using a minivol air sampler. Black carbon was
analyzed using an EEL smoke stain reflectometer. Excess mixing ratios for CO 2 , CO, BC in PM 2.5 were
measured, allowing the estimation of their respective emission factors. Average estimated values for emission
factors (g kg−1 of burned dry biomass) were 0.939 ±0.417 for BC in PM 2.5 . These emission factors presented
provide useful information for the development of local emission factors for Black Carbon from open burning ofrice straw in Cianjur.
burning. 2) To investigated the characteristic Black
Carbon emitted net burning smoke concentrationfrom the burning of rice straw in the field open
burning with different varieties in the Cianjur
District. This study provides useful information on
pollutant emission, which way lead to air quality
management for both local and regional scales.

INTRODUCTION
Paddy is the most popular plants in Indonesia
which is rapidly increasing annual production tomeet domestic demand. Indonesia has a large
population, 46% of which lives in rural areas.
Because of the large use of crop residues the burningof rice straw in the fields, this become important
type of biomass burning open in Asia which is open
combustion residues of rice on the ground. Intensive
open burning activities generally take place during
the dry season when stagnant atmosphericconditions [14]. It is releasing a number of aerosols
cause atmospheric phenomena regional implications
strong climate such as Atmospheric Brown Clouds[8].
Open burning of agricultural residue is one of
the major source of aerosol emissions. Results ofrice straw combustion emits types of particulatematter (PM 2.5 ) [3] the pollutant emissions from the
combustion, such as BC in PM and CO, havecontributed
substantiallytotheregional
environmental pollution problem [8]. Black Carbon(BC) contributes directly and indirectly to the earth’s
radiative balange change, and consequently, has
impact on global warming as the second largest
contributor after Carbon Dioxide (CO 2 ). Only a few
studies on emissions of pollutants from open burningof waste is done post-harvest rice in Indonesia.
Where one of the potential sources of emissions ofpollutants BC in PM 2.5 . Therefore, the main purposeof this study is: 1) To asses emission factor of Black
Carbon from the burning rice straw in the filed open

EXPERIMENTAL WORKCorp residue collection
Burning straw experiments conducted in theDistrict Cugenang, Cianjur on eight varieties of rice.
Straw was collected from seven villages in the
districs Cugenang Mekongga varieties collectedfrom Sukamanah, ciherang and cintanur varieties
collected from Giri Harja, hybrid varieties from theBabakan Imbangan, Inpari from Panumbangan,varieties inul and sarangue collected from Pangkalan
Benjot, Varieties of Pandan wangi collected from
Ranca Picung. Sampling was carried smoke fromburning straw during the rice harvest in June-July
2015 by 8 field burning in rice harvested in Cianjur.
Sampling location presented at Fig.1

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SEE-Osaka, Japan, Nov. 21-23, 2016

from each other. At this distance, samplers
considered close enough to capture the same pieceof pollutants from smoke and far enough away tominimize disruption inlet flow. Figure of sampling
equipment presented at fig.2.

LS7 LS3
LS6

LS-1

LS2
LS4

LS5
Fig.2.Field Burning Sampling Equipment

Fig.1 The location of Study Area
All measurement in the field is also done recording
meteorological conditions and CO and CO 2 over a
period of combustion takes place in the field.

Processing Open Burning
Experimental field is the part that is harvested by
farmers. Experiments in the field of combustion
follow local practice of burning straw. Base on our
survey at the seven villages in the Districts
Cugenang shows that straw burning is done 4-10
days after the rice harvest in between the hours of
11:00-16:00. Each field experiments on rice
varieties performed well every background sampling
prior to combustion. Sampling background lasts for
1-2 hours. After completion of sampling thebackground conditions, the burning of rice straw
begins to sample. Smoke sample measurement starts
as soon as the fire becomes stable (smoldering) andcontinue until the fire stops.

Parameters
monitored
meteorologicalconditions consist of wind speed, wind direction,
temperature, pressure, and humidity. This parametermeasurements carried out in order to see theinfluence of meteorological conditions on emissions
and BC. Continuous data from CO/CO 2 analyzer isused to measure the concentration of gas near thefire, and this data is primarily used to determine the
combustion deficiency. Both meter CO/CO 2 analizer
at a height of 1.5 meter long stick close to the sourceof combustion.
Air quality monitoring is done before trial to getbackground ambient air concentrations and during
open burning for measuring emissions from open
burning of rice residue. Burning time from the startof combustion from the burning conditions(smoldering) until the fire dies. After burning, theash and unburned straw collected for analyze thewater content and to get dry mass to determine thefraction of combustion.

Sampling of Black Carbon
Measurements of pollutants (BC, CO and CO 2 )carried by air quality monitoring equipment
comprising from minivol sampler, and CO and CO 2
analyzer.
Measurement of Black Carbon from fieldburning experiments was collected by two samplers
minivol (Anderson 214 series) on the Teflon filter,collected by the flow rate of 5 Lmin-1. Sampling
equipments was placed at two points downwind ineach experiment the combustion is at a distance ofapproximately 5 m from the edge downwind of the
combustion field, to avoid damage from fire andheat. equipment is positioned at 1.5 m above theground. Two minivol sampler located about 1-1.5 m

Black Carbon Analysis
Black carbon concentration level on Particulate
Matter samples collected on filter media wereanalysed gravimetrically. To determined mass ofBlack carbon by an EEL Smoke Stain Reflectometer942

SEE-Osaka, Japan, Nov. 21-23, 2016

(Model 43D, Diffusion Systems Ltd, London) at theLaboratory of air quality environmental engineering
ITB.
Analysis of Black Carbon by optical methods,
by comparing the transmission of light through afilter that contains suspended particles with thetransmission of light through a filter that is still clean.
It is possible to estimate Black Carbon (BC)concentrations in the atmosphereby simply
measuring light absorption or reflectance.
Air is drawn through the filter and then thedensity of the particles retained on the filter wasmeasured using a reflectometer. Particulate density
can be converted using a calibration curve to obtainthe mass concentration of Black Carbon.

RESULT AND DISCUSSION
In this research, estimation of emission factor BC
from open burning in the rice field is the target.
Other pollutants (PM 2.5 , CO 2 , and CO) are also
considered to investigate combustion characteristics
and efficiency combustions (EC).
Emissions of BC from open burning of rice
residues were measured in form of concentration(μg/m3 BC) by real time monitored equipment.
Emission factor of BC in form of gr/kg (dm).
Emission factor from open burning of 8 varieties ofrice straw results are presented in Table 1.
Table. 1 Emission factor of BC from Field OpenBurning of Rice Straw.
.
Rice Straw Varieties
EF BC (g/kg)dm
Mekongga
0.55
Ciherang
0.41
Hibrida0.63
Inpari
0.92
Cintanur
0.34
Inul
1.04
Sarangue
0.42
Pandan Wangi
0.86

Calculating Methods
The emission BC were measured in form ofconcentration (mg/m3 BC). The concentrations of
BC on PM 2.5 from the smoke emision were
calculated as the following equation :1). Calculation of carbon black weight per unit areaof filter� )} + 𝟐𝟐𝟐𝟐, 𝟏𝟏𝟏𝟏𝟏𝟏
𝑩𝑩𝑩𝑩 = 𝟒𝟒, 𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑 𝒙𝒙 {− 𝒍𝒍𝒍𝒍(𝑹𝑹(1)

Table 1 shows the average value of local emission
factors for Black Carbon varied for each variety.
Fluctuations in the value of emission factors among
these varieties reflect variations in combustion
conditions and other parameters including watercontent, surface soil moisture, biomass conditions
and the meteorological conditions [10].
Differences of emissions factor from burning
straw with different varieties influenced by thecharacteristics of the straw (moisture content, ash
content, carbon content) and also influenced by theefficiency of combustion.
For this experiment, moisture content of thesarangue varieties (10,3%) was bigger level andlower ash content than other varieties. Based on thisit can be explained that the lower the moisture
content of the straw, the emission factor will be low.
Conversely, if the high emission factors fromburning the straw will be high [13]. Overall, BC
Emission Factor correlated with the characteristicsof the straw (moisture content, ash content, carbon
content) and by the efficiency of combustion
presented at Figure 3.

Where, BC is weight of black carbon per unit area offilter (mg / m2). R ̅ is average reflectance samples.
2) .Calculation of carbon black mass
𝑴𝑴 = 𝑩𝑩𝑩𝑩 𝒙𝒙 𝑨𝑨𝒇𝒇𝒇𝒇𝒇𝒇𝒇𝒇𝒇𝒇𝒇𝒇(2)

Where, M is mass of carbon black (g), A filter is ½
filter area (m2).
Emission Factor Calculation
Emission factors (EF) for BC are calculated
after analysis of the concentration of BC on PM 2.5 .
BC in the results obtained with the unit mg / m3.
The derivation of emission factors with direct
method [9]. Emission factor from open burning ofrice straw in the field was obtained by following
equation.
EF = Ci/BR(3)

where, Ci is emission concentration of pollutant i(mg/m3) and BR is burned rate (g/s). The units of
BC, CO, and CO 2 concentration were changed
from μg/m3 and ppm to mg/m3.

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SEE-Osaka, Japan, Nov. 21-23, 2016

100

Comparisons using inferential statisticalanalysis needs to be carried out using SPSS
statistical 20. In this analysis the data
inputted into the program is BC emission
factor data from experiments in the field.
Furthermore, the significance of the data isanalyzed by comparing the average value
using one-way ANOVA test (one way
ANOVA) and t test-Two Sample at 95%
confidence level. One-way ANOVA test is
used to test the significance between
varieties of the BC concentration. To
answer the question whether the averagevalue of the concentration of BC between
varieties there are significant differences.
The results of the analysis are summarizedin Table 3.

2.5

90
80

2

60

1.5

50
40

1

% (dry mass)

CE (%)

70

30
20

0.5

K.air

K.abu

Efisiensi (%)

FE BC

Pdn.wangi

Inul

Sarangue

Inparicintanur

HibridaCiherang0

Mekongga

100

K. carbon

Table 3. Resukt of the SPSS analysis

Fig 3. BC Emission Factors vs Characteristic ricestraw.

Variations BC emission factors also influenced
by the efficiency of combustion. Functions
combustion efficiency in the field against BC in thePM 2.5 concentration is described by the linear
regression equation y = -0.0813x+93.8 correlation
value is negative (R2 = 0.763).
Averaged value emission factors for BC fromopen burning straw without distinguishing varieties,
in the district of Cianjur Cugenang can be comparedwith other studies. Comparison with some research
can be seen in Table 2.

FE BC Lapangan

Anova (Tukey
test)

MKGA(0.301)

A

CHRG (0.044)

A

CNTR (0.047)

A

SRNG (0.508)

A

INUL (0.056 )A

INPR (0.058)

A

PDNW(0.129)

B

HBRD(0.131)

B

Figures followed by the same letter in the same
column are not significantly different according to
Tukey test at 5% significance leve (α =95%).

Table 2. Result and another research comparison.
CONCLUSIONS AND RECOMMENDATION
ResultEF BC (g/kg) dm

Hayashi et. All (2005)
Andreas Merlet (2007)
Kanokkanjana (2011)
This research (2016)

0.069 ±0.013
0.47
0.06 ±0.02
0.939 ± 0,417

This study involved the assessment of Black
Carbon Emission Factor in PM 2.5 from rice straw
open burning in the field in District Cugenang,
Cianjur, West Java Indonesia. Field experiments
were conducted to quantify eight varieties rice straw,
which is main fuel for combustion. The sample werecollected using miniVol sampler and for Black
carbon was measuremend using an EEL smoke stain
reflectometer.
Result of BC emission factors for eight varieties
Mekongga, Hibrida, Ciherang, Inpari, Cintanur,
Sarangue, Inul, Pandan wangi was Emission Factor
of BC from open burning of rice residues in the field
is 0.939 ± 0.417 μg/m3. Variations of this value isinfluenced by the efficiency of the combustion

The Emission Factors reported in this study weremuch bigger than those of previous study [3], [6],[8], due to many factors as previously mentioned.
This is expected because the characteristics of ricestraw in Cianjur which has a higher carbon content(56.91%) when compared with the carbon content of
the straw research [4] amounted to 35.4%.

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Simpson C.D. (2011). Characterization of Particulate
Matter Emission from Open Burning of Rice Straw.
Atmospheric Environment 456 (2011) 483-502.
[11] Lemieux, P.M., Lutes,C.L., Santoianni,D.A. (2004).
Emissions of organic air toxic from open burning ; acomprehensive review. Energy and Combustion
Science 30 p 1-32.
[12] Munthe, K, K, J. (2011). Short Lived Climate
Forcers- method development for emission
inventories of Black Carbon Identifying gaps andreducing uncertainties. Swedish Environmental
Research Institute.
[13] Ni, H., Han, Y., Cao., J., Huang, R and Li, H (2015):
Emission characteristics of carbonaceous particles
and traces gases from open burning of crop residues
in China. Atmospheric Environment, xxx pp 1-4.
[14] Permadi, D,A. (2011), Assessment of biomass open
burning emissions Indonesia and potential climate
forcing impact. Atmospheric Environment Vol
28 pp 250-258[15] Reid, et al., (2004). A review Biomass burningemissions, part II: Intensive Physical properties ofbiomass burning particles. Atmospheric Chemistry
and Physics Discussion 4, 5135-5200.
[16] Tiparayom, D, Kim Oanh, N.T., (2007).” Effect fromopen rice straw burning emission on air quality in the
Bangkok Metropolitan Region “. Journal of Science
Asia 33 (3), 339-345[17] Watson, J, Chow, Chen, Cample, (2011); Particulate
emission factors for mobile fossil fuel and biomass
combustion sources. Total environment. 109. Pp
2384-2396.
[18] Zhang, Y., Obrist, D., Zielinska, B., Gertler, A.
(2013). Particulate emissions from different type ofbiomass burning. Atmospheric Environment Vol 72
pp 27-35.

simulation and the characteristics of the straw (moisture
content, ash content, carbon content).
The results of this study presented provide useful
information for the development of local emission factors
for Black Carbon from open burning of rice straw inCianjur. This research paved the way for a more accurate
estimate of emissions that have an impact on air quality
and climate impacts in Indonesia. Measurements ofEmission factor for local sources should be conducted toprovide a better estimate of amount of black carbon
emission in all same typical rural areas in the country.
ACKNOWLEDGMENTS.

This research was supported by the ITB Research Grant
2016.

REFERENCES[1] Anonymous, (2006).
Reflectometer.

Manual EEL Smoke Stain[2] Akagi, S.K., Yokerson, R.J., Wiedinmyer, C., et al.,(2010). Emission factors for open and domestic
biomass burning for use in atmospheric models.
Atmospheric Chemistry and Physics Discussion 10,
27.
[3] Andreae, M.O., Merlet, P., (2001). Emissions of tracegases and aerosols from biomass burning. Global
Biogeochemical Cycles 15, 955-966.
[4] Christian, T.J., Kleiss, B., Yokelson, R.J., Holzinger,
R., Crutzen, P.J., Hao, W.M., Saharjo, B.H., Ward,
D.E.,(2003).
Comprehensive
laboratory
measurements of biomass-burning emissions: 1.
Emissions from Indonesian, African, and otherfuels. eophysical Research 108, 4719e4732.
[5] Garivait, S and Coauthors, (2013). Monitoring andAssessment of Biomass Open Burning in Agricultural
Area/Lands in Thailand, Pollution Control
Department, 60 pp.
[6] Hayashi, K., Ono,K., Kajiura,M., Sudo,S.,
Yonemuro,S., Fushimi,A. Saitoh,K., Fujitani, Y., andTanabe, K. (2014). Trace gas and particle emission
from open burning of three cereal crop residues:
increase in residue moistness enhances emissions ofcarbon monoxide, methane, and particulate organiccarbon. Atmospheric Environment Vol 95 pp 36-44.
[7] Hewitt, C..N. dan Andrea Jackson, (2003). Handbookof Atmosphere Science Principles and Applications.
Blackwell Science Ltd.
[8] Indonesia Second National Communication Under
The United Nation framework Convention on
Climate Change (UNFCCC), (2010). Jakarta.
[9] Kanokkanjana, K., Cheewaphongphan,P., andGarivait,S (2011). “ Black Carbon Emission from
Paddy Field Open Burning in Thailand”. 2nd
International Conference on Environmental Scienceand Technology. IPCBEE vol.6, IACSIT Press,
Singapore[10] Kim Oanh, N.T., Thuy, L.B., Tipayarom, D.,
Manandhar, D.R. Manandhar, D.R., Pongkiatkul, P.,

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Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

EFFECT OF SLOPE ADJUSTMENT ON CURVE NUMBER USINGGLOBAL DIGITAL ELEVATION DATA: NEW LOOK INTO
SHARPLY-WILLIAMS AND HUANG METHODS
Abolghasem Akbari1, Azizan Abu Samah2 and Su Kong Ngien1
Faculty of Civil Engineering & Earth Resources, University Malaysia Pahang (UMP), Malaysia
2
The Institute of Ocean and Earth Sciences (IOES), University of Malaya, Malaysia

1

ABSTRACTThe Natural Resources Conservation Service Curve Number (NRCS-CN) method is highly recommended for
runoff prediction in many climate conditions. The key parameters to obtain CN values are hydrologic soil groups
and land use information with respect to soil moisture conditions. This method has been well documented andavailable in many popular rainfall-runoff models such as HEC-HMS, Mike, SWAT and many more. It is alsoeasy to implement due to availability of required data in many countries. However, it is criticized in a way that
NRCS-CN do not take into account the effect of terrain slope and drainage area. This study aimed to investigate
the effect of slope on CN and the way that slope could change the domain of CN values in Kuantan River Basin(KRB), Malaysia. The Huang and Sharply-Williams methods were used to investigate the changes on CN values
provided in National Handbook of Engineering. The Advanced Spaceborne Thermal Emission and Reflection
Radiometer (ASTER) Global Digital Elevation Model (GDEM) version 2 was used to derive slope map withspatial resolution of 30 m for the study area. The study significantly enhanced the application of GIS tools andrecent advances in earth observation technology in order to analyze hydrological process with respect to spatial
dimension.
Keywords: ASTER-GDEM, GIS, Kuantan, NRCS-CN
investigated the effect of slope on estimation of
CN values. The CN value have been adjusted forslope in Kuantan KRB [11] using Huang andSharply-Williams. However, the effect of slope
adjustment for CN did not investigated in respect
to the spatial domain using available methods. The
main objective of this research is to take anotherlook into the effect of slope adjustment of CN withrespect to the spatial variation of the terrain slope
in KRB.

INTRODUCTION
The Soil Conservation Service Curve Number(SCS-CN) methods is empirical equation whichhave been widely used in different studies. CN isan empirical parameter which is used for
estimation of initial abstraction or infiltration fromrainfall excess [1]-[3]. Regardless of someweaknesses, the CN approach provide someadvantages such as ease of use and availability ofdata in many places. As result, the NRCS-CN
method which originally intended for the study ofagricultural land, became a fundamental part ofhydrological practice and was adopted for
application in different climate and conditions [1].
Moreover the CN method has been integrated into
different hydrological models, including CREAMS[2], FEST [3, 4], EPIC [3], AGNPS [4], HECHMS [5] and SWAT [6]. There are many research
articles and classical books in supporting andcriticizing the CN method. Among them the works
of Hawkins [7], [8], Hawkins et al. [7], Huang et al.
[8, 9], Garen and Moore [8], Mishra et al. [9, 10]
and Michel et al. [9] are notable. Review ofliterature shows that considerable attempted has
been made for adjustment and adaptation of CN
method for unaccented factors including drainage
area [10], [11], soil moisture proxies [8, 10, 11, 32],
slope [3, 10] and more recently Kakuturu et al. [10]NRCS-CN approach
The traditional form of NRCS-CN
equation is given by Eq. (1):0q = �(P−Ia)2
P−Ia +S

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for P ≤ Ia

for P > Ia

(1)

Where; 𝑞𝑞 is direct runoff (mm), 𝑃𝑃 is rainfall (mm),𝑆𝑆 is the potential maximum soil moisture retention
after runoff begins (mm), 𝐼𝐼𝑎𝑎 is the initial loss (mm),or the amount of water before runoff, such
𝐼𝐼𝑎𝑎 as infiltration, or rainfall interception by𝐼𝐼vegetation originally, it has been assumed that 𝑎𝑎 =𝑆𝑆𝜆𝜆 = 0.20 [12], but more recent research [13] has
shown that taking 𝜆𝜆 = 0.05 provide more accurate
estimationforrunoff.
The
potential
maximum storage is obtained through the Eq. (2):
25400
S=
− 254
CN

SEE-Osaka, Japan, Nov. 21-23, 2016

including A&C, A&D, C&B, B and C. Predominate
HSG in the study area are B, A&C, C&B with 56%,
15% and 15% respectively. The slope map wasderived from the Advanced Spaceborne Thermal
Emission and Reflection Radiometer (ASTER)
Global Digital Elevation Model Version 2 (GDEM
V2). It is freely available for download from NASARe verb, LP DAAC Global Data Explorer, and Jspace-systems ASTER-GDEM Page. The cell sizeof elevation data is 28×28 meter.

Or
CN =

25400

254+S

(2)

As the S range from zero to infinity, the CN cantake value from 0 to 100 which is obtained from the
NRCS standard tables. The larger value represent
higher runoff potential and the lower value indicate
low runoff potential.

Software

Revised NRCS-CN method

The Integrated Land and Water Information
System ILWIS 3.8 which is public domain rasterbased GIS software was used for spatial data
development and spatial analysis. ILWIS have highperformance in geospatial analysis and image
processing with friendly graphical user interface.

Recent studies have shown 𝜆𝜆 = 0.05 provide a
better prediction for runoff estimation. Details
about the applied methodology and result from thework done by Woodward et al is referred to thereference [13].
RESEARCH MATERIALSRESULT AND DISCUSSION

Location

A two-dimensional table was created to
combine and reclassify two raster maps including
LU and HSG with class domain. Two-dimensional
defines a value for each possible combination of
input classes [14]. This automated processor used
to generate CN map for the study area. Terrain
slope of the study area was derived from ASTERGDEM (See Fig. 2b).

The KRB located on East Coast of peninsular
Malaysia was selected as case study (see Fig. 1).

aFig. 1 Layout of the study area.
Data
Spatial data for this research including
Hydrologic Soil Group (HSG) and Land Use (LU)
maps were obtained from National HydraulicResearch Institute of Malaysia (NAHRIM) in
vector format (ESRI shape file) projected in
Kertau-RSO-Malaysia metric coordinate system.
This dataset have been originally produced by
Department of Agriculture (DOA) in Malaysia.
According to DOA, the LU is representing thecondition for 2013 and HSG have been generated in2010. Main LU classes are forest (49%) and Palm
(27%). The HSG map contains five HSG class

Fig. 2a Classified ASTER-GDEM of study area.

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SEE-Osaka, Japan, Nov. 21-23, 2016

Huang methodbHuang [18] has introduced adjustment Eq. (5) for
slope as shown in below:
CNH = CNm ∗322.79+15.63α(5)α+323.52

Where; α is terrain slope m/m with respect tolimited domain of 14-140%. It is believed that the
Huang et al. method provide more reasonableadjustment for slope and therefore runoff predictionin the steep watersheds [18]. Slope-adjusted CN by
Huang is shown in Fig. 3b. The CN domain values
have the range from 17 to 104.6. To investigate thequantity of change on CN as result of slope
adjustment in spatial domain, the difference
between the adjusted and non-adjusted CN were
calculated for both method using map calculation
tools of ILWIS (See Fig. 4). The histogram
generated from the two calculated maps shows thespatial distribution and relationship between themagnitude of changes in CN and number of pixels(See Fig. 5).

Fig. 2b Modified CN map of study area.
To obtain the modified CN map, transfer
equation introduced by Woodward et al. [13] wasemployed. As it evident in Fig. 2.b, the CN values
rage from 32.7 to 100 and predominate valuechange from 55 to 40 (39% area).

aSlope adjustment of CN
It is recommended to adjust CN for slope
because terrain slope can effect on runoff prediction
by reduction in 𝐼𝐼𝑎𝑎 [15], infiltration [16] andrecession time of overland flow [17]. To perform
this step, CN map was adjusted for slope using
Sharply-Williams and Huang methods.
Sharply-Williams method
Slope adjustment was made based on the
Sharply-Williams and Huang methods presented in
Eq. (3) and Eq. (4). ILWIS GIS software was used
for geospatial analysis and mapping.
1

CNSW = 3 (CNw − CNm )(1 − 2e−13.86α ) + CNm(3)

Fig. 3a Slope-adjusted CN by Sharply-Williams
method.

Where, CNSW is the slope adjusted CN by SharplyWilliams method, CN𝑤𝑤 is CN for wet soil moisture
condition. The CNm represent CN for moderate soil
moisture condition, α is terrain slope m/m.
CNw =100∗CNm

43+0.57CNm(4)

It is noted that the CN values provided in TR55
represent the moderate soil moisture condition.
Equation 4 is used to transfer CNm into CNw as it
required by Sharply-Williams method. Slopeadjusted CN by Sharply-Williams is shown in Fig.
3a. The CN domain values have the range from
11.8 to 102.8.

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SEE-Osaka, Japan, Nov. 21-23, 2016

b

a

b

Fig. 3b Slope-adjusted CN by Huang method.

aFig. 5 Illustration of difference between the slope
adjusted and non-adjusted CN for slope using a)
Sharply-Williams and b) Huang method.
CONCLUSION
This study demonstrate the practical use of GIS
tool in spatial analysis for hydrological process. It
is evident from the result of this study that bothmethod expanding the domain of CN to the lower
and upper limits. It is also observed that bothmethod have error in calculation of slope-adjusted
CN at the upper domain as 102.8 and 104.5 are
obtained from Sharply-Williams and Huang method
respectively. It means stretching effect in bothmethod do not limit with the maximum possible
value for CN which is 100. In addition, thedifference between the unjustified CN with slopeadjusted CNs, shows that both method tend to
decrease the CN values (negative values) in theareas with the mild and flat slope while CN values
are increased (positive values) in relatively highand steep areas. However, as illustrated in Fig. 6, inthe same area Huang method significantly tend toincrease the CN values in more number pixels
compare to Sharply-Williams. This study can befurther develop by performing in different river
basins with more variety of terrain slope method.

b

Fig. 4 Illustration of difference in slope-adjusted
CN using a) Sharply-Williams and b) Huang,
compare to none slope-adjusted CN

ACKNOWLEDGMENT

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SEE-Osaka, Japan, Nov. 21-23, 2016

The authors acknowledge the University
Malaysia Pahang and the Institute of Ocean andEarth Sciences, University Malaya for supporting
this research through the grant numbers RD150127
and IOES-2014B.

[13] Hawkins, R.H., Asymptotic determination of
runoff curve numbers from data. Journal of
Irrigation and Drainage Engineering, 1993.
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[14] Hawkins, R.H., et al., Curve Number
Hydrology: State of the Practice, ed. R.H.
Hawkins., Virginia, USA: American Societyof Civil Engineers. 2009, pp.116.
[15] Huang, M., et al., A modification to the Soil
Conservation Service curve number method
for steep slopes in the Loess Plateau of China.
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[16] Huang, M., et al., Use of soil moisture dataand curve number method for estimating
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[17] Garen, D.C. and D.S. Moore, CURVENUMBER HYDROLOGY IN WATERQUALITY MODELING: USES, ABUSES,AND FUTURE DIRECTIONS1. JAWRA
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[19] Mishra, S., et al., SCS-CN-based modeling of
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SEE-Osaka, Japan, Nov. 21-23, 2016[26] Akbari, A. Slope adjustment of runoff curve
number (CN) using Advanced Spaceborne
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2088-2093

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Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

MT. GULUGOD BABOY: THE ASTONISHING 360 DEGREE
ECOTOURISM OVERVIEW OF BATANGAS,
PHILIPPINES
1, 2

Ryan Joseph G. Calinao1, July Aze V. Barcenas2, Lilian R. Silang3
Instructor, 3Dean, College of International Tourism and Hospitality Management
Lyceum of the Philippines University-Laguna,
The Republic of the Philippines
ABSTRACT

Tourism is the new propelling engine that gives the Philippines as one of the top destinations around theglobe. From the (DOT) Department of Tourism’s slogan: “It’s more fun in the Philippines” featuring a seventhousand and a hundred seven islands going to the Southern Tagalog region’s: “All hear so near” of Batangas
Province. This study encompasses the proposed tourism development plan of Mabini, Batangas a town were atransverse peninsula can be found. Dubbed as Mt. Pinagbanderahan during the Japanese colonization renowned
today as Mt. Gulugod Baboy or as the “pig spine”. This study features the top tourist destination and a naturalwonder of Mabini, Batangas from resorts, white sand beaches, snorkeling, diving, kayaking, and mountaineering.
This also features the Batangas Province’s landscape up to the Municipality of Mabini where the center of thecenter of world’s marine biodiversity in the world can be found. The master plan’s main goal is to present a
project that would promote a tourist destination site of five hundred twenty-one meters above sea level at Mt.
Gulugod Baboy. More specifically to balance the environmental impact assessment on the proposed publicprivate partnership project in consideration of environmental and social issues.
Keywords: Philippine Tourism, Mt. Gulugod Baboy, Environmental Impact, Master Plan
quite an effort to sum up because of the many things
that contribute to Batangas being world-class. [11]Whatever the situation may be in visiting a place,the tourist finds way to Batangas. May it be for a
spiritual trip, traditional, historic, scholastic, culinary
adventure, or a beach vacation, the tourist gets aplace to see in this progressive province.
Dubbed of its theme “it’s all here, it’s so near”
Batangas promotes the greatest advantage of this is
its proximity to the country’s capital, Manila. Local
and foreign tourists alike can traverse the province
from various entry points. [11]The heart of Batangas is the famous Taal volcano,known to be as the smallest volcano in the world
surrounded by a lake and a volcano inside a volcano.
Going further to the southern tip of Batangas,
nineteen kilometers from Batangas City-theprovincial hub of the province’s economic activity,
and a hundred twenty-seven kilometers from Manila
is the center of the center of the world’s marine
biodiversity-the Municipality of Mabini. [5]Mabini, Batangas: The seat of the center of thecenter of the world’s marine biodiversity.
Mabini’s geographical location and features (along coastline, hilly terrain, and lack of rivers) haveboth positive and negative influences on its
development. The long coastline and rich marine life
provided livelihood opportunities, through small
scale commercial and subsistence fishing, for people
living in coastal barangays. Despite the hilly terrain
and reliance on rain for irrigation, people farmed inuplands and gardened in their backyards producing

INTRODUCTION
The history of tourism can be traced backthousands of years ago. Tourism has passed throughdifferent stages, from the world’s first recordedinternational tourist, the geographer and historian
Herodotus [5] going thru the Olympic games, theGrand Tour Era, the Jihad and the Crusades todefine the segment of the history of tourism. Now
Tourism is defined to be the new umbrella of the
Hospitality industry together with the cruise line,
food service, travel and lodging industry for in suchtourist are the one who gives the new economic trailin the international market and in the Philippines
also.
An Archipelagic Tourism, An Overview of thePhilippines and Batangas.
Philippines, as the pearl of the orient seas isseated at the South East Asia which tourism is a vitalindustry. Philippine tourist arrivals represent a
growth of 5.3 million as compared to the statistics of
11.5% from 2014 as compared to the average of
8.5% in the Asian region and 4% in the world. [10]At the south of the Luzon island settles the landthat endowed with destinations encompassing
various natures-from usual to man-made, fromconserved greatness of the bygone era to avant-garde
constructions, from places where you can seek
refuge to sites where one can be lavished withsupreme Gourmet luxury and it is the Batangas
Province.
Batangas is tagged as a premier tourist
destination. What makes the area as such may be
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fruit, vegetables, and root crops primarily for local
consumption, selling only part of the harvest in
nearby communities.
The Mt. Gulugod Baboy: A Potential Ecotourism
Site
Gulugod-Baboy is the universal term that
describes the hills that traverse Calumpan Peninsula.
Located in Southern Batangas, the point is more
known for the diving resorts of Anilao, thebirthplace of Philippine scuba diving. Since diveenthusiasts are also enthusiasts for anything outdoor
activities, they began exploring the peaks, Gulugod
Baboy became a trekking destination, and a popularsidetrip from a diving escapade to Anilao, or to the
nearby El Sombrero island or Maricaban islands. [6][9]There is still a confusion regarding where thereal “Gulugod-Baboy” is. From southeast tonorthwest from Barangay San Teodoro, Barangay
Ligay up to Barangay Laurel, there are three peaksin the range. The first is 470 MASL (meters above
sea level), the second is 485 MASL, and the third is
525 MASL. This third has a large, ancient tree as its
landmark, and is known to mountaineers as the real
Gulugod Baboy. However, locals say that this third
peak is actually Mt. Pinagbanderahan, and the firstpeak is the Gulugod Baboy. The enthusiasts of Long
Henson, father of itineraries, would remember that
he wrote about a Mt. Pinagbanderahan in Mabini,
Quezon. This may actually refer to Mabini, Batangas,
and is actually one and the same as the GulugodBaboy known by the tourist. Thus, there are threepeaks, from southeast to northwest and that is the
Gulugod-Baboy, Gitna, and Pinagbanderahan. [9]development, the impacts and the contribution of
tourism to the destination can, to an extent, bepredicted.
As this study investigates tourism as animportant tool of development in island destinations
more particularly the Mt. Gulugod Baboy further
known to be as Pinagbanderahan, the investigationof the tourism development and planning process is
considered essential, since many island locations
have seen tourism as a solution forunderdevelopment problems. As a result, researchthat marries tourism with island community
development is essential in order to explain how
tourism can be used as a development tool. [3] [4]In order for tourism to be used as a development
tool for the island (Mt Gulugd Baboy) in Calumpan
peninsula in Batangas, three issues should beconsidered:
1. Commercial
viability.
Forthecommercial sector to be viable, it isnecessary to ensure its profitability
through tourism spending and various
incentives
2. Place/environment is the context of
tourism and therefore its preservation
should be ensured.
3. The host population. For tourism to be
successful it has to be accepted by theresidents who receive the benefits andthe costs associated with tourism
expansion.
The support for tourism can be measured by theperceptions of the local population which can dictate
the extent of the host community’s acceptability of
tourism. The three groups of people who areimportant in tourism development are; (1.) businesspeople, (2). the residents (3). the local authorities [4]Mabini: A Prime Marine Biodiversity Hotbed
The area often referred to by outsiders as “Anilao”
actually encompasses the municipalities of Bauan
and Mabini in the Calumpan Peninsula as well as theisland of Tingloy, which sits between the Maricaban
and the Mindoro Straits. [5]
It is a place of extraordinary marine biodiversity.
Recent studies by marine biologists Kent Carpenter
and Victor Springer put Anilao in the waters of the
Verde Island Passage between the provinces of
Batangas and Mindoro, a corridor that has beenlabeled the “center of the center” of marine shore
fish biodiversity because of IA DIVERS’ HAVEN
32A school of Antiasis fish is a common sight in thecoral reef of Beatrice in Tingloy. the Philippines’
Mabini and Tingloy the number of species recordedin the area. A 2003 survey by coral taxonomist
Douglas Fenner listed a total of 319 species and 74
genera of hard corals—25% more than the average
number of corals found in the hotbed known as the

The View in Mt. Gulugod Baboy
Most directions have trails; indeed, there aremany trails in the mountain which is both anadvantage and a disadvantage. At its peaks, you cansee, from east to west are the Janao Bay, Maricabanstrait which bears El Sombrero and Maricabanislands, a distant, faint blue Mindoro, Verde Islandfrom the southwest and Batangas Bay. The city andport of Batangas is visible on the west, following afarther Mt. Daguldul. To the north is Mt. Maculot,
and even Mt. Batulao and the Tagaytay highlands.
[9]
Review of Relevant Studies
There is a growing body of research concernedwith the impacts of tourism and the perceptions of
the community, although there is a void in the
research on how to influence the tourism
development and planning process of a destination
which is needed to mitigate the negative impacts of
tourism on the community. By designing the processnecessary to develop and implement tourism

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SEE-Osaka, Japan, Nov. 21-23, 2016

Coral Triangle, rich waters shared by the countriesof Malaysia, Indonesia, and the Philippines. [5] [6]In the middle and late 1970s, the underwater
attractions of Balayan Bay were discovered by
Manila-based scuba- divers, enthusiastic about their
new-found sport. Camping was already a popular
activity then, with guides leading hikers through yet
undeveloped areas to set up campsites.
The earliest divers, however, came loaded with a
lot more equipment, braving very rough roads with
four-wheel- drive vehicles, lugging their own air
tanks from Manila, and pitching tents to spend thenight near the water, just to be able to dive andspearfish freely in what was then truly anunderwater wilderness. “It was really something else
then,” recalls Roberto “Abet” Napeñas, a former
boatman and Batangas-based dive guide for 25 years
now, whose father was a close friend of pioneering
Anilao resort owner Danny Sarmiento. Sarmiento
would establish the Aquaventure Reef Club, one of
the first resorts in the peninsula. [6]Environmental and Social Issues
Local communities comprise groups withdifferent and potentially conflicting interest (seeFigure .1). that is, not all groups want the samethings.
The tourist industry seeks a healthy businessenvironment with; (1). [7] Financial security, (2). A
trained and responsible workforce (3). attractions ofenough quality to ensure a steady flow of visitorswho stay longer and visit more often (4). significant
return on investment (5). protection of theenvironment, (6). to motivate people to be moreaware lastly (7). food, adequate and clean water,
healthcare, rewarding work for equitable pay,
education and recreation.
Community/Host
Barangay Ligaya/ Laurel

NGO(Non-Government
Organizations)example: Rotary Club

Mt. Gulugod Baboy
Government- LGU and the
National Govenrment

Gulugod Baboy- A Trekker’s Experience“Sensuous summit curves; Sea in perpetual
tranquility; Vibrant tangerine sunset and glorious
sunrise; Wild mushroom blossoms; Tantalizing
breezes; Snaking silk fog”
“When it comes to romance, Mt. Gulugod Baboylooks like love, caressing, fresh, vibrato, mangosweet. There is no question about it. This mountainis sensuous.”-Insigne, 2011[9]Tourism Industry

Figure 1. Matrix of Interest
Ecotourism and local communities of Gulugod
Baboy
There are a number of reasons why local
communities may consider ecotourism primer in
Gulugod Baboy: (1). A desire to be part of strong
growth in tourism generally and see the potential ofcatering for special-interest tourism more in trekkers
and mountaineers in Calumpan Peninsula (2). An
awareness of the high value of natural attraction in
the locale (3). Empathy for conservation ideals andthe need for sustainable tourism (4). A desire to
responsibly rejuvenate and local tourist industry
One of the principles or elements of ecotourism
is its ability to maximize the benefits of tourism, notonly as far as income to a region but also thepreservation of social infrastructure and biosphereconservation. [1]The conflictual issue expressed by representativeof host communities to tourism development
generally fall into a number of interrelated
categories; [4] (1). the lack of opportunities for
involvement in decision-making relating toecotourism (2). inadequate response fromgovernments when administrative or legislative
mechanisms (3). the need to established better tools
for evaluating socio-cultural impacts. (4). impacts oncommunity cohesion (5). the rapidity of the tourism
development that in many cases significantly
accelerates social change.
Access Conditions to Attractions
Tourism Infrastructures and Ecologic Entropy of
Trekking in Gulugod Baboy and a prime ecotourism
destination.
International tourism can be interpreted as achannel of globalization, which reveals its
fundamental characteristics: polarization on a global

Located in Southern Batangas and just a bus rideaway from Manila, this simple itinerary takes in
Luzon’s ideal weekend getaway. Just a short hopfrom the Philpan jump-off is the lovely coast of
Anilao, which offers some of natures’ mostincredible diving sites – true to its title as thebirthplace of Philippine scuba diving.
These beaches will lure you from the peaks of
Mt. Gulugod-baboy, especially a view from the
Pinagbanderahan, its highest peak, because fromthere you can see the Janao Bay, Maricaban strait
which bears Sombrero and Maricaban Islands,
hiding on the hazy bluish fog is the Mindoro straight.
[9] [10]The sun-drenched panoramic peaks of this lovely
mountain is actually a triumvirate – (1) the“Gulugod Baboy” which means “pig’s spine” – so
named because of the contours of the hills; (2)“Gitna”, the center peak and; (3) Pinagbanderahan,
the historic peak where Japanese airmen crashlanded and survived during World War II. [7]Thus, upon taking such experiences of tourist
and trekkers, Mt. Gulugod Baboy is a prime site that
furnushly caters ecotourism and soon a pro-poor
tourism adequate area. [9]954SEE-Osaka, Japan, Nov. 21-23, 2016

scale and the historicity of spatial disparities.
Tourism is also one of the possible trajectories forthe integration of places into global sphere. [1] [2]Tourism and heritage are often linked as showing
the correlations with UNESCO's World heritage list
and the number of international tourist visitors. The
Center of the Center of the world’s marine
biodiversity is at the heart of Calumpan Peninsula,
Mabini tourism had flourished in terms of
ecotourism where diving is promoted. Mt. Gulugod
Baboy is characterized with trifold magnificenceaccent; first an ecotourism site, secondly, a pro poor
tourism that could be possibly help the people in thesite and lastly, a youth involvement tourism or atrekking place for mountaineers.
Table 1. Transportation Summary from Manila
to the Prime Site
Route/Mode ofTravel Time

Estimated

2-2 ½ hours

Fare
Php120.00 or

Transportation•

Manila to Batangas

With a land area of 4,296 hectares, Mabini
dominates the Calumpan Peninsula, the strip of land
dividing Balayan Bay in the west from Batangas
Bay in the east. To the north is the town of Bauan,
and on the south is Maricaban Strait, across which is
the island municipality of Tingloy.
Identification of Existing & Potential Attractions
There are lots of existing natural attractions in
Mabini, Batangas three of them are mountains which
are the Mt. Gulugod Baboy in Barangay Ligaya andLaurel, Mt. Mailayen in Pulong Niyogan, and Mt.
Panay in in Bagalangit. Matutungil Rock andPagong Rock are some of the Rock Formations in
San Jose and Solo respectively. Diving sites areprime tourist destinations in Mabini, namely Mato
Pt., Batong Buhay, Chopper, Cathedral Rock,Mayumi, Eagle point and Casita Ysabel House Reef
to name a few.

$ 2.50City Grand Terminal
via Bus•Grand Terminal to

45 minutes

Php 30.00 or

Anilao Port via

to 1 hourless than

Anilao Port to Philipan~10-15

Php 60-100 or

Dive Resort (Start ofminutes$ 2.00$1.00

Jeepney•

Figure 4. Mt. Gulugod Baboy (top) [12] and theBarrel sponges abound 90 feet deep in Mabini(bottom) [5]
Study of Visitor Market and Forecast of Visitor
Arrival in Study Area
According to the tourism office of Municipalityof Mabini, only few statistical data gathered by the
researchers are available.
Diving: Around 40, 000 - 70, 000 tourists annually
Trekking: 6, 000 to 10, 000 tourists annually
In aforementioned data trekking put a best shotof 10, 0000 annually, thus, promoting Mt. Gulugod
Baboy and putting necessary plans and development
would be a big and long term project for themunicipality. Handling tourism plans in the said site
will cater a double visitor / trekkers around thesouthern coast of the Philippines and soon nation
widely. [6]Marketing Plans and Promotions Collaterals
Convention and Visitors Bureau
The sole purpose of a convention and visitor’s
bureau is to promote the community to attract
visitors to a community. The vast majority of theirpromotions and marketing efforts are geared towardputting "heads in beds" or generating overnightconference, sports and leisure business.
Tourism Partners
A tourism partner within a community can be anyorganization or business that is involved in any way
with visitors to one town. Attractions such as
amusement parks, museums, zoos, botanical andwater gardens as well as hotels, restaurants and othertrail) via tricycle

Site Validation
Mabini: Dive and Trek Geographical location
Figure 2. GeographicalMap of the Philippines [6]It is only 127 kilometers
or a 2½ hour drive from
Manila, but it may well be
one of the most accessible
pieces of paradise on thePhilippine archipelago. The
municipality of Mabini inthe province of Batangas isa place of golden sunsets,green hills and valleys, and calm blue waters
embraced by a 32-kilometer stretch of rugged
coastline.

Figure 3. Calumpan Peninsula (left) Location of
Gulugod Baboy (right) [6]955SEE-Osaka, Japan, Nov. 21-23, 2016businesses that cater to visitors are all considered as
tourism partners
SWOT Analysis for Mt. Gulugod Baboy
Taking into account the background informationon the site as well as the opinions from tourists, touroperators, forest officials and local people, SWOT
(Strengths, Weaknesses, Opportunities, Threats) [3]analysis has been done for ecotourism in Gulugod
Baboy. In analysis of the Strengths, Weaknesses,
Opportunities and Threats for each enterprise thefollowing themes emerged:
Strengths: Mt. Gulugod Baboy is a new future
established tourism destination with a variety ofnatural attractions like the triumvirate peaks. (1).
Status of Biosphere Reserve and ecotourism for Mt.
Gulugod Baboy (2). Good number of domestic andforeign tourists visiting this destination. (3). Uniqueculture of the local people. (4). Already existing
natural tourism infrastructure.
Weaknesses: (1). Lack of coordination among locals,(2). Low involvement of locals in tourism, (3). Little
incentive for the local people from tourism in termsof income generation.
Opportunities: (1). Social mobilization through
SMERF- Social, Military, Education, Religious, andFraternal groups, (2). Proper ecotourism package
development involving local people in decision
making and planning, and (3). Diversification of
ecotourism products like stay in country boats, trailwalks and likes.
Threats: (1). Migration of extremely poor landlesspeople to Mt. Gulugod Baboy in search of job
opportunities (2). Potential negative environmental
impacts, (3). Pollution by sewage, dumping of thewastes. (4). Increase in biotic pressure due toincrease in mass tourism, and (5). Lack of proper
management causing negative impact on this fragile
ecosystem.
Prioritization of Tourism Circuit
Most of tourist destinations in Mabini form a part ofa larger tourist circuit with other destinations in thevicinity. Major tourist circuits are located in the
Coastal area for diving. Diving circuit and trekking
circuits are two major important circuits in the zone
portraying Mabini as the center of the center for theworld’s marine biodiversity.
Diving Circuits
Mabini is known for its beaches and corals as
centersas centers of the worlds world’s marine
biodiversity in the Philippines. Maintaining diverse
species in innocuous and cleanliness at the place ofsite is of utmost importance to provide an enhanced
experience and attract more tourists.
Trekking Circuits
Mabini has a large number of Mountain range which
are treasured not only for their historical significancebut also for their natural beauty and experiences.
The Government of Mabini in coordination with

DepEd and PTCAO-Provincial Tourism, Culture
and the Arts Office -DOT, develop and conserve
these ranges for realizing their tourism potential.
THE DETAILED RECOMMENDATIONS OFTOURIST ATTRACTION
Among other tourist attractions, the researchers
recommend Mt. Gulugod Baboy to be the prime
tourism attractions and to cultivate planning anddevelopment in accordance of the Municipal
Planning and Development office criterion.
The recommendations are the following with EIAEnvironmental Impact Assessment:
1. A whole new picnic grove near the peak
(but not necessary in the site)
2. Construct a tourist center along the road ofbarangay Laurel and Ligaya
3. A viewing telescope/ observatory (Victoria
Harbour in Hongkong)
4. A Zip line that will transverse the 3 hills of
the Mt. Gulugod Baboy.
ESTIMATIONS OF DEVELOPMENT COST
Zipline Tower(16 Square meter/ Floor)₱
20,000.00/ Square meter₱1,600,000.00/ Tower
15% Markup:
720,000.00
Total Estimate for Zipline Tower: ₱ 5,520,000.00
or USD 115, 120.00
List of materials:• iBeam 0.20x30cm x 6 meters• Rebars 12mm diameter at 10mm diameter• Gravel ¾, White Sand, Cement, 2 inch Gi
Pipe, schedule 40, 1 inch Gi Pipe schedule40, 1”1, Tubular, Paint, Tiles, Cable Wire½” diameter, (High Tension wire),
Plywood ¾” thick.
Light House(19.63 meter)
Light House₱ 2,500,000.00
Parasol
100,000.00
Lamp Post
80,000.00
Solar Panel
60,000.00
15% Markup:
375,000.00
Total Estimate:₱ 3,115,000.00
or USD 65, 000.00
List of Materials:• Tempered Glass• Gravel ¾• Cement• Concrete• Rebars 12mm diameter at 10 mm diameter
Light Bulb, Tiles, Paint, Steel Fence
Total of Php 8, 635, 000.00 or USD 180, 120.00

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Below are the Artist Sketch for the Proposed
Tourism Development Plan of Mt. Gulugod Baboy

2.

3.
Figure 4. An Aerial View of the Triumvirate Peaks
with 3 Zip Line towers that include 5 floors for each
tower.

President.
The
proposedbudgetdisbursement will be coming from the joint
project of the government and the private
sector, thus, this will be called as PPP or
the Public-Private Partnership.
Provincial and District Assistance – thiswill come from the budget allotted for themarketing and development of the PTCAO
and together with the office of thecongressman seated on the congress of thesecond district of Batangas of which
Mabini is part of it.
Lastly, the Municipal government of
Mabini, for the sustaining of the project one
it has been propelled.

CONCLUSION
Aligning the Tourism master plan of thegovernment and the proposed tourism
development plan of the researchers would
surely help the LGU of Mabini, Batangas and theprovince. Taking consideration of the EIA, asustainable tourism program shall be proposed inorder to achieve the common goal of the country
as to be the top premier destination around theglobe and prove its tag line as “It’s More Fun in
the Philippines” and “Trekking: More Fun in
Gulugod Baboy!”.

Figure 5. A View from the base of one of the Zip
Line with picnic groves

REFERENCES[1] Arizona Hospitality Research and Resource
Center, Northern Arizona University, 2007,
pp1-3.
[2] Tourism Destination and Planning Development,
University of Hawaii, Manoa, 2012.
[3] Massyn, Peter and Humphrey, Ed., Tourism
Development Plan, Khomani San Community,
March 15, 2010, pp. 56-60.
[4] Androitis K., (goo.gl/OUKth0) Chapters 1-10,[5] Anilao Paying to Play: The Dive Fees of Mabini
and Tingloy, by USAID and WWF, 2007
[6] State of the Coast of Batangas Province,
Philippines, Partnerships with PEMSEA and
UNDP, GEF, UNOPS, 2008
[7] Basa, Charito, De Guzman, Violeta andVillamil, Lorna., Migration, local development
and governance in small towns: two examples
from the Philippines, September 2009[8] Henares,
Ivan,
Pinoy
Mountaineer,(goo.gl/XXkeBh), 2007
[9] Directory of CRM Learning Destinations in thePhilippines, League of Municipalities of thePhilippines & WWF-Philippines, 2nd Edition
2009[10] rappler.com (goo.gl/SdY88g), 2016[11] http://www.batangasallheresonear.com, 20122015[12] Magpantay, Ramon, DSLR Camera, 2016

Figure 6. An Aerial view of the site with a Light
House and an Observatory Telescope inside
FINANCING OPTIONS FOR TOURISM
DEVELOPMENT
Options for tourism development funding areabundant which can be found at the national,
provincial and local levels. Information is easily
accessible if one takes the time to do the researchand complete the application processes. The rewards
are well worth the effort, but it takes time to seethem come to completion.
1. National- Assistance for rural andagricultural areas is readily available
formed by community taxes andinfrastructures. Funds from the tourism
master plan approved by the Philippine
Congress and Senate and later signed by the957Second
SEE-Osaka,
International
Japan, Nov.
Conference
21-23, 2016
on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

A MODEL OF PARTICIPATION IN A WATER REHABILITATIONPROJECT OF A LOCAL GOVERNMENT UNIT IN THE PHILIPPINES*

Gerby R. Muya1, Merlita Medallon, Ph.D.2, Nelson Tenorio, Ph.D.3

1-3

Faculty, Lyceum of the Philippines University Laguna, Philippines*

Corresponding Author

ABSTRACT. To eradicate water pollution, a local government in the Philippines has implemented a water
rehabilitation project called “Adopt-A-River Project. The project mobilized the local communities to preserve andmaintain a clean and safe environment. Promoted through the use of communication media, Adopt-A-River
Project has been implemented along the three main tributaries of the area. This study was designed to propose amodel of participation considering the level of awareness and perception on the project and the level ofparticipation of the 327 residents. Data were gathered using a validated researcher-made questionnaire withreliability index of 0.970 on perception items and 0.897 on level of participation. Data revealed that local group
discussion (52%) is the most commonly used medium of communication in increasing awareness of the project.
This is in addition to radio, television, newspaper and the internet. The use of different media resulted in the
respondents being informed of the project which led to their involvement in decision-making and consultative role.
The information about the project was disseminated using words that are simple and easy to understand. The
project was accepted by the residents and participation was heightened. The perception level has an effect on theinformation level by 0.737. Path analysis using 14 variables showed a good fit with Chi-square = 0000 and GFI,NFI and CFI having values of 0.99 and RMSEA of 0.026. Significant predictors of participation are perception(p=.000) and awareness (p=.000).
Keywords: Awareness, Communication, Participation, Path Analysis, Water Rehabilitation
As rivers are a very important part in nationbuilding, many projects have emerged in different
countries in order to save endangered rivers—one ofthese river rehabilitation programs is the Adopt-aRiver Project. In the Philippines, many of these aredone in parts of our country where rivers cross tometropolitan areas like Manila, Cebu and Davao
which all—all still goes to processes. Most of theseare proven to be successful due to the communityand stakeholders’ efforts to maintain the project.
Previous studies prove that these projects can help
areas that have rivers in their territories; however,these would only work if the community are awareof the project [1].
In Calamba City, Province of Laguna, thelocal government unit has been implementing the
Adopt-a-River project as part of its Rivers andCreeks Rehabilitation Program. It is a multisectoral
partnership aimed at restoring the environmental
quality of creeks and rivers in the city.
Launched in February 2011, adopt-a-riverproject hopes to bring in fruitful collaboration notjust with the private sector but also with thecommunities in cleaning up their rivers and creeks.

1. INTRODUCTION
Environmental problems are a global
phenomenon. Every country is challenged to addressenvironmental concerns to protect not only thecurrent societal interests but also the welfare of the
futuregeneration.
Thus,
sustainability ofenvironmental programs has been one of the major
thrusts of every country in response to global
environmental issues and the call of the United
Nations towards attainment of sustainable
development goals.
With the world being aware of the effects
of global warming, projects concerning thepreservation of our natural resources are taking placefrom different points of the world. One of theseresources is rivers, which are the source of living ofmany plant and animal wildlife. Many projects
concerning the health of rivers are being created andfacilitated by the government and many local andprivate organizations. As these projects take place intheir respective rivers, the facilitators of theseprojects request the locals to participate in order forthese projects to be successful at the same time tohelp the rivers stay alive.
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The project is implemented in three communities,
namely San Juan, San Cristobal, and Real.
Under the said project, each company thatgenerates waste into the river shall adopt a portion ofthat river and be responsible for its cleanliness andrehabilitation. Companies, together with the schools,
hospitals and commercial institutions, along San
Juan River, the San Cristobal Rriver, and the
Baranca de Sipit Creek in Real , shall be the private
partners, while the barangay captains, Department of
Education (DepEd), City Environment andNnatural
Resource Office (CENRO), and the Office of the
Mayor shall be the public counterpart. A total of 236
private sectors signed the memorandum ofagreement with CENRO, which formalized thepartnership in the context of Adopt-a-Rriver Project.
On the other hand, the local government units are
expected to provide guidance and technicalassistance to all private partners or “the green
partners”. In addition, they are also responsible fordissemination of information material on the
program.
Adopt-a-River project consists of sevencomponents, namely Bantay Ilog, River Clean-up,
River Restoration, Reforestation, River Campaigns,
River Maintenance, Flood Protection Program, andHousing and Resettlement. The CENRO as theimplementing agency is tasked to initiate the conductof these components with the goal that the public
and private sectors as partners will eventually initiate
and sustain their own respective programs. CENRO
has been implementing river clean-up drives every
quarter of the year in the abovementioned
communities.
Successful
implementationofenvironmental, or development programs in general,
is contextual. Essentially, participation andcommitment of stakeholders is crucial ([2]–[4]Understanding the level of participation requires
systematic analysis of the context within which adevelopment project exists. Lovell (1992 in [2]suggests a number of factors such as population,
employment, health literacy, among others that areassociated with participation; however, Lovell
stressed that these variables are not necessarily valid
from country to country even when the needs appear
similar. Along this line, this study aims to find out
the factors associated to the level of participation of
the community on Adopt-a-River project of a local
government unit in the Philippines.
Specifically, it aims to determine therespondents’ level of mass media exposure, theirsources of information about the project, their levelof awareness, perception, and participation in the
project. This study further aims to present a model ofparticipation in the context of a community in thePhilippines in the hope that such model may be
adopted in similar environmental projects.
2. LITERATURE REVIEWWhen development scholars recognize thelimitations of modernization paradigm which
advocates top-down approach to development in the
1970s, they started to rethink how development can
improve the standards and quality of life [5]. Thisrethinking calls for humane, egalitarian, andresponsive communication theories and practices[6].Thus, the inclusion of participation in thedevelopment process.
Participation is a highly contested word.
World Bank defines participation as “ a process
through which stakeholders influence and sharecontrol over development initiatives and thedecisions and resources which affect them.” Willis,(2006) on the other hand, views it as “an umbrellaterm to refer to the involvement of local people indevelopment
activities,
often
NGO-based.”[7](2009) cited participatory communication as oneof the major theories following modernization
paradigm.
He
arguedthatparticipatorycommunication seeks to describe the power ofindividuals to change the world with an end goal ofreaching positive development for all and betterinter-cultural understanding. Dervin & Huesca [7],,in their meta-analysis of theoretical and empiricalresearches on participation, view the latter as being
positive to successful development.
Participation varies in nature. [8] cites thatparticipation can be classified according to thedegree of participation in a continuum, according to
the direction of communication flows, theoreticalbasis and objectives for which participation is being
used. [9] enumerates four typologies of participation
ranging from the lowest to the highest level. Theseare passive participation in which stakeholders
participate by being informed about what is going tohappen or has already happened, participation by
consultation in which stakeholders participate byproviding feedback to questions posed by outside
researchers or experts, functional participation inwhich stakeholders take part in discussions andanalysis of predetermined objectives set by the
project, and empowered participation in whichstakeholders are willing and able to be part of theprocess and participate in joint analysis, which leads
to joint decision making about what should beachieved and how.
The benefits derived from involving the public inenvironmental programs have driven policymakers
959

SEE-Osaka, Japan, Nov. 21-23, 2016

to incorporate participation in national andinternational policy ([8], [10]–[12]. Thus, literature
abounds with participation studies. While there is a
growing concern for participation in development
projects, previous studies support that involving thestakeholders does not happen in a vacuum. Factors
such as demographic profile [13], [14]; media
exposure [15]; quality of community members’ life[16]; environmental values [17] and attitudes andmotivation towards participation [18]. [19], on theother hand, found two variables that influenceparticipation: “ownership variables” (personal
interest and knowledge on the issue) and “ownershipvariables” (environmental strategies and belief in
one’s ability to succeed).

minutes to 1 hour listening to radio (37.6%), reading
the newspaper (56%) and surfing the Internet(61.5%) and 1-2 hours watching television (16.8%).
It is worthy to note that most of them are exposed to
the Internet among other forms of media.
4.2. Awareness of and Source of Information
about Adopt-a-River Project
Respondents are only moderately aware(63.3%) of the Adopt-a-River Project. A significant
number of respondents (82 or 25.1%) are unaware of
the project. As to source of information about the
project, group discussion serves as their main source,with 52% of the respondents citing it. Other sourcesof information are seminar (16.5%), television(7.3%) and radio (6.4%).

3. METHODOLOGY
Using the descriptive research design, theresearchers administered a self-made instrument
among 327 respondents from three communities in
Calamba City, Philippines, where the three main
tributaries are situated. The instrument is divided
into four parts. The first part is the demographic
profile; the second part elicits information about
respondents’ mass media exposure; the third gathers
the level of awareness of and sources of information
about the project, and the last part contains thestatements on perception on the project. Data wereanalysed using frequency, percentage, mean andChi-square using SPSS version 20. Structural
equation modelling using path analysis was done todevelop the participation model in the context of thesaid project.

4.3. Perception on Adopt-a-River Project
Given an overall mean rating of 2.71
interpreted as “Agree”, respondents apparently havefavourable perception on the project. Specifically,
respondents agreed with the message of the project(mean=2.89). They also agreed that the project’s
messageis
acceptable(mean=2.83)
andunderstandable (mean=2.82) and that simple words
were used to promote and implement the project(mean=2.72). Moreover, the project provided
positive and useful learning to the residents(mean=2.72).
Table 1. Mean perception on the project

4. RESULTS AND DISCUSSION
4.1 Respondents’ Profile and Media Exposure
Respondents are comprised mostly offemale (60.9 %). Their civil status is either separated(47.7%) or single (41.3%) and their age ranges from
18-47 years old. In terms of education, most of the
respondents have reached elementary level. Only 17
out 327 respondents are college degree holders;
however, most of them (76.5%) are employed.
Previous studies have shown that media
exposure represents one variable that has association
with planned behaviour change [15]; [20][21]. Thus,
this study considers media exposure and its potential
influence on environmental participation. Results
revealed respondents are exposed to both traditionaland new media. On a daily basis, they spent 30

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SEE-Osaka, Japan, Nov. 21-23, 2016

Table 3. Correlation between level of participation,awareness, perception, and length and type of media
exposure

4.4. Level of participation in the project
Anchored on Mefalopulos’ typology, thisstudy considers four levels of participation: Passive(Level 1), Participation by Consultation (Level 2),
Functional
Participation(Level3),
andEmpowerment (Level 4 and 5). Results reveal that
respondents have demonstrated different levels ofparticipation in the project. However, in general theymostly showed passive participation. Respondents
agreed that they were informed about the programs
and regulations of Adopt-a-River (46.5%); however,they were not hindered or limited by the facilitatorsin their participation (45.9%). In contrast,
respondents disagreed that they were part of thedecision-making and implementation of Adopt-aRiver, that were consulted by LGUs or facilitators
about matters involving Adopt-a-River and that they
are currently participating in Adopt-a-River.
Table 2. Level of participation

Structural Equation Modelling using Path
Analysis reveals the following model ofparticipation.

Legend: 4-Strongly agree; 3-Agree, 2-Disagree;
1- Strongly disagree

4.5. Factors associated to participation level
All levels of participation are significantly
correlated with level of awareness and level ofperception (see Table 3). Passive participation issignificantly correlated with the type of radio
program exposed to and type of internet sites used.
Likewise, participation by consultation andempowerment level are significantly correlated with
type of TV program respondents are exposed to.
Fig. 1. Structural Equation Modelling Using Path
Analysis961

SEE-Osaka, Japan, Nov. 21-23, 2016

The emerging model shows a significant
direct effect of perception on level 1 (.737), level 2(.139) and level 5 (.183) participation, as well as onawareness (-.350). Level 1 participation has asignificant effect on level 2 (.581) and level 3 (.271)
participation. Level 2 participation has a significant
effect on level 3 (.523) and level 4 (.434)
participation. Level 3 participation has a significant
effect on level 4 (.340) and level 5 (.230)
participation. Level 4 participation has a significant
effect on level 5 (.47) participation

results in their awareness of the Adopt-a-River
Project. However, their main source of information
about the said project is group discussion. The
Adopt-a-River Project was favourably perceived by
the local residents. They agreed with the message ofthe project. They also agreed that the project’s
message is acceptable and understandable and that
simple words were used to promote and implement
the project. Moreover, the project provided positive
and useful learning to the residents. While
perception on the project is positive, results revealed
that most local residents have passive participationin the project, suggesting that they were only
informed of the programs and regulation, althoughsome claimed that they were not hindered in their
participation in the project. Path analysis showedthat both awareness of and perception on the project
are significant predictor of participation.

5. CONCLUSION
In the context of this study, the local
residents who took part in the study are mostly
female, elementary graduates but employed. In termsof media exposure, they are light users of radio,
television and Internet. Such exposure to media
6. REFERENCES[1]

R. Bagherian, B. Samah, and A. Samah,“Factors influencing local people’s
participation in watershed management
programs in Iran,” Am. J., 2009.

[2]

G. M. Mathbor, “A Typology of Community
Participation,” Eff. Community Particip.
Coast. Dev., no. 1, p. 144, 2008.

[3]

J. Maraga, J. Kibwage, and B. Oindo,“Factors determining community
participation in afforestation projects inRiver Nyando basin, Kenya,” African J.
Environ. Sci. Technol., vol. 4, no. 12, pp.
853–859, 2010.

[4]

C. Cavalcanti, S. Engel, and A. Leibbrandt,“Social integration, participation, andcommunity resource management,” J.
Environ. Econ. Manage., vol. 65, no. 2, pp.
262–276, 2013.

[5]

K. Willis, Theories and Practices ofDevelopment - by Katie Willis, vol. 172.
2006.

[6]

K. G. Wilkins and B. Mody, “Reshaping
development communication: Developing
communication and communicating
development,” Commun. Theory, vol. 11, no.
4, p. 385, 2001.

[7]

T. L. McPhail, Development
Communication: Reframing the Role of theMedia. 2009.
962

[8]

M. S. Reed, “Stakeholder participation forenvironmental management: A literature
review,” Biological Conservation, vol. 141,
no. 10. pp. 2417–2431, 2008.

[9]

P. Mefalopulos, “Reflections on the Theory
and Practice of Development
Communication,” in Development
Communication Sourcebook : Broadening
the Boundaries of Communication, 2008, pp.
37–79.

[10]

L. S. Prokopy, “Determinants and Benefitsof Household Level Participation in Rural
Drinking Water Projects in India,” J. Dev.
Stud., vol. 45, no. 4, pp. 471–495, 2009.

[11]

N. Holman, “Community participation:
Using social network analysis to improve
developmental benefits,” Environ. Plan. C
Gov. Policy, vol. 26, no. 3, pp. 525–543,
2008.

[12]

W. El Ansari and E. Andersson, “Beyond
value? Measuring the costs and benefits ofpublic participation,” J. Integr. Care, vol. 19,
no. 6, pp. 45–57, 2011.

[13]

K. L. Granzin and J. E. Olsen,“Characterizing Participants in Activities
Protecting the Environment: A Focus on
Donating, Recycling, and Conservation
Behaviors,” J. Public Policy Mark., vol. 10,
no. 2, pp. 1–27, 1991.

[14]

C. F. Clark, M. J. Kotchen, and M. R. Moore,

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“Internal and external influences on proenvironmental behavior: Participation in agreen electricity program,” J. Environ.
Psychol., vol. 23, no. 3, pp. 237–246, 2003.
[15]

[16]

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D. Drew and D. Weaver, “Media Attention,Media Exposure, and Media Effects,”
Journal. Mass Commun. Q., vol. 67, no. 4,
pp. 740–748, 1990.
S. A. Eshliki and M. Kaboudi, “Community
Perception of Tourism Impacts and Their
Participation in Tourism Planning: A Case
Study of Ramsar, Iran,” Procedia - Soc.
Behav. Sci., vol. 36, no. June 2011, pp. 333–
341, 2012.
A. L. Ahmad, S. A. Rahim, L. Pawanteh,
and F. Ahmad, “The understanding ofenvironmental citizenship among Malaysian
youths: A study on perception andparticipation,” Asian Soc. Sci., vol. 8, no. 5,
pp. 85–92, 2012.

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[18]

G. M. Hurtz and K. J. Williams, “Attitudinaland motivational antecedents of participationin voluntary employee development
activities,” J. Appl. Psychol., vol. 94, no. 3, p.
635, 2009.

[19]

H. R. Hungerford and T. L. Volk, “Changing
Learner Behavior through Environmental
Education,” Journal of Environmental
Education, vol. 21, no. 3. pp. 8–21, 1990.

[20]

M. D. Slater, “Integrating application ofmedia effects, persuasion, and behavior
change theories to communication
campaigns: A stages-of-change framework,”
Health Commun., vol. 11, no. 4, pp. 335–
354, 1999.

[21]

I. K. A. Qader and Y. Zainuddin, “Theinfluence of media exposure, safety andhealth concerns, and self-efficacy on
environmental attitudes towards electronic
green products,” Asian Acad. Manag. J., vol.
16, no. 2, pp. 167–186, 2011.

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

SINGLE ACID EXTRACTION OF HEAVY METAL IONS FROMCONTAMINATED SOILS
Hyo-il Jeon1 and Seungkyung Park1*
Korea University of Technology and Education, South Korea; * Corresponding Author

1

ABSTRACT
Early detection of heavy metal contaminations of soil and ground water has great importance for humanhealth. In this study, single acid extraction methods have been tested and evaluated for the extraction of heavy
metal ions for rapid and on-site soil sample preparations. Parametric studies have been performed including
sample to acid volume ratio, extraction time, and acid concentration, and the performance of the proposed
method has been compared with standard laboratory based protocol using soil samples spiked with target metal
ions. The proposed protocol utilizing three different single acids (EDTA, HNO 3 , HCl) has shown thecomparable extraction efficiency over ~80% for heavy metal ions of major concerns, Pb, Hg, and As. Compared
to standard method based on aqua regia digestion, single acid extraction provides reduced processing steps andreagent volume, possibly enabling the on-site processing of contaminated soils and analysis.
Keywords: Soil Analysis, Heavy metals, Ionic Extraction

assess the performance of the proposed simplified
and miniaturized preprocessing protocol, mock-up
soil samples with known quantity of ions have beenprocessed, and the comparison with the standard
protocol has been made by measuring the ion
concentration. The proposed protocol has shown thecomparable extraction efficiency over 80% while therequired processing steps and the reagent volume
have been reduced significantly. Thus, the proposed
method can be applied for on-site analysis ofcontaminated soils, enabling simplified and rapid
analytical procedures.

INTRODUCTION
Heavy metal contaminations of soil and groundwater have been one of major concern in the world
due to their toxicity and numerous effects on humanhealth [1]-[4]. Although conventional laboratory
based detection methods are well established, rapid
and on-site monitoring of soil contamination whichis essential for preventing the environmental
pollution in a very early stage is still limited[5]-[8].
Conventional analytical techniques are based on thelarge scale system involving time-consuming andserial processing of samples with hazardous
materials,
complicatedinstruments,
centrallaboratories, and high skilled personnel are required[9]. Thus, the development of miniaturizedprocedures is crucial for on-site analysis.
Soil samples generally require sample
pretreatment with efficient purification andextraction of target analytes before a specificanalysis, and the preprocessing has been recognized
as one of the most critical step for maximizing
analytical accuracy. However, sample preprocessing
usually involves labor-intensive and tedious process
and has been the actual bottle neck of developing a
rapid, automated and portable soil monitoring
system [10], [11]. In this work, simplified extraction
protocols for heavy metal detection fromcontaminated soils are presented. For the adaption ina syringe like miniaturized format, single acid based
extraction methods have been designed and tested
for the extraction of heavy metal ions of major
concerns in South Korea, which are Hg, Pb, and As.
Metal ions are extracted using acid solution first andfiltered to remove any undesirable debris. In order to

MATERIALS AND EQUIPMENT
Two reference soils, CRM 109-03-002 (Korea
Research Institute of Standards and Science, KRISS,South Korea) and BAM-U112a (Odlab, South
Korea) were purchased and tested. Selected ion
concentration in reference soils are shown in Table 1.
Table 1 Ion concentration in reference soils (mg/kg)

KRISS-CRM
BAM-U112a

Hg

Pb

As

0.98
16.3

3945.3
198

1200
10.3

Ions of interest (Hg, Pb, As) were extracted andtotal concentrations of metal ions were analyzed byusing inductively coupled plasma optical emission
spectrometry (ICP-OES) and mercury analyzer. All
test samples were filtered by filter paper (F1001,
Chmlab) before the analysis. EP grade964

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Ethylenediaminetetraacetic
acid(EDTA),
Hydrochloric acid (HCl) and Nitric acid (HNO 3 )were purchased (Daejung, South Korea). 18 MΩcm
DI water was purified with a Pure Power System(Human corp., South Korea).

parameters including acid concentrations and theacid to soil ratio [12]-[16]. The test results of Pb
extraction with 0.05M EDTA also showed goodefficiencies over 70% for BAM-U112a soils even
within relatively short incubation time. However, theefficiency was lowered in the case of KRISS-CRM.
To further examine the EDTA extraction efficiencies
for KRISS-CRM, the effects of incubation time andacid to soil ratio were tested.

METHODSStandard Method
For the comparison of the extraction efficiency
with the standard extraction protocol, ES07000 from
Korea Ministry of Environment was selected andapplied, which is based on aqua regia digestion.
EDTA Extraction
1~4g of soil samples were mixed with 40 ml of
0.05M EDTA in a centrifuge tube and homogenizedwith tube shaker (Finepcr, South Korea) for 0.5~3hours. After the extraction, samples were filteredthrough a filter paper, then collected.
HNO 3 Extraction
5~200 mg of soil samples were mixed with 5~50
ml of 10% and 50 % HNO 3 in a centrifuge tube, andwere sonicated for 30 min at 35C (Hwashin, South
Korea). Samples were then diluted with DI waterand filtered through the filter paper and collected.
HCl Extraction
200 mg of soil samples were mixed with 10~40
ml of HCl in different concentrations from 1.7 % to10 % in a centrifuge tube and homogenized with thetube shaker for 0.5~12 hours. If needed, sonication
was applied at 60 C for 0.5~2 hours. Samples werethen diluted with DI water and filtered through thefilter paper and collected.

Fig. 1
Lead ion extraction efficiency in
0.05M EDTA as increased time (top) and soil mass(bottom).

RESULTS AND DISCUSSION
Table 1 summarizes extraction efficiencies ofdifferent acids together with the results by standard
method. For the extraction of Pb, most of acidextractions showed comparable efficiencies, while
the extraction of Hg and As were achieved only for
HNO 3 and HCl, respectively. Standard extraction
efficiencies for Pb and Hg ions were appeared asover than 80% for both KRISS-CRM and BAMU112a soils. For each acid, the protocol was
empirically optimized and tested to achieve target
efficiencies over 80% for future applications.
EDTA was first tested for the extraction of threeions. EDTA is the well-known chelating agent forsoil washing method, and many studies have shownthat EDTA is effective especially in removing Pb,
while the efficiency can be affected by various

Figure 1 shows the variation of Pb extraction
efficiencies with different incubation time and soil
mass in 0.05M EDTA. As seen on the figure,elongated incubation time increased the extraction
efficiency, but the efficiency increase became
saturated if incubated over 2 hours. Meanwhile, thetest result of different soil amounts informs that the
optimal acid to soil ratio exists. In this case, theincubation was performed for 1 hour for all cases in
the consideration of assay time. Even the soil
amount may further be optimized, it can be seen thatthe extraction efficiency is limited about 34%. The
difference in extraction efficiencies for two soils
may come from the labilities of ions in samples andthe saturation due to the high Pb concentration in
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Table 2 Acid extraction efficiency for heavy metal ions
Acid

Soil

Extraction

Efficiency

Remarks

0.05M
EDTA

KRISS

40ml acid & 1-4g soil
0.5-3 hour
40ml acid & 1-4g soil
0.5-3 hourPb 29-34%

Standard extraction(ES 07000)

BAM
10% HNO3

KRISS
BAM

5-50ml acid & 5-200mg soil
30 min sonication at 35C
5-50ml acid & 5-200mg soil
30 min sonication at 35C

Pb 70-107%
Pb 33-42%
Pb 74-102%

50% HNO3

BAM

12ml acid, & 200mg soil
45 hour

Pb 75%
Hg 87%

1.7% HCl

BAM

40 ml acid & 0.2g soil
1 hour shaking

Pb 77%As 78%

2.5% HCl

BAM

10ml acid+11.5% ethanol& 0.2g soil
90-120min sonication at 60C

Pb 75-83%
Hg 33-38%

10% HCl

BAM

40 ml acid & 0.2g soil
1-12hour shaking

Pb 76-91%
As 78-136%

KRISS-CRM. It can be observed that EDTA
extraction can generally be optimized with longer
incubation time before saturation and the proper
sample and acid volumes. However, besides Pb,
EDTA was inefficient or incapable for the extractionof Hg and As.

Fig. 2KRISS CRM
. Pb 96-104%. Hg 90%
BAM-U112a. Pb 77-95%. Hg 88-93%. As 107%

in 10% HNO 3 . The extraction efficiency is rapidly
increasing as the applied acid volume is getting
larger. Unlike the laboratory based or large scale soil
washing, acid volume should be minimized for field
applications, and thus further increase of the acidvolume was avoided. Instead, to increase theextraction efficiency and achieve the Hg extraction,acid of higher concentration was applied withelongated incubation time. On the application of 50%
HNO 3 , the increase in Hg extraction efficiency wasachieved while the effect was negligible for Pb.
However, Hg extraction over 80% was found to bechallenging unless incubated over ~40 hours. Thus,
additional complementary mechanism such as
ultrasound, which is adequate for field application,
will be necessary if reduced processing time isrequired [16].
HCl was tested with BAM-U112a especially
focusing As ions. As KRISS-CRM contains highconcentration, only BAM-U112a was tested for
excluding saturation effect. 1.7% HCl with 1 hour
shaking showed the good extraction efficiency close
to 80%. Further increase in acid concentration was
found to be ineffective, but the increase in
incubation time showed more improved extractionof As ions. Hg extraction was also tested initiallybased on the protocol [17]. As expected, simple
extration of Hg ions in HCl could not be achieved,
but additional sonication steps at the elevatedtemperature (60C) provided significant increase in
the extraction efficiency. Pb extraction in HCl also
showed comparable efficiencies with other acids

Lead ion extraction efficiency in 10% nitricacid as increased acid volume per soil mass.

For the extraction of metal ions, nitric acid wastested. First, 10% HNO 3 extraction followed by 30
minutes sonication were performed based on the
protocol [15]. The extraction efficiency of Pb ions
was appeared as similar to the result of EDTA.
Figure 2 shows the efficiency of lead ion extraction
966

SEE-Osaka, Japan, Nov. 21-23, 2016

regardless of the acid concentration.

chemistry, risks and best available strategies
for remediation", ISRN Ecology, 2011.
[5] Gleyzes C, Tellier S, Astruc M. "Fractionation
studies of trace elements in contaminated soils
and sediments: a review of sequential
extraction procedures", TrAC Trends inAnalytical Chemistry, Vol 21, 2002, pp.451467.
[6] Tessier A, Campbell PGC, Bisson M.
"Sequential extraction procedure for the
speciation of particulate trace metals",
Analytical chemistry, vol. 51, 1979, pp. 844851.
[7] Quevauviller P. "Operationally defined
extraction procedures for soil and sediment
analysis I. Standardization", TrAC Trends inAnalytical Chemistry, Vol. 17, 1998, pp.289298.
[8] Sahuquillo A, Rigol A, Rauret G. "Overview of
the use of leaching/extraction tests for risk
assessment of trace metals in contaminatedsoils and sediments", TrAC Trends inAnalytical Chemistry, Vol. 22, 2003, pp.152159.
[9] Gu W, Zhou CY, Wong MK, Gan LM.
"Orthogonal array design (OAD) for the
optimization of mercury extraction from soils
by dilute acid with microwave heating",
Talanta, Vol. 46, 1998. pp.1019-1029.
[10] Park JH, Lamb D, Paneerselvam P, et al. "Roleof organic amendments on enhanced
bioremediation of heavy metal (loid)
contaminated soils", Journal of hazardous
materials, Vol. 185, 2011, pp.549-574.
[11] Pueyo M, Rauret G, Bacon JR, et al. "A neworganic-rich soil reference material certified for
its EDTA-and acetic acid-extractable contentsof Cd, Cr, Cu, Ni, Pb and Zn, following
collaboratively
testedandharmonised
procedures", Journal of Environmental
Monitoring , Vol. 3, 2001, pp.238-242.
[12] Elliott HA, Brown GA. "Comparativeevaluation of NTA and EDTA for extractive
decontamination of Pb-polluted soils", Water,Air, and Soil Pollution, Vol. 45, 1989, pp.361369.
[13] Elliott
HA,
Shastri
NL.
"Extractive
Decontamination of Metal-Polluted Soils Using
Oxalate", Water, Air, and Soil Pollution, Vol.
110, 1999, pp.335-346.
[14] Heil DM, Samani Z, Hanson AT, Rudd B.
"Remediation of Lead Contaminated Soil by
EDTA. I. Batch and Column Studies", Water,Air, and Soil Pollution, Vol. 113, 1999, pp.7795.
[15] Katoh M, Masaki S, Sato T, “Single-Step
Extraction to Determine Soluble Lead Levels
in Soil”, Int. J. of GEOMATE, Vol. 3, 2012,
pp.375-380.

CONCLUSIONSAs an alternative approach of standard extraction
protocol based on aqua regia, single acid extraction
methods have been tested and optimized. Single acidincluding EDTA, HNO 3 , and HCl has shown
comparable extraction efficiency compared to thestandard protocol. Findings from the presented study
can be summarized as follows:- Single acid extraction of Pb and As ions canpossibly be performed with the efficiencies over
78% through a simple incubation in 0.05M
EDTA and 1.7% HCl, respectively, with
optimized incubation time and acid volumes.
- Single acid extraction of Hg ions can possibly be
performed by using 50% HNO 3 with theefficiency of 87%, but requires elongatedincubation time more than 40 hours. Additional
mechanism such as ultrasound is generally
required to reduce the time.
In conclusion, the presented single extraction
protocols provide simplicity of the sample
preparation by bypassing the complicated procedureof the standard method with comparable ion
recovery rates, thus, possibly allow the field
applicable sample pre-processing. The developed
protocol will be implemented to a field applicableanalytical system and validated in our future study.
ACKNOWLEDGEMENTS
This subject is supported by Korea University ofTechnology and Education as “Professor‘s
Education and Research Promotion fund 2014” andKorea Ministry of Environment (MOE) as “GeoAdvanced
Innovative
ActionProject”(2015000540008).
REFERENCES[1] Adriano DC. "Trace elements in the terrestrial
environment" Springer Science & BusinessMedia, 2001.
[2] Smith SR. "A critical review of thebioavailability and impacts of heavy metals inmunicipal solid waste composts compared to
sewage sludge", Environment international,Vol. 35, 2009, pp.142-156.
[3] Nriagu JO. "A global assessment of natural
sources of atmospheric trace metals", Nature,
Vol. 338, 1989, pp.47-49.
[4] Wuana RA, Okieimen FE. "Heavy metals incontaminated soils: a review of sources,967

SEE-Osaka, Japan, Nov. 21-23, 2016[16] Moghal AAB, Al-Shamrani MA, Zahid WM,“HEAVY METAL DESORPTION STUDIESON THE ARTIFICIALLY CONTAMINATED
AL-QATIF SOIL”, Int. J. of GEOMATE, Vol.
8, 2015, pp.1323-1327.
[17] Ashley K. "Ultrasonic extraction and fieldportable anodic stripping voltammetry of leadfrom environmental samples", Electroanalysis,Vol. 7, 1995, pp.1189-1192.
[18] De La Calle I, Cabaleiro N, Lavilla I, Bendicho
C. "Ultrasound-assisted single extraction tests

for rapid assessment of metal extractability
from soils by total reflection X-ray
fluorescence", Journal of hazardous materials,
Vol. 260, pp.202-209.
[19] Han Y, Kingston HM, Boylan HM, et al.
"Speciation of mercury in soil and sediment byselective solvent and acid extraction",
Analytical and Bioanalytical Chemistry, Vol.
375, 2003, pp.428-436.

968

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

PHOTOCATALYTIC DEGRADATION OF FAMOTIDINE WITH DYESENSITIZED TiO2 UNDER VISIBLE LIGHT

1

Md. Ashraful Islam Molla1, Hideyuki Katsumata1, Tohru Suzuki2, Satoshi Kaneco1,2
Department of Chemistry for Materials, Graduate School of Engineering, Mie University, Japan2
Mie Global Environment Center for Education & Research, Mie University, Japan

ABSTRACT
Photocatalytic degradation of Famotidine (FMT) by orange II (OII), bromophenol blue (BPB) and rhodamine B(RhB) sensitized TiO 2 has been investigated under LED light (λ > 400 nm). The photodegradation experiments
were carried out at different periods of time using dye-sensitized 20 mg of TiO 2 and 30 mL of 5 mg/L of initialconcentration of FMT at room temperature and at natural pH values of the solution. Dye-sensitization of 5 mg/L
OII, BPB and RhB of TiO 2 enhanced its photoactivity in FMT degradation. The increased photoactivity of TiO 2 OII, TiO 2 -BPB and TiO 2 -RhB than bare TiO 2 under visible light illumination can be ascribed to the effect ofdye-sensitized acting as electron transfer to the conduction band of the semiconductor (TiO 2 ). The photocatalytic
activity, after sensitizing of TiO 2 , enhances to about 1.7 times for TiO 2 -OII, 2.0 times for TiO 2 -BPB and 2.4
times for TiO 2 -RhB. The kinetic behavior was described in terms of the Langmuir-Hinshelwood model. The
possible mechanism of photodegradation under visible light was proposed.
Keywords: Photodegradation, Visible Light, TiO 2, Famotidine, Dye-sensitizedof amine, thiazole and thioether groups in its
structure [10]. It creates stable complexes withpalladium, copper, cobalt and nickel. Previous
research reports have proved the stability of FMT in
the environment and water bodies [11]. Taking theabove-mentioned issues into account, one can argue
that FMT should be considered as persistentcontaminants in an aqueous environment which arefrequently found in wastewater at various detectableconcentrations. The frequent presence of thesepharmaceuticals in wastewater underscores thenecessity of removing them from water matrices
before they are discharged into the environment.
A significant body of research has been devoted
to tackling this issue, employing the use of advanced
oxidation processes (AOPs). Of these AOP
processes, those which use the photocatalyst TiO 2
are some of the most studied for pharmaceuticalabatement.TiO 2 is an effective photocatalyst and ischeap, safe and regularly used in the pharmaceutical,
food and cosmetic industries [12],[13]. TiO 2 canmake use of only a small fraction of solar light forphotodegradation. This problem can be solved only
by extending the light absorption capacity of TiO 2
catalysts. Countless literature articles exist
documenting its efficient degradation of a wide
range of dyes, pesticides and pharmaceuticalcompounds [14],[15]. Most of these methods,
however, are quite expensive and time-consuming.
Dye-sensitization, on the other hand, is simpler
methods that can extend TiO 2 activation to
wavelengths longer than those corresponding to its
band gap. Recent examples of titania sensitized with

INTRODUCTION
In recent years, the presence of pharmaceuticals
in the environment has become a serious cause forconcern and the problem is continuing to grow withthe on-going development of more potent and moremetabolically resistant drugs [1]. Numerous studies
have documented that both metabolized and nonmetabolized pharmaceutical residues are speculated
to have adverse effects on human health and thesafety of ecosystems [2]-[4].
Famotidine (FMT, Fig. 1) is chemically 3-[({2[(diaminomethylidene)amino]-1,3-thiazol-4-yl}methyl)sulfanyl]-N’–sulfamoylpropanimidamide. It is ahistamine H 2 -receptor antagonist used to treat peptic
ulcers, gastroesophageal reflux, and conditions
where the stomach produces an excess of acid [5],[6].
FMT is also used for treatment of Alzheimer’s [7],and Parkinson’s diseases [8]. In patients that use
FMT, it has been documented that of theadministered dose, between 65 and 70% of theparent compound is found unchanged in the urine[9]. This indicates that this drug is one of the many
NH2

S

N

NH2

N

S
H2N

S

N
NH2

O

O

Fig. 1 Chemical structure of Famotidine.
compounds released into the environment on a dayto-day basis. FMT demonstrates excellent
complicated properties which are due to the presence969

SEE-Osaka, Japan, Nov. 21-23, 2016degradation of famotidine under visible lightirradiation at ambient temperature in air withmagnetic stirring. Photocatalytic reactions werecarried out in a Pyrex glass reactor. The catalyst
powder (20 mg) was suspended in 30 mL offamotidine solutions with the concentration of 5
mg/L without adjustment of pH. The luminous
intensity was measured by a UV radio meter (UVR300, UD-400, 360-490, Iuchi Co., Osaka, Japan).
The light intensity of the LED lamp was 2.4
mW/cm2. Prior to light illumination, the catalyst
suspension was dispersed by a magnetic stirrer for
30 min in the dark to achieve adsorption equilibrium.
During irradiation, the catalyst was kept insuspension state by a magnetic stirrer. After theillumination, the photocatalyst was separated by thecentrifugation. The amount of the remnant
famotidine in the aqueous solution was measured
using a high-performance liquid chromatograph(HPLC, JASCO Co., Tokyo, Japan), equipped with a
JASCO UVIDEC-100-VI optical detector and a
Chromspher 5 Poly C18 column (Chrompack,
VARIAN Inc., California, USA). The elution wasmonitored at 276 nm. The eluent used was a mixed
solvent of acetonitrile and water (1/1, v/v). The flowrate of the mobile phase was 1.5 ml/min. The
concentration of BPB was measured by UV–vis
spectrophotometer at a wavelength of 587 nm.

visible light absorbing molecules include methylene
blue, rhodamine B [16], and Chryosidine G [17]. In
addition to these, macrocyclic sensitizing molecules
such as phthalocyanines and porphyrins in their free[18] and metallated forms have also been applied[19],[20]. To the best of the authors’ knowledge, thephotocatalytic degradation of famotidine with dyesensitized TiO 2 has not been studied yet under thevisible light irradiation.
The dye-sensitization technique has beenreported as an innovative technology that could play
an important role in developing efficient and costeffective semiconductor photocatalyst in the near
future [21]. Dye sensitization begins with electron
injection from the excited dye into the conduction
band (CB) of TiO 2 , followed by interfacial electrontransfer [22]-[26]. The present study is intended toinvestigate the photocatalytic degradation of
famotidine with dye (Orange II, Bromophenol blue
and Rhodamine B) sensitized TiO 2 under the visible
light irradiation.
EXPERIMENTAL
Materials
All reagents were of analytical grade and wereused without further treatment. Famotidine, Orange
II, Bromophenol blue and Rhodamine B used in thisstudy was purchased from Nacalai Tesque Inc.,
Kyoto, Japan (grade >99%) and used to makestandards and aqueous solutions for thephotocatalytic reactions. Ultrapure water (18 MΩ)
was prepared by an ultrapure water system(Advantec MFS Inc., Tokyo, Japan). TiO 2 powder(Degussa P25, 80%:20% anatase/rutile, purity
99.9%) was added to the solution to produce a given
concentration of TiO 2 suspension. The detailed
experimental conditions were shown in Table 1.

Calculation of Photocatalytic Efficiency
The degradation efficiency of pharmaceuticals in
the reaction process was calculated using thefollowing formula:
Degradation efficiency =where C t is the concentration of famotidine at time t,
and C 0 is the initial concentration of famotidine (5mg/L) at the start of the reaction.

Table 1 Experimental conditions
Famotidine
Temperature
Photocatalyst
Light source
Sensitizer
UV detection
Illuminationtime
Analysis

:
:
:
:
:
:
:
:

𝑪𝑪𝒕𝒕

𝐂𝐂𝟎𝟎

RESULTS AND DISCUSSION

5 mg/L (30 mL)
Room temperature (25 ◦C)
P25 TiO 2 (20 mg)
LED lamp with cut filter (λ< 400 nm)
OII, BPB and RhB (5 mg/L)
276 nm and 486 nm
0 ~ 24 h

Photocatalytic Efficiency of TiO 2 -OII, TiO 2 -BPB
and TiO 2 -RhB in Famotidine Degradation
The photocatalytic activity was evaluated bymeasuring the degradation of famotidine undervisible light irradiation. Fig. 2 shows the degradation
efficiency with reaction time in the presence of bareTiO 2 , TiO 2 -OII, TiO 2 -BPB and TiO 2 -RhB
photocatalysts. The photodegradation of FMT on
TiO 2 -OII, TiO 2 -BPB and TiO 2 -RhB catalysts areabout 60%, 74% and 85%, respectively, after 24 hirradiating by visible light. All dye sensitized TiO 2
samples are significantly better than P-25 TiO 2 ,which only achieves about 36% elimination of
famotidine after 24 h under the same conditions. The
improvement of the catalytic activities is due to the

HPLC, UV–visible spectrophotometer

Evaluation of Photocatalytic Activity
The photocatalytic activities of TiO 2, TiO 2 -OII,
TiO 2 -BPB and TiO 2 -RhB were evaluated by the970

SEE-Osaka, Japan, Nov. 21-23, 2016sensitizing TiO 2 by OII, BPB and RhB respectively.
TiO 2 -RhB exhibited the highest activity of FMT
elimination from water in 24 h.

1.0

TiO2 + OII

Kinetic Analysis

TiO2 + BPB

0.8
C/C0

TiO2

The degradation rate of OII and BPB were about
90% after 8 h irradiating by visible light while RhB
was almost completely degraded under the same
condition. Thus, the dye was firstly excited byabsorbing visible light and then degraded through aself-sensitized mechanism.

TiO2 + RhB

The photocatalytic oxidation kinetics of manyorganic compounds has often been modeled with theLangmuir–Hinshelwood (L–H) equation, which also
covers the adsorption properties of the substrate on
the photocatalyst surface. This model was developed
by Turchi and Ollis [27] and expressed as Eq. (1):

0.6
0.4

𝐫𝐫𝟎𝟎 = −

0.2
0.0

0
-0.5

3.5

7.5 11.5 15.5 19.5 23.5

Fig. 2 Time courses of Famotidine concentration in
the dispersions containing dye (OII, BPB and RhB)
sensitized TiO 2 under λ > 400 nm radiation.
Photocatalytic Degradation of Sensitizer−

The rate of degradation of sensitizer (OII, BPB
and RhB) in the presence of FMT with TiO 2 wasevaluated under visible light during reaction time .
The amount of sensitizer used in these experiments
is decreased with increasing time shown in Fig. 3.

C/C0

FMT + TiO2 + RhB

0.4
0.2
0
3.5

7.5

11.5

𝒌𝒌𝒌𝒌𝐂𝐂𝟎𝟎

𝟏𝟏+ 𝑲𝑲𝐂𝐂𝟎𝟎

(1)

𝐝𝐝𝐝𝐝

= 𝒌𝒌𝒌𝒌𝒌𝒌 = 𝒌𝒌𝐨𝐨𝐨𝐨𝐨𝐨 𝒕𝒕

(2)

𝐂𝐂

𝐂𝐂𝟎𝟎

= 𝒌𝒌𝐨𝐨𝐨𝐨𝐨𝐨 𝒕𝒕(3)

The primary degradation reaction is estimated tofollow a pseudo first- order kinetic law, according to
Eq. (3). In order to confirm the speculation,
Ln(C/C 0 ) was plotted as a function of illumination
time for famotidine shown in Fig. 4. Since the linear
plots were observed as expected, the kinetics offamotidine in the TiO 2 suspension with dye solution
followed the first-order degradation curve which
was consistent to the L–H model resulting from thelow coverage in the experimental concentration
range (5 mg/L).
The values of rate constants have been
determined from the slope and intercept of theseplots. The rate constant for photodegradation of
FMT using bare TiO 2 was found to be 0.011 min−1
whereas the rate constant were 0.039 min−1, 0.065
min−1 and 0.083 min−1 for OII, BPB and RhB
sensitized TiO 2 under visible light. During thephotodegradation experiment, the substrate half-life
t 1/2 of FMT was about 17 min for TiO 2 -OII, 11 min
for TiO 2 -BPB and 8 min for TiO 2 -RhB, respectively.

FMT + TiO2 + BPB

-0.5

𝐝𝐝𝐝𝐝

−𝐋𝐋𝐋𝐋

0.6

0.0

=

Integration of the above equation with the limit of C
= C 0 at t = 0 with C 0 being the equilibrium
concentration of the bulk solution gives thefollowing equation:

FMT + TiO2 + OII

0.8

𝐝𝐝𝐝𝐝

where r 0 is the degradation rate of the reactant, k is
the reaction rate constant and K and C 0 are theadsorption equilibrium constant and concentration
for the reactant, respectively. If the concentration ofsubstrate is very low, i.e. KC≪1, the L–H equation(Eq. (1)) simplifies to a pseudo-first-order kinetic
law (Eq. (2)) where k obs is being the apparent
pseudo-first-order rate constant.

Time, h

1.0

𝐝𝐝𝐝𝐝

15.5

Time, hFig. 3 Time courses of dye (OII, BPB and RhB)
concentration in the dispersions containing
famotidine with TiO 2 under λ > 400 nm radiation.

971

SEE-Osaka, Japan, Nov. 21-23, 2016

Dye + hv → Dye*
Dye* + TiO 2 → Dye+ • + TiO 2 (e)TiO 2 (e) + O 2 → TiO 2 + O 2 − •O 2 − • + Famotidine → S-Oxide of Famotidine

0.0

(4)
(5)
(6)
(7)

LnC/C0

CONCLUSION-0.5

The investigation of photocatalytic ability
indicated that OII–TiO 2 , TiO 2 -BPB and RhB–TiO 2
possessed higher photocatalytic activity than TiO 2
for the degradation of FMT under visible lightirradiation. The photocatalytic activity, after
sensitizing of bare TiO 2 , enhances to about 1.7 times
for TiO 2 -OII, 2.0 times for TiO 2 -BPB and 2.4 times
for TiO 2 -RhB. Dye molecules adsorbed onto TiO 2
semiconductors were excited under visible lightirradiation and then injected electrons into the
conduction band (CB) of TiO 2 particle. The
electrons further react with O 2 adsorbed on thesurface of semiconductors to produce O 2 −•. The
kinetics of FMT photodegradation was found tofollow the pseudo-first order rate law and could be
described in terms of Langmuir–Hinshelwood model.

TiO2
-1.0

TiO2 + OII
TiO2 + BPB
TiO2 + RhB

-1.5

0

5
10
Irradiation Time, h15

Fig. 4 Kinetic plot of Ln(C/C 0 ) versus irradiation
time for famotidine.
Proposed Degradation Mechanisms

ACKNOWLEDGEMENTS

A number of mechanisms have been proposed byvariousauthors,which
includeelectrontransfer/injection with subsequent formation ofreactive oxygen species (ROS), or directly via asensitizer-only generated singlet oxygen mechanism[28]-[30]. Both mechanisms are possible, and bothwould explain the observed sulfoxidation product,
however, electron injection from the sensitizer
directly into the conduction band of TiO 2 isgenerally the most accepted mechanism [12], [31][35].
TiO 2 cannot absorb visible light directly due tothe band gap 3.2 eV [36], [37], but when a coloredorganic compound is present, a sensitized
photocatalytic process is able to operate. Huang et al.
reported dye sensitized photodegradation [39] which
follows the radical mechanism. Park et al. also
reported the dye-sensitization can be applied for the
self-degradation of dyes [38]. In dye sensitized
photocatalysis, a dye absorbing visible light excites
an electron from the HOMO (highest occupied
molecular orbital) of a dye to the LUMO (lowest
unoccupied molecular orbital). The surface adsorbed
dyes (OII, BPB and RhB) were excited by absorbing
visible light and donate its electrons to the
conduction band of TiO 2 . As a result, the dyes areconverted to a cationic radical, and the injected
electron in the TiO 2 conduction band can reduce thesurface-sorbed oxygen producing O2•−. The surface
adsorbed FMT can undergo degradation by O2•− andformed S-oxide of Famotidine. As soon as a FMT
molecule degrade another FMT will adsorbed on
TiO 2 surface and the photocatalytic cycle wascontinued.

The present research was partly supported by
Grant-in-Aid for Scientific Research (C) 15K00602
from the Ministry of Education, Culture, Sports,
Science, and Technology of Japan. All experiments
were conducted at Mie University.
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Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

ENHANCED PHOTOCATALYTIC OXIDATION OF As(III) ON WO3NANO-PARTICLES WITH CuO CO-CATALYST
Abdus Samad*,1, Hideyuki Katsumata1, Tohru Suzuki2 and Satoshi Kaneco*,1, 2
Department of Chemistry for Materials, Graduate School of Engineering, Mie University, Japan2
Mie Global Environment Center for Education & Research, Mie University, Japan

1

ABSTRACTWO 3 is one of the most extensively studied visible light active photocatalyst. However, low photocatalytic
activity restricts its application. We explored the photocatalytic oxidation of As(III) over the WO 3 photocatalyst in
the presence of CuO co-catalyst under visible light irradiation. It was found that CuO effectively promoted thephotocatalytic activity of WO 3 for the oxidation of As(III). Optimized composition of CuO was found as 1% CuO
coupled with WO 3 . Photocatalytic performance was slightly higher at basic pH (pH 10) compared with both acidic(pH 3) and neutral pH (pH 7). The XPS study demonstrated that the oxidation state of copper in CuO remains
unchanged after treatment. The oxidation rate of As(III) was suppressed remarkably in nitrogen environment. The
reactive species scavenger results indicated that the photo-generated holes (h+) play key role in As(III) oxidation
while the effect of ·OH was found negligible. A possible mechanism for the enhancement of photocatalytic
activity for the oxidation of As(III) has been proposed.
Keywords: Tungsten oxide, Cocatalyst, Visible light, Arsenic, Oxidation.
One of the general approaches to improve thephotocatalytic performance of WO 3 is to increase theefficiency of electron–hole separation by the
coupling with suitable co-catalyst. The enhancementof photocatalytic activity of WO 3 by the use of
appropriate co-catalyst has attracted extensive
attention recently [9]. It has been reported that theloading of metal co-catalyst such as Pt, Ag, Pd andAu have significantly improved the visible lightactivity of WO 3 [10]. In spite of that, the high costand resource constrain bottleneck the application ofthese precious metals as co-catalyst in large scale. Asan alternative, metal oxides have been widely
explored [11]. CuO can be an attractive co-catalyst
because of easy to prepare, low cost and available inlarge quantity. Enhancement of photocatalytic
activity under visible light with CuO has been cited inliterature [12]. However, reported studies
overwhelmingly focused on the degradation of dyesor oxidation of organic compounds. There is scarceliterature on the oxidation of arsenic with WO 3 . Kim
and his research group studied the oxidation of
As(III) under visible light with pristine WO 3 andexplained the comprehensive mechanism of As(III)oxidation [13]. Kim and co-workers investigated thedegradation/oxidation of six aquatic pollutant
including As(III) with platinized WO 3 demonstrated
the enhanced photocatalytic activity for As(III)oxidation as well as organic pollutant degradation[14]. Photocatalytic oxidation of As(III) on WO 3 has
not been explored yet with CuO co-catalyst.

INTRODUCTION
Arsenic contamination is one of the most severe
forms of water pollution due to its toxicity andubiquitous presence on the earth’s crust [1]. Primaryforms of arsenic in water are arsenite [As(III)] andarsenate [As(V)]. As(III) is more toxic, highly mobileand difficult to remove from aqueous solution due toits poor affinity towards absorbents and coagulants.
Therefore, the pre-oxidation of As(III) to As(V) is a
crucial step for reducing the toxicity and enhancing
the total arsenic removal efficiency fromcontaminated waters. Several methods have beendeveloped for the oxidation of As(III) including
photocatalysis [2], electrocatalysis [3], chemical
process [4] and biological process [5]. Photocatalyticoxidation has been proven as an effective andenvironmentally acceptable green energy technique
because of its high efficiency, no requirement forchemical oxidants and electrical energy, andapplicability at a broad range of As(III)concentrations. Visible light active photocatalysts areactively sought for the better utilization of solar
energy or indoor light [6], since visible light accounts
for the major share of the solar spectrum (~42%) andartificial light sources. Due to small band gap (2.4-2.8eV), strong absorption within the solar spectrum,
high oxidation power of valence band (VB) holes andnontoxic nature, (WO 3 ) is an ideal candidate among
the visible light active photocatalysts [7]. However,the low conduction band level of WO 3 restricts the
conduction band electron to react with electron
acceptors [8] which therefore increase therecombination of photo-generated electron–holepairs leading to the lower photocatalytic activity.

This work aims to investigate the photocatalyticoxidation of As(III) with WO 3 under visible light in
the presence of CuO.
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SEE-Osaka, Japan, Nov. 21-23, 2016

molybdatetechnique
[15].
Total
arsenic
concentration was measured with a modified arseno‒
molybdate method [16]. The concentration of As(III)was determined from the difference between [As] total
and [As(V)].

EXPERIMENTAL
Chemicals
All the chemicals and reagents were analyticalgrade of purity and used as received without further
purification. WO 3 (particle size < 100 nm, surface
area ~8.3 m2/g) and CuO (particle size 33 nm,
specific surface area 29 m2/g) were purchased from
Aldrich. Potassium arsenite (KAsO 2 , 90%) andpotassium arsenate (KH 2 AsO 4, extra pure) were
procured from Nakarai Tesque, Inc. and were used
for the preparation of As(III) and As(V) stock
solution, respectively. Ammonium molybdate((NH 4 ) 6 Mo 7 O 24 ·4H 2 O, 99%), L-ascorbic acid
(C 6 H 8 O 6, 99%), antimony potassium tartrate(C 4 H 4 KO 7 Sb·1/2H 2 O, 99.8%), sulfuric acid (H 2 SO 4,98%), potassium permanganate (KMnO 4 , 99.3%)
were received from Nakarai Tesque, Inc. Ammonium
oxalate monohydrate (Nachalai), Disodium ethylene
diamine tetra acetate (EDTA-2Na, Chameleon),
Isopropyl alcohol (IPA, Wako) and Tertiary butyl
alcohol (TBA, Kanto) were used as reactive species
scavengers.

RESULTS AND DISCUSSION
Influence of CuO
performance of WO 3

on

the

photocatalytic

The effect of CuO on the photocatalytic activityof WO 3 was evaluated by the oxidation of As(III)under visible light irradiation. Fig. 1 illustrates theoxidation of As(III) over pristine WO 3 , CuO,
1%CuO/WO 3 and 5%CuO/WO 3 . Oxidation of
As(III) was not perceived with pure CuO indicatingthat although being a p-type semiconductor with low
band gap (1.7 eV), it cannot act as a photocatalyst
alone. While As(III) could be oxidized with bare
WO 3 , its efficiency was low. About 55% of As(III)was oxidized to As(V) in 6 h of light irradiation. It isclear from the Fig. 1 that photocatalytic performanceof WO 3 was remarkably enhanced with theincorporation of CuO. In the case of 1%CuO/WO 3 ,maximum oxidation yield was 90% in 6h irradiation.
The photocatalytic performance of WO 3 wasdeclined with the increase of percentage of CuO to
5%. Such a composition dependency ofphotocatalytic performance of WO 3 coupled withother semiconductor had been widely reported inprevious studies [11].
The kinetics of photocatalytic oxidation of As(III)can be expressed by modified Langmuir–
Hinshelwood kinetic model as shown in “Eq. (1)”[17].

Preparation of photocatalyst
Mechanical mixing method was used for the
preparation of CuO/WO 3 photocatalyst mixture. The
different weight ratios of CuO/WO 3 were preparedby mixing the estimated amount of WO 3 and CuO.
The mixing was homogeneously performed with amortar.
Photocatalytic oxidation experiment
A batch reactor of 50 mL cylindrical glass cell
was used for performing photocalytic experiments.
Catalyst loading for each experiment was 10 mg
containing 30 mL of 10 mg L-1 As(III) solution. The
pH of the suspension was adjusted to desired value
with HCl or NaOH using micro volume. The reactor
was positioned on the top of the magnetic stirrer foragitation. The suspension was then magneticallystirred for 30 min in the dark to get
adsorption-desorption equilibrium between arsenic
and photocatalyst prior to illumination. A UV cut
filter was placed between light source and reactor toprevent the access of light below 400 nm. Next, thereaction mixture was irradiated with visible light. An
ordinary incandescent light was used as visible lightsource providing irradiance with a peak wavelength
at around 405 nm. During treatment, the arsenic
solution was stirred magnetically to ensure a good
contact of photocatalyst with arsenic species. A 0.20μm Advantec membrane filter was used for thefiltration of arsenic solution after treatment.
Concentration of As(V) was measured by
UV-visible spectrophotometry using arseno‒− Ln(C / C0 ) = kt

(1)

where C 0 (mg L-1) is the initial concentration of
As(III), C (mg L-1) is the concentration of As(III) at
the treatment time t, k (min-1) represents the apparent
first order rate constant and t is the treatment time(min). Table 1 shows the rate constant and theregression value (R2) for the oxidation of As(III) withpure WO 3 , 1%CuO/WO 3 and 5% CuO/WO 3 . It canbe inferred from the table that the As(III) oxidation
rate constant with 1%CuO/WO 3 is 2.3 times higher
than that with pure WO 3 demonstrating a significant
improvement of arsenic oxidation performance with
WO 3 in the presence of CuO co-catalyst.
Table 1 Rate constant and regression value for theoxidation of As(III).
Photocatalyst
Pure WO 3
1%CuO/WO 3
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Rate constant (min-1)
0.047
0.11

R2
0.97
0.97

SEE-Osaka, Japan, Nov. 21-23, 2016

5%CuO/WO 3

0.084

Fig. 2 Effect of pH on the photocatalytic oxidation of
As(III) with 1%CuO/WO 3 .
XPS analysis

0.92

10
1%CuO/WO₃
5%CuO/WO₃
Pure WO₃
Pure CuO[As(V)] (mg L-1)

8
6

To understand the change of catalyst during
photocatalytic experiment, XPS spectra of pure WO 3
and 1%CuO/WO 3 before and after treatment was
analyzed. Fig. 3 illustrates the narrow scan XPS
spectra of Cu 2p. The peak of 2p 3/2 of as prepared
CuO/WO 3 was observed at 933 eV and 2p 1/2 at 953
eV are corresponding to Cu(II). The Cu 2p spectra of
CuO/WO 3 before and after treatment were almost
similar implying that no change of catalyst occurred
during reaction.

4
2
0
0

1

2
3
4
Irradiation time (h)56XPS intensity

Fig. 1 Effect of CuO on the photocatalytic
performance of WO 3 under visible light.
Effect of pH
The pH affects the surface condition of catalyst as
well as the speciation of arsenic in aqueous solution.
The effect of pH on the photocatalytic oxidation of
As(III) on 1%CuO/WO 3 was investigated. Fig. 2
exhibits the effect of pH on the photocatalyticoxidation of As(III) 4 h irradiation. Oxidation
efficiency was slightly increased at pH 3 than neutral
pH and further improved at pH 10. This dependencyof As(III) oxidation rate on pH is similar to theprevious studies reported by Qin et al. [18] and Lee
and Choi [19], although Lee and Choi found larger
enhancement at basic pH. The valence band potential
of WO 3 is +2.92 V NHE [20] and the potential of
As(V)/As(III) couple is +0.40 V NHE denoting thatphoto-generated hole has enough thermodynamic
potential to oxidize As(III) to As(V). At pH 10, thepotential for As(V)/As(III) couple is less than -0.2 V[19]. The lowering of potential in alkaline solution
may be contributed to increase the oxidation rate athigh pH.

925[As(V)] (mg L-1)

2p1/2

940
Binding energy (eV)955

Effect of active species scavenger
Several possible species can be generated such as
photo-generated hole, intermediates like ·OH andH 2 O 2 when photocatalyst is irradiated under lightenergy. H 2 O 2 does not play role for the oxidation of
As(III) [13]. The role of active species was evaluatedby using suitable quenching agents of highconcentration (1000 mg L-1). Ethylenediaminetetraacetic acid disodium salt (EDTA) and ammonium
oxalate were used as hole scavenger, isopropyl
alcohol and tert-butyl alcohol as hydroxyl radical
scavenger. Results presented in Fig. 4 (a) reveals thatthe photocatalytic activity of CuO/WO 3 wasmarkedly suppressed in the presence of both
EDTA-2Na and ammonium oxalate. It is apparent
from the figure that As(III) oxidation was inhibited
more in the presence of EDTA-2Na than ammonium
oxalate. The different hole scavenging efficiency was
also reported in literature [21]. However, theoxidation rate was unaffected when reaction was
performed with hydroxyl radical scavenger as
illustrated in Fig. 4(b). These results infer thatphoto-generated holes play key role in the As(III)oxidation process.

9
8
7
6
5
pH 7
Solution pH

2p3/2

Fig. 3 XPS spectra of Cu 2p.

10

pH 3

1%CuO/WO₃; after irradiation
1%CuO/WO₃
Pure WO₃

pH 10

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SEE-Osaka, Japan, Nov. 21-23, 2016

10

10
1%CuO/WO₃; no scavenger[As(V)] (mg L-1)

1%CuO/WO₃; N₂

8[As(V)] (mg L-1)

1% CuO/WO₃; EDTA-2Na

8

1%CuO/WO₃

a

1%CuO/WO₃; (NH₄)₂C₂O₄

6

6
4

4
2
2

0
0

0
0

1

10

1%CuO/WO₃; IPA
1%CuO/WO₃

8[As(V)] (mg L-1)

2
3
Irradiation time (h)

4

1

2

3

4

5

Irradiation time (h)5Fig. 5 Effect of dissolved oxygen on the photocatalytic oxidation of As(III).

b

Probable oxidation pathway
When the sample solution is irradiated undervisible light, the electrons of WO 3 get excited andpromoted to the conduction band causing the split ofenergy band as valence band hole and conduction
band electron. The conduction band of WO 3 has apositive potential (ca. +0.22 V NHE ) and the reduction

6
4

potential of O 2 is negative (E৹(O 2 /·O 2 −) = −0.33

2

V NHE and E৹(O 2 /HO 2 ·) = −0.05 V NHE ). Therefore, thereduction of O 2 by the conduction band electron on
WO 3 surface is thermodynamically not favored.
Consequently, pure WO 3 exhibits low photocatalytic
activity because of the recombination of photoexcitedelectron and hole. However, in presence CuO, theseparation of electron and hole is possible in two
ways. As presented in Fig. 6, charge separation canbe achieved either via Z-scheme mechanism (pattern
1) or by transferring conduction band electron of
WO 3 to CuO as shown in pattern 2. When conduction
band electron migrated to CuO, the copper in CuO
get reduced from Cu(II) to Cu(I) [12]. The reduced
Cu(I) is not further reduced to Cu(0). On the other
hand, it regenerated to Cu(II) by dissolved oxygen in
the reaction media. Although, the one-electron
reduction of O 2 over WO 3 is thermodynamically
restricted, it is highly probable that oxygen get
reduced by multi electron transfer pathway

0
0

1

2
3
Irradiation time (h)45Fig. 4 Effect of (a) hole scavenger and (b) hydroxyl
radical scavenger on the photocatalyticoxidation of As(III) under visible light.
Effect of dissolved oxygen
The effect of dissolved oxygen on the oxidationof As(III) was evaluated by conducting
photocatalytic oxidation experiment in N 2
environment. As shown in Fig. 5, oxidation
efficiency was decreased about 65-70% under N 2
compared to air equilibrated environment. This isindicative of the involvement of oxygen in thephotocatalytic reaction.

(E৹(O 2 /H 2 O 2 ) = +0.68 V NHE ; E৹(O 2 /H 2 O ) = +1.23
V NHE ) [20]. This process effectively suppressed
electron/hole recombination and enhanced theefficiency of the charge separation. As(III) is thenoxidized to As(V) by the photo-generated hole as
illustrated in Fig. 6.

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Fig. 6 Probable reaction pathway for thephotocatalytic oxidation of As(III).
CONCLUSIONSCuO significantly enhanced the photocatalytic
performance of WO 3 . Arsenic oxidation rate constantwas 2.3 times higher in the presence of CuO
co-catalyst. Oxidation efficiency was not changed
remarkably in acidic or basic media althoughoxidation rate was higher at basic pH than acidic pH.
Dissolved oxygen plays a significant role in oxidation
process as oxidation rate was declined to 65-70% in
N 2 environment. Arsenic was oxidized primarily by
the photo-generated holes. This technique might bepromising for As(III) oxidation as visible light can beused for photocatalytic reaction.
ACKNOWLEDGEMENT
The present research was partly supported by
Grant-in-Aid for Scientific Research (C) 15K00602
from the Ministry of Education, Culture, Sports,
Science, and Technology of Japan. All experiments
were conducted at Mie University. Any opinions,findings, conclusions or recommendations expressedin this paper are those of the authors and do notnecessarily reflect the view of the supportingorganizations.
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Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

LASER LAND LEVELING FOR CROP YIELD AND WATEREFFICIENCY AT EASTERN REGION AFGHANISTAN
Shakerullah Hashimi1, Homayoon Ganji1, Masaaki Kondo1, Ryoei Ito1 and Takamitsu Kajisa1
Graduate School of Bioresources, Mie University, 514-8507 Kurimamachiya-cho 1577, Tsu, Japan

1

ABSTRACTThe purpose of this study is to observe the impact of land layout improvement (LLI) and laser land leveling (LLleveling). LLI and LL leveling are undertaken through an important program by the Ministry of Agriculture
Irrigation and Livestock of Afghanistan in five regions of the country. The poor farm layout in those areas, as wellas the existence of uneven fields, unnecessary bunds, and ditches, are responsible for significant water losses at
the farm level and yield reduction, thereby increasing water and labor demand. In addition, it is mandatory to apply
irrigation at the highest levels of the fields, a practice leading to over-irrigation and the reduction of resources andyield. In the study area, the farm was separated into 29 small fields of less than 0.075 ha, attempting to form evenand appropriately irrigated fields. The entire farm area was leveled, and the size of each field increased to 0.19 ha(6%). The number of fields dropped from 29 to 12, and the number of water inlets decreased from 39 to only 14.
These reduction remind us the labor requirements decrease. By the measuring in two fields (Farm-A(leveled) andFarm-B(unleveled)), it is expected that water demand for wheat, corn, and eggplant will be reduced as 21%, 27%,
and 17%, while the yield will be increased as 21%, 40%, and 38%. Furthermore, water productivity will be
increased as 39%, 53%, and 37% for wheat, corn, and eggplant, respectively.
Keywords: Laser- land leveling, Land-layout improvement, Water saving, Yield increase, and Area increaseis 12% of the total area of the country. Approximately
3.9 million ha of cultivated land exists in Afghanistan,of which 1.3 million ha is rainfed and 2.6 million ha
irrigated. This irrigated area produces almost 85% of
all agricultural productions [10]. Cropping intensity
varies widely from system to system according to thescarcity of water versus land. It reaches 200% in theupper part of the irrigation schemes, whereas thelower parts, up to two-thirds of the command area, arekept fallow each year on a rotational basis. Flooddamages to irrigated land are common, particularly inthe large schemes supplied by rivers changing theircourse frequently due to their high sediment load andunfavorable geomorphological conditions [8-9].
In traditional as well as in modern irrigation
schemes, the dominant irrigation method isbasin/border irrigation for cereals and furrow
irrigation for vegetables and grapes. Farmers usuallylack knowledge about crop water requirements, andover-irrigation of crops is a common practice. Overall
efficiency is only about 25%–30% for both modern
and traditional irrigation schemes, resulting in water
loss and low productivity [4].
Due to low water use efficiency and lack of input,
crop yields are very low. At present, drought
conditions have caused further reduction in crop
yields, e.g., the average yield of wheat is 0.8 tons/hatoday as opposed to about 1.1 tons/ha in 1978. The
total area (irrigated and rainfed) for cereal crops isabout 3.39 million ha. The total cereal production is
4.15 million tons, of which 2.65 million tons are
dedicated only to wheat [8-9].

INTRODUCTION
One of the major challenges for the agricultural
sector of Afghanistan is the high pressure on
irrigation water [1]. Afghanistan economy mostly
relies on agriculture, particularly on irrigatedagriculture, while farmers still use traditional farming
techniques with oxen providing the draught power.
The farmers’ knowledge of new irrigation
technologies and cultural practices is insufficient.
Consequently, the efficiency of the irrigation system
is quite low (25%–30%), mainly due to highconveyance losses in traditional watercourse withearth canals, high operational losses in modern
schemes with a lined conveyance canal, and high onfarm distribution losses (e.g., over irrigation, poorly
leveled land) in both traditional and modern schemes.
The productivity levels are low even by regional
standards. About 20% of both traditional and modern
irrigation systems require improvement of the onfarm water management in order to improve the low
crop yield, or address water logging and Stalinization.
In fact, the production potential of land under low andvariable rainfall can be improved by promoting
technology transfer [8-9].
Irrigated agriculture is the mainstay of foodsecurity and income for most of the rural populationin Afghanistan. It accounts for more than half of thecountry’s GDP, 70% of the total crop production, andprovides a reliable and sustainable production basefor many rural communities. The total cultivable areaof Afghanistan is about eight million hectares, which
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SEE-Osaka, Japan, Nov. 21-23, 2016

Traditional management practices of the irrigation
supply and conveyance systems often contribute to
the high water losses. On many farms, the low
irrigation efficiency is further accentuated by farmers’
traditional irrigation methods and practices, as well as
inadequate land leveling [12]. Water shortage can beovercome by improving the water application
efficiency at the field level [11]. Indeed, with normal
application of water availability to the fields, the crop
yields are reduced by 75%–85% on average, a
percentage that varies widely amongst farms.
Furthermore, poor farm design and uneven fields
are responsible for 30% of the water losses [8]. About
18 million acre-feet (MAF) of water are lost for
irrigating uneven fields in Pakistan [2].
LL-leveling and agricultural technology transfer
was implemented from 2008 to 2011 for wheat crops
in the Kama district (Nangarhar and Balkh Province,
Afghanistan). The maximum reported wheat yield
was 6.18 tons/ha and the minimum was 4.01 tons/ha[7].
The present study is conducted at the irrigation
demonstration site of the On-farm Water
Management Project, at Bahrabad village, (Bihsud
district, Nangarhar province; Fig 1). The objectives ofthis study are (i) to explore the impact of farm layout
improvement, (ii) to investigate the agriculture
benefits of laser land leveling, against the traditional
unleveled field, and (iii) to increase water crop
productivity.

Farm-A was investigated before commencing on theactual experiment. Thus, permanent benchmarks
were established.
After installing the benchmarks, the detailed
survey of Farm-A started with the construction of a
topographic map by total station theodolite (TST).
Next, the features of Farm-A were indicated on themap, and detailed information was given about theslope, the elevations of the low and higher spots ofthe fields, the number and sizes of the fields, thequantities of water inlets, and the available water
channels. In the same way, the main water channel
and the secondary water channels were surveyed, andtheir profiles were prepared.
The water channels were designed for the earthen
lining. In the next step, each single field in Farm-A
was carefully studied and analyzed further in order toimprove the farm’s layout. With the new layout, thearea size of each single field was expanded, andregular straight boundaries were established for all
fields. In addition, water inlets and control structures
were considered as suitable points for the installationof the farm’s irrigation system. There were chosen
according to the irrigation demand.
Then, the cut-and-fill soil ratio of low and highspots were calculated for each field and indicated in
the site plan in order to facilitate field leveling for themachinery operators. The irrigation channels and thewater inlets were adjusted based on the quantity
required for the fields. Moreover, the water channels
were earthen improved, and water inlets and a control
structure were proposed to be constructed with break
masonry. Subsequent layout improvement and water
channels (contours, unwanted bunds, water inlets) of
the field were removed.
In the next stage, we applied rough leveling andlaser land leveling. To implement laser land leveling,
the maximum difference in elevation between the
different points in the land to be laser-leveled should
not be more than 12–15 cm. In this case, however,most of the selected fields exhibited greater
differences in elevations. Therefore, to solve thisproblem, another tractor was hired to plough andmake the soil soft for leveling.
Laser land leveling is also called laser-guided landleveling or precision-custom farming laser landleveling, and it is a process applied for smoothing aland surface up to ±2 cm from its average elevation
with the help of a laser-guided drag-bucket.
All the fields were laser leveled and the fields’sizes were increased to at least 0.19 ha. Thus, 12

MATERIALS AND METHODSThis study was conducted at the Irrigation
demonstration site of the On-farm Water
Management Project in Nangarhar Province in 2014.
The province is located in the eastern part of
Afghanistan (latitude 34.27° N and longitude 70.24°E), and the elevation is 570 m. The climate is subtropical, semi-arid, Mediterranean-type, with frost in
the winter. Climatic data collected from Shishum
Bagh Agricultural Research Farm indicates that the
maximum annual temperature is 42 °C and theminimum is −2 °C. The annual precipitation varies
from 178 mm to 324 mm. The rainy season starts
from January and lasts until May, with few showers
in the summer. The wind velocity is approximately 30
km/h. The maximum pressure of wind is observed inJuly and November. [5]The field experiments consisted of two parts, thefirst part included Farm-A layout improvement, andthe second part involved LL-leveling. The entire982

SEE-Osaka, Japan, Nov. 21-23, 2016

Fig 1 The location of Farms A and B, in Nangarhar, Afghanistan (Source: Google map, 2016)
fields were established instead of 29 (Figures 2 and
3). All unnecessary water channels, undesired fieldboundaries, and ditches were removed, and newstraight field bunds were established. After the FarmA was laser-leveled, leveled fields in Farm-A werechosen to observe the impact of LL-leveling, andunleveled fields were selected in the adjacent FarmB.
Overall, the leveled fields covered 2054 m2, 2052
2
m , and 1924 m2 for wheat, corn, and eggplant,
respectively. On the other hand, the unleveled fields
covered 1875 m2, 2000 m2, and 1680 m2 for wheat,corn, and eggplant, respectively. Condition of crops
without LL-leveling was considered equal.
The cutthroat flume was used to determine thewater depth that was applied in the irrigation. The
flume was installed in a uniform, straight, andvegetation free channel. The flume sides wereentirely stopped with dirt to prevent water leakage
from the sides and beneath the flume. The flume wasinstalled at appropriate points to maintain free-flow
conditions for easy calculation. Whenever the waterflow became stable, constant readings were recorded;
five to six readings were taken during irrigation. The
duration of irrigation was recorded, and the area ofthe fields was measured by TST. Then, the depth ofapplied water was calculated for each irrigation line
using the hydraulics formula given in Eq. 1.
Then, all crops were harvested manually fromboth the laser-leveled and the unleveled fields. The
productions were weighed using a digital scalemeasurement device. The water productivities werecomputed using Eq. 1. The net crop harvested yields
and the applied water volume 𝑸𝑸 was used for the
calculation of water productivity. The harvested yield
quantity for a single crop was recorded from the fields,
and the irrigations applied were determined by

the depth of water (mm) and later converted into
volume.

Fig. 2 Layout of Farm-A before improvement

Fig. 3 Layout of Farm-A after improvement983

SEE-Osaka, Japan, Nov. 21-23, 2016

D = QT/A[Eq. 1]

Eggplant yield. (Fig. 4)

WP = yield/𝑸𝑸

Yield ( MT/ha )where 𝑸𝑸 is the discharge (m3/s), 𝑻𝑻 is the irrigation
duration in seconds, 𝑨𝑨 is area of the field (m2), and𝑫𝑫 is the applied depth (m).

[Eq. 2]where WP is the water productivity, yield is the totalseasonal agricultural production (kg), and 𝑸𝑸 is thetotal seasonal irrigation water inflow (m3).

45
40
35
30
25
20
15
10
5
0

41

25.5

4.4 3.5
Wheat

RESULTS

5.25

3.15

Corn

Farm A ( leveled )Eggplant

Farm B ( unleveled )Farm Design

Fig. 4 The 2014 yields in metric tons (ha).

The average area size of an unleveled (Farm-A)
field was 752.41 m2 (0.075 ha), as shown in the oldfarm layout (Fig. 2). After modification of the layout,
the average area size of the new field enlarged to 1925
m2 (0.19 ha). The number of fields dropped from 29
to 12, because several fields were unified. Moreover,the farm water channels were properly lined, and all
unnecessary water channels and water inlets were
removed. The number of water channels was reduced
from 14 to 2. In addition, the number of water inlets
dropped from 39 to 12. As a result, the cultivated areaof the farm larger by about 6%, and the Farm-A rea
expanded from 2.18 ha to 2.31 ha. (Table 1).

Water Depth
The Farm-A water depth (WD) was estimated at
420 mm, whereas, in the, Farm-B the applied water
depth was 529 mm. The water demand for irrigation
was smaller in the laser-leveled field by 21%, and thewater depth lowered by 109 mm, which was different
from the Farm-B for the wheat crop.
Furthermore, the total seasonal water applied depth
for corn crop was 539 mm in the Farm- B, whereas itwas 394 mm for the Farm-A. The water depth smaller
by 27% in the Farm-A field and the water depth saved
by 145 mm compared to the Farm-B. The maximum
water depth for the eggplant crop was 1264 mm for
the Farm-A, whereas it was 1052 mm for the Farm-B
The eggplant water demand lowered by 17% in the
Farm-A field and the water depth smaller by 213 mm(Fig. 5).

Table 1 Farm-A features before and after
improvement

Before

No.
of
field
s

29

No. of
water
chann
els

14

No. ofwater
inlets39

Total FarmA area

(ha)

2.18

(%)

100

Aver
age
field
area
(m2)

1264

Water Depth (mm)

State

752

After

12

2

12

2.31

106

1925

Impacted

17

12

27

0.13

6

1173

Crop Yield

1052

394

Wheat

Corn

Farm A ( leveled )The yield from the Farm-A was 4.4 tones/ha,
whereas the harvested yield from the Farm-B fields
was 3.5 tons/ha. The wheat yield from the Farm-A
was almost 21% higher than that from Farm- B.
Similarly, after laser land leveling, the corn crop
yield was 5.25 tons/ha from the Farm-A, whereas
unleveled corn crop yield was 3.15 tons/ha from theFarm-B; thus, the corn yield larger by 40%. The
Farm- A eggplant yield was 41 tons/ha and the FarmB yield was 25.5 tons/ha. The eggplants yield in the
Farm-Afield was about 38% higher than the Farm-B

539

529
420

Eggplant

Farm B (unleveled )Fig. 5 Water depths for wheat, corn, and eggplant, in
2014.
Water Productivity
After laser land leveling, water productivity was
analyzed for the three crops: wheat, corn, andeggplant. The water productivities for all three crops(wheat, corn, and eggplant) in the leveled fields were984

SEE-Osaka, Japan, Nov. 21-23, 2016

compared with that of the unleveled fields.
The water productivities of unleveled field crops
were 0.64 kg/m3, 0.63 kg/m3, and 2.33 kg/m3 forwheat, corn, and eggplant, respectively. The laserleveled fields’ water productivities for wheat, corn,and eggplant were 1.05 kg/m3, 1.33 kg/m3, and 3.67
kg/m3, respectively. (Table 2)higher from the Farm-A than the Farm-B. It should be
mainly the merits of LL-leveling that provided land
surface for homogenous water distribution, uniform
soil moisture condition, constant seed germination,
proper crop growth, stand & maturity, and productive
utilization of nutrients (Fig. 4).
The Fig. 5 shows different between total applied
depth of water for wheat, corn, and eggplant crops
from the Farm-A and Farm-B. The total seasonal
applied depth of water for each single crop were
measured from the both the Farm-A and Farm-B. The
Farm-A water depth was recorded at 420 mm,
whereas, in the, Farm-B the applied water depth was
529 mm. The water requirement for irrigation was
smaller in the laser-leveled field by 21%, and thewater depth lowered by 109 mm, which was different
from the Farm-B for the wheat crop.
Besides, the total seasonal water applied depth forcorn crop was 539 mm in the Farm- B, whereas it was
394 mm for the Farm-A. The water depth smaller by
27% in the Farm-A field and the water depth saved
by 145 mm compared to the Farm-B. The highest
water depth applied for the eggplant crop was 1264
mm for the Farm-A, whereas it was 1052 mm for the
Farm-B The eggplant water demand lowered by 17%
in the Farm-A field and the water depth smaller by
213 mm (Fig. 5). The water demand reduction wasprobably due to the similar elevation of the fields’surfaces, the reduced lag in water consumption
between the different parts in the fields or to thecompaction of the land layers.
On other hand, in Farm-B, the water demand washigher due to the inhomogeneous elevation between
the different parts of the fields, since a greater water
volume was required for water to reach the highest
levels of the fields. This also led to over-irrigation of
the lower parts and under-irrigation of the higher
points. As the total duration of irrigation in the laserleveled fields decreased, the required labor for theirrigation system was also reduced.
In addition, as the total water depth requirementin Farm-A lowered after laser land leveling, so did thewater demand for irrigation by 21%, 27%, and 17%
for wheat, corn, and eggplant, respectively. The water
volume used in the leveled fields (Farm-A ) was 863
m3/2054 m2, 808 m3/2052 m2, and 2148.1 m3/1924 m2
for wheat, corn, and eggplant, respectively. However,the unleveled fields’ (Farm-B) water volumes were1009 m3/1875, 1004.6 m3 /2000 m2, and 2129.5
m3/1680 m2, respectively. Consequently, the waterproductivities recorded higher after LL- leveling by
39%, 53%, and 37% for wheat, corn, and eggplant,
respectively. LL-leveling limitations include a highinitial cost and technical requirements, which are not
met in the study area.

Table 2 Water productivity of Farm-A and Farm-B in(kg/m3)Crop

A (Leveled)

B (Unleveled)

Water
Volume(m3)

WP(kg/m3)

Water
Volume(m3)

WP(kg/m3)

863

1.05

1009

0.64

Corn

808

1.33

1004.6

0.63

Eggplant

2148.13.67

2129.5

2.33

Wheat

DISCUSSION
LL-leveling for crop yield and water efficiency
This study has led us the poor farm layout and theexistence of uneven fields, unnecessary bunds, andditches are responsible for water losses at the farmlevel; and yield reduction, thereby increasing waterand labor demand. In addition, is mandatory to apply
irrigation at the highest levels of the fields, a practices
leading to over irrigation and reduction of resources
and yields. The Farm-A had been separated into 29
small fields. the average area size of unleveled field
752 m2 (0.075 ha) as depicted in the old farm layout(Fig. 2). But after modification of the layout the
average area size of the new field expanded from 29
to 12, because of several fields were unified.
Moreover, the farm water channels were properly
lined and all unwanted water channels and water
inlets were removed. The number of water channels
were dropped from 14 to 2. In addition, the numberof water inlets fallen from 39 to 12. At the end,
cultivated area of the farm larger about 6 % and theFarm-A area expanded from 2.18 ha to 2.31 ha. The
land layout improvement should be a chance to use
land and water resources more efficiently andeffectively in those area.
Moreover, the yield from the Farm-A was 4.4
tons/ha. Whereas the yield from the Farm-B fields
was 3.5 tons/ha. The wheat yield from the Farm-A
about 21% higher than that from Farm-B. Equally,
after LL-leveling the corn crop yield was 5.25 tons/hain the Farm-A. While, corn crops yield from theFarm-B was 3.15 tons/ha. Thus, the corn crop yieldlarger by 40%. The Farm-A eggplant crop was 41
tons/ha and from the Farm-B was 25.5 tons/ha. The
eggplant crop yield from the Farm-A was about 38 %higher than the Farm-B. The crops yield was shown
985

SEE-Osaka, Japan, Nov. 21-23, 2016

CONCLUSION

on world food day. Directorate of Agriculture
Information. Dept. Agric. Govt. Panjab, India.
[3] Hazart Hussain Khaurin. trees and bushes of
Afghanistan, food and agriculture organizationof the united nation (FAO). 2003. pp.9-13. 998[4] National Development Strategy Article no.114
Afghan water law. 2005.
[5] Meteorological station of Shishum Bagh
Agricultural Research Farm, Jalalabad city,
Afghanistan. 2013-2014.
[6] Muhammad Asif, Manzoor Ahmad, Abdul
Ghafoor and Zahoor Aslam. Wheat productivity,
land and water use efficiency by treadational
and lase land leveling techniques. Online J.
Biol . Sci. 3(2): 141 to 146. 2003
[7] Prepared by New Mexico State University final
report of Afghanistan water, agriculture andtechnology transfer. Page 13. 2011.
resource institute. Pakistan country series NO.
[8] Qureshi. A. S. Water Resources Management in
Afghanistan: The Issues and Options. Pakistancountry Series no.14.working paper 49. IWMI.
2002,[9] Qureshi. A. S. Water resources management in
Afghanistan. The issue and options.
International water resource institute. Pakistancountry series NO. 14 working paper 49.
Colombo, Sir lanka. 2002
[10] Rout. B. Water management, livestock and theopium Economy. How the water flows: A
typology of irrigation systems in Afghanistan
Research and Evaluation Unit (AREU).
Synthesis paper Series. Kabul, Afghanistan.
2008.
[11] Rana. M. A, Arshad. M. and Mausd. Effect ofbasin, furrow and rain gun sprinkler irrigation
system on irrigation efficiencies, Nitratenitrogen leaching and yield of sunflower.
Pakistan Journal of water resources. Volume. 10.
No. 2. 2006[12] Wolf. P and Stein. T. Improving on farm water
management. A never ending challenge. Journalof Agriculture and Rural Development in thetropic sand and Sub tropic. Volume 104. No. 1:
Pages 2003.

Given these points, LL-leveling and layout
improvement resulted higher crops yields, enhanced
water use efficiency and water productivity. Water
application, labor requirements and irrigation
problems are lowered after LL-leveling in the FarmA in comparison with the Farm-B.
Applying a traditional farm layout adversely
affects water productivity, land productivity, andlabor requirements. The results of the present study
indicate that with an appropriate farm layout
improvement and LL-leveling, it is possible toconserve and use available water and other farmresources more efficiently and effectively. Moreover,such practices can higher crop production from perunit water and land. More importantly, it can expand
the cultivable area, lower the labor requirements for
irrigation operation, and lower weeds problems.
The improvements proposed in this study provide
significant benefits for the traditional farm layout andunleveled fields. Therefore, it is recommended toconcern should shift toward modifying the existingpoor farm layout in order to mitigate water issues in a
specific area.
Improving the traditional farm layout andapplying LL- leveling should be the best options toresolve agriculture-related water management issues
in central Asia. These methods can show us higher
crop productions, enhanced water productivity,
expand the cultivable area and thus the overall farm
return, contributing to the rural economic of thoseareas.
ACKNOWLEDGEMENT
The authors would like to thank On-Farm Water
Management Project, Afghanistan (OFWMP) for
supporting this research.
REFERENCES
[1]

[2]

Ali Azimi and David McCauley Afghanistan
naturalresources
comprehensive needassessment final report. Page 9. (ADB).2002.
Gill, M. Water for life. Proceeding of seminar

986

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

REMOVAL OF IRON (Fe) AND ZINC (Zn) IN TEXTILEWASTEWATER BY USING ACTIVATED CARBON FROMSUGARCANE BAGASSE
Izzatul Ashikin, Z.A1, Mohd Adib, M.R.2, Muhammad Amirza, A. R.3
Department of Water and Environment, Faculty of Civil and Environmental Engineering,
Universiti Tun Hussein Onn Malaysia, Beg Berkunci 101, 86400, Parit Raja, Batu Pahat, Johor, Malaysia
1,2,3

ABSTRACT
Excessive release of heavy metals into environment due to textile industries has posed a great problem to theworld. Heavy metal ions do not degrade, so it can give bad effect to human body and environment itself.
Adsorption is one of the most effective techniques to remove heavy metals. Commercial activated carbon is thecommon adsorbent to remove heavy metals from wastewater but it is expensive material. The purpose of thisstudy is to investigate the effectiveness of sugarcane bagasse as adsorbent for the removal of heavy metal in
textile wastewater. The metal ions removal from textile wastewater was studied using batch method. The main
parameters that influenced Fe and Zn adsorption on SBAC were contact time, adsorbent dosage and pH value.
The sugarcane bagasse was modified using phosphoric acid before proceeds with batch studies. Next, theanalysis was continued using different contact time in range of 30 minutes to 24hr. Besides that, the influencesof adsorbent dosage also been studied in range of 0.6g to 6.0g. Then, for the pH parameter, the experiment was
run using the value between 2 and 7. After that, contains of metals ions were analyzed using ICP-MS. For thecontact time, the adsorption increased when the contact time increased and the optimum condition is achieved at
2hr. The research also gave similar results with the adsorbent dosage, where the adsorption of Fe and Zn
increased with increasing of adsorbent because of greater surface area with optimum value at 4.0 g. The
adsorption of Fe and Zn using SBAC was increased when the pH increased from 2 to 6 and the optimum
condition at pH 5. As the conclusion, the optimum percentage removal of Fe, Zn was found to be more than 80%.
It shows that SBAC is an attractive alternative adsorbent material for the metal ions removal in textile
wastewater.
Keywords: Adsorption; Ferum; Zinc; Sugarcane bagasse; Activated carbon

inorganic compound from effluent [3]. As we known,
activated carbon has capability in removing heavy
metal, pollutants from liquid and gas streams
efficiently and it is the most commonly used andmost successful adsorbent because of its extended
surface area, micro porous structure, high adsorption
capacity and high degree of reactivity [4]. Therefore,
this research will explore the suitability of activatedcarbon from sugarcane bagasse as alternative andlow cost medium approach to remove target heavy
metals such as ferum and zinc from textile
wastewater. Moreover, it is important to investigate
optimum condition for heavy metal removal such as
adsorbent dosage, contact time and pH.

INTRODUCTION
Wastewater from textile industries contains highload of contaminants, especially heavy metals,
organic toxicants, and human pathogens. All heavy
metals in textile wastewater represent a major
environmental problem, and are a potential danger tohuman health when present on textiles. Therefore,
the removal of heavy metal from wastewater has
become one of the most imperative environmental
issues [1]. Conventional textile wastewater treatment
such as ion exchange, membrane technologies andadsorption on activated carbon are particularly
costly and not economical [2].
In recent years, attention has been focused
towards adsorption method from local agricultural
wastes by transforming negative - valued to valuable
material. Sugarcane bagasse is used as an alternative
to replace raw material of producing expensive
conventional activated carbon. Adsorption of textile
wastewater before it is released into drains is seen to
be brilliant idea in order to conserve our river.
Adsorption is an effective method of lowering theconcentration of dissolved dyes in the effluent
resulting in colour removal and the process is one of
the most efficient methods to remove organic and

MATERIALS AND METHOD
Sampling Location
The first step of an analytical procedure issampling. The wastewater samples of this study
were obtained from the garment manufacturing,
fabric dyeing, finishing and foaming process. The
textile wastewater examined in this study wascollected from Syarikat Koon Fuat Industries Sdn.
Bhd. Kawasan Perindustrian Tongkah Pecah, Jalan
987

SEE-Osaka, Japan, Nov. 21-23, 2016

Kapal, Batu Pahat, Johor. The samples are taken
once a week and immediate preservation techniques
are applied to avoid changes in nature of the sample.
The experiment is carried out once a week.

RESULTS AND DISCUSSION
Preliminary Study
In preliminary study, the raw textile wastewater
was tested to determine the pollutant concentrationin textile wastewater. Table 2 shows the pollutant
concentration in raw textile wastewater samples. The
results were compared with the Malaysia
Environmental Quality (Sewage and Industrial
Effluents) Regulations. The highlighted columns in
the Table 2 shows that Fe and Zn concentration
presented unsatisfactory values which is not in linewith the standard. Therefore, in this study Iron (Fe)and Zinc (Zn) were choosing to analyze.

Sample Handling
The fresh wastewater samples were collectedfrom the effluent discharging drains originated fromthe textile wastewater treatment plan of the factory.
Water samples were collected directly from theoutlet by using 3liter bucket. Samples were placed ina high density polyethylene (HDPE) bottle. Before
collecting the wastewater sample, the containers
were washed thoroughly using distilled water. The
samples were then placed in an ice-storage box
containing ice packs to preserve and maintain theircomposition from degradation by microbes. All
samples were collected between 9am to 12 pm.,
which is during the peak flow for dyeing process.
After sample taken, keep samples cool with ice or if
immediate analysis is not possible, refrigerated
system with temperature 4oC to prevent
decomposition. Preservation of sample were done
accordance with the standard methods for theexamination of water and wastewater, the dilution of
nitric acid was used to maintain the textile
wastewater in longer period [5].

Table 2: heavy metal concentration in textile
wastewater samples.
Date

21/06/15
28/06/15
05/07/15
12/07/15
Standard B

Zinc
(Zn)
(mg/L)
1.450
1.166
0.946
1.020
1.0

Iron
(Fe)
(mg/L)
5.460
5.030
4.980
5.170
5.0

Experimental Design

Textile Wastewater Characteristics

In the batch study, batch experiment is conductedto study the adsorption capability of activated carbon
at different dosage, contact time and pH. Initial data
percentage of heavy metal needed before conducting
batch study. In the batch experiment, the reactor will
be prepared by using 250ml conical flask which
comprises of 100ml textile wastewater. The control
experiments were set without adsorbent. The mosteffective size of the produced activated carbon by
powdered activated carbon (PAC) where the size ofparticles is 63μm. The sample will be analyzed formetal ions removal and the experiment will be
repeated using different dosage, contact time and pH
to investigate the capability of media for heavy
metal removal. Table 1 shows working range offerum and zinc.

Raw textile wastewater was characterized withthe parameters such as pH, COD, BOD, TSS, Nitrate,
Ammonia Nitrogen and two heavy metal namely Fe
and Zn. Table 3 shows the characteristic of textile
wastewater that analysed at Environmental
Laboratory with following properties.
Table 3: Characteristics of textile wastewater before
and after treatment process under optimum condition.
Parameters
BeforepH
5.6
Biochemical Oxygen
97.8
Demand (mg/L)
Chemical Oxygen
146.65
Demand (mg/L)
Total Suspended Solids
64.25(mg/L)
Ammonia Nitrogen
1.38(mg/L)
Nitrate (mg/L)
1.45
Iron (Fe) (mg/L)
5.42
Zinc (Zn) (mg/L)
1.16
All parameters unit in mg/L except pH

Table 1: Working range of ferum and zinc.
Heavy
metal
Ferum

Contact time

adsorbent
dosage (g)0.6,2.0,4.0,
6.0

30min,
75min,1hr,2hr,
3hr,24hr
Zinc
30min,
0.6,2.0,4.0,
75min,1hr,2hr,
6.0
3hr,24hr*underline indicates optimum conditionpH
2,3,4,5,
6,7
2,3,4,5,
6,7

988

After
6
28.71
45.20
22.14
0.82
0.67
0.62
0.12

SEE-Osaka, Japan, Nov. 21-23, 2016

Batch Experiments

about 70% and 60% at the dosage of 4.0g. When theadsorbent dose increases, the number of active
surface for adsorption will increase and thisultimately results in increase of the percentage ofmetal ions removal from the solution. The increasingin trend of removal of metal ions is due to theavailability of greater active surface for adsorption.
It was observed by raising the dose, the removal did
not increase due to saturated adsorption site. Thismay be due to overlapping of adsorption sites as aresult of overcrowding of adsorbent particles [8].
Hence 4.0g was chosen as the optimum adsorbent
dosage for removal of Fe and Zn metal ions and forfurther investigation of work.

There are three (3) selected parameters todetermine the effectiveness of the activated carbon
by sugarcane bagasse. The parameters involved are
effect on contact time, adsorbent dosage and pH. All
experiments were carried out in Wastewater
Laboratory for 4 months. Samples are taken from thebatch experiment.
Effect of Contact Time on Removal Efficiency
In this experiment, the effect of contact time wasstudied over at agitation time of 30min, 75min, 2hr,
3hr and 24hr. 0.6g of Ac was shaken at 125rpm with
100ml of textile wastewater. Figure 1 shows theremoval of Fe and Zn increased with increasing time,
removal was significantly increased in the initialstages of the experiments and then becomes stabletowards the end of the experiments. The maximum
percentage metal ions removal approachedequilibrium within 2hr with 78% and 85% for both
Fe and Zn. This can be explained by the fact that
initially, the rate of ion uptake was higher because
all sites on the adsorbent were vacant and ion
concentration was high, but decrease of adsorption
sites reduced the uptake rate [6].

Figure 2: Effect of adsorbent dosage to the removal
efficiency of Fe and Zn.
Effect on pH

The effect of pH was studied from a range 2
to 7 under the specific condition which contact
time 2hr, 125 rpm shaking time speed, with
4.0g adsorbents used and at room temperature.
Figure 3 shows the percentage removal
efficiency increased steadily with increasing pH.
The most adequate adsorption pH for Fe and Zn
were 6 and 5, respectively. Many adsorption
studies report pH 5.0 - 6.0 as the optimum pH
for Fe and Zn adsorption by various adsorbents[9-10]. The increases in metal ions removalwith increased pH can be explained by the factthat at low pH, metal ions had to compete with
H+ ions for adsorption sites on the adsorbent
surface, thus reducing attraction between
surface and metal ions. So, the adsorbent
become saturated and was inaccessible to metal
cations [11].
Moreover, as the pH increased, thiscompetition weakens and more metal ions wereto replace H+ ions bound to adsorbent surface,

Figure 1: Effect of contact time to the removal
efficiency of Fe and Zn.
Effect on adsorbent dosage
Adsorbent dosage was varied from 0.6 to 6.0g,
contact time of 2hr, 125rpm shaking speed and atroom temperature. The percentage removal
efficiency of the of Fe and Zn usually improved onincreasing adsorbent doses. This may occur due tothe fact that the higher dose of adsorbents in thesolution provides the greater availability of
exchangeable sites for the ions [7]. The result asshown in figure 2 that the metal ions removal
increased with the increased of adsorbent dosage.
The maximum percentage removal of Fe and Zn was989

SEE-Osaka, Japan, Nov. 21-23, 2016

sites, where adsorption take place. Figure 4 (a) and 4(b) show comparison of the morphology of Ac
before and after metal ions adsorption. The Ac
revealed that the surface was highly porous in natureand this will increase the surface area for metal
adsorption. The SBAC are characterized by having
two regions, one being darker and the other being
white. The white region is rich in inorganic material
containing high proportion of calcium andphosphorus whereas the dark region is rich inprotein because it has high proportion of carbon andoxygen [8]. Figure 4 (b) represents the micrographof ferum and zinc loaded SBAC.

which results in a greater attraction between
metal ions and adsorbent. According to Meena
et al. (2003), precipitation of metal ion was
occurred at pH values higher than 6.0. Thus,
from the results it is clear that the pH of themetal especially pH 5 was taken as the
optimum pH for the experiment.

Figure 3: Effect of pH value to the removal
efficiency of Fe and Zn.
Batch Reactor Performance(a)

At the last stage of the laboratory experiment, thetextile wastewater sample was repeatedly testing byusing the optimum condition resulted from the batch
experiment. According to table 4, the influent datashows that the average concentration of Fe and Zn
were 5.455mg/l and 1.283mg/l, respectively. The
high presence of heavy metals in the environment isa major concern because of their toxicity, threat tohuman life and the environment [13]. However, thelevel is still out of range of acceptable condition for
discharge of industrial effluents of Standard B. Afterthe treatment, the concentration of Fe and Zn
achieved the compliance with the standard which is
the Fe concentration which less than 5.0mg/l, and Znconcentration less than 1.0mg/l.

(b)
Figure 4: SEM of SBAC (a) before treatment and (b)after treatment.

Table 4: Percentage removal of heavy metals from
optimum condition
Parameters Textile wastewater sample Standard(mg/l)
B
Before After Percentage
Removal
(%)
Fe
5.455
0.613
89
5.0mg/l
Zn
1.283
0.118
91
1.0mg/lColor Reduction on Using Activated Carbon
Color is commonly considered as a qualitative
characteristic that can be used to assess the generalcondition of wastewater. Colour change can beobserved in textile wastewater after adsorption
process by SBAC. Figure 5 shows the colour
removal before and after treatment with the optimum
condition in the batch experiment.
Changes in colour of sample can be seen turn toclear during the optimum condition which is atcontact time 2 hour, adsorbent dosage 4g and ph 5.
This can be explained due to the characteristics ofactivated carbon which is very effective adsorbents.
According to O’Neill et al. 2010, who indicates that
effective adsorbents can adsorb all pollutant such asCharacterization Studies
Scanning Electron Microscope was used toobserve the pore structure of the activated carbon.
Pores present in activated carbon act as the active
990

SEE-Osaka, Japan, Nov. 21-23, 2016

heavy metal, pollutants from liquid and gas streams
efficiently. Basically, SBAC it is the mostcommonly used and most successful adsorbent
because of its extended surface area, micro porous
structure, high adsorption capacity and high degreeof reactivity

be collected from different sources and places whichhigh of metal ion concentration. This study must becontinuing with adsorption isotherm mechanism
where is to describe the distribution of metal ions
between the solid phase (adsorbent) and liquid phase(solution) when equilibrium was reached. The
Freundlich and Langmuir isotherm models should be
used to describe the interaction between metal ionsin solution and adsorbents.
ACKNOWLEDGEMENTS
We greatly acknowledge UTHM Laboratories forproviding facilities, support and assistancethroughout the project.
REFERENCES[1]

Figure 5: The color removal with the optimum
condition in the batch experiment.
CONCLUSIONS[2]

In general, the main objectives of the study areachieved. Based on this study, the parameter tested
which are Fe and Zn show better quality after
treatment. The key factors found to control theadsorption efficiency of the SBAC were adsorbent
dose, contact time and pH. From the batch
experimental studies that SBAC is the most efficientadsorbent for the removal of metal ions. It wasproven that the SBAC had performed 60% up 85%
removal in reducing heavy metals concentrations.
This is due to the applicable of SBAC higher surface
area provide the active surface for adsorption of
metal ions.
Besides that, this study also demonstrated that
SBAC could be alternative treatment for the textile
wastewater in term of low cost effective and readily
available compared to other material. The
experiment results showed that maximum removalof Fe and Zn is 89% and 91% respectively at
optimum condition. These experimental studies on
adsorbents would be quite useful in developing anappropriate technology for the removal of heavy
metal ions from contaminated textile effluents.
Hence, it is necessary to remove these metals fromtextile effluents before discharging waste water into
the environment.

[3]

[4]

[5]

[6]

[7]

[8]

RECOMMENDATIONSThere are few recommendations was suggested
to improve the future study due to the heavy metals
removal by using SBAC. Firstly, the apparatus usedin the experiment must be ensured in good condition
because the errors could be avoided during theexperiment. Besides that, wastewater sample must

[9]

991

Cho, H., Oh, D. & Kim, K. (2005). A study
on removal characteristics of heavy metals
from aqueous solution by fly ash. J Hazard
Mater,127(1-3),187–95.
Arvanitoyannis, Barclay S., Buckley C.,(1989). Waste Minimization Guide for the
Textile Industry: A Step Towards Cleaner
Production. The Pollution Research Group.
University of Natal, Durban, South Africa.
Malik, P.K., (2003). Use of activatedcarbons prepared from sawdust and ricehusk for adsorption of acid dyes: a casestudy of acid yellow 36, Dyes Pigments 56
pp. 239–249.
Hao, O.J., Kim, H. & Chang, P.C., (2000).
Decolorization of wastewater. Critical
Reviews in Environmental Science andTechnology, Vol.30, pp. 449-505.
APHA, 2008. Standard method for theexamination of water and wastewater, 21sted. American Public Health Association,
Washington, D.C.
Annadurai, G., Juang, R.S. and Lee, D.J.
Adsorption of heavy metals from waterusing banana and orange peels. Water
Science and Technology Vol 47 No 1 pp
185–190. IWA Publishing 2002.
Kannan, N., and Rengasamy, G. (2005).
Comparison of metal ion adsorption onvarious activated carbons. Water Air Soil
Pollut. 163 (2005) 185–201.
Abbas, S.T., Mustafa, M., Al-Faize andRah, A.Z. (2013). Adsorption of Pb2+ and
Zn2+ ion from oil wells onto activatedcarbon produced from rice husk in batch
adsorption process. Journal Chemical
Pham. Res.,5(4),240-250.
Rafatullah, M., Sulaiman, O., Hashim, R.
and Ahmad, A. (2010). Adsorption ofIron(II) onto Different Adsorbents. Journal

SEE-Osaka, Japan, Nov. 21-23, 2016

[10]

[11]

of Dispersion Science and Technology, 31,
918-930.
Chen, G., Fan, J., Liu, R., Zeng, G., Chen,
A. and Zou, Z. (2012) Removal of Cd(II),Cu(II) and Zn(II) from Aqueous Solutions
by Live Phanerochaete Chrysosporium.
Environmental Technology, 33, 2653-2659.
Horsfall, M. Jnr. And Spiff, A. I. (2004).
Studies on the effect of pH onthe sorptionof metal ions from aqueous solutions bycaladiumbicolor
biomass[online].
Electronic J. Biotechnol. vol 7, no 31. 16
December 2015.

[12]

[13]

992

Meena, A. K., Mishra, G. K., Kumar,S., Rajagopal, C.
andNagar, P.
N. (2003). Adsorption of Ni(II) and Zn (II)from aqueous solution by chemicallytreatedactivatedcarbon.
National Conference on Carbon. Kanpur,
pp 31140.
Ademorati, C.M.A. (1996). Environmental
Chemistry and Toxicology.Pollution by
Heavy metals. Foludex press Ibadan. pp.
171-172.

Second International
on Science, Engineering & Environment,
Japan, Nov.Conference
21-23, 2016
SEE-Osaka,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

REAL TIME REMOTE FISH POND MONITORING SYSTEM
Arnel M. Avelino, Leah Q. Santos ECE, April A. Clifford, John Nelson M. Decena, Joven B. Escares andAlfred Ray A. Sabale
Department of Engineering and Architecture, Lyceum of the Philippine University – Cavite, Philippines

ABSTRACTThis research is a real time remote monitoring system that notifies the person in charge of monitoring
the water parameters in a fish pond via the designed webpage. The system measures the amount of dissolved
oxygen and pH parameters of the monitored pond. The sensor reads the water quality parameters while themicrocontroller converts the analog signal from the pH meter into digital signal, ready for transmission. The
single board computer transmits the data to the database through Wifi communication standard and through adesigned webpage; pond owners can observe, investigate and analyze the parameters being monitored. The
website conveys the analyzed data in the form of a graphical representation and alerts the owner of theenvironmental conditions. Further application of this study includes monitoring of fishponds and fish pensremotely. Also, experimental evaluation of the battery performance, accuracy and data aggregation was presented.
Results show that the system has great prospect and can be used to operate in real world environment for
optimum monitoring of aquaculture environment.
Keywords: Aquaculture, Dissolved oxygen, pH, Fish pond, Monitoring system, Database, Webpage,
Microcontroller, Single Board Computer (SBC)In Talisay, Batangas, there is an incident where
hundreds of thousands of milk fish washed up dead at
INTRODUCTION
Taal Lake, alarming environmentalists and raisingconcerns over climate change issues. According to a
Aquaculture is the farming and husbandry of
local town agriculturist, the cause of the fish kill was aaquatic animals and plants to earn profit. It
sudden climate change in the area. It is said that theincreases the production of fish and other usefulcommon perception of fish death is linked to depletion
food stuffs far above the level that can be producedof oxygen in water (Sinha, 2011). Almost 752.6 metricnaturally (Briones, 2012). It involves many species
tons of fish died in Batangas after the oxygen level inand farming practices in diverse ecosystems andwater in Taal Lake lowered due to sudden change ofmost of the production comes from the farming oftemperature after the rainy season. It is estimated that
seaweed, milkfish, tilapia, shrimp, carp, oyster and
57,226,000Php worth of fish died (Raijin, 2011).
mussel. It significantly contributes to the country’s
Milk fish aquaculture is one of the major revenue
food security, employment and foreign exchangesources of Philippine economy. Therefore, thisearnings. The global position of the Philippines inincident is a great loss to the country. With this, theaquaculture production has fallen steadily from 4th
group has come up with a solution. As the use ofplace in 1985 to 12th place in 2015 (Gentiloni,
technology nowadays has been rapidly rising, the2006). As of now, the country contributes only aresearchers have decided to use this in order to prevent
little over one percent of the global farmed fish
fish kill for better aquaculture profitability. In thisproduction compared to five percent in the previous
study, the researchers are planning to prevent the said
years.
phenomenon with the use of a prototype which will
A Philippine-Norway scientific study on
monitor the oxygen and pH level in the fishpondPhilippine aquaculture industry initially showed that
because according to studies, it sums up that the mostsome of the country's biggest aquaculture areas run
critical parameters which affect this phenomenon are
the risk of being affected by recurrent fish kills if
dissolved oxygen content of the water and its pH level
present culture practices are not improved. The(acidity or alkalinity).
study was launched early in year 2005, targeting
three pilot aquaculture areas in Dagupan City andObjective of the Study
Bolinao, Pangasinan and Taal Lake in Batangas(Panorama Acuicola Magazine, 2005). According toThis research aims to notify the person in charge
this study, the incidence of fish kill will continue toof the monitoring system in the event where thebe experienced not only because the rivers are very
parameters being monitored fall outside the acceptableshallow but also because they are crowded with arange set for each sensor.
big number of fish cages, pens and traps which
Specifically, the study aimed:results to overcrowding of fishes that leads todepletion of oxygen.

993

SEE-Osaka, Japan, Nov. 21-23, 2016

1) To design a monitoring system that reads
the parameters such as dissolved oxygen and pH
level that affects the aquatic life in the water to betested;2) To transfer the data gathered to a cloudstorage using Single board computer and broadband
modem;
3) To develop a webpage that will display thedata from cloud storage and display themeasurements from the monitoring system; and4) To test and check the system in terms ofaccuracy and reliability.
Significance of the Study
This study is intended to provide a backgroundto the phenomenon of fish kill and a system thatmonitor the factors that cause the said occurrence.
Monitoring the vital parameters needed by theaquatic resources and to identify critical levels to bewell prepared to this phenomenon is very important.
It will be a great help in the aquaculture industry
especially here in the Philippines. With the use of
the fishpond monitoring system, fish kill can bemonitored and the profit will be maximized.
Scope and Delimitation of the StudyIn this study, the researchers focused more on
the amount of dissolved oxygen and pH levelneeded by the fishes. This is because other factors
affecting fish kill, such as temperature and salinity,
are related with the depletion of oxygen in thebodies of water.
The system monitors only the amount of the
DO and pH level in the water and notifies the user
through the webpage whenever the amount of theseparameters becomes critical. The webpage that wasdeveloped by the researchers is limited to only one
monitoring system. It only displays the reading of
the two sensors used in the system and notifies theuser whenever it is in the critical level or when thelevel of the parameters stabilizes. This system only
requires one sensor for each parameter (pH leveland dissolved oxygen) and is designed to be used
only in fresh water.
LITERATURE REVIEWFish kill is a sudden and unexpected massmortality of wild or cultured fish. It can generateconsiderable public and media interest as they areoften perceived to be the result of water pollution.
There are parameters necessary for the health andgrowth of aquatic life forms which help them tofully absorb the nutrients they need in order to live.
The most important parameters to be monitored andcontrolled in an aquaculture system are related towater quality, since they directly affect animal

health, feed utilization, growth rates and carrying
capacities. The primary water quality parameters
include temperature, dissolved oxygen (DO), pH,ammonia, nitrites, nitrates, suspended solids, salinity,
alkalinity, biochemical oxygen demand (BOD), andwater flow rate (Fowler et al., 1994). It is said in theirstudy that other parameters change slowly and tend tostay in range if proper flow rate is maintained.
However, the most common parameters are dissolved
oxygen and pH level.
Haron et al. (2009) stated that in most of theaquaculture industries, manual water quality
monitoring is employed in order to assess the water
quality of the pond. The monitoring activity includes
inspection at the pond or conducting colorimetric test
to ascertain the current water quality. This test requiresa sample of the water to be taken from the pond andanalysis will be conducted on the sample taken. The
test is usually to measure ammonia level, pH level anddissolved oxygen (DO) level in water. The trained
personnel have to take a few samples of the water andperform the required test. Each test usually takes
between five and ten minutes to accomplish. Test willneed to be repeated if samples used are spoiled or nolonger usable. Thus, the process is time and costconsuming. In addition, aquaculture farms arenormally spacious and humid making daily monitoringand inspecting of the ponds both expensive and time
consuming.
Zhang discussed in their study that there are issues
in manual monitoring of water quality in fishponds. He
believed that the traditional artificial method of
detection process which includes sampling, sample
transportation and preservation is a waste of time,inefficient and difficult to objectively reflect variation
rules and facts. It has been unable to meet current
water quality monitoring needs (Zhang, Li, & Wang,2011).
Additionally, transportation of samples may
disturb
theirchemicalproperties(Klamath
Hydroelectric Project, 2002). As data utility is affected
in grab sampling by extended holding times before
analysis, monitoring programs have shifted towards
continuous measurements using in-site sensors (Lemos
et al, 2007). Initially data loggers were used for in-sitemonitoring; however, they were limited by notproviding data in real time as sites had to be visited toretrieve data. The expense of data loggers, infieldreliability, calibration requirements and the need to
extract data from them individually, prevent themfrom being used for a dense and long term deployment
of sensors. Therefore, gathering of data back then were
not real time and very inefficient (Zia et al, 2013).
Synthesis
Dissolved oxygen and pH level are the necessary
to obtain the optimum condition for reproduction andgrowth of the aquatic life forms. Hence, it is very994

SEE-Osaka, Japan, Nov. 21-23, 2016

important to monitor these parameters to know if
the body of water is still healthy for the aquatic life
forms in it. With the use of technology, monitoringthese parameters will be easier for the monitoringteam in an aquaculture industry.
Through this set of reviews, the group decided
to create a monitoring system that detects the pH
level and dissolved oxygen of water. The fish ponds
need certain monitoring for it is one of the mostimportant merchandise in the country. The
measurement of the attribute chemicals of the watermust be monitored not on a seasonal basis but must
be done frequently. Given that the environmental
and operational changes in natural trends, such as
dissolve oxygen and pH change over time, it isnecessary to understand how these parameters canaffect aquaculture business.
METHODOLOGY
Research Design
The researchers used the experimental method
where they designed, constructed and tested theprototype in terms of accuracy and reliability. The
device was designed to monitor the DO level andpH level of the water and was tested at a fishpondlocated at BFAR – Batangas office for validation
purposes. The sensors that were used in thisresearch measured the parameters of water at a
specific time and transmitted the data wirelessly to a
webpage.
Sources of Data
The idea came from the researcher’s wonder
how would the system they are going to develop
help solve problem of the country. The issue of fish
kill got the attention of the researchers and from
that, they have come up with a possible solution toprevent the phenomenon.
The researchers gathered data from different
online sites from the internet, portable document
format (PDF) files of published works related to the
topic, news from online sites of different stations,patented works of other researchers that have been
published online, and blogs and researches that
focus about the main issue that the team wanted toresolve. Also, consultation has been a great help indata gathering to aid gain thoughts for theaccomplishment of the scheme.

technology. This helped
conceptualize their work.

theproponents

to2) Reading News Articles
This gives them idea about fish kills, which
greatly affects the Philippine economy for aquaculturebusiness is considered to be one of the major revenuesof the country. News articles presents the data
regarding fish kills: where it happened, the estimatedamount of money lost and possible causes of theincident.
3) Reading Blogs of Writers Related to the Issue
Some writers present their knowledge in their
blog sites in the internet which is based on theirinterviews and, findings and explanations of theexperts. It gives readers more information about theincidents that happened. This helps the researchers tofurther understand what really caused the incident,
interconnect ideas and conclude from their own
perspectives.
4) Review of Patented Works
Reviewing other published and patented works isa method used to compare and find new possibilities in
improving existing technology. Through this, an idea
was given to the researchers on how to improve themonitoring technology that is, using of cloudtechnology.
5) Reading Published Articles and Researches on
the Internet
Internet is one of the major sources of informationand knowledge as to date. Reading these articles gives
the researchers deeper knowledge about the study. It
gives them deeper understanding on why do fish kill
happen and, the factors that are important and affectthe aquatic life. This provides the researchersawareness about the important parameters that should
be monitored to avoid fish kill.
Components Used
1) Single Board Computer

Data Gathering Procedures
Figure 1. Raspberry Pi 2 Model B
1) Consultation
This is a method that was used to help theresearchers answer their questions about the issue:
significance of the study, factors to consider andinnovation that can be done with the existing

The main feature of Raspberry Pi 2 Model B is
that, it has a module power of 5V, 900MHz quad-core
ARM Cortex-A7 CPU and 1GB RAM. This is used to995

SEE-Osaka, Japan, Nov. 21-23, 2016transfer data from the microcontroller to the
database for future use.
2) Microcontroller

The step down buck module has been used toregulate the 12VDC from the battery source to 5VDC
to be used as the supply of the whole system. It has amaximum output current of 3A, 96% maximum
conversion efficiency, ±0.5% load regulation and a
voltage regulation of ± 2.5%.
Project Testing

Figure 2. Gizduino v4.1
The main feature of Gizduino v4.1 is its
module power of 5V and it uses ATmega168/168P
microcontroller chip to which analog to digitalconversion is possible. This is used to read thequantities from the meters and converts thesequantities to parameter measurements. This also
converts the analog signal from the pH meter into
digital signal.

1) Accuracy Test
The system that was used in the research wastested in terms of accuracy. The pH sensor used wascalibrated and tested through solutions with known pH
level to ensure accuracy in readings. The dissolve
oxygen sensor did not have accuracy test due to theunavailability of solutions with constant dissolve
oxygen level. Statistical methods were used in order toknow the accuracy of the system.

3) pH Meter Kit

Figure 3. pH Meter Kit
The main features of the meter used are themodule power of 5V, measuring range from 0 to 14
pH, temperature rating of 0-60ºC, ±0.1pH at 25ᵒC
accuracy, and a response time of less than 1 minute4) Dissolved Oxygen (DO) Sensor

2) Reliability Test
The said system was tested in terms of
reliability as well. With the use of programs thatwere designed, the reading of the sensors was
displayed in the prototype itself and the webpage.
Here, reliability was tested by comparing thereadings from the prototype developed by the
researchers to the readings from the instrumentsthat the Bureau of Fisheries and Aquatic
Resources (BFAR) used in their sampling andmeasurements during water quality checking
RESULTS AND DISCUSSION
Results of Testing

Figure 4. Dissolved Oxygen Meter Kit
This features a module power of 3.3V to 5V,
measurement range from 0 to 20 mg/L (PPM),
maximum temperature rating of 50º, maximum
pressure rating of 690kPa, maximum depth rating of
60m, and a response time of 0.06 mg/L per second.
5) DC-to-DC Converter

1) Accuracy Testing
The results shown in table 1 are the data
gathered during the testing. Five (5) samples wereused to test the accuracy of the prototype that wasdeveloped. The group used pH 7.0 and pH 4.0
buffer solutions as two (2) of the samples for thereason that the two were used as the calibration
points of the sensor, as recommended on the data
sheet of the product. Vinegar and ammonia wereused as the extremities of test for acidic andalkaline solution respectively due to the fact thatthe mentioned two are the most common
household solutions that are available to be used.
Lastly, the water with fish feed was used as thefifth solution to simulate the actual effect of fish
feeds to the pH level of the water when notconsumed by the fishes.

Figure 5. KIS3R33S5V USB DC 7V-24V to 5V 3A
Step Down Buck Module996

SEE-Osaka, Japan, Nov. 21-23, 2016

TABLE 1. Results for Accuracy Test of pH Sensor

Analysis and Interpretation of Data

Water
BufferTrialVinegar(pH
2.50)

BufferSolutio
n
(pH
7.00)

w/ FishSolution(pH 4.00)

Feeds
(pH
5.00)

Ammonia(pH 9.60)

1
2

2.58
2.60

4.03
4.01

5.19
5.21

6.99
6.97

9.53
9.53

3
4

2.61
2.60

4.05
4.05

5.23
5.24

7.00
7.00

9.52
9.55

5

2.61

4.06

5.21

7.00

9.57

Statistical methods were used in order to computefor the accuracy of the system. The equation shown
below was used in order to compute for the mean ofthe data results from the conducted accuracy test forthe system. As computed, the mean of the data
gathered from the testing for pH sensor are thefollowing:

TABLE 4. Computed Mean of the Data
Gathered from the Testing for pH Sensor

2.) Reliability Testing

SOLUTION
Vinegar (pH 2.50)
Buffer Solution (pH 4.00)
Water w/ Fish Feeds (pH
5.00)
Buffer Solution (pH 7.00)
Ammonia (pH 9.60)

The researchers had their prototype tested
and compared with the instrument that the Bureauof Fisheries and Aquatic Resources use during theirsampling and water quality check. The tests weregathered at an interval of one (1) hour each test. The
comparative test results are as follows:
TABLE 2. Results for Reliability Test of DO and
pH Sensors

TRIA
L

1
2
3
4
5

DISSOLVEDOXYGEN(mg/L)
BFAR
LPU-

BFAR

SONDE
V6600)
8.50
8.76
9.66
10.88
11.56

CAVITE(Pro DSS)LPUCAVIT
E

8.35
8.70
9.75
10.69
11.58

8.90
8.82
8.91
8.90
8.93

8.85
8.90
8.94
8.97
9.00

TABLE 5. Computed Accuracy for the pH
Sensor
SOLUTION

The battery used in the system as the source wasalso tested to know the expected battery life. The
total current that was consumed by the system wasmeasured in order to compute the expected battery
life. As seen in Table 1 and 2, there are five trials in
getting the total current.
TABLE 3. Measured Total Current Consumed by the
System
TRIAL

214.1

2

206.2

3

239.2

4

215.0

5

216.3

ACCURACY

Vinegar (pH 2.50)
Buffer Solution (pH 4.00)

96%
99%

Water w/ Fish Feeds (pH
5.00)
Buffer Solution (pH 7.00)

95.68%
99.886%Ammonia (pH 9.60)

99.375%

In computing for the reliability of thedeveloped system, statistical method was also used.
To get the percentage error of the system, theformulae below were used. The computed
percentage error per trial is shown in table 6.

I (mA)

1

5.216
6.992
9.54

In computing for the accuracy of the system it
is important to get the mean of the data gathered
during testing. Using the formula below thecomputed accuracy for the pH sensor for eachsamples are the following:

POTENTIAL
HYDROGEN

(YSI

MEAN
2.60
4.04

997

SEE-Osaka, Japan, Nov. 21-23, 2016

TABLE 6. Computed Percentage Error
PERCENTAGE ERROR(%)
DISSOLVED
POTENTIALTRIAL
OXYGENHYDROGEN1
1.76470.561820.68490.90703
0.9317
0.33674
1.74630.786550.17300.7839CONCLUSION
The designed monitoring system was
successful. It was able to read the dissolved oxygen
contained in the test pond and was able to measure
its pH level. Also, was able to store the data of themeasured parameters to the cloud data storage forfurther analysis. The monitoring was easier with thehelp of the developed webpage, since this page has
the ability to display the measured parameters interms of numerical and graphical representation. In
addition to this, based on the test results, it can beconcluded that the system is accurate and reliable. It
showed that the system developed can be a great
help in monitoring fish pond, given its accuracy andreliability in association with the instruments thatare being used by BFAR for their tests. The system
limitation lies on the stability of the internet
connection of both the prototype and user that isobserving the fish pond. In conclusion to this, thesystem could maximize the profit of the aquaculturebusiness owners by reducing the risk of having fishkills.
RECOMMENDATIONS
For the future researchers, the following arerecommended to further improve the project.
The system can be modified by using parasitic
supplies like solar panels to reduce the dependencyof the whole system to a single supply to extend theduration expectancy of the battery that is being used.
They can also develop a mobile application thatwill add to the total feature of the system. With amobile application that supports IOS and Android
users, the future of monitoring can be handy andthoroughly accessible.
Also, the implementation of user / admin
account for the system Enhancement of the system
will accommodate many users and will access
multiple monitoring systems with the use of a single
webpage.
Lastly, early warning notification that broadcasts
message through GSM to the personnel in charge inthe monitoring system and the nearest concerned
local government branch in case there is a sudden

decrease in the level of the parameters being
monitored can also be done.
REFERENCES
Briones, M. R. (2012). Sustainability of
aquaculture. Retrieved February 23, 2016, fromhttps://www.bar.gov.ph/index.php/digesthome/digest-archives/97-2002-2nd-quarter/3310apr-mar02-sustainability-of-aquaculture[2] Fowler, P., Baird, D., Bucklin, R., Yerlan, S.,
Watson, C., & Chapman, F. (1994).
Microcontrollers in recirculating aquaculture
systems 1. Aquaculture, (April), 1–7.
[3] Haron, N., Mahamad, M., Aziz, I., & Mehat, M.
(2009). Remote water quality monitoring systemusing wireless sensors. … , Hardware, Wirelessand…,
148–154.
Retrievedfrom
http://www.wseas.us/elibrary/conferences/2009/cambridge/EHAC/EHAC
24.pd
[4]
Klamath Hydroelectric Project.
(2002).
PacifiCorp Klamath Hydroelectric Project FERC
No. 2082, (2082), 1–13.
[5] Lemos, S. G., Nogueira, A. R. A., Torre-Neto,
A., Parra, A., & Alonso, J. (2007). Soil calcium
and pH monitoring sensor system. Journal of
Aquacultural and Food Chemistry, 55, 4658–4663.
[6] Panorama Acuicola Magazine. (2005). Study
sees fishkill risk in Philippine Aquaculture Area Panorama Acuícola Magazine. Retrieved February
23,
2016,from=http://www.panoramaacuicola.com/not
icias/2005/10/21/study_sees_fishkill_risk_in_philippine_aquaculture_area.html[7] Raijin. (2011). Fishkill in Batangas: A result of
sudden change in temperature. Retrieved February
25,
2016,
from
http://philnews.ph/2011/05/30/fishkill-inbatangas-a-result-of-sudden-change-intemperature/[8] Sinha, S. (2011). A “sudden” climate change
kills millions of fish in Philippines. Retrieved June15, 2015, from http://www.ibtimes.com/suddenclimate-change-kills-millions-fish-philippinesphotos-706854[9] Zhang, M., Li, D., & Wang, L. (2011). Designand development of water quality monitoring
system based on wireless sensor network inaquaculture, IFIP Advances in Information andCommunication Technology, 347, 629–641.
[10] Zia, H., Harris, N. R., Merrett, G. V, Rivers, M.,& Coles, N. (2013). The impact of agriculturalactivities on water quality : A case forcollaborative catchment-scale management using
integrated wireless sensor networks, 96, 126–138.

998

[1]

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

THE OPTIMIZATION OF RESERVOIR MANAGEMENT TO
IMPROVE THE QUANTITY OF DRINKING WATER RESOURCES BY
USING CONCEPTUAL MODEL (CASE STUDY: CITARUM CASCADE
RESERVOIR, WEST JAVA, INDONESIA)
1

Lieza Corsita1, Arwin Sabar2 and Dyah Marganingrum3
Faculty of civil engineering and planning, University of Science and Technology of Jayapura, Indonesia;
2
Faculty of civil engineering and environmental, Institute of Technology of Bandung, Indonesia
3Research Center for Geotechnology-Indonesian Institute of Sciences, Indonesia

ABSTRACTThe Saguling reservoir, Cirata reservoir and Jatiluhur reservoir has formed a unified system called the Citarum
Cascade. It was used to empower a Hydroelectric Power Plant. Jatiluhur reservoir is also be tapped as a source ofdrinking water, protecting the flooding, and irrigation. However, it is starting to lose some of its functions anddeteriorating of environmental support system. The study aims to evaluate the characteristics of Citarum Cascade
reservoirs condition, and also intended to develop an operational model for reservoir. This study used theDeterministic and Optimal Method. Analysis of hydrological data used the arithmetic method forecasts. The
annual volume of reservoirs used Markov transition method and to predict the future discharge used discrete
stochastic Markov and Continuous method. The calculation results on allocation of drinking water availability in
the Citarum Cascade Reservoir is 59,02 m3/sec. That is used as a drinking water supply for Jakarta City andsurrounding area. The continuous inflow discharge forecasting method gave better calibration results than theMarkov Discrete Method to calculate the inflow discharge of Citarum Cascade Reservoir. The biggest optimalreservoir management correlation value is 0,9 both for Saguling, Cirata, and Jatiluhur. It indicates that thecontinuous inflow discharge forecasting method suitable to develop Conceptual model for Citarum Cascade
Reservoir.
Keywords: Optimization, Citarum Cascade Dam, Discrete Stochastic Method, Drinking Water Infrastructure

higher water demand for agricultural purposes,
urban and industrial zones, along Kali Malang river.
Besides a role in supplying drinking water areas ofJakarta, Citarum Cascade Reservoir, Jatiluhur
reservoir also has primary function as HydroelectricPower Plant. It is the central part of this system,
also plays a role in flood control and irrigation as
well. This study is needed because Jatiluhur
reservoir began to decline and environmental
capacity of its function [1]. Purpose of dam
building will influence strategy of the operation
determining. For example, a reservoir can be used
to produce energy, irrigation, flood control andother purpose which using storage analytic variedand distribution arrangements of discharge to meetthe needs in the downstream [2]-[4]. The conditionof CCR operating has not reached the optimum
condition that expected to be a balance in water
storage and water discharge (release). Thiscondition due to other factors inflows unevenness
discharge each month and restrictions on physical

INTRODUCTION
Construction of dams in Indonesia has started
with the development at Watershed Citarum
downstream, namely Ir. H. Juanda or Jatiluhur in
1967. This reservoir has an area of 8,300-hectare of
maximum puddle, with a maximum depth of 107
meters. Later, in 1985 and 1986 built Saguling andCirata at the top Jatiluhur. They called the Citarum
Cascade Reservoir (CCR). The third primaryfunction of this reservoir is a power generation andflood control, but specifically, for Jatiluhur
reservoir serves as a source of raw water for
drinking water for Karawang area, Bekasi area, andJakarta city. The climate change impact on thewater
resources
infrastructure
and
their
management can be a new challenge for thehydrologists and water resource managers. The
Jatiluhur allocation capabilities and potential in the
raw water flow needs to be examined. This study
aims to review the hydrological aspects to give999

SEE-Osaka, Japan, Nov. 21-23, 2016

factors reservoirs, so many researches done so far
to find a strategy reservoir operation of the CCR[2],[5]. The central component of research activities
carrying out are as follows: 1) Assessment ofphysical environmental conditions and analysis
hydrological regime of Citarum Cascade Reservoir,
2) analysis and evaluation of raw water allocationthat needed for drinking water infrastructure
proportionally in CCR, 3) Analysis of deterministic
patterns to operate CCR, 4) Design of Conceptualmodels of optimal operational pattern CCR withdeterministic methods and optimized using
forecasts discharge in continuous model anddiscrete Markov.

FRAMEWORK AND METHODOLOGY
Data Collection
Historical data collected from different sources.
Analysis of rainfall data in the watershed Sagulingbased on data analysis of rain 11 observation
stations in the period 1986-2008 was almost evenly
distributed in all parts of the watershed [5]. Rainfall
data were used in the watershed Cirata andJatiluhur is the monthly rainfall data from 1994 to2011 year. Average rainfall value is determinedusing the method of arithmetic / algebra [9]. To
obtained the complete of discharge data, the data isthen made a statistical distribution, to analyze theprobability of discharge data. It is intended to get
the value of the maximum water discharge dry,normal and wet. This classification was used in theestablishment of the class of the transition matrix offirst order and the third order levels, and also to set
the value of the arid and average discharge thatused in the calculation of guidelines reservoir
volume. Analyzes were carried out using theoretical
distributions which are distributions Normal, LogNormal, Gamma, Log-Person III and Gumbel. To
decide the appropriate distribution then tested the
goodness-of-fit.

STUDY AREA
Analysis of rainfall data is needed because therain is an element of climate variability and as adeterminant and limiting factor in planning in othersectors, in particular, infrastructure development ofwater resources [5]-[7]. Rainfall is primary sourceof water resources at any specified location, but thequantity of rain that it used depends on intensity,
size, and rate of rain [4].[6],[8]. CCR is located in
the watershed of Citarum River part of west Java
Island, spread along the mainland West Java North
Coast, Cikeas River, eastern border of Jakarta, andCilalanang River in Indramayu. It owns building
major dams, hydroelectric power, irrigation
facilities and other supporting services [4]. Rainfall
data analysis of CCR based on analysis of rainfall
data observation posts scattered across from subwatershed of Saguling, Cirata and Jatiluhur. To
calculate the average rainfall of CCR watershed
required hydrological analysis. The location of
rainfall observation station in CCR is shown in Fig.
1, which distributed over seven stations in subwatershed Jatiluhur, seven stations in subwatershed Cirata and 18 stations in watershed of
Saguling. The location of discharge inflow andoutflow is showed by the notation Qin and Qout ineach reservoir.

Discharge Forecast
This study examines the forecasting models
release by using continuous model approach andMarkov stochastic model. Continuous discharge
forecasting models have constituted the principle ofstatistical analysis of correlation and regression(multiple regression). Multiple regression was
conduct by entering, which means all the variables
included in the analysis. Multiple regression
equations formulated as Eq. 1:
Y = a + b1X1 + b2X2 + ....... bnXn +E(1)

Where Y is the value of the independent variable; ais constant that is the value of Y when X = 0; bn isthe regression coefficient for -n; Xn is the value ofthe dependent variable to -n; and E is an error.
A correlation test was performed after theobtained regression equations to determine how
strong the relationship between independent
variables and the dependent variable (correlation
coefficient = R). The value of R range between -1
and 1. For a value of R = -1 the relationshipbetween independent variables and the dependent
variable is adamant (perfect) just as the reverse
direction. For R = one states that the relationshipthe independent variable and the dependent variable
is an inflexible but related direction.
Conceptual Model
The principle of operation of the reservoir is to
apply the theory of the mass balance to achieve
optimal conditions for reservoir management. The
method is also known as Hydraulic Budget states

Fig. 1 Location of Citarum Cascade Reservoirs inIndonesia

1000SEE-Osaka, Japan, Nov. 21-23, 2016that the stored water in the reservoirs from the
beginning of the month t+1 is equal to saving water
for the start of the month t. Then coupled with the
input of water from the river during the month t,
and minus the output of reservoirs and evaporation
during month t [5],[6],[11]. In this study theoperation of the management or operation of thereservoir reached by two ways: deterministic
pattern of reservoir operation and optimal reservoir
operation pattern [10],[11]. Referring to article
number 45, Government Regulation No. 37 of 2010
on Dams, plan discharge was made in three classes,
namely dry (0), normal (1) and wet (2). Third classdesign discharge is then used to determine the trackof the guidelines : dry, normal and wet. The goal of
optimization is to optimize the track of the reservoir
to conform or approach the guidelines so that nowater flow through the spillway. Scheme steps in
the management of reservoir operation performedin this study in Fig. 2.
The central principle of simulating optimizationof the conceptual model in the CCR is to define aphysical problem with the equation where output is
expected to approach the actual condition or theactual incident. Simulations performed on amonthly basis to test the model created through thescenario that is the first scenario that CCR as asingle hydrological region from upstream todownstream, and the second scenario is thewatershed CCR has a dynamic hydrological regime
that consists of three sub-systems hydrologic region.
The purpose or objective in reservoir optimization
is based on the following functions [13] :1. Minimize the risk of flooding in downstream::(2)
2. Maximize water needs in downstream :(3)
3. Maximizing the propulsion Hydroelectric
Turbine :(4)
A simulation of optimal reservoir management
have differences in operation when compared withdeterministic reservoir simulation in which thevalue of St+1guideline and Qin-t obtained from themodel calculations. While S(t) at the beginning of
the simulation following the actual trajectory of theguidelines that have S(t)guidelines. By entering all
variables into the equation then obtained Qout-t
calculation results. Then the value Qout-t, S(t)actual andQ(in)actual added to the equation, the obtained valueof S(t+1)actual used for the calculation of the next
month. When determining Qout-T and St+1actual
constraint should pay attention reservoirs andturbines. If the discharges incurred exceeded the
maximum limit of the turbine, the turbine is used
the maximum value, and the excess stock of water
is the amount of water stored in reservoirs (St). If
the value of the stock exceeds the maximum
capacity of the reservoir, the water will flow excess
stock as an additional discharge release (throughthe turbine). If after the addition of excess waterfrom the reservoir and the amount Qout still
exceeds the maximum capacity of the turbine there
will be a runoff through the spillway.

Fig. 2 Reservoir Operation Management Scheme in Conceptual Model

1001

SEE-Osaka, Japan, Nov. 21-23, 2016

(QSt+1), the discharge of local Cirata (QLCt+1) andthe discharge of local Jatiluhur (QLJt+1) as thedependent variable. The independent variables in themodel of continuous discharge Saguling havemeasured in post-Nanjung (QNt+1) and precipitationof rain 11 posts (PXt), while the independent
variables consist of one post-Cirata local discharge
and seven observation post-precipitation (PXt). The
independent variable in Jatiluhur has assumed with
one observation post local discharge and seven postprecipitation. Correlation value determination in theform of regression (R) on discharge models withhistorical discharge in reservoirs Saguling, local
Cirata and Jatiluhur respectively 0.80, 0.85 and 0.73.
The correlation value determination continuous
model in the CCR higher than the discharge ofstochastic Markov models, so that the main
fundamental for the discharge forecasting to
optimize simulation in CCR.

RESULTS AND DISCUSSION
Analysis discharge Allocation Plans for Raw
Water in Citarum Cascade Reservoir
To provide the discharge plan in the flow at aparticular time where the strong presence thatexceeds or is equal to a value based on probability,
and certain distributions that represent the flow
characteristics. The amount of discharge of this planhas determined by the method of ranking, rational or
statistical method approach. This study used amethod Weibull (calculating the probability of 80%
as R5 discharge plan, and 95% probability as R20
discharge plan). The discharge plans for raw waterin the CCR become a constraint that must be
considered in the easy pattern of reservoir operationand in order to guarantee the availability of raw
water in the downstream. The allocation of drinking
water providing in Saguling, Cirata and Jatiluhur are
based on the design discharge R10 or R20 [10]which can be seen in Table 1 and Table 2. The
allocation of water necessary to ensure theavailability of drinking water discharge has used indownstream of the CCR. The result of thecalculation of the distribution of water availability at
CCR has a value of 97.95 m3/sec proportionally; it
use as a discharge of raw water for irrigation anddrinking water at downstream (Jakarta andsurrounding area).

Discharge Classification Yearly Forecasts at CCR
Determination of the estimated yearly CCR classtypes using Markov transition has compiled theannual inflow of data series in three categories. The
pattern of reservoir operations consists of theoperating pattern of dry, normal and wet. Table 3
shows the results of the annual discharge
classification using Markov various method which
has indicates that each reservoir has the uniquenessand differences in the dimensions of space and time.
Two approaches have been utilized to determine theguideline track. The first is CCR as a hydrologicalsystem from upstream to the downstream, and thesecond is the CCR as a dynamic hydrologicalsystem which has three sub hydrological unit system.
So that the number of distinguished guidelines onsubcascade system 1 (reservoir Saguling),
subcascade system 2 (reservoir Cirata) andsubcascade 3 (reservoir Jatiluhur). In this research,
we found the number of directives track of each subsystem reservoir (PMiNj), and named it Arwin andLieza guideline equation :Table 1 The Discharge Plan Calculation Results For
Water Allocation In CCR

Location

Local Discharge/ QȒ5 (m3/sec)

Saguling
CirataJatiluhur

46.92
44.98
6.05

Total water
discharge(m3/sec)
46.92
91.9
97.95

Table 2 The discharge plan calculation results fordrinking water in CCR

Location

Local discharge/ QȒ20 (m3/sec)

Saguling
CirataJatiluhur

29,53
28,51
0,98

Total drinking
water discharge(m3/sec)
29,53
58,04
59,02

where Nj = 1 for subcascade system 1 (Sagulingreservoir); Nj=2 for subcascade 2 (Cirata reservoir);
Nj=3 for subcascade 3 (Jatiluhur reservoir), Mi =number of guidelines track (i = 3,5..n). The
calculation in equation ten on the CCR produced theguidelines as a sub-track to Saguling cascade system
1 are a three-tracks, Cirata has nine tracks, and the
Jatiluhur reservoir has 27 tracks. CCR optimization
scenarios dynamically based on calculation yearly
the discharge volume of each in every observation
post. Annual volume calculation use as a base forpredicting yearly class types to obtain the kind ofyear in the category of class dry, normal or wet

A Continous Model
The concept of the continuous model is thecorrelation of spatial relationships between two or
more random variables, variable discharge and rain.
Debit incoming in Saguling (QS), Local Cirata(QLC) and Local Jatiluhur (QLJ) estimated bymultivariate regression which Saguling discharge
1002

SEE-Osaka, Japan, Nov. 21-23, 2016using Markov transition. Recapitulation years on the
CCR class types are in Table 3.

3

Table 3 Determining The Classification Of The
Type Of Year Based On The Annual
Volume Of CCR
year

Saguling

Local Cirata

1995

NormalNormalWet

1996

Normal

Wet

Wet

1997

Dry

Normal

Wet

1998

Wet

NormalDry

1999

NormalNormalNormal2000

Dry

NormalNormal

2001

Wet

Wet

Dry

2002

NormalNormal

Wet

2003

Wet

Wet

Wet

2004

Wet

Normal

Dry

2005

Wet

Wet

Dry

2006

Dry

Wet

Dry

2007

Wet

NormalNormal

2008

NormalNormalNormal2009

Dry

NormalNormal

2010

Dry

Wet

Wet

2011

NormalNormalWet

Jatiluhur

MarkovContinous
Markov

0.83
0.8
0.76

The optimization of simulation scenario 2 using acontinuous discharge forecasting, simulation results
validation has done by making a comparison
between the tracks guidelines with the actual tracks.
Then computed using Spearman correlation test (R).
The best scenario to get the value of the greatest
relationship between tracks guidelines with actual
tracks, and also, outcome Qout has fulfilled theneeds on the downstream. Table 5 shows thecorrelation between the tracks guidelines (Stguidelines) with the actual tracks (Stactual) of scenario
2, which uses continuous model forecasts discharge
on the Cirata and Jatiluhur.

Local Jatiluhur

Type of year

Table 5 A summary of the correlation value of the
optimization results in CCR with thesecond scenario
No Location Type of
The
R
year
discharge value
guideline
forecast
model
1
Cirata2 (N-B) continuous
0.9
2

The Optimizing Simulation of CCR Conceptual
Model
Simulations carried out monthly to test the model
created by predetermined scenario. Scenario 1 usedin simulation optimization where the yearly classtype is the same on the each reservoir. For example,
if used type of dry years on the Saguling, the typeutilized in the same year in Cirata and Jatiluhur. The
simulation results of the first scenario showed on
Table 4 which the Continuous models, has produced
the maximum R-value compared to the utilization of
the discharge forecasts Stochastic Markov.

Fig 3

Jatiluhur2(N-BX)

continuous

0.9

Simulation Optimization on Jatiluhur
Reservoir in Years 2010-2011

The overall optimization simulation using two
kinds of scenarios showed the greatest correlation
value is in the scenario 2. It proves that the
management of CCR as a single integrated systemfrom upstream to the downstream dynamically,
wherein each reservoir has its uniqueness, and theuse of the various guidelines track has followed the
local hydrological regime in each reservoir. The
optimization of reservoir simulation using inflow
discharge forecasts has raised through the raindischarge correlation models which done in the

Table 4 A Summary Of The Correlation Value Of
The Optimization Results In CCR WithThe First Scenario
No
Location
Discharge
R value
forecast
model
1
Saguling
Continous
0.9
Markov
0.87
2
CirataContinous
0.88
1003

SEE-Osaka, Japan, Nov. 21-23, 2016

Citarum Untuk Pemenuhan Kebutuhan Air
Baku”, J. Desain dan Konstruksi, Volume 5 No
1, 2006, pp.21-35.
[5] Marganingrum, Dyah., Dwina Roosmini,
Pradono, Arwin, “Optimization of Reservoir
Operation with Continue Model to Meet The
Fresh Water Demand Rate and Face
Hydrological Regime Change (Case Study:
Saguling Reservoir-West Java, Indonesia),”
Proceeding Environmental Technology andManagement Conference, November 3-4, 2011,
Bandung-Indonesia. Published by Faculty of
Civil and Environmental Engineering Institut
Teknologi Bandung – Indonesia, ISBN 978979-98278-3-8, p: WRM 2: 1-15.
[6] Yin , Xin-An, Zhi-Feng Yang, Geoffrey E.Petts,
G. Mathias Kondolf,”A Reservoir Operating
Method For Riverine Ecosystem Protection,
Reservoir Sedimentation Control and Water
Supply ”, Journal of Hydrology, Vol.512, 2014,
pp. 379-387.
[7] Jothiprakash, V., R.B Magar, “Multi-time-step
Ahead Daily and Hourly Intermittent Reservoir
Inflow Prediction By Artificial Intelegent
Technique Using Lumped and Distributed
Data,” Journal Of Hydrology, Vol. 450451,2012, pp. 293-307.
[8] Kranz, N., Timo Menniken, dan Jochen Hinkel,“Climate Change Adaptation Strategies in The
Mekong and Orange-Senqu basins : What
Determines The State-of-Play?”, Journal
Enviromental Science & Policy,volume 13,
2010, pp. 648-659.
[9] Syariman, Petrus., Agus Heru, “Extreme
Weather Impacts On Citarum Cascade
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Hidraulik, Puslitbang Sumber Daya Air,
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[10] Sabar, Arwin, “Tren global pembangunan
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establishment of guidelines for efficient operation[5],[11]. The Jatiluhur simulation conducted in 2010
(Fig.3) shows that there is no runoff, which the value
Qout released are under the maximum stock of thedischarge. When it compared with existing
occurrence at the same time, it made a lot of runoff,so the conceptual model using two scenarios with
continuous discharge forecasts is more applicable inthe management of Citarum Cascade Reservoir.
CONCLUSIONS AND RECOMMENDATIONSWhat allocation of raw water discharge for
Citarum Cascade Reservoir to meet drinking waterneeds in downstream is proportional, it obtained thesequentially amount of water distribution for
Saguling, Cirata and Jatiluhur respectively by 46.92
m3/sec, 91.9 m3/sec and 97.95 m3/sec. The
availability of drinking water allocations in the CCR
was 59.02 m3/sec that can use in the area of Jakarta
and surrounding areas. The CCR management could
optimally base on reservoir simulation approaches, amethod of Markov Discrete and Continuous toforecast the discharge. The results showed that themethod of Continuous give the R-value is better than
discrete Markov method, in which the R value ofdischarge forecasting between historical was 0.9 foreach reservoir. The simulation results showed thatthe first and second scenario provides optimum
results in Saguling and Cirata. Thus, the second
scenario simulation optimization of the CCR would
prove the hypothesis, which states that the
optimization management of CCR as an integrated
system unit operation from upstream to thedownstream if each reservoir treated as a unique subhydrological system.
REFERENCES[1] Corsita, Lieza., Arwin, Barti Setiani M andIndah Rachmatiah S.S., “Assesment Of The
Water Quality of The Jatiluhur Reservoir, The
downstream of Citarum Cascade River, Using
Selected Physico-chemical Parameter “,
J.Rekayasa Kimia dan Lingkungan, Vol.10 No 1,
June. 2014, pp. 34-47,[2] Navarro, Eugenio Molinna, Dennis Trolle,
Silvia martinez Perez, Antonio Sastre Merlin,
Erik Jeppesen,” Hydrological and water quality
impact assesment of mediterranean limnoreservoir under climate change and land use
management scenarios”, Journal of hydrology,
Volume 509, 2014, pp. 354-366.
[3] Labadie, J.W, “Optimal Operation Of
Multireservoir System : State Of The Art
Review”, Journal Of Water Resources Planning
And Management, Vol.130 (2), 2004,pp 93-111.
[4] Hadihardaja, Iwan.K,” Analisis Kehandalan
Pengoperasian Optimal Waduk Kaskade1004

Second International Conference on Science, Engineering & Environment,
Osaka City, Japan, Nov.21-23, 2016, ISBN: 978-4-9905958-7-6 C3051

IMPACT OF RECYCLED WATER ON PLANTS BIOENERGETICSCOMPONETS: CHALLENGES AND SOLUTION* 1, Sumeira Moin2, Ailyan Saleem1, and Anum Khursheed1 Tehseen Ahmed1and Mohsin Ali 1
Rafia Azmat
1
Department of Chemistry, University of Karachi, Karachi, Pakistan
2
Department of Botany, University of Karachi, Karachi, Pakistan*
Corresponding author’s email: rafiasaeed200@yahoo.com

ABSTRACT
A potential low-cost adsorbent surface was prepared from waste potato peels (PP) for the removal of Cu fromthe laboratory prepared contaminated water. The adsorption results were quite impressive which showed that the
prepared potato peel surface (PPS) was affective for the adsorption of Cu metal from contaminated water. The
effects of recycled water on the development and chemical formation of two plant species Luffa acutangula &Vicia faba were tested and proved that waste water can be safe and reuse in a better way for safety of vegetation.
Physiological monitoring of plants showed that plant was well developed under irrigation of recycled water.
There were almost similar growth rate in relation with that of plant height, weight and surface area of leaves
when compared with the plants grown in regular tap water. The chief bioenergetics nutritious components liketotal carbohydrates, pigments and proteins were analyzed and found treated plants showed the same amount ofcontents like that of normal plants. Based on above investigation it was suggested that the PPS as an adsorbent
can effectively be used as a future best technique for the control of industrial hazardous of metal contaminatedwastewater followed the control the hazardous of polluted water on vegetation and ecosystem.
Keywords: Cu, Recycled Water, Adsorption, Contaminated Water.

phosphorylation and iron mobilization [12]. Absence
and excess of copper both, inhibits the plant growthand impairs important cellular processes. Therefore,
optimum copper concentration ensures a normal
growth and development of plants [13]. At highconcentration, copper was shown to inhibit plant
growth by encumbering important cellular processes
such as photosynthesis and respiration [14]. Excess
copper concentrations generate the oxidative stressdue to an increase in the levels of Reactive Oxygen
Species (ROS) within subcellular compartments.
ROS include the superoxide radical (O2−•), hydrogen
peroxide (H2O2) and the hydroxyl radical (•OH), allof which affect mainly to lipids, proteins,carbohydrates and nucleic acids [15].Various
scientists studied the effective removal of heavy
metals from industrial waste water by different
methods. There are many reported and establishedtechnologies for the recovery of metals fromwastewater, which include chemical precipitation,
flotation,
adsorption,
electrolytic
recovery,membrane separation, ion exchange chromatography,
etc. In which some are much expensive and requirelarge amount of chemicals that ultimately put
pressure of new pollution on the environment.
The aims and objective of this research based on
integrated waste management via peels waste forremoval of metal contaminates from wastewater inplace of its reuse. Potato peels were selected for
preparation of bio -sorbent surface to build as a costeffective eco-friendly technique. The recycled water

INTRODUCTION
Contamination of metals due to discharge ofindustrial wastewater in soil and water, pressing
more threats to these resources as well as to humanhealth and living organisms [1]-[3]. As fresh water
reservoirs are declining rapidly therefore, it’s a needof time to develop the technologies which shoulduse; for the treatment of contaminated water insistedof discharging into running streams. Among various
water purifications and recycling technologies,
adsorption is a fast, inexpensive and universal
method. Wastewater irrigation enhances the heavy
metal contents in soil and results excessive uptake of
toxic trace metals in crop plants [4], [5]. Wastewatercontains essential as well as non-essential metals
which are toxic to plants however some essential
metals may also became toxic to plants in excessive
amount such as Cu2+, Zn2+, Mn2+, Fe2+ and Ni2+, andlike the nonessential Cd2+ and Pb2+ metal ionsaffects the food quality and safety [6]-[8]. Heavy
metal accumulation in plants depends on plant
species and their ability to absorb metals. Toxic
effects of metals have extensively been studied at
the level of biochemical and physiological processes
such as photosynthesis, transpiration and enzyme
activity metal accumulation in tissue [9]-[11].
Copper plays a vital part in growth anddevelopment of plants. At cellular level, Cu has an
essential role in signaling of transcription andproteintrafficking
machinery,oxidative
1005

SEE-Osaka, Japan, Nov. 21-23, 2016

obtained by agitating the PPS with contaminatedwaste water to check to its impact on important
contents of the edible plants Luffa acutangula &Vicia faba. The project highlights that bio-sorbant
prepared from potato peel was effective for the
metal removal without any further hazardous toenvironment.

RESULTS
The potato peels were selected for the
preparation of bio-sorbant surface as a cost effective
method for the removal of Cu. The dry peels were
blazed and characterized via scanning electron
microscope (SEM), to establish progressive changes
in the surface during adsorption of Cu and presented
in the Fig. 1 .It was clearly shown in Fig. 1 that it
contain holes and porous structure. The results in Fig.
2 clearly indicate that Cu was attached on surface
which showed that surface was effective forconcentrating Cu on it. The effectiveness of surface
for its reuse was monitored using EDTA by agitating
the sorbed surface for ensuing i) To procure Cu
from the surface to avoid further hazardous of Cu in
ecosystem, ii) Recycling of surface for its reuse andiii) Surface efficiency. The SEM analysis of Fig. 1
showed that it is vacant when compared with Fig. 2
on which Cu was adsorbed while Fig. 3 showeddesorbed surface for reuse. It was established that
surface was effective for several times use whichindicate that peels hazardous can also be managed
through its proper investigation for its better
utilization of biochemical compounds. Recycledwater was obtained via this activated charcoal of
potato peels through filtration after complete
adsorption and used for irrigation of various
vegetables. This technique described the integrated
waste management of two types of waste like bestuse of vegetable peels simultaneously eliminating
the metal from the contaminated water with lessexpenditures.
The growth parameters Luffa acutangula & Vicia
faba were observed under normal and treated waterfor 30 days as they are most commonly used edible
plants. The morphological growth parameters weremonitored (Fig. 4-7) during cultivation period andfound similar to that of normal plants. The surface
area of two edible plants Luffa acutangula and Vicia
faba were presented in Fig. (4-7) showed normal
growth as compared to control plants (Table. 1). The
leaf area, shoot root length, and weight of root andshoot found to be similar to that of control plants.
The three important bioenergetics components likeplants pigments, carbohydrates and proteins werechecked to use the impact of recycled water on
edible plants Luffa acutangula & Vicia faba as thesethree components are essential for human via foodchain. The results of analyses these three contents
pigment, carbohydrates and protein were tabulated
in the Table. 1. This showed that pigments likechlorophyll a & b reaching to the normal plants
followed by the same pattern in carotenoids andxanthophyll(Table.2).
Moreoverproteins,
carbohydrate and other sugars of control and treatedplants showed that these components areapproximately similar (Table. 3) to that of plantgrowninnormalconditions.

MATERIAL AND METHOD
Preparation of Adsorbing Surface
Potato Peels were collected from a canteen of
University of Karachi, Pakistan. The collected peels
were washed in lab with tap water, followed toremove of all the dirt and inorganic material. The
washed peels dried in sunshine for two days thenthey were placed in an oven at 105oC for two hours
so that all the moisture get evaporated and peels
become crispy. The dried peels were grounded in agrinder and converted into the fine powder. The
dried and grinded material was then placed in
crucible and carbonized in a furnace at 500oC for
two hours. The carbonized material is now grinded
in mortar and pastel, and preserved in air tight glass
jar to avoid moisture absorption.
Water Treatment
Different concentration of Cu were prepared andmixed with 2g of potato peel charcoal. The reaction
mixture was filter after placing 2h to magnetic stir.
The clear solution was then tested for removal of Cu
ion by treating with EDTA for complexion reaction.
No blue colour complex indicates that all Cu (II)ions were adsorbed onto the prepared surface. The
recycled water was used for irrigation of pots.
Irrigation of Plant
The two common edible plants (Luffa acutangula& Vicia faba) were selected for the practicing ofrecycled water and control plants were irrigated tothe tap water. The plants were harvested after 60
days. Several analyses were taken into consideration,
which included total carbohydrates, proteins andchlorophyll content.
Biochemical Analysis
Chlorophyll is extracted from the leaves ofseedlings using 80% acetone and estimated by themethod shown in [16] and while total proteins isestimated by the methods of [17] and total
carbohydrates is estimated by [18].

1006SEE-Osaka, Japan, Nov. 21-23, 2016

TABLE 1 Biophysical parameters of Visia faba and Luffa acutangula in tap and treated water
PlantssampleLeaf area(cm2)

Shoot length(cm)

Root length
Shoot weight
(cm )
(gm)
Visia fabaControl
9.061+0.120
7.112+0.269
7.487+0.525
0.472+0.007
Treated8.441+0.478
6.043+0.141
7.083+0.179
0.333+0.038
Luffa acutangula
Control
59.881+0.604 12.053+0.143 8.581+0.476
5.110+0.111
Treated59.223+0.325 11.881+0.276 7.935+0.310
4.932+0.393
Significance level = *P<0.05, **P<0.01 and ***P<0.001.

Root weight(gm)

Significance(p)0.090+0.006
0.083+0.006

0.000***
0.000***

0.332+0.021
0.331+0.021

0.000***
0.000***TABLE 2 Comparison of pigments of Visia faba and Luffa acutangula in tap and treated water
PlantssampleChlorophyll(a)(mg/gm)Chlorophyll(b)(mg/gm)Cartenoids(mg/gm)Visia fabaControl
0.846 + 0.01
0.349 + 0.055
0.355+0.004
Treated0.735+0.040
0.291+0.006
0.308+0.017
Luffa acutangula
Control
1.728+0.037
0.9+0.016
0.742+0.047
Treated1.639+0.035
0.857+0.050
0.647+0.041
Significance level = *P<0.05, **P<0.01 and ***P<0.001

Xanthophyll(mg/gm)Significance(p)0.011+0.003
0.009+0.000

0.000***
0.000***

0.025+0.000
0.022+0.000

0.000***
0.000***TABLE 3 Biochemical parameters of Visia faba and Luffa acutangula in tap and treated water
PlantssampleGlucose(ug/mg)Reducing
sugar(ug/mg)Sucrose(ug/mg)Total soluble Carbohydrate
sugar(ug/mg)(ug/mg)Visia fabaControl
1.739
0.328
8.18
7.067
1.26
+0.044+0.035+0.174+0.158+0.007
Treated
1.609
0.323
7.440
6.296
1.291
+0.020+0.031+0.487+0.361+0.010Luffa acutangula
Control
3.590
0.496
14.3568.231
1.231+0.519+0.015+0.404+0.062+0.005Treated
3.031
0.343
13.3318.021
1.174+0.060+0.056+0.297+0.060+0.006Significance level = *P<0.05, **P<0.01 and ***P<0.001.

Fig. 1 Scanning electron microscopic of preparedpotato peel surface showing porous surface

Protein(ug/mg)Significance
(p)

0.506
+0.0150.456+0.0490.000***

1.606+0.0161.536+0.0320.000***

0.000***

0.000***

Fig. 2 Scanning electron microscopy of Cu
adsorption on prepared potato peel surface

1007

SEE-Osaka, Japan, Nov. 21-23, 2016

Fig. 7 Growth Rate of Vicia faba in recycled water

Fig. 3 Scanning Electron microscopy of desorbed
surface for reuse

DISCUSSIONS
The recycled water on plant growth showed
complete removal of contaminates and showed thatthe technique which was developed for deletion ofheavy metal from contaminated water via potato
peel charcoal surface was found effective atlaboratory scale. Observation of plants on cultivatedsites showed that the plants grown in recycled andnormal water have approximately same growth rate
which revealed that industrial waste water can beused effectively after its recycling for safe foodchain [19]. Results disclosed that the both plants
Luffa acutangula (Table. 1-3) and Vicia faba (Fig.
4-7) showed approximately normal biophysical andbiochemical parameters in early stages ofdevelopment which is vital for mature plantdevelopment as observed earlier by [20] andoptimum growth conditions were established intreated wastewater. Moreover it was observed thatthe control plants (Fig. 5 & 6) was slightly increasein height as compared to treated plants (Table. 1)
although they were grown under the sameenvironmental conditions. It was experiential thatthe biochemical analysis of sugars, total
carbohydrate, pigments and proteins which areimportant bioenergetics compounds were similar tothe values of normal plants, as presented in Table. 2& 3. The approximately normal values of pigment intreated plants compared with those of normal plants
and values of literature [21]-[24] suggested that thephotosynthetic apparatus may be particularly
sensitive to damage from heavy metals and inrecycled water their function was normal and safe
from injury in treated waste water. The normal
values of pigments lead the normal function of otherprocesses of plant like glucose, reducing sugars,
total soluble sugars, carbohydrate and proteins [14].
It was suggested that treatment of waste water by
this technique is simple and cost effective and caneasily be applied for waste water treatment atreceiving sites before use in cultivation for healthyand safe food. The method which described here isan effective integrated management of both type ofwaste i-e domestic waste and industrial waste.
Therefore it is recommended that more researchshould be undertaken for the removal of other metals

Fig. 4 Growth Rate of Luffa acutangula in regular
Tap water

Fig. 5 Growth Rate of Luffa acutangula in recycledwaterFig. 6 Growth Rate of Vicia faba in regular Tap
water

1008

SEE-Osaka, Japan, Nov. 21-23, 2016

[5] Rattan RK, Datta SP, Chhonkar PK, Suribabu K,
Singh AK, “ Long-term impact of irrigation
with sewage effluents on heavy metal content insoils, crops and groundwater—a case study”,
Agriculture, Ecosystems & Environment, Vol.
109, Sep. 2005, pp. 310-22.
[6] Muchuweti M, Birkett JW, Chinyanga E,
Zvauya R, Scrimshaw MD, Lester JN, “Heavy
metal content of vegetables irrigated with
mixtures of wastewater and sewage sludge in
Zimbabwe: implications for human health”,
Agriculture, Ecosystems & Environment, Vol.
112, Jan. 2006, pp. 41-48.
[7] Broadley MR, Willey NJ, Wilkins JC, Baker AJ,
Mead A, White PJ, “Phylogenetic variation inheavy metal accumulation in angiosperms”,
New Phytologist, Vol. 152, Oct. 2001, pp. 0927.
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[9] Küpper H, Šetlík I, Spiller M, Küpper FC, Prášil
O, “Heavy metal ‐ induced inhibition ofphotosynthesis: targets of in vivo heavy metal
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38, Jun. 2002, pp. 429-441.
[10] Demirevska-Kepova K, Simova-Stoilova L,
Stoyanova Z, Hölzer R, Feller U, “Biochemicalchanges in barley plants after excessive supply
of copper and manganese”, Environmental andExperimental Botany, Vol. 52, Dec. 2004, pp.
253-266.
[11] Pandey SN, “Growth and biochemical changes
in pulse seedlings irrigated with effluent fromelectroplating industry”, J. of Applied
Bioscience, Vol. 34, 2008, pp. 79-82.
[12] Yruela I, “Copper in plants”, Brazilian J. of
Plant Physiology, Vol. 17, Mar. 2005, pp. 14556.
[13] Jain A, Poling MD, Smith AP, Nagarajan VK,
Lahner B, Meagher RB, Raghothama KG,“Variations in the composition of gelling agentsaffect morphophysiological and molecularresponses to deficiencies of phosphate and othernutrients”, Plant Physiology, Vol. 150, Jun.
2009, pp. 1033-1049.
[14] Fariduddin Q, Yusuf M, Hayat S, Ahmad A,“Effect of 28-homobrassinolide on antioxidant
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plants exposed to different levels of copper”,
Environmental and Experimental Botany, Vol.
66, Sep. 2009, pp. 418-424.
[15] Mittler R, Zilinskas BA, “Purification andcharacterization of pea cytosolic ascorbate
peroxidase”, Plant Physiology, Vol. 97, Nov.
1991, pp. 962-968.

from laboratory prepared wastewater separately andin a mixture for the development of best costeffective waste water treatment technology. The
current investigation established the facts thatwastewater must be reused after elimination ofcontaminates for reducing the pollutants andpreventing the soil resources [6]. Because pollutantssoil is noxious to for cultivation of vegetables asvegetable easily extracted metals from soil due totheir highest mobility as compared to macronutrients.
Such type of plants from contaminated soil withhigh micronutrient and heavy metal content poseadverse effects on human health via consumption ofvarious edible parts of these plants [13].
CONCLUSION
It is concluded from the above investigation that
improper discharge of industrial effluent into fresh
water reservoirs and its used in irrigation should beprohibited. Wastewater should be treated before
discharging into main streams or in agriculture. The
methods of recycling of wastewater through potato
peel surface was found to be best and ecofriendly
and cost effective which can be used for checkingof heavy metal from wastewater for its its reuse as a
potable water that also can be helpful in sharing theburden of declined fresh water resources of theworld.
ACKNOWLEDGEMENT
Author is very thankful to DEAN faculty of
Sciences to provide funds for this project
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treatment plants on health, agricultural, andenvironmental quality in the wastewaterdisposal area”, Chemosphere, Vol. 55, Apr.
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[2] Ahmad A, Ghufran R, Zularisam AW,“Phytosequestration of metals in selected plants
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[3] Chopra AK, Pathak C, “Enrichment andtranslocation of heavy metals in soil andSpinacea oleracea grown in sugar mill effluent
irrigated soil”, Sugar Tech, Vol. 77, Mar. 2013,
pp. 77-83.
[4] Power JF, Dick WA, Kashmanian RM, Sims JT,
Wright RJ, Dawson MD, Bezdicek D, “Landapplication of agricultural, industrial, andmunicipal by-products”, Soil Science Society ofAmerica Inc., 2000.
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1053-1062.
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for the quantitation of microgram quantities ofprotein utilizing the principle of protein-dye
binding”, Analytical Biochemistry, Vol. 72,
May 1976, pp. 248-254.
[18] Yemm EW, Willis AJ, “The estimation ofcarbohydrates in plant extracts by anthrone”,
Biochemical J., Vol. 57, Jul. 1954, pp. 508-514.
[19] Azooz MM, Abou-Elhamd MF, Al-Fredan MA,“Biphasic effect of copper on growth, proline,
lipid peroxidation and antioxidant enzyme
activities of wheat (Triticum aestivum cv.
Hasaawi) at early growing stage”, Australian J.
of Crop Science, Apr. 2012, pp. 688-694.
[20] Kosaric N, Nguyen HT, Bergougnou MA,“Growth of spirulina maxima algae in effluentsfrom secondary waste‐water treatment plants”,
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1974, pp. 881-896.

[21] Azmat R, Akhter H, “Changes in somebiophysical and biochemical parameters ofmungbean (Vigna radiata L) Wilczek grown on
chromium-contaminated soil treated with solid
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Oct. 2010, pp.3065-71.
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in solution culture”, Pakistan J. of Botany, Vol.
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under Cu stress in Vigna radiata”, Pakistan J. of
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1010

Authors IndexA
Abdul Majid M.S.
Abdul Naser Abdul Ghani
Abdul Rahman Mohamed
Abdulkadir Elshafie
Abdullah Al-Sayegh
Abdullah-Al-Wadud M.
Abdus Samad
Abeer H. Al-Shammari
Abolghasem Akbari
Abu Bakar Sambah
Achmad Yusaq Faiz Fadin
Agnes Kanyan
Ahmad Farid Mohsin
Ahmad Hammad
Ahmad Rasdan Ismail
Ahmad Sanusi Hassan
Ahmad, H. N.
Ai Kiat Teo
Aibing Yu
Aiman Alshare
Akiko Inoue-Kohama
Akio Nishida
Akmal Fathu Rohman
Ali Al-Bemani
Ali Mahmoud
Alongkot Suvarnamani
Ammar Alkhalidi
Ana Asmina
Anastasiya M. Kostryukova
Anchalee Sawatthum
Anisa Santoso
Anna Kiewchaum
Apaporn Ruchirased
Arfin Fardiansyah Nasution M.
Ariston M. Alimo-ot
Arit Udomyotin
Arli Aditya Parikesit
Armand Omar Moeis
Arwin Sabarc
Asato Ikemizu
Asep Sofyan
Asri Gani
Astri RinantiAtinesh V Prasad
Ayaka Hara

414
826
508, 514
562
562
166
975
234
946
153
567
862
141
532
929
718
215
862
350
532
614
78
920
562
520
121
532
26
51, 857, 871
40
915
633
697
190
584
74
190
567
439
783
941
892
131, 444
472, 478
84

Ayano Nakamura
Ayudya Triastika
Azel Ronn L. Barera
Azizah Endut
Azizan Abu Samah
Azman Azid

113
573
290
839
946
839

B
Bahr M. A.
Basil D.
Benchawan Sopha
Benito A. Kurnani Tb.
Biju R Mohan
Bithin Datta
Boo Ho Voon
Boonchai Wichitsathian
Borano Te
Bouzziri M.

406
215
199
435
590,599
449
862
620
620
845

C
Chanakan Puemchalad
Chandana Kulasuriya
Chansiri Singhtaun
Chaowalit Hamontree
Chatpet Yossapol
Chawiwatworakul P
Cheok C.Y
Chih-Hao Chen
Chihiro Yoshimura
Chin N.L
Chutarat Chompunth
Cornel Ciurea
Cynthia Radiman

663
334
296
526
620
626
493
645
394
493
759
385
876

D
Dali Nikolaishvili
Dantje Kardana Natakusumah
Darga N Kumar
Dasumiati
Dedi Setiabudidaya
Defrian Marza Arisandi
Deni Rusmaya
Dharmarathne W. N. K.
Djati Kerami
Dowroong Watcharinrat
Duanpen Sirithian651
439
472,478
684
668
153
734
903
190
61,241
633

Authors Index

Dwina Roosmini
Dylan C. Gavino

935
290

E
EA Lim
EL-Hanafy A.M.
Eddy S. Soedjono
Eduardo M. Manzano
Edy Sutriyono
Egor V. Artyuko
Eka Wardhani
Eko Siswanto
El-Mashad M.A.
Elena E. Shchelkanova
Endang Wiwik Dyah Hastuti
Esty Suyanti
Evi Afiatun

414
406
924
584
26
851
935
668
406
857
26
915,920816

F
Fadjari Lucia Nugroho
Fahad Parvez Mahdi
Faijal Ali
Faisal M.
Fajar Ibnil Hafiz
Fatimah Noor Harun
FatmahFauzi Baharudin
Fuad
Fusanori Miura

734
166
472,478
892
734
44
804
315
153
153

G
Gabriela B. Cazacu
Garrin Nandhito dan Okky Pratama
Garrin Nanditho danGede Santosa
Gemilang Lara Utama
Gerby R. Muya
Gharous M.El.
Ghassan Fawaz
Giorgi Metreveli
Glenmour Bocar
Gregg L. Fiegel
Guntur

385
915
920
542
435
958
845
497
639
584
704
153

H
Hafidawati

941

Hafizan Juahir
839
Hanita Daud160
Hans-Peter Bader672
Hari Prayoga
816
Hary Pradiko
816
Hasi Rani Barai
95
Hatifah Che Hussin
753
Heekyu Kim
379
Hermie M. del Pilar
290
Hideaki Shiraishi
65
Hidefumi Kurasaka
886
Hidenori Yoshida
794
Hidetaka Noritomi
369
Hidetaka Tsuji
770
Hideyuki Katsumata
969,975
Hirohisa Taguchi
375
Hiroki Nishiwaki
788
Hiroshi Kanbara
728
Hiroyasu Sato903
Hiroyuki Daimon
892
Hiroyuki Ii
10,78,713,728,777,788,832
Hiroyuki Nagahama
108, 173
Husni
892
Hyo-il Jeon
964
I
Idris Maxdoni Kamil
Imas Komariah
InHwan Sul
Ing-Yi Chen
Inoue Y.
Irawani Abdul Rahman
Irene Sondang
Irina V. Mashkova
Irvanu Rahman
Iskhaq Iskandar
Ismail A.R.

431
799
463
419
909
135
915,920
851,857,871
573,579
668
467

J
Jamel Ariffin
James Emerson de Leon
Jamil Hamali
Januluk Khanobdee
Jazuri Abdullah
Jian Abdullah Noori
Jieqing Gan, Sida Liu

826
276
862
74
550
89
350

Authors Index

Jim Rodger T. Navarro
Jin-Chung Sin
Jinho Hur
Jinho Kim
John V Smith
Jonathan Payton
Jonathan Sanchez
Joseph Berlin P. Juanzon
Julanda Al-Mawali
Julia Md. Tukiran
Jumpei Nishigami
Jun Muto
Junaidah Ariffin
Junichiro Takeuchi
Juvy Lee D. Gomez

584
508, 514379
379
2, 657302
556
276,457363
826
369
108,173
550
770
290

K
Kah Yaw
Kah Yaw Ee
Kamolruth Na Nongkai
Kamolthip Mahavong
Kanokporn Suparit
Kanokwan Kingphadung
Kanokwan Rudisirisak
Kassim Tarhini
Katsumi Uchiyama
Kawamoto K.
Kazuhito Murakami
Kazuya Inoue
Keiichiro Shibata
Ken Kawamoto
Kenji Oguni
Kenta Otsuki
Khairul Nizar M.Y
Khairulafinawati Hashim
Kim Geok Soh
Kim Lam Soh
Kimihiro Yamanaka
Komara Djaja
Komarudin
Kota Oshita
Kyoichi OKAMOTO

125
125
199
633,67840308
117497, 520
369
909
614
764
794
903
256
375
215
550
103,747,753
103,747,753
375
920
567,573,579
84
810

L
Lachana Ramingwong
Lalita Siriwattananon

202,502
821

Lamzira Lagidze
Lanang Parwita I.G
Lau K.K.
Lau Ping Ying
Lia Matchavariani
Lilik Sudiajeng
Lily Surayya Eka Putri
Liza Bautista-Patacsil
Luma F. Husain

639,651542
488
125
639,651
542
684
400
222

M
Manaporn Wongsoonthornchai
672
Mansor M.A.
262, 467
276
Mark Fernan Tividad
Masahide Ishizuka
897
Masanobu Taniguchi
832
Masayuki Fujihara
770
Mawar Silalahi
444
Md. Ashraful Islam Molla
969
Melati Ferianita Fachrul
444
Mellianna Fiannita C. Purba
579
Merab Alaverdashvili
639
Merlita Medallon
958
Minju Sung
379
Minjung Shin
379
Mohammad Abou Nouh
497
Mohammad B. Kassim
209
Mohammed I. Al Shuraim
484
Mohd Arifpin Mansor
929
Mohd Nazip Suratman
135,141
Mohd Yuhyi Mohd Tadza
315
Mohd. Khairul Amri Kamarudin
839
Momoko Hirata
108
Mongkol Tatong
121
Monthatip Klabsong
663
Mounir Mabsout
497,520
Mowjood M.I.M.
909
Muawia A Dafalla
484
Muhammad Afiq Ahmad Khairuddin
44
Muhd. Barzani Gasim
839
Murshid G.
488
Mustaffa, A. A.
215
Muzamir Hasan
320
N
N.A.M.A.Zainal

262

Authors Index

N.Chaouqi
N.H. Zunaidi
N.Krishna Chaitanya
Nabeel Abdulwahab Ahmed
Naceri Z.
Nagamori M.
Naofumi Sato
Naomichi Matsumoto
Naoto Kaneko
Naowarut Charoenca
Narissara Eiamkanitchat
Nawapon Sompong
Nazar K. Oukaili
Nazip Suratmanand J.G.M.
Nelson Tenorio
Neslyn E. Lopez
Nestor de Ocampo
Ng Yek Jia
Nik Anis Amanina Nik Ayub
Nino Paichadze
Nipapun Kungskulniti
Niran Juntawong
Nittaya Ngowattana
Nittaya Putthumrugsa
Nobuyuki Egusa
Nobuyuki Endo
Nontapat Kuntekul
Nor Airini Ibrahim
Nor Kamilah Makhtar
Norazan Mohamed Ramli
Nordila A.
Nordila Ahmad
Norhaizan Mohd Esa
Norhashimah Bt. Ramli
Norhayani Pangee
Norhidayah Mat Sout
Norihiko YANASE
Norio Tanaka
Norsyuhada Hairoma
Nurina Fitriani
Nurul Aina Husaini
Nurul Husna Che Hassan
O
Oliver Saavedra
Orapin Rangyai

845
414
345
89
845
909
903
794
173
663
536
357
222,228,234
147
958
457
556
125
929
651
663
56
117
199
897
369
536
753
929
180
389
394
89
209
320
929
724
903
839
924
320
929

394
40

P
Paisarn Worakham
Pandian VasantPantitcha Outapa
Patricia Melvin Jussem
Patrick Robert Divina
Patrick Yeoh Siew Fai
Phanida Wamontree
Phasit Panyaphruek
Ping Ying Lye
Piyaporn Jitake
Piyaporn Pimboon
Piyatida Panya
Piyavadee Charoenwattana
Pongtorn Prombut
Poranee Pattaranawat
Prayatni SoewondoPremakumara Jagath D. G.
Premrudee Kanchanapiya
Priyan Dias
Puji Lestari
Purin Akkarakultron
Putri Sintya Dewi

867
166
633
862
276
166
71
536
125
40
40
867
74
357
678
876
924
690
334
941
61
684

Q
Qurnia Wulan Sari
Qusai Kh. Hameed

668
228

R
Raja Maizatulakmal Raja Abdullah 247
Ram Mohana Reddy
G.
590,599
Ramon C. Maniago ME
584
Rangga Santosa
431
Ratih Dyah Puspitasari
190
Rattana Prangprayong
40
Ravie Sethpakdee
56
Ravikant R Singh
472,478
Ravindra Chand
472,478
Rich Lee
419
Rick Jaeger
268
Riza Putera
915,920
Rohani, M.,
215
Roostita L. Balia
435
Rositayanti Hadisoebroto
431,444
Rosmalinda Permatasari
439
Rosna Abdul Raman
747

Authors Index

Runie Besty Teta Putri
Ruth Scheidegger
Ryan C. Alaniz
Ryan Joseph Calinao
Ryota Hino
Ryuichi Miyashita

734
672
704
952
897
375

S
550
Saerahany L. Ibrahim
Saffe S. N. M.
262,467
Saif Al-Bahry
562
Saito T.
909
Sakamoto Y.
909
Sakgasit Ramingwong
202,502
Salimah Japar
747,753
Sam M Dakka
302,363
Samantha Louise Jarder
556
Samsilah Roslan
103
Sang Woo Joo
95
Sanjay Prasad
472,478
Sanket Joshi
562
Sarat Chandra Dass
160
Sarawut Thepanondh
633,739
Sarawut Thepanondh
633
Satoru Kato
369
Satoshi Kaneco
969, 975
Sawanya Jareemit
690
Sawat Pimsuwan
35
Sayako Hirobe
256
Sayang Mohd Deni
180
Seingheng Hul
394
Seog K. Kim
95
Seungkyung Park
964
Shadi Najjar
520
Shahrbanoo Hazrati Y.
449
Shaikh Abdul Karim Yamani Zakaria
141
Shariff A.M.
488
Shotaro Tadama
65
Siew San Tan
209
Sinardi876
Siti Hanggita Rachmawati
21
Siti Maisarah Che Abdullah
147
Siti Mariam Mukhtar
160
Siti Nur Zahrah Amin Burhanuddin
180
Soh Kim Geok
89
Somporn Pleanjai
186

Somprasong K.
Sopa Chinwetkitvanich
Stephen J Foster
Su Kong Ngien
Suhil Kiwan
Sukhan Rattanaloeadnusorn
Sulaiman S. S.
Sun Hee Moon
SunardiSunisa Kunarak
Supamas Sriwongpuk
Supasit Deeraksa
Suphaphat Kwonpongsagoon
Suprihanto Notodarmojo
Suriya Natsupakpong
Suzihaque, M.U.H.
Swee Leong Ong
Sze-Mun Lam

626
678,697
283
946
532
608
467
463
435
425
51
867
672,690431,876,935
296
247
747,753508,514

T
Takeo OCHI and Shigeo Okabe
Takeshi Saito
Takeshi TOYAMA
Takuma Kubohara
Takuya Suzuki
Tan
L.S.
Tark M.F.
Tatemasa Hirata
Tatyana G. Krupnova
Terry Lucke
Tetsuya Fukano
Thamer A. M.
Tian Sing Ng
Tipawan Phetrawech
Tohru Suzuki
Tom R. Trice
Tomoe KOMORIYA
Tomomi Maekawa
Tomonori Kawano
Tongmee Mosom
Trevor NS Htut
Tsutomu Tanaka

724
903
810
713
84
488
406
897
851,857,871
268
777
389
283
739
969,975
704
810
880,886
84,113,783
61
283
764

U
Udayagee Kumarasinghe
Ummi Kalthum Ibrahim

909
247

Authors Index

Unaruj Boonprakob
Usman Sumo Friend Tambunan

56
190

V
Vanissorn Vimonsatit
Varadarajan S.
Vincentia Cheryl Adam
Vish Kallimani
Vittaya Punsuvon

334
345
190
166
663

W
Wael Al-Kouz
Wahyu Wijaya I.M.
Walter Den
Wan Zaida Wan Md Hanapi
Wanchai Teparaksa
Wayan Wiraga
Wei-Hong Tan
Wen Jie
Wen Jie Ng
Woraruthai Choothian

532
924
645
747
339
542
414
125
125
308

Y
Yahya Al-Wahaibi
Yaowamal Noimai
Yaowarat Wongsrisakulkaew
Yaowarat Wongsrisakulkaew
Yasser ArabYasuhiro Wada
Yasuteru Kobi
Yazid Bindar
Yek Jia Chan
Yohei Kawabata
Yonik Meilawati Yustiani
Yoshifumi Taguchi
Yoshihiro Suenaga
Yoshiro Fujii
Youngsam Moon
Yuki Hara
Yuta Kainuma

562
61
35, 56
35
718
897
764
431
125
728
734,799
328
794
710
379
113
375

Z
Zakaria Hossain
Zeinab Ghiami
Zhi Khoon
Zhi Khoon Lau

21
103
125
125

Zongyan Zhou
Zuliziana S
Zuliziana Suif

350
389
394

Brisbane, Australia
Science, Engineering & Environment

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