VOLUME 1
Edited by
Zakaria Hossain
Satoshi Kaneco

SEE 2015,TSU, MIE, JAPANSCIENCE, ENGINEERING AND ENVIRONMENTiPROCEEDINGS OF FIRST INTERNATIONAL CONFERENCE – SEE 2015
SCIENCE, ENGINEERING & ENVIRONMENT TSU, MIE, JAPAN 19-21 NOVEMBER, 2015

Science, Engineeringand Environment
Edited byProf. Zakaria Hossain
Graduate School of Bioresources
Mie University, Japan

Prof. Satoshi Kaneco
Graduate School of Engineering
Mie University, JapanTHE GEOMATE INTERNATIONAL SOCIETYii

Copyright @ 2015 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: 978-4-9905958-5-2 C3051

iii

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

Table of Contents

Prefacexii

Organization

xiii
1

ID

Keynote Papers

1k

SUSTAINABLE HYDROGEN PRODUCTION WITH ZINC OXIDESatoshi Kaneco

2k

WHAT CAN BE KNOWN REGARDING EVAPOTRANSPIRATION LEVELS OF HERAT IN AFGHANISTANIN 120 DAYS VIA WIND - EFFORTS TOWARDS RESEARCH IN REGARD TO EVAPOTRANSPIRATIONLEVELS IN WAR-TORN AFGHANISTAN Takamitsu Kajisa

2

3

4

Technical Papers
ID

Science

51121

POTENTIAL EFFECTS OF MELALEUCA HONEY ON ORAL STREPTOCOCCI BIOFILM
Wen-Jie, NG and Ricky RACK

6

1135

INDUCED EARTHQUAKES CORRELATIONS WITH EARTH’S CRUSTALTHICKNESS
Marilia Hagen

11

1141

GEOCHEMICAL ASSESSMENT OF LATE PALEOGENE SYNRIFT SOURCE ROCKS IN THE SOUTH
SUMATRA BASIN
Edy Sutriyono, Endang Wiwik Dyah Hastuti and Budhi Kuswan Susilo

18

1156

TOXIC EFFECT AND MECHANISMS OF NANOPARTICLES ON FRESHWATER INFUSORIA
Kosyan D.B. , Rusakova E.A. , Sizova E.A. , Yausheva E.V. and Miroshnikov S.A.

26

1167

1168

DIELECTRIC SPECTROSCOPY ON MIXTURE OF RICE HUSK, RICE HUSK ASH AND RICE BRAN FROM
4 Hz TO 1 MHz
S.F. Khor, M.H.A. Md Yusoff, E.M. Cheng, M.A. Rojan, B. Johar, A. Chik, Z.A. Talib, M.F. Abd Malek
REFLECTION AND DIELECTRIC MEASUREMENT FOR SALINITY OF WATER USING MICROSTRIPLOOP SENSOR/ANTENNA AND DIELECTRIC PROBE
E.M. Cheng, M.F.A. Malek, S.F. Khor, K.Y. You, K.Y. Lee, M.A. Rojan, S.A. Bakar, N.F.M. Nasir, Z.
Zakaria and W. H. Tan

33

38

1187

THE INFLUENCE OF LOCAL LAND USE ON THE WATER QUALITY OF URBAN RIVERS
Juan Carlos Covarrubia, Scott Rayburg and Melissa Neave

44

1192

ESTIMATION OF PERMEABILITY OF POROUS MEDIA WITH MIXED WETTABILITIES USING
PORE-NETWORK MODEL
Junichiro Takeuchi, Wataru Sumii, Hidetaka Tsuji and Masayuki Fujihara

50

iv

1203

MORPHOFUNCTIONAL CHARACTERISTICS AND ELEMENTAL COMPOSITION OF RAT LIVER UNDERDIFFERENT NUTRIENT PROVISION
Rusakova E.A., Kvan O.V., Miroshnikov S.A., Korotkova A.M., Davydova N.O. and Skuridina I.V

57

1226

A NOVEL QUANTIFICATION OF THE COMPLEX GEOMETRIES OF LOW LIGHT SURVIVING PLANTS
USING FRACTAL ANALYSIS TO INVESTIGATE A BASIS OF A NEW AND UNIQUE ALLOMETRIC
MEASURE OF PLANTS
Chaitanya D. Karamchedu

62

1236

COMPARATIVE ISOTHERMS STUDIES ON ADSORPTIVE REMOVAL OF METHYL ORANGE FROMWASTEWATER BY WATERMELON RINDS AND NEEM-TREE LEAVES
Sadiq Sani and Muhammad Bashir Ibrahim

68

1277

DETERMINATION OF PHYTOCHEMICAL COMPOUND FROM Spirogyra sp. USING ULTRASONICASSISTED EXTRACTION
Pornphan Champa, Kanda Whangchai and Niwooti Whangchai

75

1278

EFFECT OF TiO2-COATED SUBSTRATE PHOTOCATALYSIS ON CHLOPYRIFOS INSECTICIDEDEGRADATION
Kanda Whangchai, Trid Sriwichai, Niwooti Whangchai and Nakao Nomura

81

1280

SHORT-TERM EFFECTS OF COURT-TYPE TRADITIONAL THAI MASSAGE ON PRESSURE PAIN
THRESHOLD AND PAIN INTENSITY IN PATIENTS WITH CHRONIC TENSION-TYPE HEADACH
Peerada D., Naowarat K., Wichai E., Prasobsook P. and Pongmada D.

86

1282

XANTHAN GUM FROM SUGAR CANE RESIDUE
Nittaya Ngowatana and Kanokwan Rudisirisak

92

1286

EXACT TRAVELING WAVE SOLUTIONS FOR THE GENERALIZED HIROTA-SATSUMA COUPLE KDVSYSTEM USING THE EXP -EXPANSION METHOD
Mostafa M.A. Khater and Emad H. M. Zahran

98

1288

EFFECT OF THE BIOEXTRACT TO CONTROL THE CURVULARIA LEAF SPOT (Curvularia. sp) AND
CANKER OF LEMON (Xanthomonas campestris citri)
Vithaya Tavenooth

111

1295

OPTIMAL MIXING RATIOS OF SILICA AND HYBRID RESIN WITH EPOXY RESIN FOR CONCRETE
FLOOR SURFACE COVERING
Kyuhwan Oh, Choi Woo Byung and Sang Keun Oh

115

1296

STATISTICAL MECHANICS IN BAYESIAN REPRESENTATION: HOW IT MIGHT WORK AND WHATOUGHT TO BE THE PROBABILITY DISTRIBUTION BEHIND IT.
E. B. Starikov

121

1302

ADOMIAN DECOMPOSITION METHOD FOR SOLVING OF FREDHOLM INTEGRAL EQUATION OF
THE SECOND KIND USING MATLAB
Dalal Adnan Maturi

126

THE EFFECT OF CROSS-LINKED AGENTS ON
Weerasak Songeon and Prasong Srihanam

129

1303

KERATIN FILMS PROPERTY

1305

THE EFFECT OF STARCH ON PROPERTY OF SILK FIBROIN/KERATIN BLEND FILMS
Yaowalak Srisuwan and Prasong Srihanam

133

1308

AN ALGEBRAIC AND COMBINATORIAL APPROACH TO THE CONSTRUCTION OF EXPERIMENTALDESIGNS
Julio Romero and Scott H. Murray

137

1311

MODEL DEVELOPMENT FOR OUTBREAK OF DENGUE FEVER SURVEILLANCE SYSTEM
DISTRICT LEVEL
Pongmada Damapong, Peerada Damapong and Supat Jumparwai

143

1312

DEVELOPMENT OF FISHMEAL PROCESSING FROM CATFISH PROCESSING WASTE
Charun Likitrattanaporn

v

IN

147

1324

THE COMPLEX SOLUTION FOR AN INTEGRO- DIFFERENTIAL EQUATION IN ELASTIC MEDIA
PROBLEM IN PRESENCE OF HEAT
M. A. Abdou

153

1333

A ROBUST HARMONY SEARCH ALGORITHM BASED NODE DEPLOYMENT FOR HYBRID WIRELESSSENSOR NETWORKS
Abdulqader Mohsen, Walid Aljoby, Khaled Alenezi and Abdulrahman Alenezi

160

1339

THE EFFECT OF FERTILIZER ON GROWTH OF STAGHORN FERN AT SEEDLING STAGE
Sawat Pimsuwan, Preeyanat Hongthong, Phattraporn Krangpanich and Cholthicha Suwanpinta

168

1343

IMMEDIATE EFFECTS OF ONE AND TWO HOURS OF TRADITIONAL THAI MASSAGE ON STRESS,HEART RATE VARIABILITY, AND AUTONOMIC NERVOUS SYSTEM FUNCTION
Sripongngam T., Eungpinichpong W., Sirivongs D., Kanpittaya J. and Tangvoraphonkchai K.

171

1345

ASSOCIATION OF CHILDHOOD DIARRHEA WITH HOUSEHOLD CONTACTS: OBSERVATION IN
URBAN DIARRHEAL DISEASE HOSPITAL IN BANGLADESH
Shahnawaz A., Farzana F., Mohammad A .M., Sumon K.D., M. J. Chisti.and A. S. G.Faruque

176

1353

EFFICACY OF HORMONES ON PROLONGEVITY OF BANANA FRUITS
H.N.P. Singh, Sunita Kumari and M.M. Prasad

182

1354

AEROBIC DANCE WITH FLEXIBLE STICK EXERCISE COULD INCREASE MUSCLE STRENGTH, MUSCLEENDURANCE, AND FLEXIBILITY IN HEALTHY SUBJECTS
Suchira Nongaudom, Napatsawan Thanaphonganan and Thanarat Sripongngam

186

1360

IMMEDIATE EFFECTS OF TRADITIONAL THAI MASSAGE ON HEART RATE, BLOOD PRESSURE, AND
ANXIETY IN DEPRESSION PATIENTS: A PILOT STUDY
Warangkana Chompoopan, Wichai Eungpinichpong and Wilai Eungpinichpong

190

1364

ATOMIC FORCE MICROSCOPIC AND ELECTROCHEMICAL CHARACTERIZATION OF THE MODIFIEDSCREEN PRINTED CARBON ELECTRODE BY SELF ASSEMBLED DEPOSITION OF CHITOSAN AND
ACTIVATED CARBON
Porntip Wongkaew and Suta Poosittisak

194

1375

EFFECT OF DIETARY PROTEIN INGREDIENTS FROM NON-TOXICAGRICULTURAL FIELD ON MEATQUALITY OF NILE TILAPIA (OREOCHROMIS NILOTICUS)
Boontarika Thongdonphum, Kittima Vanichkul and Lalita Siriwattananon

200

1377

ELECTROCHEMICAL STUDY OF ALOE GEL AND EMODIN ON A SCREEN PRINTED CARBON
ELECTRODE
Suta Poosittisak and Porntip Wongkaew

204

1378

TOTAL PHENOLIC CONTENTS AND ANTIOXIDANT ACTIVITY OF FRESH THAI CURRY
Nuanchai Kotsaeng and Muntana Nakornriab

209

1387

COMPARATIVE STUDY OF MORPHO-HISTOLOGY OF OVARIES OF WT (HDRR) AND P53 (-/-) OF
MEDAKA (ORYZIAS LATIPES)
Alaa El-Din H. Sayeda and Hiroshi Mitani

213

1395

EFFECTS OF TRADITIONAL THAI MASSAGE ON STANDING BALANCE, MUSCLE FATIGUE,
CONCENTRATION, AND FREE THROW ACCURACY IN BASKETBALL ATHLETESKrittachai Sarakul, Wichai Eungpinichpong and Thanarat Sripongngam

219

ID
1120

Engineering
APPLICATIONS OF CORRELATION RELATED FUNCTIONS IN SIGNAL AND IMAGE PROCESSING AND
PATTERN IDENTIFICATION
Humera Rafique and Samina Rafique

vi

224

225

1124

DEVELOPMENT OF METHYL, ESTER AND CARBONYL TERMINATED N-SI(111) ELECTRODE FOR
PHOTO-ELECTROCHEMICAL CELL
Toshihito Ohtake and Ken-ichiro Iijima

231

1128

EFFECT OF ADSORPTION CONDITION ON THERMAL STABILITY OF PROTEINS ADSORBED ONTO
BIOMASS CHARCOAL POWDER
Hidetaka Noritomi, Shunichi Kurihara, Nobuyuki Endo, Satoru Kato and Katsumi Uchiyama

236

1132

CONSTRUCTION OF RAINFALL AND WATER-STAGE REALTIONSHIP FOR INUNDATION FORECAST
AND EARLY WARNING IN TYPHOON EVENT
Huei-Tau Ouyang and Yi-Chun Chen

242

1143

FLOOD ANALYSIS IN LANGAT RIVER BASIN USING STOCHATIC MODELYuk Feng Huang and Majid Mirzaei

247

1151

SHEAR STRENGTHENING WITH CFRP SHEETS APPLIED IN REINFORCED CONCRETE FLAT PLATESWITH OPENINGS
Nazar K. Oukaili and Thaar S. Al-Gasham

253

1160

A TIME-INDEPENDENT FINITE DIFFERENCE ANALYSIS OF FLOW INDUCED CYLINDER VIBRATION
Chih-Chun Chu and Bang-Fuh Chen

260

1165

RELATIONSHIP BETWEEN BORDERLAND AND THE PEDESTRIAN IMAGE
Tetsuya YANOBE, Kazunari TANAKA and Shin YOSHIKAWA

266

1178

DEVELOPMENT OF ACOUSTICAL SIMULATION MODEL FOR MUFFLER
Wei-Hong Tan, T.S. Khor and N.H. Zunaidi

270

1179

EXPERIENCES WITH GEOCELL REINFORCED EARTHWORK IN TERMS OF DEFORMATIONRESISTANCE
Vlastimil Chebeň and Ľubomír Pepucha

276

1183

EFFECT OF REINFORCEMENT ON IMPROVE SURFACE PAVEMENT FOR WEAK SUBGRADE
CONDITIONS
Saad F. Ibrahim, Namir G. Ahmed and Dhuha E. Mohammed

282

1186

TREATMENT OF SLUDGE FROM A WASTEWATER TREATMENT
Catherine N. Mulligan and Mehdi Sharifi-Nistanak

287

1191

ANALYZING THE STRUCTURE OF MONTMORILLONITE CAUSED BY CALCINATION USINGSYNCHROTRON X-RAY POWDER DIFFRACTION (SR-XRD) AND CHANGES IN ADSORPTION OF
CAFFEINE
Kenichiro Yamamoto, Takashi Shiono, Yasuto Matsui and Minoru Yoneda

293

1193

EVALUATION OF THE LONG-TERM POLLUTION REMOVAL PERFORMANCE OF ESTABLISHED
BIORETENTION CELLS
Terry Lucke and Peter Nichols

299

1195

THE DETERMINATION OF IRRIGATION WATER STORAGE FOR CORN IN THE DRY SEASONS IN CHAUPHU DISTRICT, AN GIANG PROVINCE, VIETNAM
N.V. Tuyen, P.V.Toan, N.H.Chiem, L.A.Tuan and V.P.D.Tri

306

1208

NUMERICAL SOLUTION OF SOIL - FOUNDATION INTERACTION
Radim Cajka, Jana Labudkova and Petr Mynarcik

312

1224

ALTERNATIVE AGGREGATES FOR CONCRETE
Daniela Ionescu, Joe Petrolito, Bandita Mainali, Jemily Sweet and David Robinson

318

1225

GENERALIZED STRENGTH DEVELOPMENT MODEL OF SOLIDIFIED FINE-GRAINED DREDGEDMARINE SOILS
Chee-Ming Chan and Amira Azhar

324

vii

1241

THE BEHAVIOR OF COUPLING BEAMS FOR MASONRY STRUCTURES IN SEISMIC REGIONS
Barnaure Mircea and Stoica Daniel

330

1245

A NOVEL PRODUCTION PROCESS MODELING FOR ANALYTICSRich Lee

334

1253

ENERGY EFFICIENT FOR HEAT EXCHANGER, REFRIGERATION AND AIR CONDITIONING
Abdeen Omer

340

1255

REMOVAL OF REACTIVE DYES FROM AN AQUEOUS SOLUTION USING PLANT-BASED SURFACTANT
VIA MICELLAR-ENHANCED MICROFILTRATION
Puasa S.W, Ruzitah M.S and Sharifah A.S.A.K

344

1271

MESSAGE PASSING ALGORITHM BASED ON CUT NODE TREE
Zhang Huanming, Xian Kaiyi, Feng Lijun and Hu Chaokang

350

1273

ON THE TURBULENT BOUNDARY LAYER OF A RAPID-FLOWING DRY GRANULAR MATTER DOWNAN INCLINE: THEORY AND NUMERICAL SIMULATIONS
Chung Fang

353

1275

POST-CYCLIC BEHAVIOR OF GRANULAR SOIL- STRUCTURE INTERFACE DIRECT SHEAR TESTSSuriyavut Pra-ai and Marc Boulon

359

1284

INDICATORS TO MEASURE DESIGN QUALITY OF BUILDINGS
Azeanita Suratkon and Safuan Jusoh

365

1287

A GENETIC ALGORITHM–BASED APPROACH TO PREDICT PAVEMENT MAINTENANCE STRATEGIES:
IRAQI EXPRESSWAY NO.1 CASE STUDY
Namir G. Ahmed Alkawaaz

371

1301

EXTRACTION OF SILICA GEL FROM AGRICULTURAL WASTE FOR POZZOLANIC APPLICATION: A
REVIEW
Rahimah Embong, Nasir Shafiq, and Andri Kusbiantoro

377

1310

VALORISATION OF NATURAL POZZOLAN OF "DJOUNGO" (CAMEROON) AS LIGHTWEIGHTAGGREGATE FOR LIGHTWEIGHT CONCRETE
Willy Juimo, Toufik Cherradi and Larbi Abidi

381

1313

NUMERICAL SOLUTION APPROACH TO THE DYNAMIC RESPONSE OF SIMULATED UNDERGROUNDSTRUCTURES DUE TO VARIOUS ACCIDENTAL EXPLOSIONS
Akinola Johnson Olarewaju

387

1322

OPTIMIZATION OF LOCAL PARALLEL INDEX (LPI) IN PARALLEL/DISTRIBUTED DATABASE SYSTEMS
Mohamed Chakraoui and Abderrafiaa Elkalay

393

1340

THE TECHNIQUE OF OPTIMAL LEASING DURATION ESTIMATION FOR THE CITY BUS USING
THECHNICAL AND ECONOMICAL PARAMETERS
Nikita Pozhivilov , Ilya Kavalchuk, Victor Maksimov and Lev Zimanov

403

1344

SETTLEMENT OF STRIP FOOTING ON SANDY SOIL DUE TO ECCENTRICTY
Kraker Saber B., Syarifah Nur Atiqah Syed A., Ahmad Safuan A. R. and Hisham M.

409

WATER PURIFICATION IN INLAND FRESH WATER LAKE BY TIDAL ENERGY USING UTSURO
R.-T. Jung, K. Akai, and H. Isshiki

414

IMAGE-BASED AS-BUILT 3D MODELING FOR DEFORMATION ASSESSMENT OF HISTORICALBUILDINGS
Bhakapong Bhadrakom and Krisada Chaiyasarn

420

1349

1367

viii

1371

PRICING ANALYSIS OF ELECTRICAL SYSTEM AND BRAZILIAN ENERGY MATRIX DIVERSIFICATION
Vitor Hugo Eiti M., Miguel Morales U., André Luiz Veiga G. and Paulo Helio Kanayama

426

1372

EFFECT OF DRYING METHODS ON DIETARY FIBER CONTENT IN DRIED FRUIT AND VEGETABLE
FROM NON-TOXIC AGRICULTURAL FIELD
Lalita Siriwattananon and Jiradech Maneerate

432

1392

TUNING DIFFERENT TYPES OF COMPLEX QUERIES USING THE APPROPRIATE INDEXES IN
PARALLEL/DISTRIBUTED DATABASE SYSTEMS
Mohamed Chakraoui, Abderrafiaa Elkalay and Naoual Mouhni

437

1393

THE DEVELOPMENT OF A LOW COST MOTION ANALYSIS SYSTEM: CEKAK VISUAL 3D V1.0
G. Mustapha, M.F. Abdul Razak, M.S. Mohd Hamzah, N.H. Mohd Yahya and J. Mahmud

445

ID

Environment

450

1118

EVALUATION OF AERMOD AND CALPUFF DISPERSION MODEL PERFORMANCE IN PREDICTING
SULFUR DIOXIDE CONCENTRATION FROM PETROLEUM REFINERY COMPLEX IN THAILAND
Sarawut Thepanondh, Pantitcha Outapa and Suwadi Saikomol

451

1123

ON THE LONG-TERM VARIATIONS OF THE SURFACE HYDROGRAPHIC ANOMALIES IN THE
NORTHERN HEMISPHERE
Ibrahim A. Maiyza, Tarek M. El-Geziry, Hussein I. Maiyza and Mohamed S. Kamel

457

1136

ANAEROBIC DIGESTION OF COMMON (INVASIVE) WEED SPECIES(CO-DIGESTION WITH MANURE):
A LITERATURE REVIEW
Jamal Algraeo

462

1149

WATERPLANT PURIFICATION OF EUTROPHICATED WATER IN EXPERIMENTAL MESOCOSM SYSTEM
WITH LONG-TERM OBSERVATION
Kazuhito Murakami and Akiko Inoue-Kohama

468

1152

DEVELOPMENT OF FUEL CONSUMPTION MODEL IN ESTIMATING ENERGY DEMAND AND CO2
EMISSIONS FOR INTER-REGIONAL ROAD TRANSPORT USING ROAD SEGMENTS AND O-D DATA
Marloe Sundo, Karl Vergel and Ricardo G. Sigua

474

1158

INVESTIGATING THE LINKS BETWEEN LAND USE AND WATER QUALITY FOR FRESHWATER PEARLMUSSEL, MARGARITIFERA MARGARITIFERA, IN THE RIVER SOUTH ESK, SCOTLAND
Le Ma

479

1169

USE OF SI-PHYTOLITHS IN DEPOLLUTION OF MINING INFLUENCED AREAS IN SEMI-DESERT TO
DESERT REGIONS OF THE CERRADO-CAATINGA, MINAS GERAIS, BRAZIL. A LOW COST PROCESS.
Horn A.H., Sampaio R.A., Fernandes-Horn H.M., Alves de Oliveira E.S., Lepsch I.F. & Bilal E.

485

1173

EFFECT OF SPEED ON EMISSIONS OF CONVENTIONAL AIR POLLUTANTS IN URBANENVIRONMENT: CASE STUDY OF TRUCK EMISSIONS
Pantitcha Outapa, Akira Kondo and Sarawut Thepanondh

490

1175

ZOOPLANKTON AND PHYTOPLANKTON IN ALL ANOXIC LAYERS OF LAKE FUKAMI-IKE
Hiromi Suda , Masaaki Tanaka , Megumi Nobori and Akihiko Yagi

496

1176

SUCCESSION OF EXOTIC GRASSES USED AS COVER PLANTS FOR EROSION CONTROL ON CUTSLOPES, MT. SAKURAJIMA
Kentaro Kondo, Taizo Uchida, Daisuke Hayasaka, Jun Tanaka, Akio Sato and Teruo Arase

501

1177

ASSIMILATIVE CAPACITY OF AIR POLLUTANTS IN AN AREA OF THE LARGEST PETROCHEMICALCOMPLEX IN THAILAND
Apiwat Thawonkaew, Sarawut Thepanondh, Duanpen Sirithian and Lasita Jinawa

507

1184

SMALL-SCALE IRRIGATION PRACTICES AND TRADITIONAL COMMUNITY WATER MANAGEMENT IN
TAKHAR, AFGHANISTAN
Asim Ayoub and Shigeko Haruyama

513

ix

1185

EVALUATING ON THE DEFORMATION OF TIDAL REGIME INDUCED BY SEA LEVEL RISING IN COAST
ON MEKONG RIVER DELTA
Nguyen Huu Nhan and Shigeko Haruyama

519

1194

SOLIDIFICATION/STABILIZATION OF NONVALUABLE RESIDUE FROM WASTE PRINTED CIRCUIT
BOARD ASSEMBLY
Sunisa Tesanan, Suphaphat Kwonpongsagoon and Premrudee Kanchanapiya

526

1196

SUCCESS OF FUEL QUALITY IMPROVING POLICY IN REDUCING EMISSIONS AND AMBIENT
CONCENTRATIONS OF BENZENE: CASE STUDY OF BANGKOK, THAILAND
Lasita Jinawa and Sarawut Thepanondh

532

1201

WINTER URBAN HEAT ISLAND MAGNITUDES OF MAJOR AUSTRALIAN CITIESMelissa Neave and Scott Rayburg

538

1206

MULTIVARIATE GEOSTATISTICAL MODELING OF THE SOIL SPECTROMETRY AND CHEMISTRY FOR
CHARACTERIZING THE SOIL SALINIZATION IN EAST DAKHLA OASIS, EGYPT
Alaa A. Masoud, Mohamed M. El-Horiny, Mohamed G. Atwia and Katsuaki Koike

543

1207

NUMERICAL ANALYSIS ON THE OCCURRENCE OF THERMAL CONVECTION IN FLOWING SHALLOWGROUNDWATER
Junichiro Takeuchi, Makoto Kawabata and Masayuki Fujihara

550

1233

UTILIZATION OF RICE STRAW BIOMASS IN THE PRODUCTION
Rolando P. Javellonar and Victorino T. Taylan

557

1252

THE SEVERAL TYPES OF INVOLUNTARY BODY MOVEMENT CAUSED BY THE ELECTROMAGNETICWAVES EMITTED BY CELL PHONES
Yoshiro Fujii

563

1254

STATE OF AMBIENT AIR QUALITY IN MARRAKECH CITY (MOROCCO) OVER THE PERIOD 2009 –2012
Manal Inchaouh, Mohamed Tahiri, Bouchra El Johra and Rachid Abboubi

566

1257

STUDY ON REMOVAL OF RADIOACTIVE MATERIAL FROM MARINE AND LAKE MUD
Keiichiro Shibata, Hidenori Yoshida and Naomichi Matsumoto

572

1262

A COMPARISON OF THE SHADING EFFECTIVENESS OF TWO TYPES OF TREE CANOPY SHAPE IN
PENANG, MALAYSIA
Julia Md. Tukiran, Jamel Ariffin and Abdul Naser Abdul Ghani

577

1264

EXAMINING THE SIX WELL KNOWN EQUATIONS FOR ESTIMATING REFERENCE
EVAPOTRANSPIRATION IN HERAT, AFGHANISTAN
Homayoon Ganji, Takamitsu Kajisa Masaaki Kondo and Behroze Rostami

583

1274

USE OF FLU GAS DESULFURIZING GYPSUM FOR REMOVAL OF OFF-FLAVORCOMPOUNDS IN FISH PONDS WATER
Niwooti W., Redel G., Udomluk S., Supannee S., Pornpimol P. and Kanda W.

592

1279

1281

1293

1314

OF BIODEGRABLE GEOTEXTILEKNOWLEDGE, ATTITUDE, AND SELF-CARE PRACTICE AMONG HYPERTENSIVE PATIENTS IN
PATHUM THANI, THAILAND.
Chotisiri L., Yamarat K. , Trongskul T. and Taneepanichskul S.
THE EFFECTS OF TRADITIONAL THAI SELF-MASSAGE USING WILAI MASSAGE STICKTM IN
PATIENTS ON UPPER TRAPEZIUS WITH MYOFASCIAL TRIGGER POINTS: A RANDOMIZEDCONTROLLED TRIAL
Phanida Wamontree, Naowarat Kanchanakhan, Wichai Eungpinichpong and Apichon Jeensawek
ENGLISH LEARNING DEVELOPMENT OF AGRICULTURAL STUDENT IN AGRICULTURAL MACHINERYSUBJECT
Dowroong Watcharinrat and Fathiyyah
A PARAMETRIC STUDY OF CLIMATIC-HYDROLOGIC FACTORS IMPACT ON WATER QUALITY IN
KHLONG U-TAPAO RIVER BASIN, THAILAND
Saudee Maprasit, Chaisri Suksaroj and Rotchanatch Darnsawasdi

x

598

603

606

610

1331

A SIMULATION MODEL FOR COUPLED GROUNDWATER AND OPEN-CHANNEL FLOW IN
RECLAIMED TIDAL PEATSWAMP
Aswandi, Robiyanto. H. Susanto, Edward Saleh, Iskhaq Iskandar and M. RaisAbdillah

616

1363

A METHOD OF PARTNERSHIP BETWEEN GOVERNMENTS AND CITIZEN’S COMMUNITY GROUPSFOR ACHIEVING ENVIRONMENTAL SUSTAINABILITY: FOCUSING ON THE LANDCARE MOVEMENTIN AUSTRALIA
Tomomi Maekawa

622

1380

DEVELOPMENT OF ANTHROPOMETRIC CHAIR BASED ON ARM SPAN, KNEE HEIGHT AND SITTINGHEIGHT FOR ELDERLY
Fatmah and Erwin

628

1385

HIGHLY EFFICIENT OXIDATION AND SIMULTANEOUS REMOVAL OF ARSENITE WITH CuO/ZnO
PHOTOCATALYST
Abdus Samad, Hideyuki Katsumata, Tohru Suzuki and Satoshi Kaneco

635

1386

VISIBLE WEAK FLUORESCENT LIGHT PHOTOCATALYTIC DEGRADATION OF ORANGE II AND METHYL
ORANGE WITH DYE-SENSITIZED TIO2
Md. Ashraful Islam Molla, Hideyuki Katsumata, Tohru Suzuki and Satoshi Kaneco

640

1397

GREEN SUPPLY CHAIN IMPLEMENTATION IN MALAYSIA: A PERSPECTIVE
Alina Shamsuddin, Eta Wahab and Nor Hazana Abdullah

644

1341

INNOVATIVE GREEN EXTRACTION TECHNOLOGY FOR OIL EXTRACTION AND ITS APPLICATION IN
DIFFERENT FIELDS

650

1366

DIGITAL HERBARIUM OF THE CROP PLANTS OF BANGLADESH FOR TAXONOMIC STUDIES

662

Authors index

xiFirst International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

PrefaceOn behalf of the SEE 2015 Organizing Committee, it is our great pleasure to welcome you to theInternational Conference Science, Engineering & Environment, held at the Center Palace Grand Hotel, Tsu,
Mie, 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 and Genetic 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 from different countries all over the world. The technicalpapers were selected from the vast number of contributions 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 2015. We hope you enjoy theconference and find this experience inspiring and helpful in your professional field. We look forward toseeing you at our upcoming conference next year.
Best regards,
Prof. Dr. Zakaria Hossain, Conference Director
Prof. Dr. Satoshi Kaneco, Conference ChairmanxiiFirst International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

Organization
Scientific Committees:
Honorary Chairman: Dr. Sohji Inoue, E/Prof. Mie University, Japan
Conference Chairman: Dr. Satoshi Kaneco, Prof., Mie University, Japan
Conference Director: Dr. Zakaria Hossain, Prof. Mie University, Japan
Conference Organizing Committee:
Dr. Satoshi Kaneco, Prof., Mie University, Japan (Chair)Dr. Zakaria Hossain, Prof. Mie University, Japan (Director)
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. Nakib Dan Khan, A/Prof. Mie 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

xiiiInternational Technical Program Committee:
Prof. Zachary Senwo, Alabama A&M University, United States
Prof. Essaid Bilal, Ecole Nationale Superieure Des Mines De Saint Etienne, France
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
Prof. Catherine Mulligan, Concordia Institute of Water, Energy and Sustainable Systems, Canada
Prof. Daffalla Rabih, Kenana Sugar Company, Sudan
Prof. Ibrahim Maiyza, National Institute of Oceanography & Fisheries, Egypt
Prof. Marilia Hagen, Indiana University, United States
Prof. Md. Abdul Baset Mia, BSMR Agri. Univ., Bangladesh
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
A/Prof. Abdull Halim Abdul, OIl and Gas department, Malaysia
A/Prof. Abdull Halm Abdul, 537 Jalan Jasmin 17, Malaysia
A/Prof. Baoping Cai, China University of Petroleum, China
A/Prof. Dariusz Jakóbczak, Koszalin University of Technology, Poland
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. Sarawut Thepanondh, Mahidol University, Thailand
A/Prof. Yasir Al Hussein, Jerash University, Faculty of Engineering, Jordan
A/Prof. Bindeshwar Singh Kamla, Nehru Institute of Technology, India
A/Prof. Namir Alkawaaz, University of Almustansiriyah, Iraq
Dr. Akinola Johnson Olarewaju, Federal Polytechnic Ilaro, Ogun State, Nigeria, Nigeria
Dr. Alexandre Costa, Federal University of the valleys of Jequitinhonha and Mucuri, Brazil
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. Evgeni Starikov, KIT, Karlsruhe, Germany; Chalmers, Gothenburg Sweden, Germany
Dr. Iskhaq Iskandar, Dept. Physics, University of Sriwijaya, Indonesia
Dr. Loc Nguyen, Sunflower Soft Company, Vietnam
Dr. Mohd Afendi Rojan, Universiti Malaysia Perlis, Malaysia
Dr. Mohd Altaf, University of kashmir Delina Baramulla J&K India, India
Dr. Mostafa Khater, Egypt - El sharqia - Zagazig, Egypt
Dr. Mostafa Khater, Egypt - El sharqia - Zagazig, Egypt
Dr. Nashrul Fazli Mohd Nasir, Universiti Malaysia Perlis, Malaysia
Dr. Rolando Javellonar, Romblon State University, Philippines
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. Jingwei Zhao, University of Wollongong, Australiaxiv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
Prof. Dr. Satoshi Kaneco
Note- A: Associate, E-Emeritus

xv

SEE-Mie, Japan, Nov. 19-21, 2015

Keynote Papers

1First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

SUSTAINABLE HYDROGEN PRODUCTION WITH ZINC OXIDESatoshi Kaneco
Department of Chemistry for Materials, Graduate School of Engineering, Mie University, Japan

ABSTRACT
Nonmetal (N and B) doped ZnOs were developed for hydrogen production from aqueous sacrificial anion,
S2−−SO 3 2−, solution. In the present work, N− and B−doped ZnO nanomaterials were successfully prepared by asimple, effective, high yield, and low cost mechanochemical combustion technique, with addition of urea or boric
acid to a zinc acetate and oxalic acid mixture. The prepared oxides were characterized by X−ray diffraction (XRD),
BET surface area analysis, X−ray photoelectron spectroscopy (XPS), scanning electron spectroscopy (SEM),
UV−visible diffuse reflectance spectroscopy (UV-DRS), and photoluminescence spectroscopy (PL). The
photocatalytic hydrogen production was observed with 880 μmol g−1 for undoped ZnO with 0.4 M Na 2 S + 0.4 M
Na 2 SO 3 solution, due to in-situ formation of a ZnS/ZnO heterojunction. The doped ZnO materials had better
activity than undoped ZnO. The photocatalytic H2 evolution with B−doped ZnO (1730 μmol g−1) was larger
compared with those obtained with N−doped ZnO. The photocatalytic H 2 productions with B−doped ZnO wereaffected by parameters such as calcination temperature, calcination time, and doping concentrations. The B−doped
ZnO demonstrated higher activity due to small particle size, large surface area, and reduction of electron−holerecombination.

2

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

WHAT CAN BE KNOWN REGARDING EVAPOTRANSPIRATIONLEVELS OF HERAT IN AFGHANISTAN IN 120 DAYS VIA WIND EFFORTS TOWARDS RESEARCH IN REGARD TO
EVAPOTRANSPIRATION LEVELS IN WAR-TORN AFGHANISTAN Takamitsu Kajisa
Department of Environmental Science and Technology, Graduate School of Bioresources,
Mie University, Japan
ABSTRACTThe only place we know of that has a higher level of evapotranspiration than Afghanistan’s Herat is the area
made famous by gambling, Las Vegas. In both areas, on a summer day, evapotranspiration levels will be over
10mm/day. This is more than double what the average evapotranspiration level is in Japan. I’ve heard that Las
Vegas was built on land that couldn’t be used for farming, so it became a gambling town. The weather data for
Herat is as strange as that. Results garnered from comparisons of many calculation methods have been announced
by many researchers, however, for example, in reference to Herat, the evapotranspiration level we got from theHargreaves-Samai method (heretofore, HS method) was greater than that which we got from the Penman-Monteith
method (heretofore PM method, the standard calculation method in FAO). We were able to confirm that thedifference was more than double in fall and spring in Herat, when there is no high wind. In summer, for 120 days
almost from July to September, there is high wind. This difference shows that the demand for water from the river,
via a difference in calculation method, differed by double and that there were growing concerns that this would be
the start of a conflict. Differing from the PM method, the HS method does not use wind speed data, and it’s said
that it is the proposed calculation method for semi-arid and arid land. Therefore, the treatment of wind speed might
be constant or be changing as corresponding to air temperature or sun-shine. However, the spring and fall seasonsat Herat have a low wind speed close to that of mid-winter. Therefore, we are studying the obvious faults in the
HS method in spring and fall concerning the result. In this way, we’re not simply reporting an example that shows
a comparative scale of evapotranspiration based on many calculation methods. While paying respect to the original
work, we’re going one by one through the hypotheses introduced when each calculation method was proposed andthrough comparison to Herat’s weather data, we are able to confirm the practicality of the PM method while
recognizing the special characteristics of each suggested calculation method and Herat’s weather. In this way, thisis a set of comparisons not using any tools, relying only on logic. At present, these are the efforts we are putting
into the research of evapotranspiration levels in war-torn Afghanistan.

3

SEE-Mie, Japan, Nov. 19-21, 2015

Technical Papers

4SEE-Mie, Japan, Nov. 19-21, 2015

Science5First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

POTENTIAL EFFECTS OF MELALEUCA HONEYON ORAL STREPTOCOCCI BIOFILM
Wen-Jie, NG1, 2*, and Ricky, RACK1
1

Faculty of Science; 2Centre for Biodiversity Research,

Universiti Tunku Abdul Rahman, 31900, Perak, Malaysia

ABSTRACT
Various pharmacognosy studies of honey have been conducted in different regions worldwide. Ever since thediscovery of antibacterial activity of honey in 1892, honey has been selected as one of the treatment remedies
against bacterial infections. On the other hand, oral Streptococcus species has been known to be the maincausative agent leading to dental caries. The formation of biofilm by these bacteria is one of the main causes of
their detrimental effects on teeth surface. Hence, the objectives of this study were to isolate oral viridans
streptococci and to determine the potential effects of Melaleuca honey on the cariogenic bacterial biofilm. In thisstudy, twenty salivary samples were collected and a total of three identified streptococci isolates were obtained.
These bacterial isolates were then subjected to biofilm assays with different concentrations of honey samples(100%, 50%, 25%, 12.5% and 6.25%, w/v). Results showed the strongest effects of Melaleuca honey wereobserved at 50% (w/v) concentration that inhibited 54.8% of biofilm formation and also reduced 75.5% biomassof the established biofilm. In brief, obtained outcomes demonstrated the potential effects of Melaleuca honeyagainst cariogenic streptococci biofilm and it could be recommended for further analyses as a potent inhibitory
agent against dental caries.
Keywords: Melaleuca, Streptococci, Cariogenic, Biofilm

Melaleuca honey was found to exhibit cytotoxic
effect against HT29 human colon cancer cells as well[6, 7]. In addition, Melaleuca honey also showed
potent antibacterial activity against Klebsiellapneumoniae, Staphylococcus aureus, Escherichia
coli, Salmonella spp. and vancomycin-resistantenterococci [8]. Study showed this honey contains
phenolic compounds which exhibit free radical
scavenging activities that lead to oxidative damage
on bacterial cells [9, 10].
Despite the awareness about dental hygiene,
dental caries remains one of the top chronic problems
in the world. Dental caries is always associated withlack of fluoridation, poor hygiene and formation ofplaque [11]. The formation of bacterial plaque iscommonly caused by a heterogenous group of αhaemolytic streptococci that present in the oralcavity. Some examples of viridans streptococci are
Streptococcus mutans, Streptococcus salivarius,
Streptococcus mitis and Streptococcus sanguis [12].
These bacteria along with other bacterial species
colonize the tooth surface, forming oral biofilm or
plaque. Furthermore, biofilm causes a bacterial cellchanges its gene expression and could become 1000
times more resistant to the antibiotics and other
antimicrobial agents than its planktonic counterparts

INTRODUCTION
Honey is a common natural sweetener createdfrom the enzymes found in bees and propolis.
Differences in the nectar source may be accountableto variety in the color and flavor of honey [1].
Reports recorded the medicinal usage of honey as anantimicrobial agent turns out to be a good remedy
without any other observable complications [1, 2].
Literatures propose that the antibacterial properties ofhoney are mainly contributed by its high osmolarity,
viscosity, acidic pH and also the presence ofhydrogen peroxide [1]. However, the potency ofhoney against bacteria differs among different types
of honey. Differences in botanical origins,
geography, season as well as processing and storage
conditions may contribute in variations of active
components in honey [3].
In Southeast Asia, Melaleuca honey or commonly
known as Gelam honey, originated from Melaleuca
cajuputi Powell or Gelam trees which can be foundnaturally in swamp forests [4], possesses the ability
to promote wound healing process [5]. Other than
reducing the levels of inflammatory mediators, suchas tumor necrosis factor-α (TNF-α) andcyclooxygenase-2 (COX-2) in inflamed wounds,
6

SEE-Mie, Japan, Nov. 19-21, 2015

overnight and the dye was solubilized with acetoneethanol solvent. Twenty microliters of the resulting
solution was added to 180 µl of solvent contained ina second microtitre plate. The extent of biofilm
formation was determined with the absorbance at 570
nm wavelength. Each assay was conducted intriplicate and average values were obtained. The
reduction of the biofilm biomass was calculated:
Reduction of biofilm formation (%) =b / a x 100%
Whereby, a = absorbance of negative control
b = absorbance of bacterial suspension with honey[13]. Hence, in this study the potential effects ofMelaleuca honey against cariogenic bacterial biofilm
were assessed.
MATERIALS AND METHODS
Honey Sample
Melaleuca honey sample was collected byauthorized bee farmers under the supervision of the
Ministry of Agriculture and Agro-based Industry,
Malaysia and kept in the dark at room temperature toprevent reduction of glucose oxidase content byphoto-oxidation [14]. Honey was serially diluted with
distilled water to achieve concentrations of 100%,50%, 25%, 12.5% and 6.25% (w/v).

Reducing effect of honey on established biofilm
With modifications [15], prepared 0.5 McFarland
bacterial suspension was dispensed into a sterile flatbottomed microtitre plate and incubated for 24 hours
at 37°C without shaking. The planktonic bacterial
suspension was then discarded, followed by the
inoculation of 200 µl of honey samples and incubatedagain for 24 hours at 37°C.
After incubation, the planktonic bacteria wasgently removed and the remaining attached biofilm
was then fixed with 10% (v/v) formaldehyde for 5
minutes. The fixative was then removed and the wells
were washed gently with PBS solution twice. The
attached biofilm was stained with 0.1% (v/v) crystal
violet for 5 minutes and excessive dye was discarded.
Then, the stained microtitre plate was left to dry
overnight and 200 µl of acetone-ethanol solvent wasadded to solubilize the dye. Twenty microlitres of theresulting solution was added to 180 µl of solvent
contained in a second microtitre plate. The extent of
biofilm biomass was determined from the absorbanceat 570 nm wavelength. Each experiment was
conducted in triplicate and the average values wereobtained. The reduction of the established biofilm
biomass was calculated based on the following
formula:Reduction of established biofilm biomass (%) =b / a x 100%
Whereby, a = absorbance of negative control
b = absorbance of biofilm treated with honey

Isolation of Oral Streptococci
Twenty salivary samples were collected and eachsample was diluted to 1/1000. The diluted samples
were then cultured on nutrient agar plate andincubated overnight at 37°C. Single colonies formed
were further identified with biochemical tests.
Biochemical Identification Tests
Preliminary identification of the single colonies
was carried out with Gram staining and catalase test,
whereby only isolates with Gram-positive cocci inchains and catalase-negative were further subcultured
on sheep blood agar for the determination of
haemolytic activity. Then, the α-haemolytics (partial
haemolysis) isolates were further identified using the
API 20 Strep system. The 7-digit numerical profile
was entered into the apiwebTM identification software
database to obtain the bacterial identity. These
isolates were then used in the biofilm assays.
Biofilm Assays
Inhibitory effect of honey on the formation of biofilm
By referring to previous study [15], 0.5
McFarland bacterial suspension was inoculated into
each honey sample. Then, 200 µl of the mixture wasdispensed into a sterile flat-bottomed microtitre plateand incubated for 24 hours at 37°C without shaking
to allow the establishment of biofilm. Afterincubation, the liquid phase or planktonic bacteria
was gently discarded and the remaining attachedbiofilm was then fixed by with 10% (v/v)
formaldehyde for 5 minutes to prevent further
bacterial growth. The fixative was then discarded andthe wells were washed gently with phosphatebuffered solution (PBS) twice. Crystal violet (0.1%,v/v) was used to stain the attached biofilm for 5
minutes.
Then, the stained microtitre plate was left to dry

RESULTS
Isolation of Oral Streptococci Species
As shown in Table 1, the three isolates are Grampositive cocci, in chains, catalase-negative andexhibited partial haemolysis on sheep blood agar,
indicating their α-haemolytic property. Table 2 shows
the identification percentage of the streptococci
isolates based on the numerical profile of API 20
Strep System.

7

SEE-Mie, Japan, Nov. 19-21, 2015

N and Isolate J, respectively. On the other hand, thelowest biomass reduction was exhibited by honeyconcentration of 6.25% (w/v) on Isolate N with only
5.6% reduction.

Table 1 Preliminary identification screening ofbacterial isolates
Isolate Gram
Shape
Catalase
Haemolystain
and
test
tic
arrangeproperty
mentJ+
cocci,
αin
haemolysis
chainsN+

cocci,
inchains-αhaemolysis

P+

cocci,
inchains-αhaemolysis

Note: + positive; - negative.
Table 2 The API 20 Strep identification of viridans
streptococci
Isolate Numerical
Percentage of identification
profile(%)
J
0040440
Streptococcus mitis
87.8
N
5040670
Streptococcus mutans
97.0
P
5040770
Streptococcus mutans
99.9

Fig. 1 Inhibitory effect of Melaleuca honey on
biofilm formation.

Biofilm Assays
Figure 1 summarizes the effect of Melaleuca
honey on the biofilm formation of three different oral
streptococci isolates. Based on the figure, it can showthat all concentrations of honey were able to inhibit
biofilm formation. Generally, as honey concentration
increased, the percentage inhibition of biofilm
formation was increased as well. However, theinhibitory effect of 100% (w/v) honey was reduced
drastically, reaching a biofilm reduction as low as
1.4% for Isolate J. The greatest biofilm inhibition wasobserved at 50% (w/v) honey concentration with apeak of 54.8% on Isolate P followed by reductions of
50.7% and 25.0% on Isolate N and Isolate J,
respectively. On the other hand, the lowest inhibition
was exhibited by honey concentration of 6.25% (w/v),
on Isolate J at 2.7%.
Figure 2 illustrates the effect of Melaleuca honeyon 24-hour established biofilm of three different oral
streptococci isolates. Based on the figure, allconcentrations of honey were able to reduce biofilmwith more concentrated honey samples exhibited
greater reduction. However, the percentage reductionof biofilm biomass was reduced significantly at 100%(w/v) concentration of honey. The greatest biofilm
reduction can be observed at 50% (w/v) honeyconcentration with a peak of 75.5% on Isolate P,
followed by reduction of 57.2% and 34.6% for Isolate

Figure 2: Reducing effect of Melaleuca honey on
established biofilm.
DISCUSSION
The major bacterial populations that contribute to
the plaque formation on teeth are Gram-positive
viridians streptococci such as Streptococcus mutans,
Streptococcus mitis and others which is a part of thenormal flora in oral cavity [12]. Based on theoutcomes, Melaleuca honey was shown to be able toinhibit biofilm formation of all oral streptococci
isolates. The efficacy of honey in reducing biofilm
formation is believed due to many antibacterial
properties as well as its involvement in inhibiting
bacterial quorum sensing [9]. One of the postulated
mechanisms which inhibit the formation of biofilm is8

SEE-Mie, Japan, Nov. 19-21, 2015

through the repression of signaling molecules [9, 12].
Previous study showed that chestnut honey was able
to inhibit N-acyl-L-homoserine lactones that
repressing quorum sensing, thus inhibiting biofilm
formation of Aeromonas hydrophilia, Yersinia
enterocoliticia and Erwinia carotovora [9]. In asimilar way, this may explain how Melaleuca honeywas able to inhibit bacterial biofilm formation ofviridans streptococci [16].
In addition, Melaleuca honey contains phenolic
compounds such as gallic acid and ferulic acid thatcan manifest free radical scavenging activities which
are also able to exert antibacterial effects [9]. Hence,the presence of these compounds is believed tocontribute in the antibacterial action of Melaleuca
honey against viridans streptococci. Consequently,
the presence of higher amount of phenolic
compounds in more concentrated honey explains thegreater inhibitory effect on biofilm formation [17].
Many studies also attribute the antibacterial effectof honey to its acidic nature. To place things inperspective, the viridans streptococci grow well at a
pH of 6.75 to 7.25, which is the pH of the oral cavity[18]. Thus, due to the presence of gluconic acid,honey with its average pH of between 3.2 and 4.5 isable to inhibit the growth of bacterial cells [3].
However, the acidity is reduced in highly diluted
honey which explains the inhibitory effect on biofilm
formation was lower at 6.25% (w/v) honeyconcentration [10].
Furthermore, honey as a highly concentrated
solution of sugars can reduce the availability of water
necessary for bacterial growth as the sugar molecules
in honey bind with water molecules [14]. Secondly,
the presence of honey creates a hypertonic condition
which causes water to diffuse out from bacterial cell[19]. The bacterial cell will not be able to sustain its
growth in concentrated honey with higher osmolarity
effect, thus biofilm formation is inhibited. However,
the antibacterial mechanism of natural honey is not
solely due to its high sugar content [20].
The highest reduction in biofilm biomass for all
isolates was found at honey concentration of 50%(w/v) but the reduction dropped significantly at 100%(w/v) concentration. Such outcome could be
attributed by the presence of hydrogen peroxide inhoney which is an oxidizing agent that can inhibit
bacterial growth and metabolism [14]. Hydrogen
peroxide is generated in a reaction involving theendogenous enzyme glucose oxidase which oxidizes
glucose to gluconic acid and hydrogen peroxide [3,14]. However, water is needed to activate glucose
oxidase in this reaction [14]. In this study, at thehighest concentration of honey sample, there wasinsufficient water for the activation of enzymatic
activity to generate hydrogen peroxide that explains
the reduction rate of established biofilm was lower at
100% (w/v) than 50% (w/v).

CONCLUSION
In general, Melaleuca honey was shown to exert
antibiofilm effects on all oral cariogenic streptococci
isolates. Further studies are needed to evaluate its
therapeutic potential against cariogenic bacteria forthe prevention of dental caries.
ACKNOWLEDGMENTS
The authors appreciate the facilities and financial
support provided by the university.
REFERENCES[1] Singh MP, Chourasia HR, Agarwal M, Malhotra
A, Sharma M, Sharma D, Khan S, Honey ascomplementary medicine: a review, International
Journal of Pharma and Bio Sciences, Vol. 3(2),2012, pp. 12-31.
[2] Molan PC, Honey: antimicrobial actions and rolein disease management, New Strategies
Combating Bacterial Infection, In I. Ahmad & F.
Aqil, Eds. Weinheim: Wiley VCH; 2009, pp.
229-53.
[3] Mandal S, DebMandal M, Pal NK, Saha K,
Antibacterial activity of honey against clinicalisolates of Escherichia coli, Pseudomonas
aeruginosa and Salmonella enterica serovar
Typhi, Asian Pacific Journal of Tropical
Medicine, Vol. 3(12), 2010, pp. 961-4.
[4] Zainol MI, Yusoff KM, Yusof MYM,
Antibacterial activity of selected Malaysian
honey, BMC Complementary & Althernative
Medicine, Vol. 13(129), 2013, 1-10.
[5] Tan MK, Adli DSH, Tumiran, MA, Abdulla MA,
Yusoff, KM, The efficacy of Gelam honeydressing towards excisional wound healing,
Evidence-Based Complementary and Alternative
Medicine, Vol. 2012, 2012, pp. 1-6.
[6] Tey CPW, Hussein SZ, Abdullah S, Karim NA,
Makpol S, Yusof YAM, Gelam and Nenas
honeys inhibit proliferation of HT 29 coloncancer cells by inducing DNA damage andapoptosis while suppressing inflammation, Asian
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[7] Vallianou NG, Gounari P, Skourtis A, Panagos J,
Kazazis C, Honey and its anti-inflammatory,
anti-bacterial and anti-oxidant properties,
General Medicine, Vol. 2(2), 2014, pp. 1-5.
[8] Ng WJ, Ken KW, Kumar RV, Gunasagaran H.
Chandramogan V., Lee YY, In-vitro screening of
Malaysian honey from different floral sources
for antibacterial activity on human pathogenic
bacteria, African Journal of Traditional,
Complementary and Alternative Medicines, Vol.
11(2), 2014, pp. 315-8.

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[9] Lee KY, Abdul Razak SL, Ismail N, Ng CF,
Asyraf MH, Goon JA, Sharif NM, Jubri Z,
Malaysian Gelam honey reduces oxidative
damage and modulates antioxidant enzyme
activities in young and middle aged rats, Journalof Medicinal Plants Research, Vol. 5(23), 2011,
pp. 5618-25.
[10] Ng WJ, Chin TJ, Khoo BHY, Antioxidant
properties, enzyme activities and inhibitory
effects of Melaleuca honey against cariogenic
bacteria growth and biofilm formation, Advancesin Environmental Biology, Vol. 8(18), 2014, pp.
1-7.
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TM, Lamont RJ, Intergeneric communication indental plaque biofilms, Journal of Bacteriology,
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[12] Sweeny LC, Dave J, Chambers PA, Heritage J,
Antibiotic resistance in general dental practice-a
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[13] Proal A, Understanding Biofilms, Bacteriality —exploring chronic disease, 26 May, 2008, Web.
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[17] Ng WJ, Lim KY, Chong JY, Low KL, In vitro
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[18] Ahmed M, Djebli N, Aissat S, Khiati B, Meslem
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10

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

INDUCED EARTHQUAKES CORRELATIONS WITH EARTH’S
CRUSTAL THICKNESSMarilia Hagen
Department of Geological Sciences, Indiana University, USA

ABSTRACTIn this paper we carried out an investigation about the possible causes for enhancement of earthquakes in
USA over the last seven years. From our calculations, indications set forth that the increased evolution of thequakes in the country is due to the human actions. For further analysis we divided the country into three main
seismological regions: western, central and, eastern. We roughly classified the areas by their thickness ofEarth’s crust in a variation 25-45-25 km. The thickest area is in the mid- continent and most of this region arepart of the Great Plains. In our study we are going to investigate the reason for the Mississippi Lime in
Oklahoma a very thick area, started an unusual earthquake activity since 2010, most at Oklahoma/ Kansas
border. In this region also there are many anthropogenic activities concerning with the waste water wells andmore than 4000 of them active at the moment in the state. The enhancement of earthquakes cluster isinvestigated in other locations in the USA. Those studies elsewhere indicated that the anthropogenic reasons
vary; one of the most important is the deep waste water disposal used to recycle contaminated water extracted
from the gas and oil wells, and other independent sources will be examined. We intend to explain why not all
the waste wells are triggering earthquakes and how it would be strongly attached to the unevenness of the
Earth’s crust.
Keywords: Earth’s crust, waste wells, Oklahoma
as far as 35 kilometers away. Wastewater can result
from a variety of processes, including those related
to energy production. For example, water is usuallypresent in rock formations containing oil and gas
and therefore will be co-produced during oil andgas production. Wastewater can also occur as flow
back from hydraulic fracturing operations thatinvolve injecting water under high pressure into arock formation to stimulate the movement of oil
and gas to a well for production.

INTRODUCTION
There are many ideas and speculations on
why intraplate events occur, but no consensus has
emerged on how they are generated or how they
continue to occur over many earthquake cycles.
Intraplate earthquakes also present significant
seismic hazards, especially because they can affectdensely populated regions with little preparation
for seismic shaking. The existence of intraplate
earthquakes remains a deep scientific mystery withstrong social implications that needs to be solved
by innovative approaches. In this paper we aretrying to explain how intraplate earthquakes areassociated with the thickness of the earth’s crust,and how the manmade earthquakes would represent
a threat for the society.

Wastewater
injection
increases
theunderground pore pressure, which may, in effect,
lubricate nearby faults thereby weakening them. If
the pore pressure increases enough, the weakened
fault will slip, releasing stored tectonic stress in theform of an earthquake. Even faults that have not
moved in millions of years can be made to slip andcause an earthquake if conditions underground areappropriate.
Although the disposal process has
the potential to trigger earthquakes, not every
wastewater disposal well produces earthquakes. In
fact, very few of the more than 30,000 wells
designed for this purpose appear to cause
earthquakes. In this paper, we investigated why
and where the disposal wells would trigger
earthquakes.

Ellsworth [1] agreed the number ofearthquakes related to fracking has been increased
and the industries should monitor them better, it
agrees with our observations in locations as
Oklahoma as we are going to discuss later. McGarr
et al., [2] made a study about the anthropogenic
seismicity and described that in some regions
manmade earthquakes are more obvious because
background seismicity is low. Our research find outthat places as the midcontinent are easier tocheckout human activity than California coast.

RESULTS

Scientists [3] speculated that wastewater wells
could be responsible for creating a wave ofpressure that crawled through the subsurface andtriggered the earthquakes far from the wells, some

Our registers showed earthquakes withmagnitude ≥ 4 are a rare occurrence on the middleof USA covering the period 1965- 2015. Thoserare events happened most near the known fault as

11

SEE-Mie, Japan, Nov. 19-21, 2015

New Madrid. One exception is in Oklahoma/
Kansas border which since 2010 has shown an
increase of seismological events on the Mississippi
Lime and the following characteristics magnitude≥ 4 and depth ≤ 5. Once this pattern on Oklahoma
was delineated by our maps it needed moreclarification and research so we narrowed ourperiod of search to 2009- 2015. There were two
reasons to collected the information on this period,
one it is an implement of great number of waste
water wells injection in the country and other the
excellent records at the same interval in USA,about earthquakes. The Fig.1 shows theearthquakes events in Oklahoma / Kansas last
seven years. The quake activity in this region wasobserved during last fifty years with more details
since 2009, and it was notice an accumulation point
or a cluster of earthquakes last years with
Magnitudes 4-6 which happened most on theMississippi lime, the exact location is at the borderregion Oklahoma/ Kansas determining the highest
activity in the middle continent, sometimes above
California. Historically this region was transformed
through uplifting erosion and exposure to
weathering and other geologic processes all before
being buried again in subsequent periods. This
place is called ‘Chat’ has served as a reservoir rockand its weakness make it fragile for the stress andpressure applied in the region. Events on the area
happened most at depth 0-7 km and the same depth
remarks occurred in other states analyzed. It is apossibility of subsurface faults, fractures in thisregion. Wells there produces lots of water;
produced water is many times saltier than ocean
water. It also can contain toxic metals andradioactive
substances.
Water
disposalunderground is the most inexpensive solution;other treatment methods would costs much more.

that name focuses on a specific part of this area
centered along the Kansas/Oklahoma border, withsome experts estimating it to extend as far as
southern Nebraska. While the largest oil activity
has been in northern Oklahoma, areas now
considered as part of the shale stretched farther
north and west within Kansas. Earlier descriptions
put the area of interest at around seven million
acres, but with extension to the north and west,
estimates now rage to 17 million acres. This area in
Oklahoma is one of the most disturbed since 2009
when the number of earthquakes started to increase.

Figure 1 - Earthquakes withmagnitude equal or above 4 inthe period 2009-2015 in the
Oklahoma/Kansas region.
Waste water wells disposal started around2009 in Oklahoma. In 2011 an earthquake
happened in the area with magnitude, 5.7 and depth
around 5 km, reminding that depth ≤ 5km is one of
the characteristics in what we understood as an
induced earthquake in some areas midcontinent.
At that time it was dismissed as connected with theinjection wells by scientists and by oil/ gas
companies.

The uncommon activity in the region points
out a discrepancy for others places in the middle
country. In order to better understand for thelocation we defined a central region with thefollowing coordinates 37.87N, 33.60S,-94.52E,102.95 W, and considered only earthquakes withmagnitude ≥ 4. Before 2000 the region did notassist any earthquake above magnitude 3 however,the frequency and the magnitude has been increase
last seven years. We also search for the number ofwells conventional and unconventional opened inthis location and they have decreased last two years.
Even though the number of waste water wells isnow, 3,000 wells distributed on all the state, theearthquakes happened preferably in Mississippi
lime region. This location has many conventional
and unconventional wells since 2007 and waste
water wells since 2009. It is a thick limestone
section differing slightly from other plays and havea bigger shale component as part of theirinterbedded zones. The oil and natural gas play of

In Virginia, also in 2011, an earthquake whichcaused much of damage in the area occurred withmagnitude 5.7 in the Richmond basin which is far
from the Marcellus shale coincident with an
introduction in 2010 of a new technic to exploit
coal bed methane that especially in that area is very
hard and explosive. Coal bed methane is a natural
gas trapped in the seams of coal deposits, and when
it is sucked from the earth it brings up enormous
amount of water with salt and it can’t be legally
disposed on the ground surface. Therefore it isdrilled in deeper wells, up to 1,5 kilometers down
injecting the water into deeper geologic formations.
At those depths you have natural occurring faults.

12

SEE-Mie, Japan, Nov. 19-21, 2015

You put water there increases the pressure, reduces
the strength and makes the fault lines clamped
together. Also depending on the rocks formation it
could increase the probability of the brittle material
under strain break under the applied pressure near
the faults. This pressure is directly dependent of theYoung’s modulus (modulus of elasticity) andvaries for different materials under strain. Coal
beds in the Triassic Basin near Richmond andFarmville were formed 205 to 245 million years
ago, when Pangea was splitting up rather thancolliding. In the Triassic Basin, pressure to convert
organic plant material into coal came from just theweight of overlying sediments, without tectonic
squeezing - that is why the Chesterfield County
coal is bituminous, rather than semi-anthracite.
Figure 2- This contour map of the
thickness of the Earth’s crust wasdeveloped from the CRUST 5.1
model. The contour interval is 10km; we also include the 45 km
contour for greater detail on thecontinents. [7]The area of our interest is located is located at
north of Richmond and extends across the Virginia
coastal Plain in the tide water region of the state, it
is Taylorsville basin. Since 2009 studies indicatedthat could contain as much as 1,6 trillion cubic feetof natural gas. At this time they introduced a newtechnic in the area known as micro wave fracking
since the production have decreased withconventional wells. Both areas, Oklahoma andVirginia were dealing with the waste water wells,
at the time and it is possible that the big
earthquakes were due to that.

Observe that midcontinent is thicker as 45 km
and greatly varies at the Western side near the
Pacific coast where it is thinner as 25 km. In ourprevious study we found out that the thickness ofthe crust is the most important factor in the surge ofearthquakes in different locations since the crust isuneven in all the continent with variations between
20 -45 km in the midcontinent being less thick at
the Western and Eastern boundaries. Our
study
considered not only those two events, but also theresearching on the enhancement of quakes in otherpoints of USA, obeying the magnitude ≥ 3.5. Fromthese studies the USA response for events allowed
to divide the country in three main regions
seismically active. The central region formed bymost of states in the Great Plains, west and easternsides. The three areas presented diverse geologicalformation,
implying
variedearthquakes
characteristics. The period comprehended 20092015 showed that the Western side near of San
Andreas Fault earthquakes M ≥ 7.0 was notuncommon. However, in the Central and Easternside seldom times earthquakes were M ≥ 5.0 The
western side has a history of higher quake activity
partially because is the boundary of two tectonic
plates , formed by subduction zones, faults known
and unknown , fractures and a thinner crust. The
Central part is very thick sometimes reaching 45
km, and events has lower magnitude. The easternside has a complicated geological history mixing
thicker and thinner places, younger and older crust,the magnitude of earthquakes is not higher than M
6.0; however the intensity of earthquakes at easternside is much more destructive than the westernwith the same magnitude. Recently Hennings et al.

In our other paper [4], we also discussed themechanism for hydraulic fracturing which involves
to injecting mixture of water, sand and chemical
additives into a subsurface petroleum reservoir athigh pressure. The initial stage of a well shows
small earthquakes caused by the strain to break therocks to construct the well. However, each placepursue different geological formation, it means thatsome are harder to break as the coal bed methane in
Virginia, and the stress-strain on the rocks will bemuch higher than for example, the one used to
exploit marine limestone in Oklahoma. The Youngmodulus varies for each material under pressure,therefore it will be more damage depending how
brittle is the material under pressure. Then, for eachgeological formation a different pattern forearthquakes will be delineated.
The crustal
thickness on USA varies is denser in the mid continent in the ten states were covered by theGreat Plains. Apparently it is the reason because
the mid-continent has smaller earthquakes withsome exceptions nearby known faults. The second
conclusion will be the thinner crust will cause
higher magnitude and more frequent earthquakes.
Figure 2 showing the Earth’s crust variations in
USA.

13

SEE-Mie, Japan, Nov. 19-21, 2015[5] discussed the relationship between stress, stressheterogeneity, and the permeability of subsurface
fractures and faults. They analyzed a Sumatra
region, Indonesia. They find out that reservoir
potential is most enhanced in areas with large
numbers of fractures with high ratios of shear tonormal stress. This occurs in areas of the field thatare in strike-slip stress style. Comparatively,
reservoir potential is lower in areas of the field thatare in a thrust- fault stress style where fewer
fractures with high shear- to - normal stress ratios
exist. Working on this direction we find out thatmany earthquakes happen near of some wellbores,
and none happened near others. Therefore, it
showed a clear connection between stress, stressvariability, active faults, and the permeability ofnatural fracture systems in the subsurface. An
extensive analysis in other USA states showed thatthe enhancement of earthquakes were mostobserved in the central part of the country as
indicating non natural causes. Even though theother localities would have a small enhancement
would be harder to detect those events as unnatural.
At the New Madrid seismic zone small earthquakes
with magnitudes between M2 and M4 increased
last seven years with a special increase in
2011which source we could not find. As afollowing research we studied Arkansas because isa state part of New Madrid fault system. In the first
period analyzed
1965-2008 there were only 3
medium events in this area M ≥ 3 by year. After2009 small and medium earthquakes increased. A
location Greenbrier/Guy where 160 earthquakes
happened between small, medium magnitudes withdepths 0- 10km.This location has a minor
Greenbrier fault nearby earthquakes swarm
location. There is also a great number of waste
water wells disposal due the coalbed methane wells.

Colorado had an increase activity due not only for
the waste water disposal wells, but the heavy coal
bed exploration. [6]Texas had three important regions with theincreasing of earthquakes one was in Dallas
observed since 2009, the main characteristic of
those earthquakes is the depth location reported as
5 km. In 2015 it is reported some events with depth≥ 8 km. The activity is possible attached for ahigher number of unconventional wells in theregion. However, the magnitude of those events did
not surpass M4. In 2015, there were 50,000 waste
water wells in Texas. Only one earthquake above
M4 was reported in Dallas, in 1999. The place is astage of increasing small earthquakes but they are
not above M4, in this location is a rare occurrence,and the depths are shallow, seldom times the depth
is above 5 km. The other point targeted forearthquakes is San Antonio all them at 5 km depth,in the period 2009-2015. In 2011 the place wasstroked by a magnitude 4.8. Still working on Texas
State, there was another cluster of earthquakes
located in Snyder. It was discovered some years
ago a new shale in Snyder called Cline shale, it is a
Permian basin comprised of three parts: the eastern
Midland Basin, the central basin Platform and thewestern Delaware basin. This area is covered byblack shale, organic -rich, deep water materials thatwould become source rocks in later geologic
intervals this material is similar as the Mississippi
lime reported in Oklahoma. It is supposed to be anenormous reservoir and they are preparing a heavy
hydraulic fracking next years. The records provided
about 57 small earthquakes up to a depth 7km. In
this particular area of Texas, the events had
increased 2010- 2014. All in all, there are 50,000
waste water wells officially reported in Texas andit covers most of the state. However, the quakes
activity was observed more into the three areas
Dallas, San Antonio, and Snyder.
Finalizing ouranalysis states near New Madrid fault, Arkansas,
Missouri and Tennessee, displayed a pattern withcluster of small earthquakes with epicenter bellow
8 km with small and medium magnitudes. Other
States further was of New Madrid had different
characteristics happened in cluster as well, butshallower depth (0-5 km).

The next location is Colorado in the period
1965-2009 the events started to be recorded in1973 with an explosion reported in East Tavputs
Plateau, unknown origin. A location of Paonia
experiment a swarm of earthquakes reported as
rock burst; the first detection officially wasreported in 2001 in the West Elk Mountain. Since2009 there is an enhancement earthquakes clusters
due to the rock burst those are all small earthquakes.
Other point in Colorado with rise of occurrences islocated in Trinidad, near Sangre de Cristo
Mountain. Trinidad is situated on Raton Basin, at
the foothills of the Rocky Mountain. Colorado also
is part of the four corner region, the larger US
methane anomaly, and highly methane exploration
is being done. Several waste water disposals arelocated there. The sedimentary beds are Paleozoic,
Mesozoic, and Paleogene age. The eastern part ofthe basin, the sedimentary section is covered byflours of basalt of Miocene age as observed in
Richmond, Virginia. Those two locations in

The formation of middle US created diverse
scenarios as unfolded and folded structures,
unconformities as sub surface fractures and faults
hided and unidentified so far. Some regions as
Oklahoma have subsurface faults or fractures that
under intense strain from the directional wells
break or move creating the small events observed.
The analysis on the increased seismicity last few
years provided the following results:a) Prior 2009, the regions targeted had no
history or minor seismicity. b) Magnitude of14

SEE-Mie, Japan, Nov. 19-21, 2015

western where the earthquakes reach magnitudes ≥4, easily.

earthquakes middle of USA had seldom cases of M
≥ 5 therefore; these earthquakes also occur inshallower depths most 0-5 km. On the other hand
events near New Madrid fault for example eventhough rarely happen with M ≥ 5, are able to haveprofounder depth.

About the catalogues investigated and used inthis research there were discrepancies between thenumbers of events, the sets rarely matches witheach other in the period of one year. In the period
2009-2015 only one year USGS reported higher
number of documented events than IRIS (2010).
They remained with different quantities on 2015.
The data categorized as anthropogenic or different
sources started to be classified and released, by
USGS two years ago. On the other hand, several
small earthquakes with depth zero were notreported by USGS, only IRIS had all of themrecorded, though IRIS is unable to distinguishanthropogenic sources. Both catalog provided that
small events magnitudes 0-3 in 2009 were a total of2145 in average covered California. In 2014 thisnumber has increased to approximately 5340
events, with a leadership of Oklahoma and second
California. Oklahoma showed a bizarre behavior in2009 no event M ≥ 4, however in 2014 the number
suddenly is 22 events, last seven years earthquakes
magnitude ≥ 4 are becoming common in Oklahoma.
Apparently everything indicates that this increasein the Mississippi lime area is due to theunconformities of the crustal surface at thisparticular location. In this study we mentioned twoearthquakes Oklahoma, Virginia both with M5.7
both happened in 2011. In the region they occurred
has unfrequently stories of large earthquakes.
However, since 2009 those places added waste
water wells due the exploitation of coal bed
methane that needed to dispose the waste water thatwill be deposed in deeper wells in geologicalformations. However, this method increases thepressure underground, and depending the thicknessof the Earth’s crust in the region, as well thematerial of rocks will lead to earthquakes. Thosequakes are not necessarily close to the wells
depending of what disturbance the injection makes
bellow the ground. A physical model that would
input data and variables, as pressure, Youngmodule, and also considerate the presence of faults
are impossible nowadays some of those faults are
unknown. We are also dealing with different kindof shale material, porosity, permeability, density ofoil , gas or coal , dissimilar thickness of crustal
surface , such factors play different rules on thehazardeventsobserved
andcompiled.
Unconventional wells close associated with waste
water wells, are greatly responsible in the increaseof small and medium earthquakes in some specificarea in the midcontinent. However states thatreported to not have wells experimented anincrease of small superficial /shallower earthquakes
as Georgia and Maine. Nevertheless, Georgia
reported some waste water wells in their territory,
some years ago. Besides those facts there is alsoc) Regions with enhancement in seismicity
last years presented clusters or swarms ofintermittent earthquakes with M ≥3. Some regions
have quakes reaching M≥4 when previously it was
no event in the area. d) Susceptible areas topresent major number of small or medium quakes
in general share a general composition of black,organic- marine formation in the mid-US. e) The
contaminated water injected underground underhigh pressure has a strain effect in the materials
underground and depending of the nature of thematerial reached it will ignite earthquakes insubsurface faults. Because the discrepancies in the
Earth’s crust thickness, under stress different
locations will provide diverse intensity, magnitude
and depth event. Therefore, three reasons will
explain why some places with waste water wells
have low earthquake activity, one is the volume
and pressure applied to the injection, the second
one which material injection water will reach andthe third on is how thick the crust is in this area.
One last reason or cause it would be the presenceof subsurface faults or fractures unknown.
Nowadays, information about waste water wells
locations are incomplete, we guess that thecontaminated, salty water released by methane gas
exploration has a first cheaper discharge the drill ofdeeper wells near the gas exploration sites as
Virginia, Oklahoma, Colorado, California andWyoming. Those wells are the first responders forthe increasing of earthquakes in those states.
On the western side is harder to distinguishthe origin of earthquake unless having instrumentsthat would supply some extra data providing thesource quakes as natural or unnatural. Therefore
analysis to the western side (California) of country
has provided partial data.
The eastern side has a complicated geologicalhistory and contributes with larger earthquake
events, seldom times. However, for the explained
before earthquakes at the eastern side are more
destructive in nature than in the western.
The formation, depth and thickness as thedeposits in each location exploited make anindividual well replies in a unique way toseismological stress. Our analysis on USA showed
an enhancement of small magnitude earthquakes
over the entire land. Many states presented
locations with swarm of small earthquakes withdifferent magnitudes. So far, there are magnitudes
most in the range M3 - M4. The exception it is the15

SEE-Mie, Japan, Nov. 19-21, 2015

big events that are manmade as in Nevada during
the period 1970-1980 or more recently due tonuclear explosions. After 2000, Nevada
earthquakes M≥ 5 are a very rare occurrence;
although at the moment the western side of Nevada
has an enhancement of events, probably associatedwith waste water injection.

thickness of the Earth’s crust, places thicker hasless events, than locations thinner.
The
midcontinent is thicker than western edge;
therefore there are fewer occurrences ofearthquakes and smaller magnitudes in the central
region. The eastern side has an uneven structure in
the Earth’s crust however at contrary of westernside is far from the border of a tectonic plate,therefore events rise smaller magnitudes than thewestern side. Events look connected most to waste
water wells used for coal bed methane and oil,mining, and nuclear explosions; some events were
not reported by both catalogues, many places
showed superficial quakes in a depth 0-1km, those
events are mostly small magnitudes varying 1≤M ≤ 3.

DISCUSSION
The causes of the enhancement of small/medium earthquakes during the period 2009-2014
in USA were due to different human activities.
How those actions influence the ground and will
respond to these interferences is dependent most of
the thickness of the earth’s crust in the region
analyzed. The presence of the subsurface faults or
fractures dormant or half active also will change
the increase in magnitude and the frequency of
events. The western side contributes with thehighest level of magnitude, during the period
observed. California contributed with the events M≥ 6, the biggest events observed thirty years ago in
Nevada were nuclear experiments, nowadays westside of Nevada showing cluster M ≥ 4, not totally
identified by human activity so far. The westernside of USA is the thinnest and younger geologicalregion with some places reaching less than 25 km;
therefore events powerfully increase in theselocations. Central part of USA is the thickest one,around 45 km, and also more stable geologicalformations, the reason for the exception active
Oklahoma / Kansas relays in the awaken
subsurface fractures due to the human activity.

The dependence between magnitude anddepth of earthquakes rely on the ground thickness,thinner ground will create larger magnitude quakes,
the distribution of crust thickness in US is thefollow it is thicker in the middle, thinner in thewestern, and variable at eastern. At western side
magnitudes usually reach M ≥ 7, in the middle ofcountry and eastern seldom times will be M ≥ 5,
the exception would be New Madrid, andCharleston. As a final point, the Oklahoma/Kansas
activity experimented last period 2009- 2014 mostat the depth 0-5 km with medium magnitude ( M≥
3.5) indicates that there is an unknown subsurface
fractures in a region identified as Mississippi Lime,
called as the Chat. This region is similar for the one
observed in Arkansas (with similar earthquakes
swarm, M≥3.5) nearby New Madrid fault.

CONCLUSIONACKNOWLEDGEMENTS

The main issue on our research was toinvestigate the enhancement of earthquakes
intraplate and the possible causes and sources forthat. Our conclusion it was that waste waterdisposal wells in the country the ones known as
deeper disposal wells are responsible for thisincrease. Unfortunately, there is no available
catalog for the waste water disposal wells in the
country. Some states reported waste water wells
and the location but not all of them. Oklahoma
recently released a map with waste water wells andearthquakes, both maps did not match, it meantfrom the 3,000 wells constructed earthquakes
happened near some of them and some place were
uneventful. We found out that most of the higher
activity middle continent area occurred last sevenyears was anthropogenic interference andsometimes partially connected with drilling.

I am thankful to my adviser in Japan, Sigeo
Hamada, from the Nihon University, Tokyo, Japan,
whom was my doctorate adviser period 1986/1988.
I would like to thank Mr. Charles W. Hagen who
corrected some of English. I would like to thank Dr.
M. Hamburger (Indiana University) who helped mewith important suggestions along this research.

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in different scenarios, and far from drilling places
in varied areas of the country; most of them havebeen clear attachment with waste water wells. The
most important factor to earthquakes it is the16

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vol.104, n 5, pg1-20, 2014[7] http://earthquake.usgs.gov/data/crust/ (Figure
2)17

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

GEOCHEMICAL ASSESSMENT OF LATE PALEOGENE SYNRIFT
SOURCE ROCKS IN THE SOUTH SUMATRA BASIN
Edy Sutriyono, Endang Wiwik Dyah Hastuti, Budhi Kuswan Susilo
Geology Study Program of Engineering Faculty of Sriwijaya University
Jl. Srijaya Negara, Bukit Besar, Palembang, Sumatera Selatan,
Indonesia

ABSTRACTThe potential of Late Paleogene synrift source rocks in generating hydrocarbons within the South Sumatra basin has
been evaluated using geochemical and pyrolytic techniques. The samples were collected from the outcropping shales ofdifferent layers constituting the Upper Oligocene Talang Akar Formation. Results of TOC analysis reveal minor
quantities of organic carbons, indicating poor to fair potential source rocks. The S2/S3 ratios indicate two apparent
kerogen types. The majority of the samples is type III kerogen; however, there appears minor type IV kerogen, implying
the oxydized organic matter and no expulsion. The S1+S2 measurement of all the pyrolysed rocks, except one sample LP
12A, yields less than 1 mg HC/g rock, supporting the proposed scenario of little potential to generate hydrocarbons.
Evaluation of hydrogen and oxygen indices confirms a gas prone source, but all the shales analyzed, disregarding one
sample LP 18, provide a direct evidence that the rock section is immature to early mature to expel oil. Important notes
can be made that the early stage of organic maturation might have occurred due to heating, as a result of deeper burial
during Miocene time prior to the subsequent uplift in response to the Plio-Pleistocene orogeny.
Keywords: geochemistry, outcrops, pyrolysis, source rock, thermal maturity
INTRODUCTION
region were uplifted due mainly to orogeny. The late
Tertiary orogenic event is considered to be the latest
tectonic deformation that has been responsible for thepresent geologic configuration of the Paleogene South
Sumatra basin. A particular interest of the present study
is the Talang Akar Formation. This work has employed
conventional geochemical analyses and pyrolysis
measurements for the sampled sections.

The organic geochemical study reported in thepresent paper aimed to evaluate potential source rocks,
and to assess thermal maturity of the rock succession in
the Paleogene South Sumatra basin. Tectonically, thestudy area lies in the South Palembang subbasin,situated around the southern part of South Sumatra
basin (Fig. 1). The initial subsidence of the basinal area
has commonly been attributed to extensional forces
occurred in the southwestern margin of Sundalandduring the Late Eocene [1]. Several workers havesuggested that an early episode of depression began in
the Early Tertiary as rifts, in which the synrift clastic
materials accummulated in a terrestrial environment[2]-[3].
The synrift sedimentation in the basin continued as
the rifting event proceeded, and the shoreline migrated
landward because of the occurring transgression during
Late Oligocene-early Middle Miocene times. Thistransgressive phase resulted in successively from lower
to upper units the Talang Akar Formation, the Baturaja
Formation, and the Gumai Formation. At this time, thebasin was mostly under the influence of tensional
stresses responsible for widening the depocenter area.
In the late Middle Miocene a transgressive event in thebasinal area ceased, the sea level dropped, a regressive
regime commenced, and the region was predominantly
controlled by compressive strain fields for the rest of
Tertiary times. This regime formed consecutively the
Air Benakat Formation, the Muara Enim Formation,and the Kasai Formation (Fig. 2). In the PlioPleistocene, the whole sedimentary successions of the

METHODS
Organic geochemistry is an important tool toidentify the quality of prospective source rocks withrespect to hydrocarbon generation [5]-[6]. The present
study has employed the widely used geochemical
technique to determine total organic carbon (TOC wt.
%), and pyrolysis measurements to gain the values ofhydrogen index (HI mg HC/g C), oxygen index (OI mg
CO2/g C), and maximum temperature (Tmax ºC). In
interpretation of the TOC data, this study implements
the accepted geochemical model [7], suggesting that the
TOC content of 1.0 wt. % is the lower limit for
identifying hydrocarbon expulsion from source rocks.
The measurement of pyrolytic contents utilizes
Rock-Eval instrument to calculate the following
parameters: Hydrogen Index (HI) = (S2/TOC) x 100 (mg HC/gC) Oxygen Index (OI) = (S3/TOC) x 100 (mg CO2/g C) Hydrocarbon type (HT) = S2/S3 (mg HC/g rock) Production Index (PI) = S1/(S1+S2)
18

SEE-Mie, Japan, Nov. 19-21, 2015

Fig. 1 Main structural features in the Paleogene South Sumatra basin. The study area is situated in theSouth Palembang subbasin (modified from [4])LAF: Lahat Formation; TAF: Talang Akar Formation;
BRF: Baturaja Formation

Fig. 2 Generalized stratigraphy of South Sumatra basin
19

SEE-Mie, Japan, Nov. 19-21, 2015

and compared the resulted interpretations to thepreviously reported models cited elsewhere in many
published works [7]. This study has also compiled thegeological data available, such as regional geology andstratigraphy to support interpretations of geochemical
data and pyrolytic parameters.

Determination of hydrocarbon types follows theaccepted values [5]. According to this author, the HT
value of less than 2.5 mg HC/g rock is defined as drygas, ranging from 2.5 to 5.0 mg HC/g rock is classified
as wet gas, and higher than 5.0 mg HC/g rock is
considered as oil. The sum of S1+S2 components define
genetic potential for hydrocarbon yield due principallyto heating, hence the given values suggest the amountof total hydrocarbons. In this respect, S1 represents theamount of free hydrocarbons (mg HC/g rock) released
by volatilization at elevated temperatures, whereas S2 isthe value of HC quantity (mg HC/g rock) resulted fromfurther heating of kerogen during experimental work.
Assessment for total potential of source rock refers to as
the published classifications [7] as follows: values of less than 2.0 mg HC/g rock are classified
as little potential for oil generation, possibly somepotential for gas prone
 values ranging from 2.0 to 6.0 mg HC/g rock areconsidered to be moderate or fair source potential
 values of higher than 6.0 mg HC/g rock are typicalindicators of good to excellent source potential
In order to assess thermal maturity of the source
section, the present study used Tmax data and PI values,

SAMPLE DETAILS
Varieties of strata constituting the Upper Oligocene
Talang Akar Formation have been observed in thestudied region. Nine rock specimens were collectedfrom this section, particularly from exposures along
Lengkayap river (LP 04, LP 11, LP 12A, LP 12B, 24,
and LP 25) and Napalan river (LP 16, LP 17, and LP
18). Fig. 3 shows the locality of shale outcrops sampled
for geochemical analyses discussed in this article. The
outcrops were investigated based mainly on lithologic
and sedimentologic characteristics. Shales in the Talang
Akar sequence are commonly silty or sandy and coaly,
and these rocks are mostly brown and gray. Details of
the rock samples such as locality, stratigraphic age,stratigraphic unit, and types of lithology are displayedin Table 1.

Table 1 Sample details showing locality, stratigraphic age, stratigraphic unit, and lithology
SampleNo.

Locality

Stratigraphic
Age

Stratigraphic
Unit

Lithology

River

Longitude (ºE)

Latitude (ºS)

LP 04

Lengkayap

104 05' 54.9"

4 19' 48.7''

Brown shale

LP 11

Lengkayap

104 06' 04.9"

4 19' 52.9''

Gray shale

LP 12A

Lengkayap

104 06' 07.3"

4 19' 52.2''

Brown shale

LP12B

Lengkayap

104 06' 07.3"

4 19' 52.2''

LP 16

Napalan

104 06' 54.9"

4 22' 47.5''

LP17

Napalan

104 06' 57.5"

4 22' 37.5''

LP18

Napalan

104 06' 57.0"

4 22' 35.3''

Gray shale

LP 24

Lengkayap

104 05' 26.5"

4 19' 45.3''

Brown shale

LP 25

Lengkayap

104 05' 26.2"

4 19' 45.6''

Brown shale

Upper
Oligocene

Talang Akar
Formation

Gray shale
Brown shale
Gray shale

GENERAL GEOLOGY
regional tectonics of this landmass is beyond the main
aims of the present study.
Regional geology of the South Sumatra basin has
been presented elsewhere, and commonly discussed on
the basis of a wide variety of views. The basin is anasymmetric depocenter, bounded by the Barisan
Mountains to the southwest, the Sunda platform to thenortheast, the Tigapuluh Mountains to the northwest,
and the Lampung High to the southeast [2]. It has
generally been acknowledged that subsidence in basinalarea was initiated by tensional stresses occurring in thesouthwestern margin of Sundaland during Late
Oligocene to Early Miocene times [3], [11].

The study area is situated in the South Palembang
subbasin, which is one of four subbasins within the
Paleogene South Sumatra basin (Fig. 1). The basin has
long been recognized as one of hydrocarbon producing
basins in Sumatra. The island of Sumatra is part ofSundaland located in the southwestern portion of SE
Asian continent. The tectonic evolution of the region
during Tertiary times has been discussed in many
published works [1], [8]-[9]. The more recent overview
of the development of Sundaland from the Late
Palaeozoic to the Late Mesozoic has also beenpresented [10]. However, discussion in details the20

SEE-Mie, Japan, Nov. 19-21, 2015

Fig. 3 A topographic map showing the locality of shale beds collected for geochemical analyses. Also shown
are the sample numbers and some outcrop photographs
Late Neogene Barisan orogeny due to obliqueconvergence between the Indo-Autralian and Eurasianplates [2]-[3], [11], [17]. These structural features,
especially folds and faults appear to have controlled ageneral pattern of stratigraphic exposures, involving
both the pre-Tertiary basement sequence and theTertiary sedimentary cover [3]. The basement exposuresoccur particularly in areas of block faulting, whereas theoverlying successions tend to follow the regional strikeof anticlinoria.

The tension is considered to have been responsible
for the commencement of rifting in a back-arc setting.
The back-arc basins extending along the eastern sectionof the island, namely North Sumatra basin, Central
Sumatra basin, and South Sumatra basin, were formed
during the Late Eocene or at ~40 Ma [1]. There were atleast three stages of rifting within the basinal area [12].
These authors suggest that the early-, middle-, and laterift episodes were followed respectively by thedeposition of predominantly non-marine sediments,
deep and broad lacustrine clastics, and coarse clastic
fluvio-deltaic facies. In the case of Talang Akar
Formation, the deposition of rock sequence commenced
during the early rift stage in the Late Oligocene. The
generalised stratigraphic column of the basin has beenpresented elsewhere by various workers [2], [13]-[16].
In terms of a regional structural setting, the basin
comprises at least two main components. These include(1) half graben, horst, and faulted blocks involving theMesozoic basement [2], [17], and (2) the NW-SE
trending structures and depression to the northeast. The
structures in the region were broadly resulted from the

RESULTS AND INTERPRETATIONS
A number of selected outcrops of the Upper
Oligocene Talang Akar Formation have been analyzed
to obtain organic geochemical data and pyrolysis
values. Results of the present analysis were comparedwith those of the published work [18] in order to better
understand geochemistry of the source systemthroughout the region. Table 2 shows the analyticalresults of geochemical analysis and pyrolysis
measurements of the rock samples.

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SEE-Mie, Japan, Nov. 19-21, 2015

Table 2 Geochemical and pyrolysis analytical results from the sampled rock sequence
Sample
No.

TOC

S1

S2

S3

HI

OI

TP
(S1+S2)HT(S2/S3)PI
S1/(S1+S2)

OM

LP 04

0,11

0,06

0,09

0,06

81,52

54,35

0,15

1,50

0,40

421

LP 11
LP 12A

0,90
0,61

0,06
0,04

1,04
0,31

0,62
0,75

115,57
51,01

68,90
123,42

1,10

1,68

0,06

415

0,35

0,41

0,11

417

LP12B

0,81

0,05

0,46

0,52

56,83

64,25

0,51

0,89

0,10

412

LP 16

0,08

0,02

0,05

0,04

61,65

49,32

0,07

1,25

0,29

380

LP17

1,55

0,03

0,10

0,25

6,44

16,09

0,13

0,40

0,23

407

LP18

1,16

0,04

0,07

0,17

6,06

14,72

0,11

0,41

0,36

514

LP 24

1,00

0,06

0,74

0,86

73,79

85,75

0,80

0,86

0,08

396

LP 25
1,04
0,06
0,91
0,72
87,37
69,12
0,97
1,26
0,06
411
Key: TOC: total organic carbon (wt. %); S1: amount of free hydrocarbon (mg HC/g rock); S2: amount ofhydrocarbon from heating (mg HC/g rock); S3: organic carbon dioxide; HI: hydrogen index [(S2/TOC)x100] (mgHC/g C); OI: oxygen index [(S3/TOC)x100] (mg CO2/g C); TP: total potential (mg HC/g rock); HT: hydrocarbon
type (mg HC/g rock); PI: production index; OM: organic maturity or Tmax (ºC).
the HI values of less than 50 mg HC/g C derived
particularly from samples LP 17 and 18. Type IV
kerogen is more likely negligible with respect toexpulsion, and it is commonly resulted from otherkerogen types that have been reworked or oxidized [6].
Evaluation of total potential of hydrocarbon generation
relies principally on the measurement of pyrolytic yield(S1+S2). The pyrolyzed rock samples resulted in low
values, ranging from 0.07 to 1.10 mg HC/g rock and amedian value of 0.96 mg HC/g rock. Therefore, the data
provide a direct evidence of little or no potential forsource rocks to expel oil. This interpretation isconsistent with the results of previous studies [7], [18].
Hydrogen indices range from 6 to 116 mg HC/g C,
and average 60 mg HC/g C. All but one sample LP 11
yielded HI values of less than 100 mg HC/g C (Table2). Organic facies with low HI values (<300 mg HC/gC) and low S2/S3 ratios is referred to as gas prone [25].
The present values are identical with the existing
pyrolytic data [18]. Hence, the HI data confirm a gas
prone source in the Talang Akar unit. Given the low HI
values, there existed the effects of weathering on source
rocks [26]. In this case, the Talang Akar succession may
have undergone any surface weathering since thecommencement of basin inversion following the Late
Neogene orogeny [11]. Oxygen indices range from 15
to 123 mg CO2/g C, and average 61 mg CO2/g C.
Several samples yielded S2 ³0.4 mg HC/g rock,suggesting that the formation has reliable HI and OI
indices and an organic composition characterized by thetype III variety of kerogen. Fig. 4 displays the HI vs OI
plot constructed on the basis of the Talang Akar
pyrolytic data, confirming a strong indication of gas
prone and type III kerogen.
Excluding LP 18, the eight of nine samples yielded
Tmax ranging from 380º to 421ºC, suggesting that thesource beds are immature to expel oil. In oppose to theTmax data [18], the values here are considerably low.

TOC values range from 0.08 to 1.55 wt. %, and amedian content of 0.81 wt. %. Of these, five rocks LP
04, LP 11, LP 12A, LP 12B, and LP 16 yielded TOC
content of less than 1.0 wt. %, and four samples LP 17,
LP 18, LP 24, and LP 25 resulted in TOC content of
more than 1.0 wt. %. These values do not varysignificantly, suggesting that the source section is poor
to good in quality. This interpretation is principally tofollow the previously proposed geochemical models [5],[7], [19]-[20]. It has also been reported that the source
facies of Talang Akar unit in Kuang area has poor tofair potential, whereas the rock sequence in Limau area
has good potential [18].
The apparently low TOC content is likely todetermine a minor quantity of organic carbons in thesource beds. In contrast to marine black shales, in which
the organic matter is commonly abundant [21], all of
the shales studied are mostly light to medium brownand gray, implying a general lack of organic
component. This may be a direct reflection of terrestrial
environment, where the silty or sandy shales of theTalang Akar Formation accummulated. The previously
published studies have also reported that the oil source
rocks for the majority of back-arc basins in the westernregion of Indonesia were deposited in fluvio-deltaic
environments [22]-[23]. In addition, it has been
confirmed that oils in Sumatra were generated fromterrestrial-rich marsh or swamp coals and coaly shales[24]. The more recent studies suggest that the Paleogene
South Sumatra basin has terrestrial source rocks,
consisting mainly of carbonaceous shales and coals[12].
There are two kerogen types based on the S2/S3
ratios. The majority of samples yielded the S2/S3 valuesof equal to or more than 1.0 mg HC/g rock, suggesting
type III kerogen, whereas the minority of rocks resulted
in less than 1.0 mg HC/g rock, indicating type IV
kerogen. The later type of kerogen is also supported by
22

SEE-Mie, Japan, Nov. 19-21, 2015

However, coal-bearing sequence such as the studied
formation is able to expel liquid hydrocarbon at Tmax
above 360ºC [27]. In this regard, the present datasuggest that the Talang Akar section is oil-prone
generation, implying that the rock unit has possibly
entered the top zone of maturation. This interpretationagrees with the result of studies on the low rank coal of
the South Sumatra basin [28], suggesting that the Tmax
value of the coal bearing source rock has reachedapproximately the upper limit of oil generating window.
To compile the existing and present data, the Late
Paleogene source section in the basin appears to be wellconstrained geochemically as poor to good yield ingenerating liquid hydrocarbons (Table 3).

According to these authors, the Talang Akar section in
Limau area is mature with Tmax values of 436º-450ºC,
while that exposed in Kuang area is early mature withTmax values of 425º-433ºC. The source rocks with Tmax
less than 435ºC are immature, Tmax between 435º and
465ºC may result in oils, and Tmax higher than 465ºC
enable to generate gases [5]. Based on this category, theTalang Akar shales are mostly immature. Fig. 5 showsthe HI vs Tmax values of the Talang Akar samples,
which indicates that the eight of nine samples are
immature, whereas one specimen with an extremely
high Tmax yield is apparently odd and thus disregardedin the interpretation of the resulted data.

Fig. 4 Modified van Krevelen diagram showing the
HI vs OI plot based on the Talang Akar pyrolytic data,
indicating that the source section is gas prone
and type III kerogen

Fig. 5 Diagram showing the HI vs Tmax yield of theTalang Akar samples. Also shown are the range of thermal
maturities based on the accepted vitrinite reflectance (VR)values (dashed line). One sample in the right extremity(Tmax 514ºC) is unlikely and considered here
as an erroneous Tmax yield

Table 3 Comparison of experimental results between the previously reported geochemistry of well rocks and the present
geochemical analysis of outcrops

TOC (wt. %)S1 (mg HC/g rock)
S2 (mg HC/g rock)

Area within the South Palembang subbasin
Well rocks
Outcrops(1)(2)
NapalanLengkayap
Limau
Kuang
River
River
1.5-8.0
0.3-0.9
0.08-1.55
0.11-1.04
0.5-2.1
0.1-0.5
0.02-0.04
0.04-0.06
1.5-8.0
0.2-4.0
0.05-0.10
0.09-1.04

Tmax (ºC)

436-450

Parameters425-433

380-51423

396-421

Interpretations(1) fair to good potential, and earlymature to mature [18].
(2) poor to fair potential, anddisregarding the Tmax value of
514ºC, the present study suggests
immature based on the existingclassification [5], and early mature
following the other model [27].

SEE-Mie, Japan, Nov. 19-21, 2015

the South Sumatra basin. We also thank our colleagues
Idarwati, ST. MT., Elisabet Dwi Mayasari, ST. MT.,and Harnani, ST. MT., who have been involved in thefield reconnaissance.

In a regional context, the proposed scenario is also
consistent with the result of fission track study
conducted in the adjacent Sunda basin [29]. This author
suggests that the Late Paleogene Talang Akar source
section has been exposed to the zone of thermal
annealing, which is coincident with the top of oil
window [30]. In the South Sumatra basin, the thick
Miocene overburden seems to have provided thenecessary burial depth for organic maturity in the shale
beds. In addition, several workers suggest that the
upward emplacement of dioritic and granitic magmas
underneath the sedimentary cover was somehow
responsible for the paleo-high heat flow in the basin[31]-[32]. The heat influx might permit significant
heating favourable for an early stage of maturation.
It seems interesting that one sample TP 18 yielded
the Tmax value of 514ºC, suggesting that the sequence isovermature (Fig. 5). The appearence of such a very hightemperature is unlikely, and discordant with the existing
analytical results of thermal maturity observation andtheir corresponding interpretations [18], [23]-[24]. More
importantly, the overmature level as suggested by theone sample only obviously disagrees with independent
thermal maturity constraints such as vitrinite reflectance(VR) measurements. The VR data derived from theTalang Akar well samples indicate that the maturity
degree of the source sequence ranges from immature(VR = 0.3-0.4%) to mature (VR = 0.45-0.94%) [18].
Thus, it is technically sound to disregard the Tmax yieldof this particular sample in the interpretation of organic
maturity data, and this single value is considered here asa result of incorrect Tmax readings, but the possible
causes of the technical false remain uncertain.

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CONCLUSIONS
On the basis of the above discussion, the present
geochemical study draws some concluding remarks asfollows:
1. The Late Paleogene Talang Akar shales contain lackof organic carbons based on the TOC data and the
S1+S2 values, suggesting poor to fair potential
source rocks for generating a significant amount ofoils.
2. The HI/OI ratio of all the rock samples analysedsuggests that the source sequence is gas prone ortype III kerogen.
3. The source rocks are attributed to differences inthermal maturity ranging from immature to earlymature with respect to oil expulsion.
4. The succession has been subjected to the zone ofearly mature, principally caused by heating via
deeper burial as a result of the Early Neogene
deposition.
ACKNOWLEDGEMENTS
The authors are grateful to the University of
Sriwijaya for research fund. This paper is part ofgeochemical and paleontological studies carried out in
24

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[16] Riadhy, S., Ascaria, A., Martono, D., Sukotjo, A.,
Hernadi, D., Kruniawan, M., and Luthfi, N.
“Carbonate play concept in Sopa andsurrounding areas: an alternative model forhydrocarbon occurrence, Musi platform, South
Sumatra basin”, Proceedings 27th Annual
Convention, IPA, 1999, p. 1-13.
[17] Pulunggono, A., Haryo, A. S., and Kosuma, C. G.
“Pre-Tertiary and Tertiary fault systems as aframework of the South Sumatra basin: a studyof SAR-maps”, Proceedings 21st Annual
Convention, IPA, 1992, p. 339-360.
[18] Sarjono, S. and Sardjito. “Hydrocarbon source rockidentification in the South Palembang subbasin”,
Proceeedings 18th Annual Convention, IPA,
1989, p. 427-467.
[19] Graham, S. A., Brassell, S., Carroll, A. R., Xiao,
X., Demaison, G., Mcknight, C. L, Liang, Y.,
Chu, J., and Hendrix, M. S. “Characteristics of
selected petroleum source rocks, Xianjiang
Uygur Autonomous region, Northwest China”,
AAPG Bulletin, v. 74 (4), 1990, p. 493-512.
[20] Bordenave, M. L. “Applied petroleum
geochemistry”, Editions Technip, Paris, 1993,
524 pp.
[21] Ryder, R. T., Burruss, R. C., and Hatch, J. “Black
shale source rocks and oil generation in the
Cambrian and Ordovician of the Central
Appalachian Basin, USA”, AAPG Bulletin, v. 82(3), 1998, p. 412-441.
[22] Gordon, T. L. “Talang Akar coals – Ardjuna
subbasin oil source”, Proceedings 4th Annual
Convention. IPA, 1985, p. 91-120.

25

First International
on Science, Engineering & Environment,
SEE-Mie, Japan,
Nov. 19-21,Conference
2015

Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

TOXIC EFFECT AND MECHANISMS OF NANOPARTICLES ON
FRESHWATER INFUSORIA
Kosyan D.B. 1, Rusakova E.A. 2, Sizova E.A. 3, Yausheva E.V. 4, Miroshnikov S.A.5
1
Laboratory of Agroecology and technogenic nanomaterials,
State Educational Institution All-Russian Research Institute of Beef Cattle Breeding RAAS, Russia
2
Orenburg State University, Russia
3
Orenburg State University, State Educational Institution All-Russian Research Institute of Beef Cattle Breeding
RAAS, Russia
4State Educational Institution All-Russian Research Institute of Beef Cattle Breeding RAAS, Russia
5State Educational Institution All-Russian Research Institute of Beef Cattle Breeding RAAS, Russia
ABSTRACT
Nanoparticle toxicology works toward establishing the hazard of nanoparticles, and therefore their potential
risk, in light of the increased use of exposure. The current study was research proper characterization of thenanoparticles for understanding of their toxic effects and mechanisms at the cellular level. Dose and time as amain parameters is essential in hazard identification and risk assessment of nanomaterials. Material for theevaluation of toxic effects was used 20 samples of commercially available and laboratory preparations of metals
and nanocarbon, divided into main groups: carbon nanoparticles, metal oxide nanoparticles and metal
nanoparticles in different concentration. Fresh water infusoria Stylonychia mytilus (wild strain) in exponential
growth phase was used as the test object.
Analysis of data on oxides of the metals showed higher toxicity than metal nanoparticles. In groups the
maximum toxicity was observed in iron oxides (Fe3O4, Fe2O3), copper (CuO) and molybdenum (MoO3) (0,1;
0,025; 0,0125 М) after 24 hours of incubation with the test object Analysis of the effect of metal nanoparticles
on the cells of infusoria showed that the maximum toxic effect was observed when exposed to Cu, Fe, Ag(0,025- 0,0015625 М). Statistical analyses showed a high correlation between concentration and time (P≤0,001).
The issue of accessibility of nanomaterials released in the environment for living organisms has been poorly
studied. The toxic effects of nanoparticles can be associated with their size and their physicochemical properties.
Keywords: Nanoparticles, Ttoxic Effect, Stylonychia Mytilus, Сytotoxicity, Ecology
Some authors point to the risk of carcinogenic
effects of nanoparticles. They also note the ability
to generate reactive oxygen species (due to thepresence of the reaction centers). The nanoparticles
are stable and do not undergo biotransformation.
They are not removed from the cell that causes
stress in cells and their breakage. Also, literaturecomprises data that nanoparticles may haveprotective effect on living organisms, increasing the
body's resistance to various toxicants [5], [6].
Particle size and surface area are importantcharacteristics of a material with toxicologicalprospects. When size of particles decreases, thesurface area increases, it enables a large number ofatoms or molecules to be deposited on the substratesurface. Nanoparticles differ from molecules andions of the same composition not only in size but
also in a higher specific surface and high adsorption
and cumulative ability. Their chemical potential
increases at the phase interface, thereby changing
the solubility, reactivity and catalytic ability [7].
The degree of activity may also depend on the typeof nanoparticles (metals, oxides, mixtures, etc.).
Thus, the change of physical, chemical and

BACKGROUND
Active development of researches innanomaterials leaves open the question of theirsafety. The safety of nanostructures forenvironment and human health becomes the top
priority. Because of their properties, nanostructures
react easier and are able to form complex
compounds with unknown properties. This factadds technological perspective to nanoparticles. At
the same time we have to pay special attention for
the ecological risks connected with nanostructures[1].
Nanotechnologies represent the convergence oftechniques and molecular biology that lead to thedevelopment of structures, equipment and systems.
Nanoparticles have new functional properties withsizes in range from 1 to 100 nm [2]. At present,
there is not enough information for a fullunderstanding of the interaction of nanostructureswith biological systems and, thus, it is unclear
whether nanostructures have negative effects thatcause harmful biological reactions [3], [4].

26SEE-Mie, Japan, Nov. 19-21, 2015

structural properties of nanomaterials due to thedecrease in size may cause a number of interactions
that might lead to toxicological effects.

Fresh water infusoria Stylonychia mytilus (wildstrain) in exponential growth phase was used as thetest object. The studied test functions include
survival rate, number (biomass). Primary culture of
Stylonychia mytilus was cultivated in a LozinLozinsky saline solution, (1 g in 1 liter of distilledwater). Yeast (Saccharomyces cerevisiae) was
added: NaCl-0,1%; KCl-0,01%; CaCl2-0,01%;
MgCl2-0,01%; NаНСОз-0,02.
The following nanoparticles were used in the
study (presented below in Table 1):

OBJECTIVES
Therefore, the objective of this work is theassessment of toxic influence of different particles
on the cell of test object.
MATERIALS AND METHODS

Table 1 Characteristics of the used nanoparticles
Name

Size [nm]Phase and chemical composition
Metals
Metallic iron (not less than 99.8% of
the mass.) and sorbed gases: CH4,
CO2, Ar, N2

Fe

90

Cu

97

Zn

90

Ag

70

Ni

70

Mo
W

50
50

CuO

90

ZnO

95

Fe3O4 (I)65

Fe3O4 (II)

65

Al2O3

54

NiO
MoO3

94
92

FeCo

62,5

90%, the rest sorbing gases, zincoxide and H2O
99.99% of metallic silver adsorbed
gases to 0,01% - CH4, CO2, Ar, N2
Metallic nickel:Ni=99,758%,
Mg=0,041%, Al=0,058%,
Si=0,049%, S=0,005%, Ti=0,010%,
Fe=0,047%, Co=0,032%(electronsand microanalysis)
Mo: 99,7%, O2: 0,3%
W: 99.7%;O2: less than 0.3%
Metal oxides
cupric oxide, CuO 99,6% mass
ZnO: 96%;
Oxides of other metals less than 4%
Fe3O4 at least 99 wt.%, about 1% of
the mass. - adsorbed gases: CH4,
CO2, O2, N2
Fe3O4 99 % of mass.
95% mass. α- Al2O3. 3%, 2% sorbing gases (nitrogen,hydrocarbons), wateroxide of bivalent nickel NiO: 99,6%
MoO3 : 99,8% mass
Composite
70% iron, 30% cobalt

CuZn (I)65

60% copper and 40%zinc

CuZn (II)96,5

k-SWCNT-90A

1,5

60% copper and 40%zinc
Carbon nanomaterials
SWCNTs: 90 wt. %crystal copper 96,0 ± 4,5%, copperoxide - 4,0 ± 0,4%27

Production method

Surface(m2/g)

Method of electric explosionof a conductor in air

7,7High-temperaturecondensation with subsequent
modification of oxygen
The electric explosion of wire
in an argon atmosphere
The electric explosion of wire
in an argon atmosphere

24
5,34
6,5

Method of electric explosionof a conductor in air

4,5-6,0Plasma-chemical method
Plasma-chemical method

14
6,5

Plasma-chemical method

14

Plasma-chemical method

9

Method of electric explosionof a conductor in air

10

ChemicalElectrical explosion ofaluminum wire in oxygen
atmosphere
Plasma-chemical method
Plasma-chemical method20Gas-phase
The electric explosion of wire
in an argon atmosphere
Gas-phase

8,2
5-6Electric arc evaporation

400

40
12
12

10

SEE-Mie, Japan, Nov. 19-21, 2015

These materials were assessed (particle
size, polydispersity, volume, quantitative content of
fractions, surface area) by electron scanning,transmission and atomic force microscopy using thefollowing equipment: a LEX T OLS4100, a JSM
7401 F and a JEM-2000 FX(“JEOL”, Japan).The
size distribution of particles was investigated usinga Brookhaven 90Plus /BIMAS and ZetaPALS
Photocor Compact (Russia) in lysols after
dispersing the nanoparticles using an ultrasonicdisperser UZDN-2T (Russia) at f-35 kHz, N 300 W,
and A-10 μa for 30 min. Toxic effects of thesamples were assessed in a wide range of equimolar
concentrations (4M - 6 × 10-6 M). The size of
nanoparticles was determined with the help ofelectronic microscope JSM-740 IF.
Action of toxic substances was studied in awide range of concentrations (3.2М-6*10-6М).
The sensitivity of Stylonychia mytilus to
the action of toxicant was determined according to
the time of their death. It was registered when
protozoa stopped moving, which was accompanied
by a violation of the integrity of the cells andlysosomes. The number of cells in 5 ml of medium
containing intact infusoria (without nanoparticles)
was a control group in all experiments. The total
number of cells in 5 ml of medium containing
infusoria was counted using a light microscope(MT 5300L). Cells in the stationary phase wereincubated at 20 ± 2◦C in medium with toxicantswithin 24 hours in a concentration range - 3,2-6 ×
10-6 M.
ANOVA statistical analysis was utilised
and then using the Tukey test (SPSS вер. 17,0).
Differences were c onsidered significant if P < 0,05.

registered after the influence of Ni and W solutions.
Toxicity of Ni was observed at a concentration of
0.005 M and W – at concentration of 0.2 M. The
number of dead cells varied from 70 to 100% atother concentrations. This effect can be explainedby the small size of Cu, Ag and Fe nanoparticles ascompared with Mo, Ni, Zn, W (Fig. 1)

Fig. 1. Influence of metal nanoparticles atdifferent concentration on Stylonychia mytilus
survival
It is proven that nanoparticles in size of 2-50 nm
will have greater cytotoxicity as compared withlarger particles. There are a lot of experimental data
are available about nanoparticles of silver andcopper. Toxic effects of metal nanoparticles were
demonstrated in the studies on other water test
objects. For example, Ag and Cu nanoparticles arehighly toxic to daphnia (the LD50 over 48 h was
0.06 and 0.04 mg/l) [8]. Studies of Ag and Cu on
Danio rerio demonstrated the increased mortalityand disease process [9], [10]. The effect of colloidal
nanosilver on growth and structure of laboratory
populations of Scenedesmus quadricauda (Turp.)
Bréb. and Monoraphidium arcuatum (Korsch.)
Hind. at concentrations ranging from 0.0001 to 1
mg/l. The toxicity of colloidal silver was expressed
at a concentration of 0.1 mg / l and above.
Moreover, algostatic effect was observed, its
duration was directly dependent on theconcentration of silver in the environment [11], [12].
Rather different data were obtained by a toxicity
analysis of metal oxide nanoparticles. Maximum
toxicity was registered in oxides of iron (Fe3O4 (I),Fe3O4 (II)), copper (CuO) and molybdenum(MoO3). 100% mortality of infusorias wasobserved under the influence of iron oxide. It is also
possible to ascertain the negative chemotaxis(movement of the attractant), because most of thedead cells were located around the perimeter of the

RESULTS AND DISCUSSION
The results of studies demonstrated that the
maximum toxic effect was achieved after the
influence of Ag nanoparticles on protozoa. Cell
death was observed after 10 minutes of incubationof the test object with the toxicant. The toxicity wasobserved up to a concentration of 1 * 10-5 M.
Nanoparticles of Cu and Fe also caused cell death,but their effect was less potent than that of Ag.
Toxic effect caused 100% cell death. Fe toxicity
occurred in 24 hours. Cu and Ag toxicity occurredin 10 minutes of incubation. Action othernanometals was characterized by less mortality incomparison with Ag, Cu and Fe. Thus, Zn was lesstoxic, 100% mortality was observed up to 0.003125
M. When concentration of the element decreased,
the number of living cells increased and reached
21% of the total amount in the final concentration(0.0001953125M). Minimal death rate was28

SEE-Mie, Japan, Nov. 19-21, 2015

main nanoparticle concentrations. No changes in
the cells of infusorias were identified in the earlier
periods. The influence of copper oxide incomparison with iron oxides was less pronounced.
The toxic effect (100% death) was observed in 6
hours. In 24 hours it attained a maximum at 0.1,
0.025 and 0.0125 M in nanoparticle solutions.
When concentration decreased, the number ofsurviving cells increased from 3% to 10% (atconcentration of 0,0001953125M). The assessmentof MoO3 toxicity demonstrated that cell deathoccurred in 10 minutes of contact with a solution of
nanoparticles (at a concentration of 0.0125 M). Thissituation remained throughout the whole time
period. ZnO, TiO2 and NiO possessed minimal
toxicity. Their action was manifested only in theinitial concentration (0.1 M) (Fig. 2)hours and up to a concentration of 0.05 M, no toxic
effect was observed in other concentrations (Fig. 3).

Fig. 3. Influence of mixtures of metal
nanoparticles at different concentrations on survival
of Stylonychia mytilus
Toxic effect at concentrations up to 0.0125 М
was observed for the whole time period after the
analysis of the first group. Test objects were still beable to move in further dilutions, 100% of infusoria
were alive. The relative resistance to carbon
nanomaterials can be explained by the fact that
protozoa used them as food [16], [17] and [18]. In a
recent study, the toxicity of fullerenes C60 for two
aquatic species (daphnia and Pimephales) caused
lipid peroxidation (LPO) in brain. LPO
significantly increased in the gills. And the result isa significant increase in the expression of genes
associated with the inflammatory response andmetabolism. In contact with water, C60
spontaneously forms stable set (nanoC60) withdimensions D = 25-500 nm. Prokaryotic effect ofthese aggregates inhibits the growth (0.4 ppm) evenat relatively low concentrations and reduces the rateof aerobic respiration (4 ppm) [19]. In addition,
chronic effects of carbon nanoparticles, fullerenes
C60 were studied using midges in Chironomus
riparius at different periods of life. The influence offullerenes C60 on growth of 10-day and 42-day
species was studied at a nominal concentration of
0.0004-80 mg / kg of dry weight. The body length
decreased at a concentration of 0.0025-20 mg / kg,
but no effect occurred at higher concentrations.
Stunt was observed at a concentration of 0.5 mg /kg. The observed effects correlate with the analyzed
sizes of particles in sediment indicating that small
agglomerates of fullerene cause more serious
consequences for C. Riparius, than larger
agglomerates that was observed at higher doses ofC60. The results have demonstrated that fullerenes
can be dangerous for sediment dwellers; it ismanifested in changing ecotoxic parameters that
influence the survival of water organisms [20].
The study of nanoparticle toxic action
demonstrated that the studied samples had different
toxic action towards test cells (Table 2).

Fig. 2. Influence of metal oxide nanoparticles atdifferent concentrations on survival of Stylonychia
mytilus
Toxicity of metal oxides (TiO2, ZrO2, Al2O3,
and CeO2) was assessed on green algae(Pseudokirchneriella subcapitata) and the effect on
the photosynthetic activity was demonstrated [13].
It is also noted that the zinc oxide inhibits thegrowth of test object at a concentration of 600 μg / l[14]. The negative impact of oxides of zinc,aluminum and titanium was shown on embryos of
Danio rerio. It was revealed that ZnO has the
maximum influence [15]. The lethal dose (LD50) of
zinc oxide nanoparticles was 1.8 mg / l after 96 h ofincubation.
Assessment of mixtures toxicity demonstrated
that CuZn mixture causes the maximum cell death.
At all concentrations 100% cell death was detected.
In comparison with this mixture, brass wascharacterized by less toxicity; total death ofinfusoria was observed up to a concentration of
0.0015625 M. Moreover, this effect was expressedin 10 minutes of incubation and remained until theend of the period. The number of surviving cells
varied from 10 to 25% of the total number. FeCo
was less toxic, total cell death was observed in 24

29

SEE-Mie, Japan, Nov. 19-21, 2015

Table 2 Biological effect of nanoparticles on Stylonychia mytilus

3,2 - 0,0015

Concentration (M)
LC50
LOEC
Metals0,00075
0,000390,00019 - 6×10-6

3,2 - 0,00019

9×10-5

1×10-5 - 6×10-6

Name

Тох

Fe
Cu

4×10-5 - 2×10-5

NOEC

0,000150,00078 - 0,00039
0,00019 - 6×10-6
-5
-6
1×10
6×10
0,05
0,025 - 0,0125
0,00625 - 6×10-6
0,006250,003
0,00015 - 6×10-6
0,20,10,05 - 6×10-6
Metal oxides
CuO
3,2 - 0,003
0,000150,00078 - 0,00019
9×10-5 - 6×10-6
ZnO
3,2 - 0,2
0,1
0,05
0,025 - 6×10-6-5-5
Fe3O4 (I)3,2 - 0,00019
9×10
4×10
2×10-5 - 6×10-6
Fe3O4 (II)3,2 - 0,00078
0,000390,00019
9×10-5 - 6×10-6
Al2O3
3,2 - 0,05
0,025
0,01250,00625 - 6×10-6
NiO
3,2 - 0,1
0,05
0,025 - 0,0125
0,00625 - 6×10-6
MoO3
3,2 - 0,00625
0,003
0,00150,00078 - 6×10-6
Composite
FeCo
3,2 - 0,1
0,05
0,025
0,0125 - 6×10-6
CuZn (I)3,2 - 4×10-5
2×10-5
1×10-5- 6×10-6
CuZn (II)3,2 - 2×10-5
1×10-5
6×10-6
Carbon nanomaterials
k-SWCNT-90A
3,2 - 0,0125
0,006250,003
0,00015 - 6×10-6
Note: Tox – the concentration causing 0-39 % survival object; LC50 – the concentration causing 50% survival of
object; LOEC – the concentration causing 40-69 % survival of object; NOEC – the concentration causing 70100 % survival of object [21].
Zn
Ag
Ni
Mo
W

3,2 - 0,003
3,2 - 2×10-5
3,2 - 0,1
3,2 - 0,0125
3,2 - 0,4

Hydrophobic properties and zeta potential (ζpotential) of particles in solution are the main
parameters that help to assess the toxicity (except
for the size of nanoparticles). Smaller particles andpositively charged particles have a pronounced
toxic effect. The zeta potential, electrical potentialthat is produced by the motion of particles between
the adsorption layer of ions located on the surfaceof the particles and the diffusion layer of ionssurrounding the particles determine the interactionof nanoparticles with membrane of cell, its damage
and lethal effect. For example, chitosan
nanoparticles and chitosan nanoparticles containing
copper ions inhibit bacterial growth. The toxic
effect is expressed in violation of membrane
structure and cell aggregation. Aggregation ofbacteria occurs in the presence of chitosan
nanoparticles with a positive zeta potential, butwhen there is no copper. [22].
Studies on microorganisms showed that in thecase of substances, which have a bactericidal effect,

such as silver or zinc, the increase of surface plays
an important role when the material is presented in
the form of nanoparticles. Nanoparticles also
release copper ions more actively than the usual
surface. But this does not exclude othermechanisms of action. Silver nanoparticles
penetrate into cells; interact with proteins,particularly with proteins containing sulfur andDNA. They inhibit the fission process and cause
cell death. At the same time, membranes damage
under the action of silver ions. Free radicals thatevolve under their action can damage DNA. The
antibacterial effect of ZnO is also associated withthe release of hydrogen peroxide and membrane
damage. And it is the main reason of their toxicity.
The main mechanism of action for silver
nanoparticles is DNA damage. In both cases, thenanoparticles disrupt the structure of the membraneby physical interaction. ZnO inhibits the growth ofbacteria, primarily Gram-positive. In contrast, the30SEE-Mie, Japan, Nov. 19-21, 2015

silver nanoparticles are more active against Gramnegative bacteria [23].
The iron oxide is non-toxic for the bacteria. Iron
oxide nanoparticles are able to penetrate into thecell and cause the formation of reactive oxygen
species, so they can lead to death of bacteria. In thecase of iron oxide nanoparticles not only to theiranti-bacterial properties can be used for combating
microorganisms, but also their ability to affect the
movement of body due to their charge.
Antimicrobial agents may be bound with theseparticles, and their delivery will be the mainfunction of these nanoparticles.
Thus, studies have shown that the toxicity ofnanoparticles of metals, oxides and mixtures varies
and depends on physical and chemical properties.
Size of particles also influences on it. It concerns
metal nanoparticles and cationic properties in caseof oxides and mixtures.

CONCLUSIONS
Processes that control transport and removal of
nanoparticles in an aqueous medium are not clearly
understood. The future of nanomaterials in aquatic
ecosystems is controlled by a number of biotic /abiotic processes such as dissolution, dispersion,interaction between nanomaterials and naturalchemicals, human impact in the ecosystem.
Moreover, assessing the environmental risk, it isimportant to understand the environmental
consequences of the impact of nanomaterials.
Before unconscious dumping of huge amounts ofhazardous nanomaterials in the environment, thequestions of solubility and degradation of
nanomaterials in water needs to be studied. The
initial information on the safety, toxicity andadaptation of aquatic environment shall be gained.
Due to the growth of nanotechnology,
regardless of the potential benefits, the researchers
need to anticipate and characterize the potential
risks associated with the new technology. Despite
this, currently there are not enough convincing datathat indicate that these effects will become a serious
problem, and that they cannot be solved by arational scientific approach. At the same time, it is
impossible to ignore the safety assessment of
nanomaterials.

ACKNOWLEDGEMENTS
This study was supported by the Russian
Science Foundation, Russia. No. 14-36-00023.
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R, Kühnel D, Alstrup Jensen K, Vogel U, Wallin H,«Bioaccumulation and ecotoxicity of carbon
nanotubes», Chemistry Central Journa, Vol. 7(1),2013, pp. 131-154.
[22] Auffan M., Rose J., Bottero J.-Y., Lowry G.V.,
Jolivet J.-P., Wiesner M.R.. Towards a definitionof inorganic nanoparticles from an environmental,
healthandsafetyperspective.
NatureNanotechnology., Vol 4, 2009, pp. 634–641.
[23] Kolesnikova T.A., Khlebtsov B.N., Shchukin
D.G., et al. Atomic Force Microscopy
CharacterizationofUltrasound-Sensitive
Nanocomposite Microcapsules. Nanotechnologies
in Russia. V.3(9/10). 2008. pp.554–563.

32

First International Conference on Science, Engineering &Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN:978-4-9905958-5-2 C3051

DIELECTRIC SPECTROSCOPY ON MIXTURE OF RICE HUSK, RICEHUSK ASH AND RICE BRAN FROM 4 Hz TO 1 MHz
S. F. Khor1, M. H. A. Md Yusoff1, E. M. Cheng2, M. A. Rojan2, B. Johar3,
A. Chik3, Z. A. Talib4, M. F. Abd Malek1
1School of Electrical Systems Engineering, Universiti Malaysia Perlis, Malaysia; 2School of Mechatronic
Engineering, Universiti Malaysia Perlis, Malaysia; 3School of Materials Engineering, Universiti Malaysia
Perlis, Malaysia; 4Faculty of Science, Universiti Putra Malaysia, Malaysia.

ABSTRACT
There is approximately 120 million tons of Rice Husk (RH) and 76 million tons of Rice Bran (RB) is
produced in the world annually. Most of the husk and bran is either burnt or dumped as waste or used as animal
feed due to less commercial interest by majority of rice producing countries. In this study, mixtures of ricehusk/rice husk ashes (RHA) with RB on different ratios were prepared. Dielectric permittivity ( ε ' ), loss factor( ε " ) and AC conductivity ( σ ' ) were measured in the frequency range of 4 Hz to 1 MHz in ambient temperature.
Results for mixture of RHA and RB indicate that a dipolar relaxation occurring between 103 – 105 Hz and thepeak is depressed and shifted to lower frequency as the RB content increases in the mixture. Moreover, AC
conductivity decreases as the RB content increase. This may attributed to production of natural oil content fromRB. In contrast, a dielectric characteristic for RH is generally not affected by the RB contents. This study explore
dielectric characteristic of mixture between RH/RHA and RB in low frequency range because lack of literature isreported on low frequency response. Additionally, the potential application of RH/RHA and RB could be
explored in effort to diminish waste disposal and enhance environmental protection.
Keywords: Rice Husk, Rice Bran, Dielectric Permittivity, Dielectric Loss Factor, Frequency

These works turn this liability into asset bydetermining the dielectric properties of RH, RHA
and RB in order to find possible utilization in theelectrical industry. Moreover, this study would
extend the knowledge of dielectric characteristic of
RRB, RRH, and mixture between RHA and RRB in
low frequency range since available information on
low frequency response is very scarce in theliterature.

INTRODUCTION
The commercial rice-milling process produces
approximately 120 million tons of raw rice husk
(RRH) [1] and 76 million tons of raw rice bran
(RRB) in the world annually [2]. However, theproduction of rice by-products increase due to thegrowth of demand for rice from year to year insequence of the population growths in Africa andAsian countries [3]. The main compositions in RRH
are silica, cellulose and lignin [1], while fresh RRB
is rich of micronutrients like oryzanols, tocopherols,
tocotrienols, phytosterols, 20% oil and 15% protein,
50% carbohydrate dietary fibers. However, thenatural oil content can be easily degraded to glyceroland free fatty acid by lipase enzyme which cause a
rancid smell [4]. This lipases hydrolyze process is
endogenously produced as a result of microbialactivity during the milling process [5].
Hence, less commercial interest and low
nutrition value render the RRH and RRB are being
discarded which is either burnt or dumped as waste
or utilized for non-energy related low value
applications, e.g. animal roughage [6], mulching [7]and bedding materials [8] by majority of riceproducing countries. Such improper disposal
methods constitute to land detriment and air
pollution that violates environment protection
legislation.

METHODOLOGY
Samples Preparation
RRH and RRB used in this work were supplied
by a local rice milling factory at Perlis, Malaysia.
After removing clay and rock, the RRH was milled
into 0.03 mm particle size using a RT-34 pulverize
machine. Next, the grinded RRH was incinerated at
a controlled temperature of 500°C for 3 hours andcooled in 1 hour by using muffle furnace. Next, theobtained RHA was ground and mixed with RRB at
different contents. A disk-form pellet with 13 mmdiameter was formed by using hydraulic press model
769YP-15A. The composition of pellets in this study
is listed in Table 1 with the designation for therespective mixture fraction.

33

SEE-Mie, Japan, Nov. 19-21, 2015

Table 1 Mixture fraction of the RRH, RHA and
RRB.
Sample Codethe behavior of the materials when they are
subjected to the low frequency electric fields inorder to design component for the application of
microelectronics,
optoelectronics
andcryoelectronics [10]. The dielectric properties ofusual interest in such applications are the dielectric
permittivity, ε ' , and the dielectric loss factor, ε " ,respectively the real and imaginary parts of thecomplex permittivity,

Weight (±0.001 g)
Rice Husk Rice Bran
0.600
0.600
0.600
0.500
0.100
0.300
0.300
0.100
0.500

RRB
RRH
H500B0H500B1
H500B3
H500B5ε ∗ = ε ' − jε "X-ray Diffraction Analysis(1)

Basically, the dielectric permittivity represents
the polarizability response of a material to theapplied field, while the dielectric loss factor
represents the energy loss because of the retarding or
friction forces of the rotating dipoles during the
movement of charges in an alternating
electromagnetic field [11].
Figure 2 and 3 show the frequency dependenceof the real ( ε ' ) and imaginary ( ε " ) part of thecomplex permittivity, respectively for the preparedsamples measured at ambient temperature.

The amorphous phases of the RRB, RRH, andRHA were identified by XRD analysis, Bragg angle
2θ in angular range of 10° to 80° at 5°/min in stepsof 0.02 with Cu-Kα radiation. Model of X-ray
Diffractometer is XRD-6000 (Shimadzu, Japan).
Dielectric Measurement
Dielectric measurement was performed at room
temperature by using HIOKI IM 3570 with L2000 4terminals probe in the frequency range of 4 Hz to 1
MHz with an oscillation voltage of 1.0 V.
RESULTS AND DISCUSSION

Dielectric Permittivity, e ′The XRD spectrums of RRB, RRH and RHA on
500 ͦ C combustion temperatures are shown in Fig. 1.
It presents a broad baseline at around 22° whichmeans those materials has significant content ofamorphous compounds. As reported by [9], RHA isvery sensitive to the combustion temperature andtime duration in a furnace. The appearance of RHA
is white colour indicating the residual carbon content
is low.

RRB
RRH
H500B0H500B1
H500B3
H500B5

103

102

101
101

102

103

104

105

106

Frequency (Hz)Fig. 2 Frequency dependence of dielectric
permittivity of RRB, RRH and mixture of the RHA
with RRB at different fractions.

Intensity (a. u.)

RH500

In Fig. 2, it shows an electrode polarization at
low frequencies and continuous with a relaxation
dispersion around 1 kHz. It can be observed that thedispersive behavior reduced as RB content increase.
The sample with the highest RB content, i.e.,
H500B5 has almost similar trend with RRH and
RRB, which exhibit a general plateau above 1 kHz
indicating the mobile carriers able to follow the
rapid alternation of the electric field. In the
meanwhile, a corresponding dielectric loss peak isobserved in Fig. 3 where the peak shifts to lower
frequency as the RB content increases. This may due
to the free fatty acid that content in RB inhabit the
movement of mobile carrier and leads to lagging in

RRH

RRB

10

20

30

40

50

60

70

80

2θ (Degree)

Fig. 1 X-ray diffraction pattern of RRB, RRH and
RHA after thermal treatment made at 500 ͦ C.
Dielectric properties are important in predicting

34

SEE-Mie, Japan, Nov. 19-21, 2015

Figure 4 shows the variation of real conductivity
as a function of applied frequency for the RRB,
RRH and mixture of RHA with different RB content,
which calculated from equation as shown below.

Dielectric Loss Factor, e ″

104
RRB
RRH
H500B0H500B1
H500B3
H500B5103
102

σ ' = ωε ε "101

where ω is the angular frequency, 2πf , and ε  isthe dielectric permittivity of free space,
8.854 × 10 −12 F/m.
As seen in Fig. 4 the present of conductivity
disperse at low frequencies is associated with thelack of external force where motion of charges isreduced to weak oscillation within its neighborhoodvacant site instead of having long-range transportmotion under the influence of an applied field. At
higher frequencies, the conductivity spectra exhibit astronger dispersive region before reach therelaxation frequency, which could be attributed toshort-range transport due to motion of mobile
carriers over limited distance on short time scales[15] [16]. Beyond the relaxation frequency, further
increment of conductivity can be assigned to the factthat mobile carriers vibrates more frequently within
the allowed localized sites [16].
Both RRB and RRH have similar trend of
conductivity spectra as depicted in Fig. 4. The highconductivity of RRH was contributed by potassium(K), which is metal element that contented at theouter and inner surface of RRH. After combustion
process, the potassium content reduced significantly
as decomposed [17]. Generally, RRB has highcalcium content in addition to micronutrients [18],which may leads to high conductivity characteristic.
Figure 4 also clearly shows that conductivity
increase with increases of RHA content. Silica is amajor element in RHA [9], [17], [19]-[23] which
may react with element calcium from RB, forming acompound with greater insulation properties. The
result also indicated that mobile carriers were mainly
contributed from RHA. In other words, the amountof mobile carries was subjected to the RHA content.
Basically, diffusion coefficient, D and mobility,µ = eD kT are connected by Nernst-Einstein
relation and lead to conductivity, σ [24]

0

10

101

102

103

104

105

106

Frequency (Hz)Fig. 3 Frequency dependence of dielectric loss
factor of RRB, RRH and mixture of the RHA with
RRB at different fractions.
dipole polarization with respect to changing
electrical field. Beyond the loss peak frequency, ω p
the charges cannot oscillate as quickly as thealternating field, dispersion takes place andeventually decrease to a constant value of ε ' athigher frequencies. This is due to dipole polarization
mechanism ceases to contribute to the net
polarization of the dielectric.
The loss factor of the RRB, RRH and H500B5
decreased with increasing frequency from 4 Hz to 10
kHz, reached a minimum, and then increased as
frequencies were further increased to 1 MHz. The
dielectric spectrum for RRB are in good agreementwith earlier results of [12] in which authors reported
the frequency dependence of the ε " of freshsoybean oil at 25 ͦ C. These variations may associate
to high content of free fatty acid. Free fatty acid
fraction of RRB contained highest oleic acidfollowed by linoleic acid and linolenic acid [13] [14].

100Conductivity, σ ′ (S/m)

10-1
10-2
10-3

(2)

RRB
RRH
H500B0H500B1
H500B3
H500B5

10-4
10-5

σ=

-6

10

ne 2 D
kT

(3)

10-7
101

102

103

104

105

where n is charge carrier density, e is carrier charge,
k is Boltzmann constant, and T is absolutetemperature. Decrement of conductivity with RB
contents may correlated with enhancement ofactivation energy in diffusion for electrical transport
process.
Activationenergyforelectricalconductivity can be explained by Anderson and

106

Frequency (Hz)Fig. 4 Frequency dependent of real conductivityof RRB, RRH and mixture of the RHA with RRB at
different fractions.

35

SEE-Mie, Japan, Nov. 19-21, 2015

Stuart model [25]. There are two possibilities ofhindrance for diffusion mechanism. The conduction
pathway being strained and the mobile carriers may
induce electrostatic binding energy with otherelements within the sample. Hence, diffusion
movement of mobile carriers encountered moredifficult steps and resulting in an overall decrease of
conductivity with the increase of RB content.

Food Science , Vol. 1, Sept. 2011, pp. 1-7.
[5] Hoogenkamp H, “Rice bran reinvented”, Asia
Pacific Food Industry, Vol. 21, Nov. 2009, pp.
36-39.
[6] Norhaizan ME, Tan BL, Loh SP, “By-productsof rice processing: An overview of healthbenefits and applications”, J. of Rice Research,
Vol. 1, Aug. 2013, pp. 1-11.
[7] Rwezaula GJ, Loth SM , Christine GI, Shazia
OWMR, Susan NM, Amon PM, Paul JRN,
Ashimogo GC, Tiisekwa T, Mvena T, Henry
SL, “Effect of organic mulch types on common
biotic, abiotic factors and components of yieldin determinate and indeterminate tomato(Lycopersicon esculentum Mill) commercial
cultivars”, Asian J. of Plant Science, Vol. 4,
2005, pp. 580-588.
[8] Shah MK, Nepali DB, Devkota NR, Yadav JL,“Effect of stocking density, bedding materials
and probiotics on the performance of broiler”,
Nepalese J. of Agricultural Sciences, Vol. 11,
Sept. 2013, pp. 78-85.
[9] Chen GY, Du GY, Ma WC, Yan BB, Wang ZH,
Gao WX, “Production of amorphous ricehusk ash in a 500 kW fluidized bed
combustor”, Fuel, Vol. 144, March 2015, pp.
214–221.
[10] Singh R, Ulrich RK, “High and low dielectric
constant materials”, The Electrochemical
Society Interface, 1999, pp. 26-30.
[11] Saltas V, Triantis D, Manio T, Vallianatos F,“Biomonitoring of environmental pollution
using dielectric properties of tree leaves”,
Environmental Monitoring and Assessment,
Vol. 133, Oct. 2007, pp. 69–78.
[12] Hu LZ, Toyoda K, Ihara I, “Dielectric
properties of edible oils and fatty acids as afunction of frequency, temperature, moistureand composition”, J. of Food Engineering,Vol. 88, Sept. 2008, pp. 151–158.
[13] Katsuharu Y, Shintaro M, “Fatty acidcompositions of rice lipid and their changes
during storage”, Agricultural and Biological
Chemistry, Vol. 28, Aug. 1964, pp. 257-264.
[14] Orthoefer, FT, "Chapter 10: Rice bran oil".
Bailey's Industrial Oil and Fat Products, 6thed. Vol. 2, Shahidi F: John Wiley & Sons,
Inc., 2005, pp. 465-489.
[15] Funke K, Banhatti RD, Bruckner S, Cramer C,
Krieger C, Mandanici A, Martiny C and Ross
I, “Ionic motion in materials with disorderedstructures: conductivity spectra and theconcept of mismatch and relaxation”,
Physical Chemistry Chemical Physics, Vol. 4,
May 2002, pp. 3155-3167.
[16] Nageswara R, Padmaraj O, Narsimulu D,
Venkateswarlu M, Satyanarayana N, “A.C
conductivity and dielectric properties ofspinel LiMn2O4 nanorods”, Ceramics

CONCLUSION
The dielectric permittivity, dielectric loss factor
and conductivity with different rice bran content are
frequency dependence. From the thorough analysisof the experimental data, short-range transport ofcarries predominant conductivity spectra and dipolar
type relaxation occurs at higher frequency regions asobserved in the dielectric loss factor plot. Dielectric
permittivity, dielectric loss factor and conductivity
decreases with an increase in RB content. Such abehavior may attribute to decrease number of mobile
carriers and formed a compound with lower
conduction effect. Besides, Anderson-Stuart model
has been used to describe the variation of the
conductivity by inducing activation energy. This
work demonstrates that dielectric properties of RHA
can be effectively tailored by mixing RB possessingvary electrical characteristics. In addition, there is apotential to change these abandoned agriculture
waste into renewable energy resource for electricalfield applications.
ACKNOWLEDGEMENTS
The authors wish to express a gratefulacknowledgement to rice milling factory in Perlis
Malaysia for supplying rice husk and rice bran to thepresent research. Authors are thankful to laboratory
assistants in Universiti Malaysia Perlis for technicalsupports.
REFERENCES
Ajay K, Kalyani M, Devendra K, Om P,“Properties and industrial applications of rice
husk: A review”, International J. of Emerging
Technology and Advanced Engineering, Vol. 2,
Oct. 2012, pp. 86-90.
[2] Susan SC, Priscilla S, “Chapter 14: Production
composition
functionality
andfoodapplications physiological benefits”, Fiber
Ingredients: Food Applications and Health
Benefits, CRC Press, 2009, pp. 305-318.
[3] Mohanty S, Rice crisis: The aftermath. Rice
Today 7, International Rice, Research Institute,2008, pp. 40-41.
[4] Nagendra PMN, Sanjay KR, Shravya KM,
Vismaya MN, Nanjunda SS, “Health benefitsof rice bran - A review”, J. of Nutrition &[1]

36

SEE-Mie, Japan, Nov. 19-21, 2015

International, accepted. July 2015.
[17] Bie RS, Song XF, Liu QQ, Ji XY, Chen P,“Studies on effects of burning conditions andrice husk ash (RHA) blending amount on themechanical behavior of cement”, Cement andConcrete Composites, Vol. 55, Jan. 2015, pp.
162–168.
[18] Simone ADSCF, Priscila ZB, Marilene DVCP,“Nutritional composition of rice bran
submitted
todifferent
stabilization
procedures”, Brazilian J. of Pharmaceutical
Sciences, Vol. 48, Oct./Dec., 2012, pp. 651657.
[19] Haslinawati MM, Matori KA, Wahab ZA,
Sidek HAA, Zainal AT, “Effect oftemperature on ceramic from rice husk ash”,
International J. of Basic and Applied Sciences,Vol. 9, Oct. 2009, pp. 22-25.
[20] Della VP, Kühn I, Hotza D, “Rice husk ash as
an alternate source for active silica
production”, Materials Letters, Vol. 57, Dec.
2002, pp. 818–821.
[21] Zahedi M, Ramezanianpour AA, Amir MR,“Evaluation of the mechanical properties anddurability of cement mortars containing
nanosilica and rice husk ash under chloride
ion penetration”, Construction and Building
Materials, Vol. 78, March 2015, pp. 354–361.

[22] Antiohos SK, Papadakis VG, Tsimas S, “Ricehusk ash (RHA) effectiveness in cement andconcrete as a function of reactive silica andfineness”, Cement and Concrete Research,
Vol. 61–62, July–Aug. 2014, pp. 20–27.
[23] Ismail NAA, Azmi MA, Ahmad S, Taib H,“Effect of rice husk firing temperature on
synthesis of silica (SiO 2 )”, Int. Conf. on
ICXRI, 2014, pp. 183-184.
[24] Wei G, Nigel MS, An Introduction toElectronic and Ionic Materials. London:
World Scientific Publishing Co. Pte. Ltd.,
1999, ch. 11.
[25] Anderson OL, Stuart DA, “Calculation ofactivation energy of ionic conductivity insilica glasses by c1assical methods”, J. of
American Ceramic Society, Vol. 37, Dec.
1954, pp. 573 – 580.

37

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

REFLECTION AND DIELECTRIC MEASUREMENT FOR SALINITY
OF WATER USING MICROSTRIP LOOP SENSOR/ANTENNA AND
DIELECTRIC PROBE
E.M. Cheng1, M. F. Abdul Malek2, S. F. Khor2, K. Y. You3, K.Y. Lee4, M. A. Rojan1, S. Abu Bakar1, N. F.
Mohd Nasir1, Z. Zakaria1, and W. H. Tan1
1

School of Mechatronic Engineering, Universiti Malaysia Perlis, Malaysia; 2School of Electrical System
Engineering, Universiti Malaysia Perlis, Malaysia; 3Faculty of Electrical Engineering, Universiti Teknologi
Malaysia, Malaysia; 4Faculty of Engineering and Science, Universiti Tunku Abdul Rahman, Malaysia.

ABSTRACTThis study was conducted to investigate the feasibility of loop sensor in gauging level of salinity of water via
electromagnetic wave reflection. High salinity cause adverse effect to environment. When high levels salinity ofwater diffuse into soil, the salinity of soil will be subsequently cause degeneration to vegetation and fertile land
to be barren. At the worst case scenario, the extinction will be occurred on low self-resistant species and hence
lead to interruption of biodiversity and ecosystem of a territory. In addition, the diminished groundcover exposessoil to erosion, which can lead to landslide and pollution of water. It would decline the value of land for humanand animal consumption. These impacts of salinity can cause tremendous lost in money because the restorationof impaired agricultural production, corroded landmark and infrastructure, as well as water treatment isextremely costly. Therefore, a reliable detection system for salinity of water source is very crucial. In this work,
reflection measurement was conducted by using loop antenna in conjunction with Agilent E8362B P-series
network analyser (PNA) for water salinity detection. Dielectric probe will be then used in conjunction with PNA
for dielectric characterization due to different salinity of water. It comes to learn that the different level ofsalinity of water exhibit different dielectric properties through reflection measurement. The increment of salinity
leads to increment and decrement of dielectric constant and loss factor, respectively. Similar observation can befound through reflection coefficient in terms of magnitude and phase.
Keywords: Keywords: Loop Sensor, Salinity, Reflection Coefficient, Dielectric Properties, Water

agricultural activity. Suffice to say, the salinity ofwater is not merely disrupt the ecosystem, but its
effect may even connect to economy of an
agricultural-based countries. As a result, a fast andaccurate salinity detection method is required forprecaution.
In this work, water in different degree of salinity
which is presented in molarity will be characterized
dielectrically by Agilent E8362B PNA Microwave
Network Analyzer in conjunction with Agilent
85070E slim probe from 2 GHz to 20 GHz. In
addition, complex reflection coefficient in terms ofmagnitude and phase are measured by using Agilent
E8362B PNA Microwave Network Analyzer.
However, measurement of loop sensor/antenna on
salinity will be conducted within 2.3 GHz to 2.5
GHz where ISM band appear within this frequency
range, i.e. 2.45 GHz. The relationship among thesalinity, dielectric properties and reflection
coefficient will be discussed.

INTRODUCTION
Salinity of water source is very crucial indetermining the quality of our environment, either
for residential purpose or habitat for flora and fauna.
Salinity is referred to the quantity of salt in water
which will affect its acidity. Disturbance of acidityof water may cause inconvenience to human race,
flora and fauna. The prehistoric case during 2400–
1700 B.C. in ancient Mesopotamia which cause
several negative issues due to disturbance of salinity
were occurred. Their negative effect, e.g. soil
erosion, landslide, water pollution and some otherenvironmental issues were even extended to disrupt
civilization. The recent one is occurred in southern
Iraq [1].
Agricultural activity is backbone of economy forcertain ASEAN countries, e.g. Thailand, Malaysia,
Indonesia, Vietnam and etc. The disruption ofacidity of water can be extended to soil salinity.
Water and soil for plantation and agriculturalactivity is closely related. Salinity of soil and watermust be preserved at optimum salinity, in order toprovide the best environmental condition for

Past Researches
Researches for salinity analysis have been conducted38

SEE-Mie, Japan, Nov. 19-21, 2015

in recent years [2]-[3]. Immense number ofpublication can be found especially implementationof microwave method [4]-[5]. Kundra et al. (1992)[6] measure dielectric properties of milk due toeffects of dissolved salts. Gadani et al. (2006) [7]proved the effect of salinity and frequency on
dielectric constant where
dielectric constantdecreases when concentration of saline water
increase. Whereas, increment of frequency cause
decrement in loss factor. On the other hand, Thomas
M. Dauphi et al. (1983) [8] reported that asalinometer which was designed with principle ofthe conductivity for ratio of sample to standard
seawater in dual cell. Satellite was even used forcomplex dielectric analysis on pure and sea water[9].

molarity is prepared for reflection-based saline watermeasurement. The sodium chloride (NaCl) withdifferent quantity (weight) is dissolved in water, inorder to prepare different molarity of saline water.
The samples were prepared in molarity of 0.00 M,
0.34 M, 0.69 M, 1.03 M, 1.38 M, 1.72 M, 2.07 M,
and etc. The molarity can be defined as the molar
concentration that denotes the number of moles of agiven substance per liter of solution. The formula formolarity can be expressed as

Loop Antenna/Sensor
In telecommunication industry, loop antenna iswell known as one of the efficient receiver of radio
signals if compare with other antennas, e.g.
monopole antenna, dipole antenna, Uda-Yagi
antenna and etc. It is due to its mobility,
compatibility wide range of frequencies, and low
electricity consumption. The performance of a loop
antenna’s performance is crucially determined by its
design, specification and placement.
Loop antennas can be a wideband transmitter andreceiver. It has high portability because it can beeasily miniaturized [10] for many portable and small
wireless devices. On the other hand, loop antennas
are also low cost, ergonomic, and commonly usedfor various purposes, e.g. as sensor or antennasensing system.

mole of solute(mol) mol molarity= L  Volume of solution (L)(1)

moles of NaCl(mol)1 mol=
Re lative weight of NaCl(g )× Weight of NaCl(g )(2)Fig. 1 Microstrip Loop Antenna/Sensor.

Basic principle of loop antenna
Reflection and Dielectric Measurement

Agilent 85050E Slim Probe
A loop antenna is made of a loop of copper asshown in Fig. 1. The loop antenna’s capacitance is
proportionally varies with operating frequency. In
other word, the loop’s capacitance increase withfrequency and vice versa. The equivalent loop’s
capacitor maintains electric voltage by holding thedeposited charge. Charge will be release and causes
the flow of current after time constant, τ. It implies
that the longer τ lead to higher efficiency of antenna
to propagate the waves into free space. Lower
frequency can be easily implemented in such a case.
Albeit lower frequency cannot propagate farther, its
signal of wave can be stronger.

Reflection measurement
The reflection measurement for complex
reflection coefficient using loop antenna is as shownin Fig. 2. Short, open, load, and known-thru
standards (SOLT) in Agilent 85050B standard
mechanical calibration kit are used for calibration
prior to reflection measurement [11]. The calibration
procedure is conducted to get rid systematic errors
and drift errors.
During reflection measurement, the loop antenna
which co nnects with Agilent E8362B PNA
Microwave Network Analyzer is used to measurereflection coefficient in terms of magnitude andphase. The antenna was fully dipped in the various
molarity of saline water. The measured magnitude
and phase for various molarity of saline water as
exhibit on PNA were recorded for analysis.

METHODOLOGY
Samples Preparation
In this project, the saline water with different
39

SEE-Mie, Japan, Nov. 19-21, 2015

Dielectric measurement

when exceeding 15 GHz. It might due to the delay
response of molecules in saline water to applied
time-varying field. The synchronous polarization
among the molecules in saline water reduce thefriction occurred among molecules. The loss factor
is determined by asynchrony of relaxation andoperating frequency. The highly dispersion ofrelaxation frequencies among the molecules in saline
water cause the asynchrony. The rotations ofmolecules due to time-varying applied field cause
the friction. Subsequently, the heat is generated anddissipated. As a result, the loss factor for different
molarity exhibit different gradient of trendline asshown in Fig. 4.
Generally, it can be observed from Fig. 4 thatdielectric constant decreases when molarity of saline
water increases. When Sodium Chloride (NaCl)dissolved in water, water molecules (H 2 O) will bindwith the molecule of NaCl to form hydrogenbonding. It increases the inertia of molecules.
Subsequently, the mobility of water molecules isdegraded and so for polarization. The mobility ofthese molecules is constraint during polarization andhence cause the descending of ε’ when molarity
increases. Higher molarity implies less free watermolecule. Hence, ε’ decreases when salinity(molarity of NaCl) in water increases. In contrast, ε”
increases with molarity of NaCl.
The dispersion of relaxation frequencies among
bound molecules and free water molecules due toinertia increase the asynchronous of rotation. Hence,
the rotational losses or friction among molecules rise
up. It can be justified through Fig. 5 where ε”
increase with molarity of NaCl in saline water.
However, it starts to be level off because most of thefree water molecules have been bound by NaCl. It
enhances the synchrony of all molecules during thepolarization. Low dispersion of relaxation
frequencies and operating frequencies might be themain reason for this phenomenon.
In addition, the higher molarity also exhibit
lesser gradient. It is attributed to insufficiency of
free water molecule. Pure water exhibit the highest ε’due to the presence of free water molecule is high. It
can be easily polarized when field is applied because
the mobility of free water molecules has not been
constraint. When free water molecule is bound with
NaCl in solution, free water molecule loss its
mobility and its inertia is high. Hence, it leads to lowε’.
In the meantime, higher molarity also results
lower gradient of ε’ over frequency. It is due to highinertia of bound molecules where these molecules
lost its capability to polarize synchronously with
operating frequency. Therefore, its ε’ is presented
constantly in Fig. 4. Meanwhile, dispersion of
frequency among the applied field, bound molecules
and free water molecules are lead to variation of ε”
over frequency. At low frequencies, bound molecule

Agilent 85070E slim probe (Fig. 3) is an openended type of dielectric sensor which works with
Agilent
microwave
PNA
fordielectriccharacterization in terms of dielectric constant (ε’)
and loss factor (ε”).

Fig. 2 Reflection measurement for salinity using
loop antenna.

Fig. 3 Agilent 85070E slim probe [12].
Calibration is conducted through slim form probe
calibration short, pure water and free space. The
method of measurement is similar with reflection
measurement where the slim probe is dipped into
saline water. Both ε’ and ε” will be computed
through Agilent 85071E material measurement
software. Both ε’ and ε” are needed to explain themeasured complex reflection coefficient.
RESULTS AND DISCUSSIONSThe Effect of Salinity on Dielectric Properties(Agilent 85052D Slim Probe)
Figure 4 and 5 illustrated the variation ofdielectric measurement using Agilent 85052D slim
probe in conjunction with PNA. Figure 4 indicatesthat the dielectric constant, ε’ of all saline water withdifferent molarity decreases when frequency
increase from 5 GHz to 20 GHz, overall. The
incomplete polarization due to the delay of responseto the change of applied field causes the decrementof ε’. In addition, the measured dielectric constantfor free space is as expected which present in unity.
In Fig. 5, the loss factor, ε” shown constant innull value for free space. is merely almost level off
40

SEE-Mie, Japan, Nov. 19-21, 2015

80

Free space
Pure water
0.34M
0.69M
1.03M
1.38M
1.72M
2.07M
2.41M
3.45M
4.31M
5.17M
6.03M
6.90M

70

Dielectric constant, ε'

60

50

40

30

20

10

0

2

4

6

8

12
10
Frequency (GHz)

14

16

18

20

Fig. 4 The variation of dielectric constant over frequency for various molarity of saline water.
250Free space
Pure water
0.34M
0.69M
1.03M
1.38M
1.72M
2.07M
2.41M
3.45M
4.31M
5.17M
6.03M
6.90M

200

Los factor, ε"

150

100

50

0

-50

2

4

6

8

10
12
14
Frequency (GHz)

16

18

20

Fig. 5 The variation of loss factor over frequency for various molarity of saline water.
which are major component in saline water are
still capable to follow the oscillation of appliedfield. When frequency increases, they might beoscillate insignificantly because the frequency ofoscillation is too high. Less friction amongmolecules are taken place, therefore, it exhibits
lower gradient of ε” over frequency range beyond 15
GHz.

constant which refer to characteristic impedance oftransmission line on loop antenna. In this work, Z L
is defined as impedance of saline water. Generally,
Z L can be expressed as

The Effect of Salinity on Reflection Coefficient(Loop Antenna/Sensor)

C = εC 0

ZL = jZ L − Z0
Z L + Z0(4)(5)

where ω is angular velocity and C 0 is capacitance

From Fig. 6, it can be observed that themagnitude of reflection coefficient decreases whenfrequency increases. Actually, it is in line with thevariation of ε’ over frequency as shown in Fig. 4.
Reflection coefficient, Γ can be expressed as

Γ=

1
ωC

for free space. If Z L is closer with Z0 , Γ will showlesser. As a result, it can be deduced that thedecrement of magnitude of reflection coefficient
over frequency might due to approach of Z L to Z0 .
It can be explained by the mismatch impedance
where the smaller Z L − Z 0 at numerator of Γ as
expressed in Eq. (3). The loop antenna is designed todrive the electromagnetic wave to propagate into
free space. When the loop antenna was dipped into
saline water, the propagation environment is(3)

where Z L is impedance of load/sample and Z0 is a41

SEE-Mie, Japan, Nov. 19-21, 2015

Pure water
0.34M
0.69M
1.03M
1.38M
1.72M
2.07M
2.41M
3.45M
4.31M
5.17M
6.03M
6.90M

0.91

0.905

Reflection Coefficient, Γ

0.9

0.895

0.89

0.885

0.88

0.875

0.87

0.865
2.3

2.32

2.34

2.36

2.38

2.4
Frequency (GHz)

2.42

2.44

2.46

2.48

2.5

Fig. 6 The variation of magnitude of reflection coefficient over frequency.
145

Pure water
0.34M
0.69M
1.03M
1.38M
1.72M
2.07M
2.41M
3.45M
4.31M
5.17M
6.03M
6.90M

140

135

130

Phase (Degree)

125

120

115

110

105

100

95
2.3

2.32

2.34

2.36

2.38

2.4
Frequency (GHz)

2.42

2.44

2.46

2.48

2.5

Fig. 7 The variation of phase of reflection coefficient over frequency.
different from the free space. It causes the reflection
where it meets the mismatch impedance at interfaceof two media. The higher degree of mismatch
implies the greater reflection is occurred. It can beinferred that when the dielectric constant decreases
with frequency (Fig. 4), it leads to the decrement of
mismatch impedance. Hence, it can be noticed thatmagnitude of reflection coefficient decreases overfrequency too as shown in Fig. 6.
Withal, phase of reflection coefficient plummet
as frequency increases. It can be clearly seen in Fig.
7. The phase for all molarity of saline water cannot
be distinguished significantly. It might due to theinsignificant delayed time of incident wave andreflected wave. When the incident wave transmits
from antenna impinges on interface, the time delayis occurred before reflection. In Fig. 7, time delay
during the reflection on interface is mitigated overfrequency. Therefore, the phase angle has shown
decreases with frequency, as increment of frequency
shorten time delay during the polarization. Time isdelay because time is taken for process polarization.
When the frequency increases, the dielectric
constant decreases. The depth of wave from theinterface to be reflected might be smaller. As a result,
the resultant phase shift due to reflection on surface
and internal depth of saline water will be smaller.
Delayed time is closely related to the depth which
the internal reflection occurred. It can be seen that
depth for internal reflection does not change
significantly over frequency
CONCLUSION
A reflection-based microwave measurement system
which consists of dielectric slim probe and loop
42

SEE-Mie, Japan, Nov. 19-21, 2015

antenna/sensor in conjunction with PNA isdeveloped for the sake of salinity measurement.
PNA in conjunction with dielectric slim probe areused to measure the dielectric constant, ε’ and loss
factor, ε” of saline water with different molarity(salinity). Reflection measurements using loop
antenna/sensor were also conducted for reflection
coefficient. Then, the measured reflection coefficientis presented as magnitude and phase. It can beobserved that both dielectric constant and loss factor
decrease when frequency increases. Meanwhile,
dielectric constant, ε’ decreases when frequency
increases. Nevertheless, loss factor, ε” increases
with frequency. The measured reflection coefficientin terms of magnitude and phase decrease whenfrequency increases. The effect of molarity on the
dielectric properties is different if compared with thevariation of dielectric properties over frequency. The
ε’ is in decrement when molarity (salinity) increases
while the ε” shown increment over molarity. RG405
has better agreement with Agilent 850520 High
Temperature Probe in measuring reflection
coefficient for all selected frequency in salinity
measurement. Meanwhile, RG405 performed
consistently with High Temperature Probe. The
variation of reflection coefficient over percentage ofsugar content in solution is maintained at certain
accuracy. RG402 performed inconsistently in sugar
content detection comparing with RG405.

water”, Int. J. of Mechanical & Mechatronics
Engineering, Vol. 14, 2014, pp. 31-36.
[5] Cheng EM, Fareq M, Shahriman AB, Mohd
Afendi, Zulkarnay Z, Khor SF, Liyana Z,
Nashrul Fazli MN, Tan WH, Noorpi NSM.,
Mukhtar NM, Othman M, “Development of low
cost microwave detection system for salinity andsugar detection”, Int. J. of Mechanical &Mechatronics Engineering, Vol. 14, 2014, pp.
59-71.
[6] Kundra T, Raghavan SV, Akyel C, Bosisio R,
van de Voort FR, “Electromagnetic properties ofmilk and its constituents at 2.45MHz”, J. of
Microwave power, Vol. 27, 1992, pp. 199-204.
[7] Gadani DH, Rana VA, Bhatnagar SP, Prajapati A
N, Vyas AD, “Effect of salinity on dielectric
properties of water”, Indian J. of pure & Applied
Physics, Vol. 50, 2006, pp. 405-410.
[8] Thomas MD, John A, Peter Klein H, John
Phillips M, “The electrical conductivity ofweight diluted and concentrated standard
seawater as a function of salinity andtemperature”, IEEE J. of Oceanic Engineering,Vol. OE-5, 1980, pp. 28-41.
[9] Meissner T, Wentz FJ, “The complex dielectric
constant of pure and sea water from microwave
satellite observations”, IEEE Transactions on
Geoscience and Remote Sensing, Vol. 42, 2004,
pp. 1836-1849.
[10] Wheeler HA, Great Neck NY, “Fundamental
limitations of small antennas”, Proc. of the IRE,
Vol. 35, 2006, pp. 1479 – 1484.
[11] Keysight Technologies. “Specifying calibration
standards and kits for Keysight Vector
Network Analyzers” Application Note, 2014.
[12] Agilent Technologies. “85070E Dielectricprobe kit”, Printed Version of 85070E Help
File, 2013.

ACKNOWLEDGEMENTS
The authors gratefully acknowledge Universiti
Malaysia Perlis (UniMAP) for supporting this work
financially. In the meantime, author would like todeliver the deepest gratitude to Research Cluster ofEmbedded Computing, UniMAP for the researchequipments.
REFERENCES[1] Jacobsen T, Adams RM, “Salt and silt in ancient
Mesopotamian agriculture”, Science, Vol. 128,
1958, pp. 1251-1258.
[2] Timothy B, Sydney L, Hernan G, Ricardo AL,
Cathy S, John A, “Objective analyses of annual,seasonal, and monthly temperature and salinity
for the world ocean on A 0.25° grid”, Int. J.
Climatol, Vol. 25, 2005, pp. 931–945.
[3] Connors BM, Juarez-Colunga E, Dill LM,“Effects of varying salinities on Lepeophtheirus
salmonis survival on juvenile pink and chumsalmon”, J. of Fish Biology, Vol. 72, 2008, pp.
1825–1830.
[4] Cheng EM, Fareq M, Shahriman AB, Mohd
Afendi R, Lee YS, Khor SF, Tan WH, Nashrul
Fazli MN, Abdullah AZ, Jusoh MA,“Development of microstrip patch antennasensing system for salinity and sugar detection in43

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

THE INFLUENCE OF LOCAL LAND USE ON THE WATER QUALITY
OF URBAN RIVERS

1

Juan Carlos Covarrubia1, Scott Rayburg1, Melissa Neave2
Swinburne University of Technology, 2Centre for Urban Research, RMIT University

ABSTRACT
Urban rivers are often heavily degraded in terms of their physical and biological forms and functions. This has
occurred because, until recently, urban rivers in many cities were viewed as either ‘problems’ to be managed(e.g., for flood control) or as a means for waste disposal, rather than as aesthetic and/or ecological resources. An
inherent property of all cities is the relationship between urban runoff and the rivers that receive this runoff.
Urban river flows are often highly variable and extremely polluted, which limits their potential for recreationaluse and as habitat for terrestrial and aquatic organisms. This study investigates how different urban landuses arereflected in the water quality of a specific river. To accomplish this, the study adopts a longitudinal approach andassesses water quality at multiple points along a single system that has three distinct land uses: 1) rural andagricultural; 2) residential; and 3) industrial. The study shows that water quality is relatively good in the ruraland agricultural region, shows signs of impairment in the residential region, and becomes heavily impaired in theindustrial region—despite having very similar stream side environments (good riparian vegetation cover and afloodway reserve) for its entire length. This study identifies which portions of the catchment are most
responsible for non-point source pollution in urban rivers and therefore can be used to target remediation
strategies to help improve the overall quality of these systems.
Keywords: Non-point source pollution; nutrient pollution; heavy metals; river management

is highly dispersed and largely untraceable. This
aspect of non-point source pollution makes it much
more difficult to manage [3]. According to an
investigation by [4] non-point source pollution fromagriculture, forests and developed urban areas
contributes around 74-75% of nitrogen and 80-82%
of phosphorous to total pollution loadings in rivers.
This demonstrates how difficult it can be toeliminate these pollutants, as the sources are
distributed and hard to manage while theircontribution to overall pollutant loads is very high.
Another example of the problems associated with
non-point source pollution can be found in researchby [5]. They showed that the main causes of urbanriver pollution were the discharge of non-point
source industrial and agricultural wastes anddomestic sewage (such as people and livestock
excrement) throughout the watershed. Suchpollutants typically alter the properties of urbanrivers including their colour, odour, acidity and theecosystems contained within them [6].
To combat these problems, both monitoring andmitigation (i.e., ensuring a certain level of water
quality) need to be undertaken to maintain theecological balance of urban rivers and to avoid any
public health problems [7]. To achieve this, water
quality is often monitored, using a variety ofphysical-chemical,
chemicalandbiologicalindicators [8]. These indicators are then assessed todetermine whether the observed levels reflect

INTRODUCTION
Urban rivers are major assets to communities as
they provide numerous benefits, including fresh
water, recreation, landscape amenity, habitat
provision and flood control. Humans have longrecognized the value of urban rivers, with mosthuman settlements having been established along
riverbanks [1]. However, as cities grow theirassociated rivers can experience changes to theirecosystems as a consequence of pollutants thatoriginate in the urban environment. This leads to adegradation of stream ecological functioning and theloss of other river resource amenities. To mitigate
these problems, numerous regulations and initiatives
have been enacted at local and national scales toprotect urban rivers [2]. Despite these, urban riverpollution and degradation continue to be a problem
worldwide.
Urban river water quality is mainly affected byhuman activities that either directly modify stream
form and/or function or introduce pollutants into thestream. In terms of pollutants, these may arrive inthe stream from either “point” or “non-point”
sources. Point source pollution can be attributed to
one specific cause and as such tends to be moreeasily managed (i.e., if the point source can be
identified the pollution can be eliminated or reduced
through direct action) while non-point source
pollution derives from catchment runoff, and as such

44

SEE-Mie, Japan, Nov. 19-21, 2015

anthropogenic factors (which can be managed) or tonatural processes such as erosion, climate,hydrological conditions, topography, catchment area,
tectonic and or edaphic factors (which normallycannot be managed).
In addition to monitoring, there are somemethods for enhancing the water quality of urbanrivers (i.e., mitigation). For example, [9] show how
employing wetlands in an urban river system canpartially remove nutrients and other elements that
affect the ecosystem of a river. Likewise, [10] showthat vegetation improves and maintains waterways
and that sites with good riparian vegetation typicallyhave better water qualities than those lacking
riparian vegetation. Thus, monitoring and mitigation
are used in combination to improve the health ofurban rivers.
To achieve the best outcomes for urban rivers, it
is clear that further research needs to be done todetermine where pollutants are coming from (e.g.,
how different land uses impact on the delivery of
non-point source pollutants to adjacent waterways)
and how different river configurations (e.g., naturaland artificial streams; vegetated and non-vegetatedriparian areas; parklands or urban flood corridors,etc.) affect water quality. This project aims toinvestigate these issues. Specific aims of the project
include determining which land use types mostimpact on urban water quality and what affect, if any,stream and streamside form and character have on
the quality of an urban stream.

conducted along the river’s length. Multiple fieldsites were investigated and compared with data fromtwo long-term monitoring sites (Fig. 2). Thus, thisstudy investigates two sources of data: 1) long term
data collected by Melbourne Water at two sites
along Kororoit Creek (low spatial but high temporal
resolution data); and 2) field data collected at eightsites for this study (high spatial but low temporal
resolution data). The original objective was tocollect data from nine sites (Fig. 2) but there wasinsufficient flow at the uppermost site (Site 9) toenable analysis. Thus, only data from sites 1-8 arereported here. Sites 7-9 were located within a sectionof the catchment that was dominated by agricultural
landuse. Sites 3-6 were located within a section of
the catchment that was largely urban housing. Sites
1-2 were in an industrial sector of the catchment.

SITE DESCRIPTION
Kororoit Creek is located in the city of
Melbourne in the southern part of the state ofVictoria, Australia (Fig. 1), originating in the rural
foothills of the Great Divide near Gisborne andSunbury. The river then flows into the western
suburban areas of Melbourne.
A variety of animals, including fish, birds,
mammals, amphibians and arthropods, make theirhomes in Kororoit Creek. For example, wetlands
along the creek are home to the endangered
Growling Grass Frog and remnant native grasslandsin the lower sections of the river provide habitat for
the endangered Striped Legless Lizard. There is alsoa large population of native water rats andsignificant remnant stands of saltmarsh and whitemangroves in the lower sections of the river, which
are used by a wide range of rare and/or endangeredwaterbirds. Thus, Kororoit Creek provides habitat
for a diverse range of species, including many thatare at risk of extinction.

Fig. 1 The location of Kororoit Creek. a) the cityof Melbourne, and its location within Australia(sourced from Google Maps);b)
Kororoit
Creek in western Melbourne (Sourced from
Wikipedia).
Data were collected from the eight study sites
between April 25, 2015 and May 10, 2015. In eachcase, a HI 9828 water quality multimeter (Hanna
Instruments) was used to analyse the following
variables: acidification (pH), turbidity (ppm),
dissolved oxygen (%), and electrical conductivity(μS⁄cm).

METHODSTo establish how land use is affecting the water
quality of Kororoit Creek a longitudinal study was45

SEE-Mie, Japan, Nov. 19-21, 2015

variable at each site and at each sampling time.
RESULTS AND DISCUSSION
This project investigated how land use impacts
the water quality of urban rivers. The study included
a wide range of water quality parameters and manyof these showed at least some sensitivity to land use.
Standard water quality measures in urban
environments include pH, total dissolved solids,
dissolved oxygen and electrical conductivity. Thesestandard parameters were measured at the eight fieldsampling sites and the results are presented in Fig. 3
and Table 1.
Fig. 2 The nine fields sites (sites 1-9) and two
Melbourne Water monitoring sites (WBKOR0227
and WBKOR0278) assessed in this study (sourced
from Apple Maps).
Existing water quality data were also obtained
for two Melbourne Water Sampling sites on
Kororoit Creek that had been monitored since theearly 1990’s (Fig. 2). These high quality, laboratory
processed data included a wide range of water
quality indicators, although they are limited in their
spatial extent. The parameters available for these
two sites from Melbourne Water include:
1. Ammonia
2. Total Nitrogen
3. Total Phosphorus
4. Dissolved Oxygen (DO)
5. Electrical Conductivity (EC)
6. Acidity
7. Escherichia Coli
8. Heavy Metals: Arsenic (As),Cadmium (Cd), Chromium(Cr), Copper (Cu), Lead (Pb),
Nickel (Ni), Zinc (Zn).
9. Nitrate
10. Nitrite
11. Phosphate
12. Temperature
13. Suspended Solids
14. Turbidity(𝑵𝑵𝑵𝑵𝟑𝟑 )
(𝑵𝑵)
(𝑷𝑷)
(%)
(𝝁𝝁𝝁𝝁⁄𝒄𝒄𝒄𝒄)(𝒑𝒑𝒑𝒑)(𝒄𝒄𝒄𝒄𝒄𝒄⁄𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏)(𝒑𝒑𝒑𝒑𝒑𝒑)(𝑵𝑵𝑵𝑵𝟑𝟑 )(𝑵𝑵𝑵𝑵𝟐𝟐 )(𝑷𝑷𝑷𝑷𝟒𝟒 )(℃)(𝒎𝒎𝒎𝒎⁄𝑳𝑳)(𝑵𝑵𝑵𝑵𝑵𝑵)All data were analysed using simple graphicalmeans. For the eight field sites, three samples werecollected and the data from these were plottedagainst on the same graph to visually determine howwater quality varied between sites and between
sampling dates. The data for the two Melbourne
Water monitoring sites were plotted together toascertain how water quality at each site had changed
through time and to illustrate which of the two sites
had poorer water quality for the variable in question.
Finally, the water quality data from both sourceswere compared to guideline values [11] to determine
whether the water quality was deemed safe for eachFig. 3 Water quality data collected from 9 sites
along Kororoit Creek in the winter of 2015. a) pH;b) dissolved oxygen; c) electrical conductivity.
46

SEE-Mie, Japan, Nov. 19-21, 2015

somewhat surprisingly not for DO) while theupstream site (equivalent to field Site 5) only
exceeded guideline values for DO (Table 2).

In terms of pH, all samples were relatively
similar, ranging from approximately 8.6 at the most
upstream site (Site 8) to about 8.2 in the downstreamsites. For all samples the pH was basic (above 7).
The dissolved oxygen (DO) results were quite varied
between sampling periods. DO was relatively low(~50%) for most sites on the first sample date(25/04). The following two dates returned higher
values for most sites except for Sites 7 and 8, which
neared 40% on 01/05/2015. Electrical conductivity
was low for all dates for Sites 2 to 6 but varied
considerably between samples for Sites 1, 7 and 8.

Table 2 Comparison between the data obtained by
Melbourne Water in two monitoring sites along
Kororoit Creek and the standards given by [11].
ParameterpH
Dissolved
Oxygen (%)
Electrical
Conductivity
Temperature

Table 1 Comparison between the data obtained fornine field sites along Kororoit Creek and thestandards given by [11].
Parameter guideline values
pH
TDS
DO
EC (μScm1
(ppm)
(%)
)
Sites 6.8 – 8.3
1000
85 –
500
110
1
X
X
X
X
2
X
✓
✓
✓
3
X
✓
✓
✓
4
X
X
X
X
5
X
✓
✓
✓
6
X
✓
✓
✓
7
X
X
X
X
8
X
X
X
X
9
Note: TDS = total dissolved solids; DO = dissolved
oxygen; EC = electrical conductivity.

Turbidity
Suspended
SolidsNO3
NO2
NH3
Total N
PO4
Total P

Guideline
Values

WBKO
R0227

WBKO
R0278

6.5 - 8.3✓

X

85% - 110%X✓

500 μScm-1✓

X

15 - 35 °C

X

X

10 NTU

✓

X

NR

-

-

0.7 mg/LNR
0.9 mg/L
0.6 mg N L-1
0.02 mg P L-1
0.025 mg P L-

✓
✓
X
✓

X
✓
X
X

X

X

1

Escherichia
NR
Coli
Arsenic
0.013 mg/L
X✓
Cadmium
0.0002 mg/L
X
X
Chromium0.001 mg/L
X✓
Copper0.0014 mg/L
X
X
Lead
0.0034 mg/L
X✓
Nickel
0.011 mg/L
X✓
Zinc
0.008 mg/L
X✓✓. The parameter is within the permitted levels;
X. The parameter is not within the permitted
levels; NR. No guideline recommended.

According to [11] guideline levels, the pH should
be between 6.8 and 8.3. At sites 1, 4, 7 and 8 the pH
exceeded guideline values (Table 1). Similarly, thesefour sites were outside guideline values for electricalconductivity, DO and total dissolved solids. All of
the remaining sites were within guideline values forall of these variables except DO, with every site
being deficient in oxygen relative to guideline levels
for at least one sample. For each of these variables,
there does not appear to be a clear and consistentlink between land use type and water quality.
A total of 20 variables were measured over a
period of 20 years at the two Melbourne Water
monitoring sites. Generally speaking, variables ofparticular categories (such as metals and nutrients)
behaved similarly between these two sites. For thisreason, only representative plots are included in thispaper and these were chosen to display the general
pattern in variable levels at each site.
In terms of the standard water quality parametersof pH, DO and electrical conductivity, the resultsfrom the Melbourne Water sites tend to confirm theresults from the field data with the downstream site(equivalent to field Site 1) exceeding guideline
values for pH and electrical conductivity (butFig. 4 presents data for two key nutrients, Total
Nitrogen (TN) and Total Phosphorous (TP) for thetwo Melbourne Water sites. These data show that thedownstream site was consistently higher than the
upstream site for both of these key nutrients. This
result demonstrates a clear link between nutrient
concentrations and industrial land uses (as nutrient
levels are low upstream in the residential area).
These findings are consistent with previous researchthat has shown that nutrient levels can increase inindustrial areas. However, it is important to mention
that the results are contrary to previous
investigations that have found nutrient levels to behigh in agricultural areas [14].
This result may be related to the distance47

SEE-Mie, Japan, Nov. 19-21, 2015

between the furthest upstream monitoring site
(WBKOR0227) and the agricultural zone (which isseveral km upstream) or to a relatively low
fertilization regime in the agricultural areas ofKororoit Creek. To confirm whether nutrient
pollution is not a problem upstream, it isrecommended that an additional long term water
quality monitoring site be added in this area tocomplement those already available. In any case, it
is clear that the residential areas of Kororoit Creek
do not contribute significant quantities of nutrientsto the stream but industrial areas do.

threats is the discharge of faecal matter, which is a
primary contributor to E. Coli levels [13]. In contrast,
the downstream site is situated in a predominantly
industrial area, and so is unlikely to have a readysource of faecal matter that would cause elevatedlevels to be present there. Thus, for E. Coli there
appears to be a clear link between land use andpollutant load, with residential areas generating highE. Coli levels and industrial areas generating low E.
Coli levels.

Fig. 5 Metal data from Melbourne Water quality
assessment sites. a) lead; b) chromium.
Fig. 4 Nutrient data from Melbourne Water
quality assessment sites. a) total nitrogen; b) total
phosphorus.
The downstream site also consistently displayed
higher metal concentrations than the upstream site
(Fig. 5). These results suggest that the industrial
zone is a major source of metals to the river system
while the residential area is not. These results are
consistent with previous research. For example, [12]accredited the presence of heavy metals to factories
in and around urban rivers, a pattern that is also
reflected in this study. Hence, both nutrients andmetals seem closely linked to industrial land uses.
In contrast, the upstream site displayed higher
concentrations of E. Coli (Fig. 6) than thedownstream site. In this case, then the source of E.
Coli appears to be residential land uses. In thesetypes of regions, one of the main water quality

Fig. 6 E. Coli data from Melbourne Water quality
assessment sites.
48

SEE-Mie, Japan, Nov. 19-21, 2015

The performance of all of the parameters
monitored by Melbourne Water against [11]guideline levels are presented in Table 2. These data
show that for nearly every variable (the exceptions
being NH3 and DO) the downstream site breaches[11] guidelines, indicating that the river isextensively polluted at its outlet. However, the riveris in relatively good condition further upstream with
only six variables (DO, temperature, total nitrogen,total phosphorus, cadmium and copper) regularly
exceeding guideline levels. A current focus on tree
planting in the upstream reaches should help toimprove these values even further, resulting in a
relatively safe and healthy upstream riverine
environment. However, there appears to be little
prospect of improved water quality downstream
unless the adjacent industries are encouraged orcompelled to reduce their discharges to the creek.

using multivariate statistical techniques. Env.
Geochem. and Health, 37, 251-261.
[4] Choi, J. Lim, K. & Won, C. (2013). Catchment
water quality management planning forsustainable development of tidal areas. Irrig.
and Drain., 62, 18-23.
[5] Yan, C., Zhang, W., Zhang, Z., Liu, Y., Deng,
C., & Nie, N. (2015). Assessment of Water
Quality and Identification of Polluted Risky
Regions Based on Field Observations & GIS in
the Honghe River Watershed, China. Plos ONE,10, 1-13.
[6] Kai, D., Jianguo, W., Jianqiang, W., Wang, C.,
Changjun, Z., & Xiaoyan, W. (2015).
Treatments to Control Urban River Pollution in
Water Source City of South to North Water
Diversion Project. Polish J. of Env. Stud., 24,
501-504.
[7] Matysik, M., Absalon, D., & Ruman, M. (2015).
Surface water quality in relation to land cover inagricultural catchments (Liswarta river basincase study). Polish J. of Env. Stud., 24, 175-184.
[8] Leščešen, I., Pantelić, M., Dolinaj, D.,
Stojanović, V., & Milošević, D. (2015).
Statistical Analysis of Water Quality Parametersof the Drina River (West Serbia), 2004-11.
Polish J. of Env. Stud., 24, 555-561.
[9] Rai, U., Upadhyay, A., Singh, N., Dwivedi, S.,& Tripathi, R. (2015). Seasonal applicability ofhorizontal sub-surface flow constructed wetland
for trace elements and nutrient removal fromurban wastes to conserve Ganga River water
quality. Eco. Eng., 81, 115-122.
[10] Valle Junior, R. F., Varandas, S., Pacheco, F.,
Pereira, V., Santos, C., Cortes, R., & Sanches
Fernandes, L. (2015). Impacts of land use
conflicts on riverine ecosystems. Land Use
Policy, 43, 48-62.
[11] ANZECC / ARMCANZ, 2000, 'Australian and
New Zealand Guidelines for Fresh and Marine
Water Quality, Vol 1.
[12] Dumas, C., Ludwig, W., Aubert, D., Eyrolle, F.,
Raimbault, P., Gueneugues, A., & Sotin, C.
(2015). Riverine transfer of anthropogenic andnatural trace metals to the gulf of lions (NW
mediterranean sea). App. Geochem., 58, 14-25.
[13] Titilawo, Y., Obi, L., & Okoh, A. (2015).
Antimicrobial resistance determinants ofescherichia coli isolates recovered from somerivers in osun state, south-western nigeria:
Implications for public health. Sci. Total Env.,
523, 82-94.
[14] Ahearn, D., Sheibley, R., Dahlgren, R.,
Anderson, M., Johnson, J., & Tate, K. (2005).
Land use and land cover influence on water
quality in the last free-flowing river draining
the western Sierra Nevada, California. J. ofHyd., 313, 234-247.

CONCLUSION
The results of this study reveal a strong
relationship between water quality and land use. Of
the land uses investigated in this research, industrial
areas are by far the biggest contributors to poor
water quality, with nutrients and metals being
especially high in and around these areas. In contrast,
residential water quality was relatively good,
although elevated levels of E. Coli could be found inthese areas. It is hoped that a current wave of tree
planting along the banks in the residential areas will
help to improve the water quality in these parts of
the river further in coming years. However, it isunlikely that the water quality in the industrial areas
will improve without a concerted effort to reduce theflow of pollutants into the river from thesurrounding industries.
ACKNOWLEDGEMENTS
The authors gratefully acknowledge Melbourne
Water for providing data for this project.
REFERENCES[1] Mouri, G. (2015). Assessment of land cover
relocation incorporating the effects of humanactivity in typical urban and rural catchments
for the design of management policies. Env. Sci.
and Policy, 50, 74-87.
[2] Spänhoff, B., Dimmer, R., Friese, H., Harnapp,S., Herbst, F., Jenemann, K., Müller, U. (2012).
Ecological status of rivers and streams in
Saxony (Germany) according to the water
framework directive and prospects ofimprovement. Water (Switzerland), 4, 887-904.
[3] Rezaei, A., & Sayadi, M. (2015). Long-term
evolution of the composition of surface waterfrom the river Gharasoo, Iran: A case study49

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

ESTIMATION OF PERMEABILITY OF POROUS MEDIA
WITH MIXED WETTABILITIES USING PORE-NETWORK MODEL
Junichiro Takeuchi, Wataru Sumii, Hidetaka Tsuji, and Masayuki Fujihara
Graduate School of Agriculture, Kyoto University, Japan

ABSTRACT
Water flow through porous media is involved with physical factors such as size and configuration of pores,
contact angle of grain surface, and connectivity of pores. To deal with these factors, pore-scale modeling isessential. Pore aggregate referred to as pore-network is extracted from randomly packed spherical grains with themodified Delaunay tessellation method. Water flow in a pore-network is formulated in terms of a network flow
problem in hydraulics, in which friction and local losses such as contraction and enlargement of pipes are
explicitly treated, while those are implicitly included in the hydraulic conductance of capillary tubes in existing
works. Through the numerical experiments, it was confirmed that the effect of the local loss on the hydraulicconductivity could be negligible. Furthermore, the relative permeabilities of porous media with mixed
wettabilities along the primary drainage and imbibition processes were estimated.
Keywords: Relative Permeability, Network Flow, Friction Loss, Local Lossin a pore segment is described by a proportional
relation to hydraulic gradient between the ends of asegment. It is the hydraulic conductance that is used
as a proportionality coefficient between the flow rate
and the hydraulic gradient. Some works derive theconductance from mathematical or numericalanalysis of a cross-section, in which the segment isassumed as a pipe with a constant cross-section [6-8].
Another derive it from longitudinal or 3-D analysis
of a segment, in which a shape of the cross-section
varies along the flow path [9], [10]. From astandpoint of hydraulics, the total head loss, whichcorresponds to the difference of piezometric heads inthe segment ends, is described as the summation of
the friction loss and local losses such as theenlargement, contraction, entrance, exit, and turning
losses, and the equation does not show a linear
relationship between the head loss and the flow rate.
By the transformation of the equation for the flow
rate, it is proved that the conductance derived fromthe cross-sectional analysis is related to the friction
loss when the flow is laminar (APPENDIX).
Furthermore, in a case of the conductance derived
from the longitudinal or 3-D analysis, the relation
between the flow rate and the hydraulic gradientshould not be represented linearly in a strict sense,
because it contains enlargement and/or contraction
losses. Then another question arises: if the relation
between the flow rate and the pressure gradientcould not be described as a linear equation, why is
the Darcy’s law represented as a linear equation? In
the presented study, an equations system for the
pore-network flow is reconstructed in terms of a
network flow problem in hydraulics, and the effectof local losses on the hydraulic conductivity is

INTRODUCTION
The constitutive relationship, which is a set of
relationships between capillary pressure andsaturation, and capillary pressure and relative
permeability, is essential for simulations of variously
saturated seepage flows. Some functional models
such as the van Genuchten model [1] for saturationand the Mualem model [2] for relative permeability
are generally utilized in many works. However,since these functional models describe REV(representative element volume)-scale relationships,
they cannot treat entrapped air and residual water inpores dynamically. The approaches that enable todeal with interface between water and air are divided
into two main groups: one is a continuum-based
two-phase flow model and the other is a discretemodel which tracks movement, generation, anddisappearance of interfaces. The former solves theequations for the mass and momentum conservations
numerically in a porous space [3], and the latter
simulates water and air intrusion in bond-percolationand invasion-percolation manners in a pore-network[4]. In this study, the latter approach is used sincerequired computational load is relatively small.
Another reason for usage of the pore-network
approach is hydrophobic grains in a porous medium.
It is well known that hydrophobic grains change thehydraulic properties such as water retention
characteristics and permeability drastically [5], andthe altered hydraulic properties are beyond an
applicable scope of the functional models.
In the framework of pore-network model,
permeability of an objective medium is estimated on
the basis of a flow in pore segments. The flow rate50

SEE-Mie, Japan, Nov. 19-21, 2015

investigated through numerical experiments. And
the constitutive relationship between the matricpotential and the relative permeability, and thesaturation and the relative permeability of porous
media mixed with hydrophobic grains at various
fractions are estimated.

arithmetic mean of the inscribed and equivalent radii
based on the mathematical and numerical analyses[6], [12], but it might be underestimated since they
analyzed the minimum cross-section along the porethroat. In alternate cross-sections other thanminimum one, the hydraulic conductivity becomeslarger due to the presence of slip walls. Hence, theeffective radius is treated as a fitting parameter inthis study. Figure 2 shows a computed porous
medium with about 58 hundreds uniform sphericalgrains 0.2 mm in diameter and an extracted porenetwork, which consists of 14,522 pore bodies and
36,761 pore throats. The histograms of pore sizes in
the pore-network is shown in Fig. 3.

MODEL DESCRIPTION
Generation of Pore Network ModelIn this study, a virtual pore-networks is extracted
from randomly packed spherical grains like glass
beads, which are computed with the discrete element
method (DEM). From the computed porous media,
pore bodies which are relatively large voids and porethroats which are relatively small voids connecting
pore bodies are extracted by the modified Delaunaytessellation approach proposed by Al-Raoush et. al.
[11]. In the extraction process, location and size ofpore bodies and throats are identified based on the 3D coordinates of grains. A pore body is represented
as an inscribed sphere in the void surrounded bygrains, and a pore throat as a cylindrical tube in thisstudy. When the cross-section of a pore throat isrepresented by a circle, there are three representative
circles, (1) the inscribed circle in the voidsurrounded by grains, (2) the equivalent circle
whose area is equal to that of the void, and (3) the
effective circle whose hydraulic conductance isequal to that of the void [6] as illustrated in Fig. 1. In
some works, the effective radius is given as theEffective
circleFormulation Based on Network Flow Problem
In advance to calculation of porous network flow,
connected pore-networks whose pore bodies andthroats are filled with water are computed in an
invasion percolation manner under various
conditions relevant to initial states, imposedpressures on the bottom, and mixture fractions ofhydrophilic and hydrophobic grains. The detail ofthe processes is described in the work by Takeuchi(2015) [13]. Using the water-filled pore-networks,
which are sub-networks of the original pore-network,
hydraulic conductivity of each sub-network is
calculated under the condition where same pressure
is imposed on the top and bottom faces of the subnetwork. The interfaces between air and water inEquivalentcircleInscribed
circle(a) At the minimum
cross-section(b) At alternate
cross-section(a) Porous medium modelFig. 1 Representative
circles for a pore throat(b) Pore network modelFig. 2 Extraction of pore network

0.2

0.0
0.0

0.4

0.8

1.2

1.6

2.0

(a) Pore body radius (0.1 mm)

0.4

Frequency (-)

Frequency (-)

Frequency (-)

0.4

0.2

0.0
0.0

0.4

0.8

1.2

1.6

2.0

(b) Pore throat radius (0.1 mm)

Fig. 3 Histograms of pore sizes

51

0.2

0.1

0.0
0.0

1.0

2.0

3.0

4.0

5.0

(c) Pore throat length (0.1 mm)

SEE-Mie, Japan, Nov. 19-21, 2015

∑q =0

pores are fixed at the computed location.
Water flow in pore-networks is calculated basedon the pipe network analysis, in which local headlosses such as enlargement and contraction are
considered. In a network flow problem, flow rates ineach pipe segment (pore throat and a part of eachpore body in this case) and piezometric head at eachjunction (the center of pore body) are unknown. For
simplicity, a segment is represented as a pipe whosecross-section is abruptly contracted and enlarged inthis study, and the segment is divided into threeparts as illustrated in Fig. 4. Then the total head loss
along the segment is described by the empiricalequations as follows [14].
hi − h j =κ k qk qk
(1)

k ∈ηi

where ηi is the set of pore throats connecting thepore body i .
In addition to Eqs. (1) and (8), the piezometricheads in the inflow and outflow pore bodies, into orfrom which water flows freely depending on theprescribed head, are given as follows.

hm = hm( m ∈ η ,η )
(9)
IN
OUT
where η and η
are the sets of the inflow andoutflow pore bodies, respectively.
The network flow problem in a pore space,which is described by Eqs. (1) through (9), is a nonlinear equations system, and it is solved by the
Newton method. The coefficient κ k ( qk ) is
estimated from the previous qk in the iterative
process of the Newton method in the same way witha linearization technique for the Richards equation[16], and when the flow rates in some pores are zeroor extremely small, a sufficiently small value (e.g.,
10-20) is given to qk since qk is included indenominator (Eqs. (6), and (7)) in this study to avoid
crashes in computing.
When the local losses (sudden contraction andenlargement losses here) are negligible comparedwith the friction loss, Eq. (1) becomes the
conductance-based equation, which is generally usedin different works (e.g., [6]-[10]), and described asfollows (See APPENDIX for details).
lijhi − hi = qk
(10)
*

with

=
hm

pm

ρg

+ zm



=
κk  ∑( m = i, j )f m lm m =i , j , k 2 gd m Am

dm =

4 am

2

+

(2)

kS
2

+

2 gak

( m = i, j , k )

kE 



2 gak 
2

(3)

(4)

Pm

li + lk + l j =
lij

(5)

where hi is the piezometric head at the center of thepore body i , κ k is the coefficient that includes
friction and local losses, f m is the friction factor, kS
and k E are the loss coefficients for sudden
contraction and sudden enlargement, respectively,
lm is the length of the part m ( m = i , j , k ), d m is thehydraulic diameter, am is the cross-sectional area,
qk is the flow rate in the pore throat k (the segmentij ), g is the gravitational acceleration, pm is thepressure, z m is the height from a datum, ρ is thewater density, Pm is the wetted perimeter, and lij isthe length of the segment ij . When the flow in thepipe is laminar, the friction factor is represented as

fm =

α

(6)

Re m

with

Re m =

ρ d m qk
µ am

(7)

where α is a constant that depends on the shape ofthe cross-section and its value is 64, 56.908, and53.333 for the circular, square, and equilateraltriangular cross-section, respectively [15]; Re m is
the Reynolds number; and µ is the water viscosity.
Equations (6) and (7) indicate that the coefficient κ kdepends on the flow rate qk , that is κ k = κ k ( qk ) .
The mass balance at each junction (pore bodyhere) except for inflow and outflow pore bodies is
described as follows.

(8)

k

IN

OUT

ρ gΘ ij

where Θ ij is the hydraulic conductance between thenodes i and j . Then the equations system becomeslinear.
The above mentioned formulation indicates thatthe hydraulic conductance Θ ij is related to thefriction losses and the shape of the cross-section, andit does not include other local losses. Furthermore, it
implies that the conductance derived fromlongitudinal or 3-D analysis should not be used,since it contains some local effects like contraction,
enlargement, and turning losses. If these effects are
considered, the equation relating to the flow rate andhead loss (the pressure difference) becomes nonlinear as shown by Eqs. (1) through (7).
The hydraulic conductivity of the sub-network,
which is the unsaturated one, is estimated based on
the Darcy’s law.
QL
K=
(11)
A∆ H
with
(12)
=
Q ∑
=
qk
∑ qk
k ∈η PTINk ∈η PT

OUT

where K is the hydraulic conductivity of variously
saturated porous media, Q is the total flow rateIN
OUT
through the medium, η PT and η PT are the sets of
52

i

Pore
throat

k

Pore
body

Non-slip wall

Hydraulic conductivity(cm/s)

SEE-Mie, Japan, Nov. 19-21, 2015

Slip wallli
PoresegmentlkljjTypes 1 & 2

0.4

0.2
Type 1
Type 2
0.0

1

0

2

Type 3
Type 43

4

Length of pore body zone
(10-2 mm)

Types 3 & 4

Fig. 5 Relation of hydraulic conductivity
and pore segment configuration

Fig. 4 Configurations of pore segment

the pore throats connecting to the inflow andoutflow pore bodies, L and A are the length and thecross-sectional area of the medium, and ∆ H is thedifference of the piezometric head between the
inflow and outflow faces. The saturated hydraulicconductivity K S is computed from the pore-networkin which all the pore bodies and pore throats arefilled with water, and the relative permeability K r is
obtained by the following relation.
K
Kr =
(13)
KS

that all the hydraulic conductivities increase ataccelerated paces as the length of large tubes
increases, and the increasing pace of Types 3 and 4
is large compared with Types 1 and 2. This indicatesthat the friction losses in pore bodies need to be
introduced, but the effect is limited. Furthermore, it
is shown that the effects of the local losses are
negligible. Actually, the ratio of the local losses andins
the friction loss in a typical segment ( r = 0.03 mm,−3lk = 0.1 mm) is about 6 ×10 if the Reynolds
number is 0.17, which is a half of the maximum
Reynolds number.

NUMERICAL EXPERIMENTS
Configuration of Pore Segments

Relative Permeability
To calculate the relative permeability ofvariously saturated pore-networks, various statesalong drainage and imbibition processes are needed.
Then, water retention curves for the primarydrainage and the primary imbibition of the extracted
pore-network are computed in an invasion
percolation manner, which is the same way with ourprevious work [13]. The objective porous media arepresumed to include hydrophilic and hydrophobic
grains in various proportions. The mixture fractionof hydrophobic grains ranges from 0% to 100% at
25% interval. The contact angles of the hydrophilic
and hydrophobic grains, which are essential factorsthat determines the water retention properties, areidentified by a trial-and-error adjustment so as to fit
the observed results. The identified values are listed
in Table 1, where different values are given to thecontact angles for the drainage and imbibition
processes.

Firstly, an effect of configuration of poresegments between pore bodies on the hydraulicconductivity is investigated. In this study, four typesof segment, which are designed to consider how thepore bodies are dealt, are tested (Fig. 4). In the alltypes, pore bodies on both ends are treated as
relatively large circular tubes, and a pore throat as
relatively narrow circular tube. In Type 1, thefriction losses of both large and narrow tubes and the
local losses for sudden contraction and enlargement
are considered, while only friction losses are
considered in Type 2. In Types 3 and 4, the large
tubes are assumed to have slip walls. Type 3 has the
local losses for sudden contraction and enlargement,
and Type 4 does not have such local losses.
The saturated hydraulic conductivities of theextracted pore-network (Fig. 1) are computed, as thelengths of the large-tubes vary from 0 to 0.04 mm.
l=0)
The tube with a constant cross-section ( l=ijeffis treated as a standard, and the effective radius rof tubes is adjusted based on the inscribed radius
ins
eff
ins
r , i.e., r = ω r , where ω is a coefficient, inorder that the hydraulic conductivity becomes about−2
2 × 10 cm/s. For the objective pore-network thevalue of the coefficient is identified as 1.38, and the−2hydraulic conductivity is reproduced as 2.006 × 10
cm/s. The values of kS and k E are given as 0.5 and
1.0, respectively, and each value becomes maximum
when the sudden contraction and enlargement aresupposed to be the entrance and exit, respectively.
The obtained result is shown in Fig. 5. It is foundTable 1 Contact angles (deg)Process

Drainage

Imbibition

53

Mixturefraction
0%25%
50, 75,100%
0%25%50, 75,100%

Hydrophilic
grain
46
50
60
58
92
98

Hydrophobic
grain
74

110

SEE-Mie, Japan, Nov. 19-21, 2015

0%

75 %

25 %

100 %

Matric potential [cmH2O]

Matric potential [cmH2O]

-40
-60

50 %

-40

-20

0
0.0

0.1
0.2
0.3
0.4
Volumetric water content (-)

0%

50 %

25 %

75 %

100 %

-20

0

20

40
0.0

0.2

0.4 0.6 0.8
Saturation (-)

0.0

1.0

(a) Measurement(b) Computation
6-1 Drainage process

0.0

0.1
0.2
0.3
0.4
Volumetric water content (-)

0.2

0.4 0.6 0.8
Saturation (-)1.0(a) Measurement(b) Computation
6-2 Imbibition process

1.0
0.8

0%

75 %

25 %

100 %

Relative permeability (-)

Relative permeability (-)

Fig. 6 Water retention curves

50 %

0.6
0.4
0.2
0.0

-60
-40
-20
0
Matric potential (cmH 2O)

1.0
0.8

0%

75 %

25 %

100 %

50 %

0.6
0.4
0.2
0.0

-40

(a) Drainage process

-20
0
20
Matric potential (cmH 2O)

0.0

40

(b) Imbibition process

0.2

0.4 0.6 0.8
Saturation (-)(a) Drainage process

7-1 Relative permeability vs. matric potential

1.0

0.0

0.2

0.4 0.6 0.8
Saturation (-)1.0(b) Imbibition process

7-2 Relative permeability vs. saturation

Relative permeability (-)

Fig. 7 Relative permeability

1.0
0.8

0%

75 %

25 %

100 %

50 %

0.6
> 2.0

0.4

> 4.0

0.2

0.0

0.2

0.4 0.6 0.8
Saturation (-)

0.0(x10-6 cm3/s)

0.0(x10-5 cm 3/s)

0.0
1.0

(a) 0%, -22 cmH 2O

Fig. 8 Measured relative permeability(b) 50%, -22 cmH 2O

Fig. 9 Flow distributions (drainage process)

imbibition processes, sub-networks in which poresare filled with water are withdrawn, and thehydraulic conductivity is computed if the subnetwork stretches out from the bottom up to the top.
Here, the constant-radius tubes without suddenl=0 , andcontraction and enlargement ( l=ij
ω = 1.38 ) are used. Common pressure head is
imposed to the pore bodies on the bottom and top
faces, then the hydraulic gradient becomes unit.
Therefore, water flows down by the gravity throughthe porous medium.
Figure 7-1 shows the relation of the relative
permeability and the matric potential in the drainage
and imbibition processes. This figure corresponds tothe water retention curves in Fig. 6. Figure 7-2
shows the computed relation of the relative

These are considered to correspond to thereceding and advancing contact angles. Besides, inthe drainage or imbibition process different values
are given to hydrophilic grains even in accordancewith the mixture fraction. It is considered that thehydrophilic (original) glass beads are partiallyhydrophobized by the redundant coating material(octyltrichlorosilane, OTS) that remains on thehydrophobized grain surfaces. This speculation isconsistent with our experiments on measurements of
the water drop penetration time, the apparent contact
angle, and the water-entry pressure [17]. The
computed and measured water retention curves areshown in Fig. 6.
At each point along the primary drainage and54

SEE-Mie, Japan, Nov. 19-21, 2015

This work was supported by JSPS KAKENHI
Grant Number 24780232.

permeability and the saturation, and it indicatessimilar tendency with measured one (Fig. 8). The
measured one was obtained with the constant head
method (Daiki, DIK-4012). Although the method isnormally used for measurement of the saturated
hydraulic conductivity, variously saturated glass
beads of diameter 0.1 mm with mixed wettabilities
are used in this study.
Figure 9 shows some typical flow distributions inpore-networks. These figures indicate water flows in
only a minority of pores especially in unsaturated
states since many terminals are included in the porenetwork.
CONCLUSIONREFERENCES[1] van Genuchten MT, “A closed form equation
for predicting the hydraulic conductivity ofunsaturated soils”, Soil Sci. Soc. Am. J., Vol. 44,
1980, pp. 892-898.
[2] Mualem Y, “A new model for predicting thehydraulic conductivity of unsaturated porous
media”, Water Resour. Res., Vol. 12, 1976, pp.
513-522.
[3] Ferrari A, Jimenez-Martines J, Borgne TL,
Mehuest Y, and Lanati I, “Challenges inmodeling unstable two-phase flow expriments
in porous micromodels”, Water Resour. Res.,
Vol. 51, 2015, doi:10.1002/201WR016384.
[4] Gharbi O, Blunt MJ, “The impact of wettability
and connectivity on relative permeability incarbonates: a pore network modeling analysis”,
Water Resour. Res., Vol. 48, 2012,
doi:10.1029/2012WR011877.
[5] DeBano LF, “Water repellency in soils: ahistorical overview”, J. Hydrol., Vol. 231-232,
2000, pp. 4-32.
[6] Bryant S and Blunt M, “Prediction of relative
permeability in simple porous media”, Phys.
Rev. A, Vol. 46, 1992, pp. 2001-2011.
[7] Patzek TW and Silin DB, “Shape factor andhydraulic conductance in noncircular capillaries
I. One-phase creeping flow”, J. Colloid
Interface Sci., Vol. 236, 2001, pp. 295-304.
[8] Valvatne PH and Blunt MJ, “Predictive porescale modeling of two-phase flow in mixed wet
media”, Water Resour. Res., Vol. 40, 2004,
doi:10:1029/2003WR002627.
[9] Koplik J, “Creeping flow in two-dimensional
networks”, J. Fluid Mech., Vol. 119, 1982, pp.
219-247.
[10] Dagan Z, Weinbaum S, and Pfeffer R, “Aninfinite-series solution for the creeping motion
through an orifice of finite length”, J. Fluid
Mech., Vol. 115, 1982, pp. 505-523.
[11] 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.
[12] Bryant S, King PR, and Mellor DW, “Networkmodel evaluation of permeability and spatial
correlation in a real random sphere packing”,
Trans. Porous Media, Vol. 11, 1993, pp.53-70.
[13] Takeuchi J, Sumii W, and Fujihara M,“Modeling of fluid intrusion into porous media
with mixed wettabilities using pore network”, in
Proc. 5th Int Conf. on GOEMATE, accepted,
2015.
[14] Larock BE, Jeppson RW, and Watters GZ,
Hydraulics of Pipeline Systems, CRC Press,
2000, p. 537.
[15] Shah RK, “Laminar flow friction and forced

Water flow through porous media is reformulated in terms of a network flow problem inhydraulics, where friction and local losses such assudden contraction and enlargement are incorporated.
The equations system becomes nonlinear incontradiction to the Darcy’s law, which expresses a
linear relation between flow rate and hydraulicgradient, if the local losses are introduced. Throughthe numerical experiments with a virtual porenetwork extracted from randomly packed sphericalgrains, it is confirmed that the system could be
regarded as a linear system because the local losses
are negligible compared with the friction loss.
Furthermore, relative permeabilities of porous media
with mixed wettabilities along primary drainage andimbibition processes are estimated, and the results
indicated a similar tendency with the measured one.
APPENDIX
When the local losses are negligible comparedwith the friction loss, Eq. (1), which stands for total
loss in the segment between the nodes i and j
becomes as follows.




 qk
 p =i , j , k ρ gΘ p 
lphi − h j =
 ∑

(14)

with
2

Θp =

2 d p Ap

(15)αµWhen the harmonic average is taken between thenodes i and j , the hydraulic conductance Θ ij of thesegment becomes as follows.
lij

Θ ij

l

lk

Θi

Θk

= i +

+

lj

(16)

Θj

Then, the flow rate qk is represented as follows.

qk = Θ ij(

ρ g hi − h j

)

(17)

lij

ACKNOWLEDGEMENTS
55

SEE-Mie, Japan, Nov. 19-21, 2015

convection heat transfer in duct of arbitrarygeometry”, Int. J. Heat Mass Transfer, Vol. 18,
1975, pp. 849-862.
[16] Huyakorn PS and Pinder GF, Computational
Methods in Subsurface Flow, Academic Press,

1983, p.473.
[17] Takahashi T, Hydraulic properties of porous
media with mixed wettabilities, Graduation
Thesis of Kyoto University, 2013, p.45 (inJapanese).

56First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

MORPHOFUNCTIONAL CHARACTERISTICS AND ELEMENTALCOMPOSITION OF RAT LIVER UNDER DIFFERENT NUTRIENTPROVISION
Rusakova E.A. 1, Kvan O.V. 2, Miroshnikov S.A.3, Korotkova A.M.4, Skuridina I.V.5
1
Department of Biological Science, Orenburg State University, Russia
2
Orenburg State University, Russia
3
SSI All-Russian Scientific Institute beef cattle, Russia
4
Orenburg State University, Russia
5Perm National Research Polytechnic University, Russia

ABSTRACTThe article presents research of structural and functional changes in the liver in the conditions of modeling of
micronutrient deficiencies in the organism of experimental animals with subsequent inclusion of complex
minerals into their food ration. The object of the study was the liver of rats «Wistar». The elemental compositionof biological substrates has been studied using atomic emission and mass spectrometry (ICP-AES and ICP-MS)
in the test laboratory ANO «Center for Biotic Medicine».
It has been established that the addition of selenium to the ration increases the concentration of this elementin the liver by 15,0% (p≤0,05) against the background of lowering nickel by 50,0% (p≤0,05) in the experimentalgroup I relative to control. When you turn on zinc into the ration, the concentration of it increases by 14,3%(p≤0,05) in the experimental group II relative to the control. Inclusion of iodine in the ration contributed to theincrease of the iodine concentration by 4,52% in the experimental group III relative to the control group.
Thus, the intake by the animal organism of toxic elements (lead and cadmium salts) leads to a change in the
structural elements of the liver, resulting in depletion of hepatocyte in glycogen, or its complete disappearance,
in offensive vacuolization and necrosis of hepatocytes and in changes in vessels diameter microvasculature, i.e.
structural and functional changes in the liver are identified. Introduction into the ration of complex of essentialtrace elements (I, Se, Zn) involves an increase in functional activity of the liver.
Keywords: Liver Glycogen, Hepatocytes, Rats, Essential Elements.
BACKGROUND
In terms of socio-economic instability andincreasing anthropogenic load on territories
protection of public health becomes a priority [1].
Hypo - and giperelementozies are one of the major
causes of bad health. Deviation in the entry into thebody of the macro-and micronutrients, violation of
their correlation in the food ration affects the vital
activity of the organism. We know a number of
diseases, caused by deficiency of essential traceelements, which lead to serious disorder in healthstatus [2], [3].
Xenobiotics are biotransported in the liver
involving cellular enzyme systems. For the normal
activity of the latter the optimal amount of essentialtrace elements (zinc, selenium, iodine) [4], [5] mustenter the organism. Micronutrients deficiencies in
the food ration lead to disruption of the activity ofcellular enzyme systems.
Zinc helps to stabilize cell membranes, it is astrong antioxidant protection factor [6], [7]. The
activity of more than 40 intracellular enzymes [8]disrupts because of the lack of zinc in food ration.

Iodine deficiency statuses causes the lack ofiodine in the environment and food [9].
Selenium is involved in the metabolism of
iodine, so selenium deficiency leads to disruption ofiodine metabolism [10], [11], because a deficiencyof selenium, production of glutathione andglutathioneperoxidase is disrupted and they reduce
the sensitivity of hepatocytes to free radical damage[12].
Glutathione is found in high concentrations in
the liver (up to 5 millimole), 90 % of it is containedin the cytosol, the rest – in the mitochondria. In thelatter glutathione is an antioxidant, it restoreshydrogen peroxide and prevents lipid peroxidation
by hydroxyl radical. At low concentration of
glutathione in a cell, its sensibility to free radical
damage increases [13], [14].
In centrolobular hepatocytes higher levels ofcytochrome P-450 [15] are noted which is involvedin the metabolism of various xenobiotics. Thus,
according to the literature data, the process of
biotransformation is attributable largely to theactivities of centrolobular hepatocytes. However, as
studies show, hepatocytes of this zone are more
vulnerable to the toxic effects of some products, as

57

SEE-Mie, Japan, Nov. 19-21, 2015

glutathione and glutathione peroxidase localize
predominantly in periportal cells [16].
Taking into account that the area is abiogeochemical province deficient in the above
listed elements, the purpose of our study was to
identify the structural and functional changes in theliver under the conditions of creating a model ofmicronutrient deficiencies in organism ofexperimental animals with subsequent inclusion in
the ration of complex minerals [17]. As the liver isthe main organ of biotransformation, in which asignificant amount of cellular enzyme systems is
actively involved, the normal activity of the latter
requires entry of the optimal amount of essentialtrace elements into the organism. Micronutrient
deficiencies in the ration lead to a disruption of thefunctions of the body's enzyme systems [18].
OBJECTIVESStudies were done in the experimentalbiological clinics (vivarium) of the Orenburg State
University on the model rats «Wistar». The objectof the study was the liver. 100 bimonthly rats –females – were selected for the experiment.
MATERIALS AND METHODS
To equalize the status of animals and to create
elemental chemical elements deficient state, forthree weeks they were nourished by speciallyprepared polished rice (boiling for 15 minutes indistilled water followed by washing and removing
the broth). For prevention of avitaminosis (vitamin
deficiency) states in animals, multivitamin complex
was administered in the ration in accordance withthe recommendations of the Institute of Nutrition(Russian Academy of Medical Sciences) (2001).
The animals were watered by twice-distilled water.
The study was conducted as follows (Table 1).
Table 1 The scheme of the experimentGroup

The period of the experiment,
weeks
Preparatory
Basic ration
ration
4-8 week
2-4 week
Control
BR – basic ration
BR(feed, diet);I
SR
SR + SeIISR
SR +ZnIII
SR
SR + IIV
SR
SR + Se, Zn,
I
Note: BR - basic ration (feed, diet); SR semisynthetic ration (diet).

After a period of equalization the animals weredivided into seven groups by the method of
analogues pairs: one control and four experimental(n=20) and then transferred to the regimen of themain accounting period. The only difference wasthat the semisynthetic ration, developed by theInstitute of Nutrition (2001), for the animal units ofgroup I was supplemented per os by selenium –(selenopyran – 0,0001 g/head per day); of group II– zinc – (zinc sulfate – 0,042 mg/head per/ day; ofthe III group – iodine (potassium iodide in an
amount of 0,332 g / day head per / day ) and of theIV– trace complex I, Se, Zn.
During the experiment, slaughters of animals
were practiced by decapitation under ether
anesthesia-Rausch. Samples were taken to perform
histological studies of the liver. The material was
fixed in 10 % neutral formalin, followed by
preparation of serial paraffin sections, with the
thickness of 5 – 7 microns. Deparaffinized sections
were imbued with hematoxylin-eosin. To identify
glycogen and glycoproteins histochemical (periodic
acid – йодная кислота) Schiff-reaction was used.
The material was examined by the method lightmicroscopy. The relative area of sinusoidal
capillaries was determined with the help of ocular
dot mesh-insert, and the eyepiece – with the help of
the micrometer –first the diameter was measured
and then the volume of hepatocyte nuclei andnucleoli calculated.
The elemental composition of biologicalsubstrates has been studied using atomic emission
and mass spectrometry (ICP-AES and ICP-MS) in
the test laboratory ANO «Center for Biotic
Medicine», Moscow (accreditation certificate –SSES. RU.TSOA.311, registration number in thestate register – Ross. RU 0001.513118 from May
29, 2003; Registration Certificate of ISO 9001:
2000, Number 4017 - 05/04/06). The investigation
was fulfilled by the ICP-AES and MS- ICP
methods, biosubstrates ashing was carried out using
microwave decomposition system MD-2000 (USA).
Evaluation of the content of elements in the
resulting ash was performed by a mass
spectrometer Elan 9000 (Perkin Elmer, USA) andatomic emission spectrometer Optima 2000 V(Perkin Elmer, USA). In total, the content of 14
chemical elements was determined, including Cu,
Fe, Li, Mn, Ni, As, Cr, Zn, I, V, Co, Se, Si, B.
The obtained data are expressed as meanvalues±standard deviation (mean±σ). The results
were worked up using the program Statistica 10.
RESULTS AND DISCUSSION
Our studies have shown that in the control
group of animals the distribution of glycogen,detected by Schiff-reaction and verified by control
pigmentation after treatment with amylase, was58

SEE-Mie, Japan, Nov. 19-21, 2015little dependent on the internal localization ofhepatocytes. The reaction differs among
centrolobular and peripheral hepatocytes. The
arrangement of cells rich in glycogen is mosaic.
When adding selenium, clear zonal location ofcells rich in glycogen was observed. Centrolobular
hepatocytes are deprived of glycogen, and Schiffreaction is significantly expressed in peripheral
cells. At this small glycogen granules merge toform large in size clumps of reserve glycogen.
Sinusoid capillaries widen significantly near thecentral veins. In the number of cellular elements
there are many small cells with round nuclei, which
are found along clearly oriented hepatic beams,
composing the wall of sinusoidal capillaries.
There exists an assumption that these Pit-cells
are granular lymphocytes, which possess naturalkiller activity and simultaneously perform
endocrine function. Due to this, they can(depending on conditions) have opposite effect:when the liver is damaged they as killers destroy
the damaged hepatocytes, and during recuperation
period they stimulate proliferation of hepatic cells
similar to endocrine cells.
The addition of zinc to a balanced ration, after
creating in an organism micronutrient deficiency,
leads to a significant increase in the intensity of
Schiff-reaction in all hepatocytes both incentrolobular, and in peripheral. Schiff-positive
granules in the cytoplasm of the hepatocytes are
fine, powder-like indicating that glycogen in thesecells is more labile. The structure of hepatic beams
is not broken, but sometimes there is lymphoidinfiltration. We can assume that these are Pit-cells.
When you add iodine to a balanced ration the
structure of liver beams is not broken, so as it is in
the liver of control group of animals, location ofrich in glycogen hepatocytes is mosaic, but theintensity of the reaction is more expressed.
In cells, lacking glycogen, vacuolization of thecytoplasm is observed, especially among
binucleated hepatocytes.
Cytoplasm of most hepatocytes is enriched withglycogen with the insertion in the ration of thecomplex of micronutrients. Schiff-reaction was
expressed more than in control especially inperipheral hepatocytes. Although in centrolobular
hepatocytes reaction is less, expressed difference incolor between centrolobular and peripheral cells is
not observed.
Compared with the control the number of cellswith medium and large in volume nuclei increases
among hepatocytes, the number of nucleoli in themalso enlarges, nuclear-nucleolar index reaches theminimum value (Table 2).

Table 2 Indicators of microstructures ofcentrolobular zone of liverGroup№

Relativearea ofsinusoidalcapillary,%
10,1 ±
1,30

Number of
binucleated
cells

Volum
e of thenucleus, mu³

2,66 ± 0,88

I
experimentalIIexperime
ntal

20,1±
1,26***

III
experimentalIVexperime
ntal

Control

Nuclearnucleolar
index

373,9 ±
0,83

The
volumeof thenucleolus, mu³
1,34 ±
0,33

5,16 ± 0,40

438,4 ±
0,74

4,59 ±
0,22

95,5

14,6 ±
1,02

5,5 ± 0,42 *

447,7 ±
1,00

5,54 ±
0,21

80,8

13,7 ±
0,88

4,83 ± 0,87

679,2 ±
0,46*

6,67 ±
0,30

101,8

17,3 ±
1,20

5,3 ± 0,49*

735,6 ±
0,74

9,28 ±
0,47

79,3

279,0

Note: * – p ≤ 0,05, ** – p ≤ 0,01, *** – p ≤ 0,001
Morphometric analysis of liver structures
denoted the mobility of these indicators dependingon the mineral security.
In particular, the introduction of selenium in theration was marked by the maximum increase of theobserved relative area of sinusoidal capillaries by
10 % (p ≤ 0,001) in the test group I relative thecontrol group. Additional incorporation of zinc in
the ration led to an increase in the number ofbinucleated cells twice in the experimental group II
relative to the control. The maximum increase in
the core was traced with the introduction of iodinein the ration. Thus, the core volume in test group III
was 81,7 % (p ≤ 0,001) higher relative the control.
Volume of the nucleolus in the experimental group
IV was the maximum value (9,28 mu3), which was
the result of lower nuclear-nucleolar index relative
the control group.
This fact indicates an intensification of
structural and metabolic processes in cells. Hepatic
structure of beams is not broken.
Additional inclusion of the complex of essential
elements in the ratio of rats, kept on deficientmineralration,affects
not
only
the
morphofunctional structure of the liver, but also thequantitative composition of chemical elements inthe studied organ (Table 3).

59

SEE-Mie, Japan, Nov. 19-21, 2015

Table 3 Concentration of chemical elements in the
rat liver, ug/g DS
Ele
men
t

As

Group
Control

I

II

III

IV

Essential and conditionally essential microelements
0,207±
0,205±
0,203±
0,200±
0,201±
0,025
0,020
0,025
0,027
0,024

B

0,039±
0,006

0,037±
0,005

0,033±
0,002

0,038±
0,001

0,036±
0,004

Co

0,079±
0,012

0,070±
0,011

0,080±
0,016

0,060±
0,009

0,062±
0,010

Cr

0,103±
0,012

0,102±
0,016

0,103±
0,013

0,100±
0,018

0,102±
0,012

Cu

5,10±0,
51

5,12
±0,44

5,07±0,41

5,09±0,54

5,11±0,52

Fe469,0 ±
47,0

463±51,0445,9±
48,9

451,3±
50,2

459,3±
48,9

I

0,199±
0,024

0,197±
0,022

0,188±
0,026

0,208±
0,028*

0,207±
0,020

Li

0,0019±0,00037

0,020±
0,00030,0018±0,00029

0,00±0,0002

0,00019±0,00035

Mn2,98±0,30

3,00±0,31

3,04±0,28

2,88±0,29

3,0±0,31

Ni0,02±0,003

0,01±0,002*

0,02±0,007

0,03±0,006

0,02±0,004

Se0,505±
0,061

0,581±
0,067*

0,506±
0,059

0,502±
0,063

0,597±
0,062

Si

33,77±
3,38

31,1±3,22

33,2±3,25

31,7±2,93

33,4±3,19

V

0,0016±0,00032

0,0014±0,00025

0,0016±0,00019

0,0013±0,000210,0014±0,00028Zn29,4±2,94

29,7±2,67

33,6±2,23*

28,3±3,
03

4,3 ±
3,01*

Note: * – p ≤ 0,05, when comparing the control
and experimental groups
It has been established that the addition ofselenium to the ration increases the concentration ofthis element in the liver by 15,0% (p ≤ 0,05) against
the background of lowering nickel by 50,0% (p ≤0,05) in the experimental group I relative to control.
When you turn on zinc into the ration, theconcentration of it increases by 14,3% (p ≤0,05) inthe experimental group II relative to the control.
Inclusion of iodine in the ration contributed tothe increase of the iodine concentration by 4,52% in
the experimental group III relative to the control
group.

Feeding of complex essential elements contributed
to increasing concentrations of iodine, manganese,selenium and zinc by 4,02; 3,36; 18,2 and 16,7% (p≤ 0,05) against the background of lowering
concentrations of arsenic and vanadium by 2,90 and
12,5%.

CONCLUSIONS
Thus, the intake by the animal organism of toxic
elements (lead and cadmium salts) leads to achange in the structural elements of the liver,resulting in depletion of hepatocyte in glycogen, or
its complete disappearance, in offensive
vacuolization and necrosis of hepatocytes and inchanges in vessels diameter microvasculature, i.e.
structural and functional changes in the liver are
identified. Introduction into the ration of complexof essential trace elements (I, Se, Zn) involves anincrease in functional activity of the liver.
Additional administration of a complex of essential
elements in the ration increases the concentration ofiodine, manganese, selenium and zinc in the liver
against the background of lowering nickel,
vanadium and arsenic.
ACKNOWLEDGEMENTS
Research was done with financial support of theRussian Science Foundation №14-16-00060.
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di(2-ethylhexyl) phthalate and/or selenium on traceelement levels in different organs of rats», J Trace
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[14] Ergen K, Ince H, Düzova H, Karakoç Y,
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[15] Fatmi W, Kechrid Z, Nazıroğlu M, FloresArce M, «Selenium supplementation modulates
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Baltaci AK, Mogulkoc R, «The effect of selenium
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61

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

A NOVEL QUANTIFICATION OF THE COMPLEX GEOMETRIES OF
LOW LIGHT SURVIVING PLANTS USING FRACTAL ANALYSIS TOINVESTIGATE A BASIS OF A NEW AND UNIQUE ALLOMETRIC
MEASURE OF PLANTS
Chaitanya D. Karamchedu1
Jesuit High School, Portland, OR – 97225, USA

1

ABSTRACTThis study explored plant architecture and growth using a novel application of mathematical tools. Fractal
analysis of plant architectures was performed to quantify and describe functional obligations of plants,
photosynthesis in particular. The methods used for this study included a) the assimilation of various plant
species' profiles from the USDA database, b) computation of fractal dimensions and derived measures and c)statistical analysis of these measures. Initial results from this study suggests that a) plants surviving in low light
conditions have fractal dimensions within a characteristic range of 1.6 - 1.85, suggesting that the fractal
dimension strongly reflects a branching and photosynthesis strategy to maximize available light for energy
production. b) Plants exhibit distinct fractal geometries at the leaf level and the whole plant level. The fractal
dimensions of the plant (FDP), the leaf (FDL) and the ratio of the two (FDR=FDL/FDP) may serve as numericdescriptors of the photosynthesis strategy of related plants, suggesting its use as a new taxonomic descriptor. c)This study also suggests that there is a correlation between the fractal dimensions and the metabolic demand of aplant and could help identify deviations from the expected metabolic demand predicted by its expected FDRvalues due to growth. d) The fractal measures including the fractal dimension ratio is potentially a new anduseful allometric tool. This could aid in refining biomass calculations and in the estimation of carbon
sequestration potential of plants, as current models may be overestimating these values.
Keywords: Allometry, Biomass, Fractal Analysis, Photosynthesis

The primary question that motivates this study is what is the relationship between the fractal geometryof the form of plants and the plant’s functional
obligations?
Prior research in these areas have considered a)the distinct complex geometries of low lightsurviving plants[1], b) the features and consequencesof shade tolerance [2] [4], c) the mathematicalanalysis of tree architecture to aid in theunderstanding of a trees structure-function
relationship [5] [6] and d) the use of allometricanalysis in biomass estimations. [7][8]. Some ofthese studies have investigated the use of fractal
geometries[9] to better specify and understand thevaried effects of form and function and acclimation
to light availability, such as leaf thickness,mesophyll thickness, shoot modifications and age
dependent changes [10].
These studies inspire questions about underlying
mathematical traits of such complex geometries. Can
we quantify this complex geometry in precise
mathematical terms? How does this complexity
compare to plants that do not thrive with leaves inlow light conditions? How does the measure of thecomplex geometries of low light surviving plants aid
in the understanding of the functional obligations of

INTRODUCTION
lants that survive in low light conditions are known
Pto have complex geometries represented in theirfoliage, particularly in relation to plants that don’t
survive in lower light conditions [1]. These
adaptations suggests that they are critical to the plantfulfilling its functional obligations under the specificenvironmental constraints that it operates in. One
such functional obligation that the plant needs tofulfil is photosynthesis under the specificenvironmental constraint of low light availability.
While many of the adaptations in plants arebiochemical and molecular in nature, there are alsosignificant geometric adaptations in the form andgrowth of such plants [2]. Irregularity andcomplexity is a defining characteristic, not merely ofsuch adaptations in plants, but of the very generalform of plants itself.
Pioneering work by
Mandelbrot introduced fractal mathematics, amathematics of understanding the irregular forms
and structures in nature [3]. One central concept inthis form of analysis is that of the fractal dimension,
also known as the Hausdorff-Besicovitch dimension.
This is a measure of irregularity or fracture of a form
under consideration.

62

SEE-Mie, Japan, Nov. 19-21, 2015

the plant.
Several of the studies mentioned above attempt toinfer biomass of plants based on allometric measures[8]. These studies attempt to increasingly refine
biomass estimation techniques, but some of theunderlying models such as 3D tomography [10] do
not allow for the practical incorporation over vast
areas in a non-destructive manner. Furthermore,these studies ignore the effects of seasonal change,
age, and disease or habitat degradation on the
structure of the plant. The main questions that thisstudy seeks to answer are:A) Can the complex geometry of the foliage oflow light surviving plants be identified by aquantifiable measure?
B) Is the plant’s overall architecture represented
by such quantifiable measures?
C) Beyond the descriptive value of these measures,
do such measures have a predictive value? Does
such a measure help to predict the metabolic demandof a plant?
D) Is there a value for such measures in helping
to assess biomass distributions?

Organization and the other was a tool developed by
the Charles Sturt University of Australia [13],(http://seit.unsw.adfa.edu.au/staff/sites/dcornforth/Fr
actop/index.html).
Data Analysis Methods Used in This Study
For question A, fractal dimensions of the various
plants that were either low light surviving or not
were plotted against the survivability criteria andvisually examined to identify any discernable pattern.
ANOVA tests were performed on this data to test
any discernable variation in the fractal dimensions.
For question B, the fractal dimension of thewhole plant and leaf structures were distinctly
computed and used to derive their interrelationship,
designated as the ‘Fractal Dimension Ration’ (FDR).
ANOVA analysis was performed to ascertain if thewhole plant fractal dimension revealed a distinct
measure compared to the fractal dimensions of theleaf structures, and to identify any discernablechanges in these measures for related species.
For question C, the fractal dimension of thesaplings were compared against those of the maturetree to discern any significant deviation between thetwo.
For question D, linear multi-variable regression
analysis was performed to determine the effect of
the FDR on the biomass of the plant

MATERIALS AND METHODS
Compilation of Data
Several techniques were employed to compile
data for this study.
Compilation of Empirical Field Data
Direct field work was done using a digital camera
to assimilate photographs of a wide variety of plants
in the Pacific Northwest region of the United States.
The plants photographed included shade tolerant andintolerant plants and plants with winter foliage.
Compilation of plant photographs and details from
USDA & Wikipedia.
Wikipedia and the USDA’s online database ofplants (http://plants.usda.gov/gallery.html) was used
to compile taxonomic, allometric and geographic
data about a variety of plants.
For a smaller subset, photographs of saplings ofthese plants were also compiled where available.
Compilation of Plant Biomass
Above ground tree mass was compiled from two
separate sources. The online resource from the“Hubbard Brook Ecosystem Project” [11] operated
by the USDA was used to compile biomass forplants that were catalogued in that database. Aboveground tree biomass was also compiled from theonline resource of the Canadian Forestry Service[12].
Compilation of Fractal Dimension of Plants
Fractal dimension of photographs were evaluatedand compiled for all the photographs using the box
counting method. Two software tools wereconsidered, the first was a tool developed by theJapanese National Food and Agricultural

DATA ANALYSIS, RESULTS & DISCUSSION
A. Can the complex geometry of the foliage
of low light surviving plants be identified
by a quantifiable measure?

Fig. 1 Lowlight Survivability: Fractal dimensions of plants
based on their ability to thrive in lowlight

The operating assumption for the hypothesis of
this question was that the complex adaptations of theleaves of plants that thrive under low light
conditions must be reflected in the fractal geometryof the plant. In the absence of any such distinction of
fractal geometries between the groups of plants thatthrive in low light versus those that do not, there
should not be any significant variance of the meansof these groups. Preliminary ANOVA analysis of thedata shows that there is indeed a variance of themeans among these groups. As reflected above, thelow p-values and the high ratio of F to F-crit suggest
63

SEE-Mie, Japan, Nov. 19-21, 2015

a strong distinction in the fractal dimension andhence in the architecture, of low light thriving plants
compared to those that do not.

TABLE ISTATISTICAL ANALYSIS OF FRACTAL DIMENSIONS OF LOWLIGHT
AND NON-LOWLIGHT PLANTS
GroupsCount

Average

Variance

Lowlight
Nonlowlight61

1.71300.012425

1.422

0.0108

SS

df

MS

F

P-value

1.5

1

1.5

125.173

2.51x10-18

1.006

84

0.012

2.506

85

Anova
Source of
Variation
BetweenGroupsWithinGroupsTotal

Examination of the frequency distribution of thefractal dimension of plants reveals bi-modal
distribution, suggesting the operation of clearly
distinct forces on the fractal dimension of the plants.
The sample dataset chosen for this analysis
contained an assortment of plant species, with the
only common distinction between the groups being
their ability to thrive in low light, and the bimodality
in the distribution appears to reinforce the effect of
this adaptation on the fractal dimension of the plants.
FD - Lowlight

factors including its genetic constitution. This
inspires the following question - what could be thereason for a common effect on the fractal dimension,
when there are many underlying factors that controls
the foliage geometry?
One potential argument is the nature of competing
functional obligations of the plant. Regardless of thegenetic constitution and winter adaptations, allplants that thrive in low light probably haveselective pressures to maximize photosynthesis
under depleted light availability. Expansive foliage,
with a broad and flat surface, limits the ability tomaximize sunlight due to the limiting effects on
surface areas. This is because, it further casts a
shadow and renders the volume under the leaf
useless for photosynthesis. Plants that allowed for
F crit sinuses and fractures in the foliage would therefore
make more light available to the lower layers to also
3.954
participate in photosynthesis, thereby conferring a
potential advantage to survivability. However, sucha fracture or sinus architecture cannot be maximized
beyond a limit, because the very nature of thefracture reduces the per leaf photosynthesis potential,
thereby creating a competing force. The range of
geometric variations for these competing forces
therefore appear restricted. This mutually limiting
set of constraints for photosynthetic efficiency could
account for the narrower range of allowable fractal
dimensions. Initial data suggests that the optimal
range of fractal dimension to balance thesecompeting interests in between 1.6 – 1.85.
This argument does not make the claim that a plant’s
fractal dimension in the 1.6-1.85 automaticallyconfers lowlight survivability. Nor does it make theclaim that low light surviving plans cannot havefractal dimensions outside this range. Further
research is necessary to identify counter examples
for the putative optimal range identified here, andthe implications thereof.

FD - Non Lowlight

14
12

Count

10
8

B. Is the plant’s overall architecture
represented by such quantifiablemeasures?

6
4
2

The fractal dimension of the overall foliage (FDP)
reflects the degree of fracture of the whole plant.
The fractal dimension of the specific leaf
arrangement (FDL) reflects the fracture geometry of
the local leaf arrangement. In idealized shapes for
fractal analysis, the fractal dimensions of the wholeand part are scale invariant, and hence should not be
distinct.

1.2-1.25
1.25-1.3
1.3-1.35
1.35-1.4
1.4-1.45
1.45-1.5
1.5-1.55
1.55-1.6
1.6-1.65
1.65-1.7
1.7-1.75
1.75-1.8
1.8-1.85
1.85-1.9

0

Fractal Dimension Range

Fig. 2 Bi-modal distributions of fractal dimensions

TABLE II:
FDL AND FDP REPRESENT DISTINCT MEASURES

Questions arise regarding the reasons why low lightsurvivability must affect the fractal dimension of theplant. The plant’s ability and adaptations to survive
in low light is confounded with the fact that many ofthese plants also survive winter. The plant’s own
foliage structures are clearly governed by many such

OF THE PLANTS GEOMETRIC ADAPTATIONGroups
FDL
FDP

64

Count
76
76

Average
1.650
1.729

Variance
0.025
0.013

How
ever,
AN
OV
A

SEE-Mie, Japan, Nov. 19-21, 2015

analysis reveals that there is a very clear distinction
in fractal dimensions of the whole plant foliage
versus that the fractal dimension of the leaf
arrangements by themselves (F/F-crit = 3.1,
p=0.0005), suggesting distinct forces directing thedegree of fracture for the whole plant, versus thedegree of fracture of smaller leaf level units, hence
the FDL and FDP are distinct and importantmeasures. Significantly, these values tend to be close
to each other leading to ratio significantly clusteredaround 1.

Fractal Dimension

FDR

FDL

Fractal Dimension

FDR

FDL

FDP

2
1.5
1
0.5
0

1

2

3

4

5

6

7

8

Specimens

FDP

Fig. 6 Photosynthesis strategy of Betulaceae

2.5
2
1.5
1
0.5
0

1 3 5 7 9 111315171921232527293133
Specimens

Fig. 3 Photosynthesis strategy of Pinaceae
FDR

FDL

Larger values of FDL indicates flatter leaves, versus
thinner leaves for lower values of FDL. Larger
values of FDP indicate more dense foliage, versus
lower values for more open foliage. This suggests
four categories of photosynthesis architectures thatthe combination of FDL and FDP lead to, as
represented by Table IV.

FDP

Fractal Dimension

2
1.5
1

TABLE IV
PHOTOSYNTHESIS STRATEGY CATEGORIESThin – Low FDL
Flat – High FDP
Dense – High FDP
Sieve – A dense Basket – A dense
canopy with thin canopy with flat
leavesleavesOpen – Low FDP
Lattice – An open Mosaic – An open
canopy with thin canopy with flat
leavesleaves

0.5
0

1

2

3

4

5

6

Specimens

Fig. 4 Photosynthesis strategy of Fagaceae

Fractal Dimension

FDR

FDL

Within each photosynthesis strategy, the ratio of
FDL to the FDP indicates whether the plant’s overall
foliage arrangement is more fractured (FDR>1) thanthe leaves themselves, or whether the leaves are
more fractured. Examination of the FDR of a wide
variety of plants, both low light surviving and otherssuggests that the FDRs tend towards a value of 1; anindication of the mutually compensatory nature of
the fracture of leaves and overall foliage. Extending
the discussion from Question 1, this FDR, alongwith the FDP and FDL appears to characterize theoverall plants photosynthesis architecture.
In the discussion for question 1, we considered themutually competing pressures of maximizing
photosynthetic efficiency of a leaf, while allowing
for effective photosynthesis for lower or inner layers

FDP

2
1.5
1
0.5
0

1

2

3

4

5

Specimens

Fig. 5 Photosynthesis strategy of Sapindaceae

65

SEE-Mie, Japan, Nov. 19-21, 2015of leaves in the plant. The plant’s branching pattern
and bifurcation strategy in combination with the leaf
arrangement affects the overall degree of fracture of
the plants foliage, the FDP. The leaf’s arrangement
around the twig affects the degree of fracture of theleaf structures, the FDR. The ratio, FDR, thenindicates whether the leaves are more fractured thanthe plant or vice-versa.
The combination of FDL and FDP suggests aclassification of the plant’s photosynthesis strategy
into the categories mentioned above. This, inconjunction with FDR, then appears to be afundamental descriptor of the plants architecture andbranching strategy in relation to its foliage andphotosynthetic obligation. This study suggests that
the FDR, FDP and FDL are a potentially useful andcomprehensive descriptor of the plant architecture in
addition to the bifurcation ratios currently being
studied [6].

Fractal Dimension

discernable difference in the mean of these twogroups as well, indicated by the F and F crit valuesof the data. Curiously, the sapling stage of the plants
have a lower fractal dimension, indicating that thesaplings are more fractured that the adult form, andtherefore have relatively more surface area than themature form of the plant. This is clearly a significant
deviation from the norm in an idealized Euclidean
shape, where the smaller scaled object has a lower
surface area than the larger one relative to its volume.
Based on the prior discussion on the compensatory
increase in surface area to meet the metabolic
demand, this suggests that the sapling stages have arelatively higher metabolic demand compared to theplants mature form.

C. Beyond the descriptive value of thesemeasures, do such measures have a
predictive value? Does such a measure
help to predict the metabolic demand of
a plant?
So, assuming no fundamental change in theefficiency of photosynthesis, maintaining steadystate metabolic demand would cause an increase insurface area due to scaling up. Central to thisquestion is whether the fractal dimensions of theplant foliage, suggestive of the photosynthetic
strategy of the plant, are predictive of the metabolic
demands of the plant.
Basic geometry of scaling [5] suggests a power law
in operation, where a scaling up in the form of theplant results only in a fractional increase in surface
area for a unit increase in volume. Various studies
have estimated this to be the 2/3rd power of thevolume [5]. This analysis makes the simplifying
assumption that the surface area is representative of
the photosynthetic capacity, and the volume of theplant is representative of the metabolic demand of
the plant. Hence, in the hypothetical scenario where
there are no additional functional obligations of theplant, an idealized scaling up would create a deficit
in the photosynthetic output of the plant, for its
corresponding increase in volume, hence its
metabolic demand. This deficit can only be met
either by a change in the surface geometry of theplant to compensate for the deficit in surface area, orby a fundamental change in the energy efficiency ofthe leaves themselves. Conversely, any variationfrom the expected compensatory change in surface
area is indicative of a proportionate change in themetabolic demand of the plant itself.
Preliminary data from this study reveals that thefractal dimension of saplings are distinctly different
from their corresponding mature state. There is a

2
1.8
1.6
1.4
1.2
1
0.8
0.6
0.4
0.2
0

FDP - Sapling

FDP - Tree

Fig. 7 Differences between saplings and matureplantsTABLE VDIFFERENCES BETWEEN SAPLINGS AND MATURE PLANTS
GroupsCount

Sum

Average

Variance

FDP - Sapling

14

23.0431.645929

0.006493

FDP - Tree

14

24.9311.780786

0.006496

F
19.6

ANOVA
Source of
Variation
BetweenGroupsWithinGroups
Total

SS

df
1

MS

0.127
0.168

26

0.006

0.296

27

0.127

P-value
0.000152

F crit4.225

D. Is there a value for such measures in
helping to assess biomass distributions?
Techniques for accurate and non-destructive
estimation of biomass in becoming increasingly
important. Current techniques employ models that66

SEE-Mie, Japan, Nov. 19-21, 2015

account for the effects of plant diameter and heightin the calculations of biomass. [8]. A basic form
some of these models use is M = aDb, where M is
the mass of the plant, D is the diameter and Db
includes the effect of the height, [7].
One consequence of this model is it ignores the wide
range of consequences shading and light availability
has on the overall biomass. Studies have shown thesignificant effects of light availability and the plants
adaptations to light availability on biomass [2].
One possible method to incorporate the effects oflight availability to the plant on the overall
estimation of biomass is to use the FDR and develop
a new regression model. In such a model, thestraightforward use of the power b to adjust for of
the effect of height may seem premature, as theplants adaptations vary with height [2]. A regression
model that distinctly considers all these threevariables was developed based on the data of thisstudy.

The results suggest that:a) The FDR is strongly predictive andnegatively correlated with the above groundbiomass of the plant (p-value of .04, and anegative slope).
b) The height of the plant is not strongly
predictive (p-value 0.17) of the above
ground biomassc)
The diameter of the plant isstrongly predictive of the biomass (p-value
5.5x10-09)This regression model alsosuggests that the form of the biomass as
M = k1aD * k2b*FDR * k3c*H
Leading to a form

𝑳𝑳𝑳𝑳𝑳𝑳(𝑴𝑴) = 𝑲𝑲𝟎𝟎 + 𝑲𝑲𝟏𝟏 (𝑫𝑫) + 𝑲𝑲𝟐𝟐 (𝑭𝑭𝑭𝑭𝑭𝑭) + 𝑲𝑲𝟑𝟑 (𝑯𝑯 ) (2)
Where

TABLE VI
REGRESSION ANALYSIS

𝐾𝐾0 = 3.32(P<0.0001),
𝐾𝐾1 = 0.008(p=5.59x10-9),
𝐾𝐾2 =-0.807(p=0.044) & 𝐾𝐾3 =0.007(p=0.178)

REFERENCES

ANOVA
df
3
35
38

Regression
Residual
Total

SS
16.706
3.338
20.044

MS
5.569
0.095

F
58.396SignificanceF
1.05x10-13

R Square 0.833
Coefficients

Upper
95%

StandardErrort StatIntercept

3.320

4.141

0.404

8.217

FDR

-0.807-0.0220.387-2.087Height L

0.007

0.018

0.005

1.372

Diameter

0.008

0.010

0.001

7.654

19
11

2

1

10% - 20%

20% - 30%0% - 10%6-10% - 0%

20
18
16
14
12
10
8
6
4
2
0

-20% - -10%

COUNT

(1)

ERROR RANGE

Fig. 8 Distribution of deviations from current
biomass predictions[1]

U. Niinemets, "Photosynthesis and resource distribution
through plant canopies," Plant, Cell and Environment, 2007,
pp. 1052-1071,.
[2] F. V. a. U. Niinemets, "Shade Tolerance, a Key Plant
Feature of Complex Nature and Consequences," The Annual
Review of Ecology, Evolution, and Systematics, 2008, pp.
39:237-257.
[3] B. B. Mandelbrot, The Fractal Geometry of Nature,
Freeman, 1997.
[4] D. Westmoreland, "Developmental Plasticity in Oak
Leaves," in Proceedings of the 16th Workshop/Conferenceof the Association for Biology Laboratory Education
P-value (ABLE), 1995.
[5] K. J. Niklas, Plant Allometry - The Scaling of Form and1.105x10-09Process, Chicago, London: The University of Chicago Press,
1994.
0.044
[6] R. B. a. N. A. Slade, "Bifurcation Ratios And The Adaptive
Geometry Of Trees," Botanical Gazette, 1981, pp.
0.178
142(3):394-401.
-09
5x10[7] M. M. Dimitris Zianis, "On Simplifying AllometricAnalysis of Forest Biomass," Forest Ecology andManagement 187, 2004, pp. 311-332.
[8] David Pare', "Estimating stand-scale biomass, nutrient
contents, and associated uncertainities for tree species ofCanadian forests," Canadian Journal of Forest Resources,
2013, pp. 43:599-608.
[9] Y. Peitgen, Fractals For The Classroom, New York:
Springer-Verlag, 1992.
[10] Pierre Dutilleul, "Plant Light Interception Can Be Explained
via Computed Tomography Scanning: Demonstration with
Pyramidal Cedar (Thuja occidentalis, Fastigiata)," Annals of
Botany , p. 101: 19–23, 2008.
[11] "Interactive Biomass Program," [Online]. Available:
http://www.hubbardbrook.org/w6_tour/biomass-stop/singletree-biomass.htm.
[12] "Natural Resources Canada," [Online]. Available:
https://apps-scf-cfs.rncan.gc.ca/calc/en/calculateurcalculator.
[13] "FracTop,"[Online].
Available:
http://seit.unsw.adfa.edu.au/staff/sites/dcornforth/Fractop/in
dex.html.

67

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

COMPARATIVE ISOTHERMS STUDIES ON ADSORPTIVEREMOVAL OF METHYL ORANGE FROM WASTEWATER BY
WATERMELON RINDS AND NEEM-TREE LEAVES
1

Sadiq Sani1 and Muhammad Bashir Ibrahim2
Faculty of Science and Education, Federal University Dutsinma, Nigeria; 2Bayero University Kano, Nigeria

ABSTRACT
Powdered watermelon rinds (WRP) and neem leaves (NLP) adsorbents were used for equilibrium adsorption
isotherms studies for detoxification of methyl orange dye (MO) from simulated wastewater. The applicability ofthe process to various isotherm models was tested. All isotherms from the experimental data show excellent
linear reliability (R2: 0.9487-0.9992) but adsorptions onto WRP are more reliable (R2: 0.9724-0.9992) than onto
NLP (R2: 0.9487-0.9989) except for Temkin’s Isotherm where reliability is better onto NLP (R2: 0.9937) thanonto WRP (R2: 0.9935). Dubinin-Radushkevich’s monolayer adsorption capacities for both WRP and NLP (q D :20.72 mg/g, 23.09 mg/g) are better than Langmuir’s (q m : 18.62 mg/g, 21.23 mg/g) with both capacities higher
for adsorption onto NLP (q D : 23.09 mg/g; q m : 21.23 mg/g) than onto WRP (q D : 20.72 mg/g; q m : 18.62 mg/g).
While values for Langmuir’s separation factor (R L ) for both adsorbents suggest unfavourable adsorption
processes (R L : -0.0461, -0.0250), Freundlich constant (n F ) indicates favourable process onto both WRP (n F :3.78) and NLP (n F : 5.47). Adsorption onto NLP has higher Dubinin-Radushkevich’s mean free energy ofadsorption 𝐸𝐸 (0.13 kJ/mol) than WRP (0.08 kJ/mol) and Temkin’s adsorption heat (b T ) is better onto NLP (b T : 0.54 kJ/mol) than onto WRP (b T : -0.95 kJ/mol) all of which suggest physical adsorption.
Key words: Watermelon rinds, Neem leaves, Methyl orange, Adsorption isotherms, Isotherm parameters.

[7,8].The untreated effluent discharged from textile,
cosmetics, pulp and paper, paint, pharmaceutical,
food, carpet and printing industries is highly
coloured due to large amounts of unfixed dyes thatremained during colouring and washing [9,6].
Untreated dye effluents are toxic and nonbiodegradable environmental pollutants that prevent
re-establishment of microbial populations, degrade
water quality permanently, cause allergy, dermatitis,
cancer, skin irritation, dysfunction of kidneys, liver
and reproductive system in humans [10,11]. In otherwords, it could leach into and pollute surface andground waters used for drinking; affect thephotosynthesis of aquatic plants by hindering
penetration of light into the water; and may cause
suffocation of aquatic flora and fauna due toanaerobic degradation of azo dyes into highly lethal
substances [12-14].
Thus, to overcome the challenges of water
scarcity and ensure safe water exploitation, muchattention has been devoted to developing costeffective
technologies
forwater/wastewater
treatment for sustainable industrial and agriculturaldevelopment.
Traditional
andconventional
techniques usually employed for the treatment ofdye wastewater consist of biological, physical andchemical methods which are mostly inadequate,
ineffective, expensive, complicated, time-consuming
and require highly-skilled personnel especially at 1100 mg/L levels of dissolved dye adsorbates [15].

INTRODUCTION
The dependence of humans on water as an
essential necessity for survival has been threatened
by water scarcity which affects 40% of the world
population (about 1.2 billion) projected to reach 2.7
billion by 2025, water borne diseases claiming
annual death rate of 5 to 10 million and pushes
global water demand to double every 21 years [1,2].
Of the about 71% of the earth surface occupied bywater, only about 0.05% is accessible for humanconsumption while the bulk of the remaining
comprises of the inaccessible seawater, groundwater,swamps and frozen polar ice caps [1]. The scarcity
of water is due to rapid population growth, increased
industrialization and decreased amounts of rainfall
in the previous decades [3]. More so, water pollution
by untreated synthetic dye effluents released fromindustries has been identified as one of theconsequences of worsening situation of water
scarcity in the society.
Dyes are complex chemical substances that bearstable aromatic rings synthesized to impart strong
and persistent colour that does not degrade on
exposure to light [4,5]. Although natural dyes arestill in rare use, almost all dyes in use today aresynthetic with annual production of over 𝟕𝟕 × 𝟏𝟏𝟏𝟏𝟓𝟓
tonnes of which azo dyes account for 60–70% [6].
About 10-15% of these dyes are discharged as
untreated effluents during the dyeing process68SEE-Mie, Japan, Nov. 19-21, 2015

Conventional adsorption methods using activatedcarbons pose disadvantages of sludge disposal
problems, high costs of operation, maintenance,
adsorbent purchase and sludge regeneration [16,17].

N
NaO3S

However, proposed non-conventional techniques
using agricultural wastes materials and by-products
asadsorbents
arerelatively
cheaper,environmentally friendlier and more efficient thanconventional adsorbents for the removal of dyeseven at trace level. The methods utilize the ability of
the waste materials to accumulate dye pollutantsfrom waste streams by purely physico-chemical
pathways of uptake. Their adsorption capacities arestudied and evaluated using adsorption equilibrium
isotherms under optimized conditions of agitation
time, adsorbent dose, adsorbents particle size, initial
dye concentration and initial pH of dye [17-19]. The
substrates are renewable resources available in large
quantities with little or no value in most countries.
Their utilization in dye removal poses the dual
advantages of effective wastewater treatment andwaste management. They usually have highmolecular weight due to the presence of lignin,cellulose and hemicelluloses components [20].
Many agricultural waste adsorbents (rice husks,
corncob, coir-pith, plum kernels, bagasse pith, nut
shells, fruit peels, leaf powders, spent tea leaves,
fruit shells, seed husk, saw-dust, hyacinth root, etc.)
were reported as cost-effective alternative low costadsorbents for dyes removal from wastewater in the
recent past decades [21]. The aim of this study is tocompare various adsorption isotherms for theadsorption of methyl orange dye from simulated
wastewater.

Fig. 1

N(CH3)2N
Structure of Methyl Orange Dye

Adsorbent Samples Preparation
Neem leaves samples collected were excessively
washed with tap-water, rinsed copiously with
distilled water to remove dust and any other soluble
substances. The leaves were allowed to dry for sevendays under a shade at room temperature until they
become crisp. The dried leaves samples were thenpulverized with a mechanical electronic grinder intofine powdered form; and then dried overnight for 16
hours in an oven at a temperature range of 65℃ as
heating beyond the range of 35 − 45℃ above theambient temperature may decompose the active sites
on the samples. The oven-dried neem-tree leaves
powder (NLP) samples were sieved to the size rangeof 75 – 300 μm using electronic sieve shaker and thefractions preserved in separately labelled air-tightplastic containers according to their particle sizes foruse as adsorbents in adsorption experiments. Similar
procedure was carried out on sliced pieces of fresh
watermelon rinds samples with the powderedfractions (WRP) separately preserved in labelledplastic containers for use as adsorbents in theadsorption experiments [21,23].
Batch adsorption experimental procedure
Experiments on the adsorption of methyl orange
by WRP and NLP were carried out by batch method
and the influence of various parameters such as
contact time (5 – 240 min), adsorbent dosage (100 –500mg), particle size ( ≤ 75µm , ≤ 150µm ,≤ 250µm , ≤ 300µm and > 300µm ), initial dye
concentration (5 – 300mg/L) and initial dye pH (212) were studied at constant agitation speed of 300
rpm and room temperature (25°C) in triplicates. The
adsorption measurements were conducted by mixing
various amounts of adsorbent in 150-cm3
Erlenmeyer glass flasks containing 50 cm3 of dye
solution of known concentration. The initial pH of
the dye solutions were adjusted to the desired values
by adding few drops of 0.1M HCl or 0.1M NaOH
aqueous solutions [24]. The solutions were agitatedusing orbital shaker for a predetermined time toattain equilibrium. At the end of predetermined orequilibrium time intervals, the samples were takenout and the supernatant solution was separated fromthe adsorbent by filtration with Whatman No. 41
filter paper, discarding the first few volume (3-4drops) of the filtrate [24]. The filtrates were used foranalyses using UV-vis spectrophotometer, reporting
each data point as an average value of the triplicatesrecorded. In each case, the percentage adsorption

MATERIALS AND METHODS
Adsorbents and adsorbate reagent
Adsorbents used in this work were derived fromthe fresh agricultural solid wastes of watermelon(Citrullus lanatus) rinds and neem-tree (Azadirachta
indica) leaves. The watermelon rinds were collectedfrom local fruit vendors at Kofar Kaura and Central
Market in Katsina Metropolis while neem-tree
leaves were collected from twigs of matured neemtrees within and near the main campus of Umaru
Musa Yar’adua University, Katsina.
Methylorange(p-dimethylaminoazobenzenesulphonic acid sodium salt), its structure
shown in Figure 1, is a mono-azo dye supplied from
Fluka Chemicals. Its 1000 mg/L stoke solution was
prepared by dissolving accurately weighed 1.0 g ofthe dye solute in 1000 cm3 of de-ionized water andall desired concentrations in the subsequent
experiment were obtained by further dilution [22].

69SEE-Mie, Japan, Nov. 19-21, 2015

and substrate’s equilibrium adsorption capacity, qe(mg/g) were evaluated using Equations 1 and 2.

 C − Ce 
% Adsorption =  O
 × 100
 CO qe =

V (C O − C e )× 100
WThe sorption mean free energy per mole of sorbate,
E (J/mol), is computed from 𝑩𝑩𝑫𝑫 (mol2/J2) using
Equation 5 [28].

(1)

E=

(2)

Linear Form
Plot Variables
Langmuir Isotherm Model
𝑪𝑪𝒆𝒆
𝟏𝟏
𝑪𝑪𝒆𝒆
𝑪𝑪𝒆𝒆 ⁄𝒒𝒒𝒆𝒆 versus 𝑪𝑪𝒆𝒆=+
𝒒𝒒𝒆𝒆 𝑲𝑲𝑳𝑳 𝒒𝒒𝒎𝒎 𝒒𝒒𝒎𝒎
Freundlich Isotherm Model𝒍𝒍𝒍𝒍𝒒𝒒𝒆𝒆 versus 𝒍𝒍𝒍𝒍𝒍𝒍𝒆𝒆
𝒒𝒒𝒆𝒆 = 𝒍𝒍𝒍𝒍𝒍𝒍𝑭𝑭 + 𝟏𝟏⁄𝒏𝒏 𝒍𝒍𝒍𝒍𝑪𝑪𝒆𝒆
Temkin Isotherm Model
𝒒𝒒𝒆𝒆 versus 𝒍𝒍𝒍𝒍𝒍𝒍𝒆𝒆
𝒒𝒒𝒆𝒆 = 𝑩𝑩𝑻𝑻 𝒍𝒍𝒍𝒍𝒍𝒍𝑻𝑻 + 𝑩𝑩𝑻𝑻 𝒍𝒍𝒍𝒍𝑪𝑪𝒆𝒆
Dubinin-Redushkevich Isotherm Model𝒍𝒍𝒍𝒍𝒒𝒒𝒆𝒆 versus 𝜺𝜺𝟐𝟐
𝒍𝒍𝒍𝒍𝒍𝒍𝒆𝒆 = −𝑩𝑩𝑫𝑫 𝜺𝜺𝟐𝟐 + 𝒍𝒍𝒍𝒍𝒍𝒍𝑫𝑫
Harkins-Jurah Isotherm Model

Equilibrium adsorption isotherm models

The various isotherms used in this study wereenumerated in Table 2. Langmuir adsorption
isotherm is the most widely used two-parametermodel to explain the monolayer adsorption of dyes
from aqueous solutions in testing the possible
adsorption mechanism by adsorbents. The
dimensionless equilibrium parameter called theseparation factor, 𝑅𝑅𝐿𝐿 in Equation (3), is an extensionof Langmuir’s Equation introduced to predict thefavouravility of adsorption process (Bhattacharyya
and Sharma, 2004). For favourable adsorption
isotherm 0 < 𝑅𝑅𝐿𝐿 < 1, irreversible if 𝑅𝑅𝐿𝐿 = 0, linear if
𝑅𝑅𝐿𝐿 = 1 and unfavourable if 𝑅𝑅𝐿𝐿 > 1 [25,26].

1
1 + K LCe𝟏𝟏
𝒒𝒒𝒆𝒆 𝟐𝟐

𝑩𝑩𝑯𝑯𝑯𝑯𝟏𝟏=��−�
� 𝒍𝒍𝒍𝒍𝒍𝒍𝟏𝟏𝟏𝟏 𝑪𝑪𝒆𝒆
𝑨𝑨𝑯𝑯𝑯𝑯
𝑨𝑨𝑯𝑯𝑯𝑯𝟏𝟏⁄𝒒𝒒𝒆𝒆 𝟐𝟐
𝒍𝒍𝒍𝒍𝒍𝒍𝟏𝟏𝟏𝟏 𝑪𝑪𝒆𝒆versusIf the values of the plot variables for each linear
form of the isotherm Equations in Table 1 areplotted against each other, a straight line graphshould be obtained giving room for the computationof all other constants from the resulting slopes andintercepts of the plots [24]. From the Equations 𝑞𝑞𝑒𝑒
is the amount of dye adsorbed per unit mass ofadsorbent in a single monolayer, 𝐾𝐾𝐿𝐿 (= 𝑘𝑘𝑎𝑎 ⁄𝑘𝑘𝑑𝑑 ) the
Langmuir equilibrium constant (𝑘𝑘𝑎𝑎 and 𝑘𝑘𝑑𝑑 are rate
constants for adsorption and desorption atequilibrium, MO + Adsorbent = MO…Adsorbent),
𝐶𝐶𝑒𝑒 the equilibrium liquid phase concentration of thedye [25], 𝐾𝐾𝐹𝐹 Freundlich constant for relative
adsorption capacity of adsorbent, 𝑛𝑛𝐹𝐹 the quasiGaussian energetic heterogeinety or intensity of theadsorption surface [25-31], 𝐵𝐵𝑇𝑇 (= 𝑅𝑅𝑅𝑅 ⁄𝑏𝑏𝑇𝑇 ) constantrelated to the heat of adsorption, T (K) is theabsolute temperature, R the universal gas constant(8.314 Jmol-1K-1), 𝑏𝑏𝑇𝑇 (kJmol-1) adsorption energy
variation, 𝐴𝐴 𝑇𝑇 (Lmg-1) equilibrium binding constant,
𝑞𝑞𝐷𝐷 (mg/g) the D-R’s theoretical monolayer
saturation capacity of an adsorbent, 𝜀𝜀 (J/mol) is the
Polanyi potential given in Equation 4 and 𝐵𝐵𝐷𝐷
(mol2/J2) is D-R’s isotherm activity coefficient
related to the mean free energy of sorption per moleof sorbate, E (J/mol), as it is transferred to thesurface of the solid from infinite distance in solution[28], 𝐵𝐵𝐻𝐻𝐻𝐻 is the isotherm constants and 𝐴𝐴𝐻𝐻𝐻𝐻 the
Harkins-Jura isotherm parameter.

(3)

Freundlich’s empirical isotherm Equation is often
used to describe non-specific adsorption (Table 2). It
is valid for 1 < |𝑛𝑛| < 10 [25]. Temkin adsorption
isotherms are used to study the heat of adsorption
and the adsorbent-adsorbate interaction on surfaces
which suggest a linear decrease of sorption energy
as the degree of completion of the sorptional centersof an adsorbent is increased [27,24]. The DubininRedushkevich isotherm model is used to study
relationship between the characteristic sorption
curve and the porous structure of the sorbent [28,27]
and estimate the characteristic porosity of theadsorbent as well as the apparent energy ofadsorption [29]. The Harkins-Jura adsorption
isotherm accounts for multilayer adsorption andexplains the existence of heterogeneous pore
distribution [27,24].

1 
e = RT ln  1 + 
Ce 


(5)

2B D

Table 1 Linear Plot Details of Various Adsorption
Isotherm Models Used

where 𝑪𝑪𝒐𝒐 (mg/L) is the initial dye concentration, 𝑪𝑪𝒆𝒆is the concentration at equilibrium or predetermined
time t, 𝑽𝑽 (L) is the volume of dye solution used and𝑾𝑾 (g) is the weight of the adsorbent.

RL =

1

(4)

70

SEE-Mie, Japan, Nov. 19-21, 2015it show high linear reliability with isotherm from
WRP (𝑅𝑅2: 0.9956) being more reliable than that of
NLP (𝑅𝑅2: 0.9910) with the Freundlich’s isotherm
model [32]. This demonstrates that the experimental
data fitted well with the Freundlich isotherm
Equation. Moreover, it was reported that theFreundlich isotherm constant can be used to explore
the favourability of adsorption process. The
adsorption process is said to be favourable when thevalue of 𝑛𝑛𝐹𝐹 satisfies the condition |1| < 𝑛𝑛𝐹𝐹 < |10|,
otherwise it is unfavourable [32]. While the 𝑛𝑛𝐹𝐹
values in Table 2 for adsorption of MO onwatermelon are situated outside the range of 1–10
indicating unfavourable adsorption process, thevalues for MO adsorption on neem leaves are within
the range of 1–10, demonstrating favourable
adsorption process.

RESULTS AND DISCUSSION
To have an insight into the adsorption behavioursof MO dye onto watermelon rinds and neem leaves
samples and to gain the optimal fitting of theoreticalmodel, the experimental data from batch experimentwere analyzed using five two-parameter isotherm
Equations(Langmuir, Freundlich, DubininRadushkevich (D-R), Temkin and Harkins-Jura), in
which linear regression analysis was used toevaluate whether the theoretical models have betteror worse fitted the experimental data. The respective
parameters of these isotherm models have been
enumerated in Table 2.
Langmuir Isotherm
Based on the relationship of adsorption capacityfor MO dye adsorption onto the adsorbents and theequilibrium concentrations, the Langmuir adsorption
isotherms are modeled and presented in Figure 2.
According to these isotherm curves, the Langmuir
isotherm parameters are calculated and listed inTable 2. The experimental data for adsorption on
both adsorbents show high linear reliability withisotherm from WRP (𝑅𝑅2: 0.9992) being morereliable than that of NLP (𝑅𝑅2: 0.9989) with theLangmuir’s isotherm model [32]. This finding
indicates that MO adsorption on watermelon rinds
and neem leaves follow the Langmuir monolayer
adsorption very well [32].

3.2800ln qe3.23003.1300Ce/qe (g/L)

y = 0.0537x - 0.7094
R² = 0.9992

Figure 4 illustrates the Temkin isotherm model
for MO adsorption on watermelon rind and neem
leaves samples. The relevant isotherm parameters
are listed in Table 2. Although the experimental data
for adsorption on both adsorbents were reliable,
Temkin isotherm model indicated high linear
reliability with isotherm from NLP (𝑅𝑅2: 0.9937)
being more reliable than that of WRP (𝑅𝑅2: 0.9935)
with the [32]. This outcome suggests that theexperimental data fitted well with the Temkin
isotherm model [32]. Furthermore, it can also be
discovered in Table 2 that the heat of MO adsorption
is higher on NLP samples (-0.54 kJ/mol) than on
WRP samples (-0.92 kJ/mol).

y = 0.0471x - 0.345
R² = 0.9989

1.000035.00
Fig. 255.00
75.00
Ce (mg/L)

3.750 3.950 4.150 4.350
ln Ce
Freundlich Isotherm Plot for MO
Adsorption onto WRP and NLP.

Temkin Isotherm

2.00001.5000y = -0.2647x + 4.2589
R² = 0.9956

3.08003.550

WRP-MONLP-MO

2.5000y = -0.1828x + 3.9313
R² = 0.991

3.1800Fig. 33.0000

WRP-MONLP-MO

95.00

Langmuir Isotherm Plot for MO Adsorption
onto WRP and NLP.

Freundlich Isotherm
Based on the relationship of adsorption capacityfor MO dye adsorption onto the adsorbents and theequilibrium
concentrations,theFreundlich
adsorption isotherms are correlated and given in
Figure 3. The Freundlich isotherm parameters arecalculated and tabulated in Table 2. Thoughexperimental data for adsorption on both adsorbents,
71

SEE-Mie, Japan, Nov. 19-21, 2015

Dubinin-Redushkevich Isotherm

WRP-MONLP-MO

27.50

qe (mg/g)

26.50

The Dubinin-Radushkevich (D-R) adsorption
isotherm linear plots for MO dye adsorption onto theadsorbents (presented in Figure 5) were preparedaccording to their adsorption capacity andequilibrium concentrations., the D-R isotherm
parameters Corresponding to these linear plots were
calculated and summarized in Table 2. The
experimental data for adsorption on both adsorbents
showed higher linear reliability with isotherm from
WRP (𝑅𝑅2: 0.9724) than that of NLP (𝑅𝑅2: 0.9487)[32]. Moreover, it was reported that when the valueof 𝐸𝐸 was below 8kJ/mol, the adsorption process
could be considered as a physical adsorption. In
contrast, if the value of 𝐸𝐸 is located in the range of
8–16kJ/mol, it would be a chemical adsorption [32].
From Table 2, it can be observed that the mean freeenergy, 𝐸𝐸, of adsorption on NLP (0.13 kJ/mol) is
higher than that on WRP (0.08 kJ/mol). Thus, theeffect of physical adsorption plays a dominating rolein the process of MO dye adsorption onto theadsorbents [32].
WRP-MONLP-MO
3.2900y = -4.6209x + 43.017
R² = 0.9937

25.50
24.50
23.50

y = -6.2622x + 49.581
R² = 0.9973

22.50
21.50
3.500
Fig. 4

4.000
ln Ce

Temkin Isotherm Plot for MO Adsorption
onto WRP and NLP.

Freundlich,DubininTable 2 Langmuir,
Radushkevich (D-R), Temkin and HarkinsJura Isotherm Parameters for MO
Adsorption onto WRP and NLP
WRP

NLP

q m (mg/g)

18.62

21.23

KL

-0.0757-0.1365

RL-0.0461-0.025020.99920.99893.78

5.47

70.73210.995650.9732
0.9910b T (kJ/mol)-0.9469-0.5362BT

3.3597R

3.2700y = 3E-05x + 3.1392
R² = 0.9487
3.25003.23003.21003.19003.17003.1500y = 8E-05x + 3.0309
3.1300R² = 0.9724
3.11003.0900
1000
2000
3000
4000
5000
ε2 (J2/mol2)
Fig. 5 Dubinin-Redushkevich Isotherm Plot for
MO Adsorption onto WRP and NLP.
ln qe

Sorption
Parameters
Langmuir Isotherm

Freundlich Isotherm|𝒏𝒏𝑭𝑭 |KF
R2

Temkin Isotherm

𝟑𝟑. 𝟓𝟓𝟓𝟓 × 𝟏𝟏𝟏𝟏

AT
2

R

0.9935Dubinin-Redushkevich Isotherm-4.6209−𝟐𝟐

𝟗𝟗. 𝟎𝟎𝟎𝟎 × 𝟏𝟏𝟏𝟏−𝟓𝟓
0.9937𝟖𝟖 × 𝟏𝟏𝟏𝟏−𝟓𝟓
0.0791𝟑𝟑 × 𝟏𝟏𝟏𝟏−𝟓𝟓
0.1291

A HJ

-455

-769

B HJ

0.95450.461520.99090.98372

2

B D (mol /J )E (kJ/mol)q D (mg/g)
R2

20.72
0.9724

Harkins-Jura Isotherm
The Harkins-Jura isotherm models for MO
adsorption onto watermelon rinds and neem-tree
leaves samples are presented in Figure 6 and therelevant isotherm parameters are calculated andsummarized in Table 2. Experimental data foradsorption on both adsorbents was good, but it
showed higher linear reliability with isotherm from
WRP (𝑅𝑅2: 0.9909) than that obtained with NLP (𝑅𝑅2:
0.9837) [32]. This result reveals that MO adsorption
onto watermelon rinds and neem-tree leaves samples
is in support of the multilayer adsorption rule [32].

23.09
0.9487Harkins-Jura Isotherm

R

72

SEE-Mie, Japan, Nov. 19-21, 2015

2.00E-03

1/qe2 (g/mg)2

1.90E-03

WRP-MONLP-MOy = 0.0022x - 0.0021
R² = 0.9909[1] Rijsberman FR, “Water scarcity: Fact or
fiction”, Agricultural Water Management, Vol.
80, 2006, pp. 5-22.
[2] Ahuja S, Handbook of water purity and quality,
IWA Publishing, Great Britain, 2009, pp. 1-7.
[3] Lee B, Preston F, Kooroshy J, Bailey R and
Lahn G, “Resources futures – A Chatham
House report”, The Royal Institute ofInternational Affairs, London, United Kingdom,
2012.
[4] Damarji B, Khalaf H, Duclaux L and David B,“Preparation of TiO 2 -pillard montmorillonite as
photocatalyst part II: Photocatalytic degradationof a textile azo dye”, 2009, Applied Clay
Science, Doi: 10.1016/j.clay.
[5] Unuabonah EI, Adebowale KO and Dwodu FA“Equilibrium, kinetics and sober design studies
on the adsorption of aniline blue dye by sodium
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397-409.
[6] Zohra B, Aicha K, Fatima S, Nourredin B. andZoubir D, “Adsorption of Direct Red 2 on
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[7] Gómez V, Larrechi, MS and Callao MP,“Kinetic and adsorption study of acid dye
removal using activated carbon” Chemosphere,
Vol. 69, 2007, p. 1151.
[8] Gupta VK, Kumar R, Nayak A, Saleh TA andBarakat M.A, “Adsorptive removal of dyes
from aqueous solution onto carbon nanotubes:
A review”, Advances in Colloid and Interface
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[9] Santos SCR and Boaventura RAR, “Adsorption
modelling of textile dyes by sepiolite”, Applied
Clay Science, Vol. 42, 2008, pp. 137-145.
[10] Bulut E, Ozcar M and Sengil IA, “Equilibriumand kinetic data and process design forabsorption of Congo red on bentonite”, J. of
Hazardous Materials, Vol. 154, 2008, pp. 613622.
[11] Ozcan AS and Ozcan A, “Adsorption of aciddyes from aqueous solution onto acid-activatedbentonite”, J. of Colloidal and Interface
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[12] Acemioglu B, “Adsorption of Congo red from
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1.80E-03
1.70E-03
1.60E-03
1.50E-03
1.40E-03
1.5500Fig. 6y = 0.0013x - 0.0006
R² = 0.9837
1.7500log10Ce

1.9500Harkins-Jura Isotherm Plot for
Adsorption onto WRP and NLP.

MOCONCLUSIONS
Adsorption of MO dye onto watermelon rindsand neem leaves-derived adsorbents has beenmodeled using five two-parameter isotherm
Equations . The results achieved suggested that all
the experimental data of both adsorption processeson these samples followed the Langmuir, Temkin,Freundlich, Harkins-Jura and Dubinin-Radushkevich(D-R) isotherm models as evidenced by the valuesof the correlation coefficient, R2 (0.9359-0.9998),
with the first and last models being the most fitting
and the least fitting respectively ofor adsorption on
both adsorbents. The values of monolayer maximum
adsorption capacity for Langmuir’s q m (24.7524.81mg/g) and Dubinin-Radushkevich’s q D(20.72-26.06mg/g) are comparable. While values of
the Langmuir’s separation factor R L suggest thatboth adsorption processes are unfavourable, thevalues of Freundlich constant n F for adsorption of
MO onto neem leaves indicates unfavourable dyes
adsorption on heterogeneous surfaces. The mean
free energy of adsorption, 𝐸𝐸, calculated from
Dubinin-Radushkevich (D-R) isotherm Equation,
was in the range of 0.29-0.32 kJ/mol, suggesting thatthe process is a physical adsorption. Calculated
multilayer heat of adsorption (b T ) from the Temkin
isotherm Equation was restricted within -0.95 kJ/mol
for WRP to -0.54 kJ/mol for NLP. The three models
namely D-R, Temkin and Harkins-Jura models showthat the dye is removed from aqueous medium by amultilayer adsorption process.

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First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

DETERMINATION OF PHYTOCHEMICAL COMPOUND FROM
Spirogyra sp. USING ULTRASONIC ASSISTED EXTRACTION
Pornphan Champa1,2, Kanda Whangchai1,3, Niwooti Whangchai4,
Somkiat Jaturonglumlert5 and Nomura Nakao6
1

Department of Biology, Faculty of Science, Chiang Mai University, Chiang Mai, Thailand
2
The Graduate School, Chiang Mai University, Chiang Mai, Thailand
3
Postharvest Technology Research Institute, Graduate School, Chiang Mai University, Chiang Mai, Thailand
4
Faculty of Fisheries Technology and Aquatic Resources, Maejo University, Chiang Mai, Thailand
5
Faculty Engineering and Ago-Industry, Maejo University, Chiang Mai, Thailand
6
Graduate School of Life and Environmental Science, University of Tsukuba, Tennodai, Tsukuba, lbaraki, Japan
ABSTRACT
Currently, the use of phytochemical compounds from macro algae for cosmetic and pharmaceutical purposes ispopular. This study aimed to evaluate ultrasound assisted-extraction (UAE) method on phytochemical components(gallotannin, total flavonoids content, total saponin content and total phenolic compounds) in Spirogyra sp.. The
ultrasonic devices with same input power of 5 watts and varying 3 frequencies (45 kHz, 210 kHz and 1 MHz) of
UAE coupled with 3 solvents (ethanol, methanol and acetone) were investigated. Treated samples were collected
after sonication for 120 min. The results revealed that UAE method showed the highest performance in yield
extraction compared with hot water. The highest yields of gallotannin and total flavonoids content were obtained bysonication at 45 kHz with 2.7 mg/g and 3.5 mg/g acetone but the highest yield of total phenolic compounds wasfound when sonicated at 45 kHz with methanol and total saponin content was found with ethanol. Thus, UAE at 5
watts, 45 kHz. showed the best result in yields extraction of those phytochemical compounds. While the suitable
solvents for phytochemical compounds extraction differed and depended on the purpose and phytochemical type.
UAE in combination with acetone had a suitable effect on P. digitatum inhibition while UAE in combination withacetone, ethanol and methanol showed non significantly different on E.coli inhibition.
Keywords: Ultrasound assisted-extraction, Phytochemical, Spirogyra sp., Escherichia coli, Penicilium digitatum
ultrasonication combine with organic solvent or water
solution to extract the substances from proposedmaterials. Ultrasonic enhances the high frequency
through the carrier likes water or organic solvent.
This leads to bubbles formations which form theshrinking and expanding of bubbles cycle. During
bubble expansion, the substances were pulled out
from materials then dissolved in the extracted solvent.
Also, the bubble collapse causes high pressure andhigh temperature which leads to cell destruction
which better increases antioxidant extraction by thesolvent. There are many factors afferhing theefficiency of this method such as ultrasonicfrequency, time and extraction solvent.
Tao (Spirogyra sp.) is a genus of filamentous
freshwater green algae in the Division Chlorophyta,
Order Zygnematales, Family Zygnemataceae. It is
named after the helical or spiral arrangement of thechloroplasts. There are more than 400 species of
Spirogyra in the world [4]. The algae grow in theclean standing water. For moderate quality of clear
water, the turbidity would not exceed 10 NTU,

1. INTRODUCTION
Ultrasound-assisted extraction (UAE) has proved
to be a particularly effective extraction method to
reduce the extraction temperature, amount of solvent
and the extraction time. This method is especially
useful for the extraction of bioactive compounds.
Usually, hot water treatment at 80°C for 4 hr. has
been used for extraction of Spirogyra sp. [1].
However, hot water extraction in polysaccharides is
associated with long duration and high temperature
which lead to the degradation. [2] found that using
ultrasonic at a frequency of 3 2 0 KHz with water
extraction of polysaccharides in Codinopsis pilosula
was effective to increase polysaccharide.[3]investigated different solvents in phytochemical
extraction of Canna indica by UAE method. It was
shown that acetone extract contained highest
antioxidant activity, high amount of flavonoid andphenolic compounds. Combination of high frequency
with extraction method is the technique of using75

SEE-Mie, Japan, Nov. 19-21, 2015

temperature 15-27°C and pH 6-7.8. Spirogyra sp. isconsumed by people in the north and northeast of
Thailand as a traditional food. It contains highamount of nutritional compositions including basic
nutrients such as carbohydrates, fats, proteins,multivitamins, minerals and antioxidants [5].
Spirogyra sp. was screened against three bacteria:
Pseudomonas solanacearum, Escherichia coli andClavibacter michiganense and three plant pathogenic
fungi: Fusarium oxysporum, Curvularia species andAspergillus niger. Its antimicrobial property was
found to be effective against the entire test organisms[4]. Moreover, Spirogyra phytochemical components(alkaiods, steriods, flavonoids, tannins, terpanoids)
exhibit antimicrobial activity against Escherichia coli
and Candida albicans [6].
In this study aimed to evaluate ultrasoundassisted-extraction (UAE) methods on phytochemicalcomponents (gallotannin, flovoniods and total
phenolic compounds) in Spirogyra sp.
2.

were left for an additional 15 min at room
temperatureandevaluatedby
UV-visspectrophotometer (520 nm) which methanol wasused as a blank. The mixtures were analyzed intriplicates to measure gallotannin concentration bygallic acid equivalents (GAE) Makkar (1999) [7].
2.3.2 Determination of Total Saponin content
Algal extract (0.25 ml) was pipetted and put into
a test tube then, 0.25 ml of vanillin reagent and 2.5 mlof 72% H2SO4 were added (in ice bath). The mixture
was heated in water bath at 60˚C for 10 min, and thencooled. The absorbance of mixture was measured
with spectrophotometer at 544 nm. Diosgenin wasused as a reference standard. The test was performedin duplicate. Determination of total sapogenin was
carried out according to the method of Hiai et al. [8].
2.2.3 Determination of Total phenolic content
Total phenolic content was determinated by the
Folin–Ciocalteu colorimetric method, based on theprocedure, gallic acid was used as standard phenolic
compound. Briefly, 50 µl (two replicates) of thefiltered extracts were mixed with 450 µl of distilledwater and 2.5 ml of 0.2 N Folin–Ciocalteu reagent.
After 5 min, 2 ml of saturated sodium carbonate (75g/l) was added. The blue-colour solution wasmeasured by spectrophotometer at 765 nm after
incubation at 30˚C for 1.5 h with intermittent shaking.
Quantitative measurements were performed, related
to standard calibration curvet 20, 100, 200, 300, 400,
500 mg/l of gallic acid in 80% methanol. The total
phenolic content was expressed by gallic acidequivalents (GAE) as milligrams per game of drymaterial.

MATERAILS AND METHODS

2.1 Spirogyra sp. preparation
Fresh Spirogyra sp. were collected from the low
flowing stream located at SobPerng, MaeTeang,
Chiang Mai Provinces and transported to the
Postharvest Physiology Research Laboratory, Chiang
Mai University. The algal samples were cleaned with
distilled water and dried by hot air oven at 60 °C for
24 hr.
2.2 Preparation of extracts
Five gram of each Spirogyra sp. sample was out
roughly and extracted by different methods as thefollowing; hot water (95˚C), UAE (45 kHz, 210 kHz
and 1 MHz) with same ultrasonic input power of 5 W
in combination with various solvents (ethanol,
methanol and acetone). Treated samples werecollected at 120 min. during extraction period. Then,the extract of each sample was analyzed for thephytochemicals components.

2.2.4 Determination of Total Flavonoid content
Total flavonoid content was measured byaluminum chloride colorimetric assay. An aliquot (1mL) of the extracts or standard solution of (+)catechin (20, 40, 60, 80 and 100 mg/L) was added to
10 mL volumetric flask, containing 4 mL of distilled
deionized water (dd H2O). The flask was added with
0.3 mL 5% NaNO2. After 5 min, 0.3 mL 10% AlCl3
was added. At the sixth minute, 2 mL 1 M NaOH wasadded and the total volume was made up to 10 mL
with dis trilled water. The solution was mixed and theabsorbance was measured against by UV-VIS
Spectrophotometer Lambda 5 (510 nm). 5. Total
flavonoid contents were expressed as milligrams of(+)-catechin equivalents (CE) per 100 g dry weight

2.3 Phytochemical analysis
2.3.1 Determination of Gallotannin
Algal extracts (50µl), in test tubes were made up
to 1 ml with distilled water. One hundred µl of 0.4 N
sulphuric acid and 600 µl of rhodanine were added tothe diluted extracts. After 5 min, 200 µl of 0.5 N
potassium hydroxide was added followed by 4 ml
distilled water after a further 2.5 min. The mixtures

76

SEE-Mie, Japan, Nov. 19-21, 2015

The data followed by the same letter within thecolumn are not significantly different (*P = 0.05)
Gallotannin yield by UAE in combination withdifferent kind of solvents were determined. All UAE
treatments at 5 watt, 45 kHz for 120 min. showed
higher performance on gallotannin extraction than hot
water treatment. Sonication affected cell membrane
breakdown reduced on extraction time and increased
the yield increased the UAE produced cavitation thatgave highest efficiency at low frequency range (20 to
100 kHz) and high power or high intensity ultrasound[9]. In addition to UAE, the phytochemical yields
depended on solvents (Table 1). UAE combined withacetone treatment showed the highest yield on
gallotannin extraction (2.7 mg/g). UAE extraction
combined with methanol and ethanol treatments (0.87mg/g and 0.65 mg/g.) showed no significant
difference. (Fig. 1)

3.1 Phytochemical analysis

1 MHz

1000
500
1 MHz

45 kHz210 kHz

1 MHz

Methanol

Hot water

210 kHz

45 kHz0Acetone3.3.2 Effect on Total Saponin Contents

Table 1 Phytochemical yields (wt.%) of Spirogyra sp.
extract by Ultrasound assisted extraction

210 kHz

1500

Fig. 1 Gallotannin yields of Spirogyra sp. extracted
by UAE

3.3.1 Effect on Gallotannin Yield

45 kHz

2000

Ethanol

RESULTS AND DISCUSSION

Frequencyof UAE2500

Hot water

7-days-old Pennicillium digitatum spore on
potato dextrose agar (PDA) plate was washed thensuspended in the sterile distilled water to produce a
final concentration of 1x106 spores per ml. The
volume of 20 µl spore suspension was spread on PDA
with the mixture of 5000 mg/l Spirogyra sp. extracts.
All experiments were performed in triplicate.

3000

1 MHz

2.5 Antifungal activity

3500

210 kHz

Gallotannin content (µg/g)

Antibacterial activity was evaluated using gramnegative bacteria E.coli 0157:H7 as a propose
bacterial. First, bacteria strains were sub-cultured(37˚C, 24 hr). The effects of various extracts against
bacterial strains were determined by zone of
inhibition (ZOI) method. The 1x106 of cell suspension
per ml was spread in the plates then drilled by sterile
cork borer (3 mm in diameter). After that, each drilledplate was filled with 100 µl of Spirogyra sp extracts
after UAE in combination with different solutions(ethanol, methanol and acetone) extraction method.
Amoxicillin was used as a positive control whilewater was used as a negative control. Then, plates
were incubated at 37˚C for 24 hr. The diameter ofzone inhibition was measured in millimeter (mm.).
All experiments were performed in triplicate.

45 kHz

2.4 Antibacterial activity

Hot water(mg CE/100 g dw). All samples were analyzed intriplicate.

Solvents

Gallotannin
Contents

Total
SaponinContents

Total
Phenolic
Content

Total Flavonoids
Contents (mg/g)

Hot water

0.03a

0.44a

0.002a1.52aEthanol

0.65b

2.55b

0.001b

1.62a

Methanol

0.62b

2.38b

0.001b

1.52a
1.25a

Acetone

0.51b

2.23b

0.001bEthanol

0.87bc2.02bc0.004a

3.12c

Methanol

0.81bc

1.97bc0.004a2.21bAcetone0.70bc1.88c

0.003a2.03b

Ethanol

2.74d

0.88d

0.002ab2.62bcMethanol

2.17d

0.78d

0.001b2.48bAcetone

1.93d

0.74d

0.001b2.31b

77

For most of the Spirogyra sp. samples, thehighest yield (2.5 g/g) of total saponin contents was
UAE in combination with ethanol at 5 watt, 45 kHz
for 120 min. (Fig. 2) followed in UAE in combination
with methanol and acetone, the yields were 2.0 and
0.8 mg/g. effectively total saponin contents from
UAE treatment was higher these treatment with than
hot water The UAE extraction techniqueincombination with ethanol was developed for the
fast extraction of saponins from Eclipta prostrasta L.
[10] UAE has an advantage of accelesating theextraction process, causing less damage to thestructural and molecular properties of the samples.
Moreover, UAE require shorter time, less solvent andfine, higher exraction yield.

1 MHz210 kHz

45 kHz

Hot water

1 MHz

AcetoneMethanol

1 MHz

45 kHz210 kHz

1 MHz

Hot water

45 kHz

Hot water

210 kHz

Methanol

AcetoneFig. 4 Total flavonoids content of Spirogyra sp.
extracted by UAE
3.4 Antibacterial activity
The effect of Spirogyra sp. extracts on
E.coli 0157:H7 growth inhibition showed that
Spirogyra sp. extracts by UAE (45 kHz, 5 watt for
120 min.) in combination with different solutions(ethanol, methanol and acetone) extraction method
inhibited the growth of E.coli 0157:H7.
Spirogyra sp. extracted from UAE in
The
combination with ethanol and acetone showed thehighest results on E.coli 0157:H7 growth inhibitionas 11.7 mm next is UAE in combination withmethanol as 11.0 mm while the
Spirogyra sp.
extract from hot water method showed the negative
resulton
E.coli 0157:H7 growth inhibition (Fig. 5) This isrelevant to Rutikanga et al. [6] who reported that
Spirogyra sp. extract from methanol extraction
method showed the best inhibition on E. coli andCandida albicans growth rate. Opposite with the
Spirogyra sp. extract from hot water method.

1 MHz

210 kHz

45 kHz

Hot water

1 MHz

210 kHz

45 kHz

Hot water

1 MHz

210 kHz

45 kHzEthanol

1 MHz

Ethanol

4.5
4.0
3.5
3.0
2.5
2.0
1.5
1.0
0.5
0.0
Hot water

Total Phenolic Compounds (mg/g)

UAE combined with methanol treatment at 5
watt, 45 kHz for 120 min. had the best performanceon yield extraction as 3.6 mg/g which wassignificantly different when compared with ethanol
and acetone combination treatments (p<`0.05). While
UAE combined with ethanol and acetone treatments
showed 1.4 and 1.7 mg/g respectively on yields
extraction with no significant difference on thefrequency of UAE treatments (Fig. 2). Methanol is
one of the most frequently used solvent for extraction.
It has a polarity of 6.6 compare with 5.2 for ethanol
and 5.1 for acetone. This difference in polarity has
demonstrated the amount of total phenolic content in
the extract [11]. In this case, [9] reported thatmethanol had higher ability on total phenol extraction
for Mesembryanthemum edule L. Aizoaceae shootthan ethanol at the levels of 104.7 and 74.2 mg
GAE.g-1DW respectively.

210 kHz

3.3.3 Effect on Total Phenolic Content

45 kHzFig. 2 Total saponin content of Spirogyra sp.
extracted by UAE.

3500
3000
2500
2000
1500
1000
500
0
Hot water

210 kHz

45 kHzMethanolFlavonoids are strong antioxidants capable ofreacting with scavenging oxygen species because of
their phenolic hydroxyl groups [12]. The highest
yield of total flavonoids was 3.1 g/g by UAE at 5
watt, 45 kHz for 120 min. in combination withmethanol. While UAE in combination with acetone
and ethanol gave the yield of 2.6 and 1.6 g/g
respectively. All of the frequencies showed nosignificant difference on yield extraction of total
flavonoids contents (Fig. 4).
Total Flavoniods content (µg/g)

Ethanol

Hot water

1 MHz

45 kHz210 kHz

3000
2500
2000
1500
1000
500
0
Hot water

Total Saponin content (µg/g)

SEE-Mie, Japan, Nov. 19-21, 2015

AcetoneFig. 3 Total phenolic compounds yield in Spirogyra
sp. extracted by UAE
3.3.4 Effect on Total Flavonoids Contents78

SEE-Mie, Japan, Nov. 19-21, 2015

Saccharomyces cerevisiae, Staphylococcus aureus
and Staphylococcus epdermidis. Furthermore, typeof solvent is one of the important factor that optimize
the extraction ability in many plant bioactive [14].
The result showed the relevant between type ofsolvent and UAE extraction method. The solvents
that have best result on tannin and saponin extraction
also gave the positive results on microbial inhibition
these because saponin and tannin are bioactive
substances which have the effective on microbial
inhibition

Inhibition diameter zone (mm)

14.0
12.0
10.0
8.0
6.0
4.0
2.0
0.0
UAE+ethanol UAE+methanol UAE+acetone

Colony forming unit (cfu mL-1
(106))

Hot water

Positive control

Hot water
Negative control

300
250
200
150
100
50

UAE+Acetone
UAE+Ethanol

0Control

Hot water

UAE+ethanol

UAE+methanol

UAE+acetone

UAE+MethanolFig. 5 Antimicrobial activity of Spirogyra sp.
extracted by UAE in combination withdeference solvents on E.coli 0157:H7
Control

Hot water

3.5 Antifungal activity
The effect of Spirogyra sp. extracts on
P. digitatum growth inhibition showed that
Spirogyra sp. extracts by UAE (45 kHz, 5 watt for
120 min.) in combination with different solutions(ethanol, methanol and acetone) extraction method
inhibited the growth of P. digitatum.
The

UAE+Ethanol

UAE+Methanol

UAE+Acetone

Fig.6 Antifungal activity of Spirogyra sp. extracts by
UAE in combination with deference solvents on
P. digitatum

Spirogyra sp. extract from UAE in combination withacetone showed the best results on P. digitatum
growth inhibition with non-microbial growth. Next
is UAE in combination with methanol and ethanol
with the number of colony forming at 134 and 286
cfu respectively. While the Spirogyra sp. extracts
from hot water method showed microbial growthrate similar to control treatment with no significantly
different in results. (Fig.6)
Phytochemical has the effective on antibiotic.
[13] reported that flavonoid and phenolic compound
inhibited the growth of Aspergillus niger, Bacillus
subtilis, Candida albicans, Escherichia Coli,
Micrococcus luteus, Pseudomonas aeruginosa,

3.

CONCLUSION

Ultrasound Assisted-Extraction (UAE) with theelectric power of 5 watt, frequency of 45 KHz for 120
min is the optimum condition for phytochemical
extraction in Spirogyra sp. Methanol is theappropriate
solventfor
total
phenolic
extraction.While acetone is the appropriate solvent
for gallotanin and flavonoid extraction in Spirogyra
sp. UAE in combination with acetone had an suitableeffect on P. digitatum inhibition while UAE in

79

SEE-Mie, Japan, Nov. 19-21, 2015

combination with acetone, ethanol and methanol
showed had no significantly different on E.coli
inhibition.

ruminants on the tanniniferous tree foliage:
Joint FAO/IAEA Division of Nuclear
Techniques in Food and Agriculture”, Vienna,
1999.
[8]
Hiai S, Oura H and Nakajima T, “Color
reaction of some sapogenins and saponins withvanillin and sulphuric acid”, Planta Medica,Vol. 29, 1976, pp. 116-122.
[9]
Hanan F, Riadh K, Marrie-Elizabeth L, Chedly
A and Christian M, “Ultrasound-assisted
extraction: Effect of extraction time andsolvent power on the levels of polyphenols andantioxidant activity of Mesembryanthemum
edule L. Aizoaceae shoot”, Tropical Journal of
Pharmaceutical Research, Vol. 11, No. 2,
2012, pp. 243-249.
[10] Ting H, Yan-Yun G, Qin-Fan Z, Xian-Ke Z,
Liang Z, Jin-Hua P, Jian C and Jian-Guo J,“Optimization of ultrasonic-assisted extractionof total saponins from Eclipta prostrasta L.
using response surface methodlogy”, Journalof Food Science, Vol. 77, No. 9, 2012, pp.
C975-C982.
[11] Betancourt AO, “Analyse, extraction atrecuperationdepoly-3-hydroxybutyratepresent dans la biomasse”, Université duQuébec á Montréal Tesis, 2008, pp.45-55.
[12] Cao G, Sofie E and Prior RL, “Antioxidant andpro-oxidant behavior of flavonoids: Structure
activity relationships”, Free radical Biology
and Medicine, Vol. 22, 1997, pp. 749-760.
[13] Jussi-Pekka R, Susana R, Marina H, Anu H,
Marja K, Tytti K, Kalevi P, Heikki V and Pia
V, “Antimicrobial effects of Finnish plant
extracts containing flavonoids and otherphenolic compounds, Vol. 56, 2000, pp. 3-12.
[14] Lafka TI, Sinanoglou V and Lazoa ES, “On theextraction and antioxidant activity of phenolic
compounds from winery wastes”, Food
Chemistry, Vol. 104, 2007, pp. 1206-1214.

4. ACKNOWLEDMENTS
This work was supported by National Innovation
Agency. The authors are sincerely grateful to
Department of Biology, Faculty of Science Chiang
Mai University, Faculty Engineering and AgoIndustry, Maejo University, Chiang Mai and Schoolof Life and Environmental Sciences, University ofTsukuba for providing the laboratory facilities.
5. REFERECES
[1]

[2]

[3]

[4]

[5]

[6]

[7]

PeerapornpisalY,
PunyoyaiT
andAmornlerdpison D, “Antioxidant and antiinflammatory activities of Spirogyra neglecta(Hassall) Kützing”. Khon Kaen University
Science Journal, Vol.40, No. 1, 2012, pp. 228235.
Zao Y, Chen, X, Yang W and Liu S,“Response
surfacemethodology
for
optimization of the ultrasonic extraction ofpolysaccharides from Codonopsis pilosula
Nannf. var. modesta L.T.Shen”, Carbohydrate
Polymers, Vol. 84, 2011, pp. 503-508.
Padma SV and Jyoti S, “Ultrasound-Assisted
Extraction in Different Solvents for
Phytochemical Study of Canna indica”,
International Journal of Food Engineering,Vol. 6, No. 3, 2010, pp.1-6.
Naik AA, Hemavani C and Thippeswamy B,“Evaluation of antimicrobial property of
Spirogyra
species”,
International
Multidisciplinary Research Journal, Vol. 2,
No. 2, 2012, pp. 13-15.
Peerapornpisal
Y,“Ediblefreshwater
macroalgae in Northern Thailand”, Journal of
Fisheries Technology Research, Vol. 1, 2008,
pp. 178-189.
Ratikanga A, Gitu LM and Oyaro N, “Mineralcomposition, antioxidants and antimicrobial
actibities of freshwater algae (spirogyra genus)
from Jomo Kenyatta University of Agriculture
and Technology (JKUAT)”, World Rural
Observations, Vol. 6, No. 2, 2014, pp.86-91.
Makkar HPS, “Quantification of tannins in tree
foliage: a laboratory manual for the
FAO/IAEA Co-ordinated Research project on“Use nuclear and Related Techniques todevelop simple tannin assay for predicting andimproving the safety and efficiency of feeing80First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

EFFECT OF TiO2-COATED SUBSTRATE PHOTOCATALYSIS ON
CHLOPYRIFOS INSECTICIDE DEGRADATION
Kanda Whangchai1,2,3*, Trid Sriwichai,2, Niwooti Whangchai4 and Nakao Nomura5
1

Postharvest Technology Research Institute, Graduate School, Chiang Mai University, Chiang Mai,
Thailand2
Postharvest Technology Innovation Center, Commission on Higher Education, Bangkok, Thailand
3
Department of Biology, Faculty of Science, Chiang Mai University, Chiang Mai, Thailand
4
Faculty of Fisheries Technology and Aquatic Resources, Maejo University, Chiang Mai, Thailand
5
Graduate School of Life and Environmental Science, University of Tsukuba, Tennodai, Tsukuba,lbaraki, Japan
ABSTRACTThe efficiencies of photocatalysis using TiO2-coated substrates to reduce chlorpyrifos insecticides was evaluated.
Three different glass substrates (glass ball, glass slide and glass bead) were prepared and tested with KI solution for
efficiency of oxidation test. It was found that TiO2-coated glass beads at 45 mg/ml for 60 min had the highest iodine
liberation rate. A 1 mgL-1 standard chlorpyrifos was subjected to those TiO2-coated substrates photocatalysis for 15, 30,
45 and 60 minutes. The percentage reduction of chlorpyrifos was calculated. It was shown that TiO2-coated glass beadphotocatalysis had high reduction rate of chlorpyrifos concentration within 15 minutes, which correlated with an increasein iodine liberation rate. The effectiveness of TiO2 in photocatalysis to reduce contaminated chlorpyrifos in Chinese kale
was determined by treatments with different TiO2-coated substrate photocatalysis and sampled every 15 minutes for 60
minutes. It was found that TiO2-coated glass bead reduced chlorpyrifos concentration to 53% when compared with thecontrol. In addition, in the quality of Chinese kale after treatment withTiO2 in photocatalysis and stored for 12 days at
5 °C was also investigated. There was no significant difference in the quality of Chinese kale in weight loss, leaf color,
total soluble solids and ascorbic acid content.
Keywords: Chlorpyrifos, Degradation, Titanium Dioxide, Photocatalysis
1.

activity due to their higher specific surface area. It isrelatively economical, photostable in solution, highly
stable chemical, nontoxic, redox selective and strongoxidizing power [1, 5] and can be as a photocatalyst.
When TiO2 absorbs ultraviolet (UV) radiation fromsunlight or illuminated light source (fluorescent lamps),
pairs of electrons and holes will be produced [3]. The
positive-hole of TiO2 breaks apart the water molecule toform hydrogen gas and hydroxyl radical. The negativeelectron reacts with oxygen molecule to form super oxideanion. This cycle continues when light is available.
Hydroxyl radicals were claimed to the extremely powerfuloxidation agent due to their oxidizing strength. In theenvironmental aspect, this mechanism was utilized tooxidize hazardous organic pollutant into nontoxic
materials [4]. TiO2 has been proved for its advantages inremoving toxic substances [7] such as malathion[17],methamidophos, chlorfenapyr, phoxim, dichlofenghion,bromophos ethyl, bromophos methyl, atrazine, cyanazine,
irgarol,
prometryne,
propazine,
chlorotoluron,
metobromuron, isoproturon cinosulfuron, triasulfuron [5],fenamiphos [5], pirimiphos-methyl [10], dichlorvos andphosphamidon [13],diquat, paraquat [14], triclopyr,daminozid [16], parathion [19], 4-bromoaniline, 3nitroaniline, pentachlorophenol, 1,2,3-trichlorobenzene
and diphenylamine. However, the potential andappropriate applications of TiO2 including oxidative
degradation should be further studied. Currently,

INTRODUCTION

Exporting countries are concerned with increasing
crop production with constraints on available agriculturalland. Increasing the use of pesticides in the future is one
way to achieve this goal. Thai Agricultural Commodity
and Food Standard in 2006 reported that the residual
pesticides is the detected at higher concentration than the
Maximum Residue Limit (MRL by importers). Amongvegetables, chlorpyrifos residue was the most commonly
found in Chinese kale. [Chlorpyrifos is anorganophosphate insecticide and is widely used for pest
control on vegetable crops [1]. The most common method
for reducing chemical residues is by washing withdetergent,sodiumhypochloriteorpotassium
permanganate. However, this method creates chemicallypolluted water as a byproduct and has a high cost andlimited effectiveness. The Good Agricultural Practices(GAPs) certification program has been a strategy forlimiting pesticide residue on crops. However, chlorpyrifos
contamination of chilli is still a critical problem to besolved because of over usage by growers. Titanium
dioxide (TiO2) belongs to the family of transition metaloxides [2, 12]. There are four commonly known
polymorphs of TiO2 found in nature, namely: anatase(tetragonal), brookite (orthorhombic), rutile (tetragonal)
and TiO2 (B) (monoclinic) [5, 15]. Only TiO2 powder wasstated in this report. TiO2 powder has high photocatalytic

81

SEE-Mie, Japan, Nov. 19-21, 2015
30, 45 and 60 minutes. The concentration of iodine
liberation from 2% potassium iodine was measured at
354nm using digital spectrophotometer. Finally,
triplicates of chlopyrifos samples were analyzed. Using agas chromatograph equipped with a flame photometricdetector (GC-FPD). The percent removal of chlopyrifos
was calculated at each collection time. Chlopyrifos
concentrations were determined by gas chromatography.
The analysis was performed using Agilent Technologies(Wilmington, DE) with model 6890 gas chromatographequipped with a flame photometric detector (GC-FPD).
The GC column was a fused silica capillary column HP-5,
5% phenylmethylsiloxane, with the dimensions of 30 m ×
0.32 mm i.d. and a 0.25 μm film thickness (Agilent
Technologies). The temperature was programmed toincrease at 10oC min-1 from an initial 100oC to 200oC andthen at 4oC increase to the final temperature of 220oC. A
purified helium gas carrier was used at a flow rate of 3.6
mL min-1. The detector temperature was 250ºC. Sample
solution (1.0 μL) was injected in splitless mode.
Quantification of chlopyrifos was performed using
chlopyrifos standard as reference.

utilization of TiO2 photocatalysis as an oxidation process
for water treatment increases. The advantage ofphotocatalysis is that, the photogeneration of •OH radical
is not harmful to the environment. This study was
conducted to determine the degradation of chlorpyrifos in
Chinese Kale by washing with various TiO2-coated with
substrate photocatalyst.
2.

MATERIALS AND METHODS

2.1 Photocatalyst
Commercial TiO2 powder was purchased from Ajax
Finecham®, Australia)
2.2 Photoreactor and Light Source
All photocatalytic experiments were carried out indark acrylic box of (30× 50 × 40 cm) operated with two
UVA lamps with light intensity 10 watt each. The TiO2coated glass substrates were packed between the lamp andtube. Two reaction tubes were placed on the bottom of thereactor. A schematic diagram of the experimental set up
is shown in Fig. 1

2.4 TiO2-Coated substrates Photocatalysis on the
Reduction of Chlorpyrifos Insecticide in Chinese
Kale and Its Quality Changes During Storage

Vegetable Washer

Chinese Kale were purchased from an organic
agriculture farm in MaeTaeng district, Chiang Mai,
Thailand. They were cleaned with distilled water andthose with uniform shape and lesion free were selected.
Each sample was dipped into 10 mgL-1 chlorpyrifos
solution for 3 0 minute. and left to dry at room
temperature. Then washed in photocatalysis reactor (Fig.
1). For 15, 30, 45 and 60 minute the reduction inpercentage of pesticide residue was then determined bygas chromatography.

UV LAMPUV LAMP2.4.1 Quality Changes during Storage
Chinese Kale were washed in the reactor for 15, 30, 45
and 60 minute in the previous experiment and then kept insealed PE bags. All the treated samples were stored at 5°C
for 12 days and were selected to measure the qualitychanges at the end of storage. The percentage of weight
loss, leaf color change, total soluble solids (TSS) content
and ascorbic acid content (AOAC) were determined.

MIXINGPUMPUV LAMPTiO2-coated substrates

UV LAMP

Fig. 1 Schematic of reaction system of TiO2 coatedsubstrate combined with photocatalysis indegradation of chlorpyrifos residue in Chinese Kale

2.4.2 Statistic Analysis
All the experiments were done in triplicates and evaluatedwith regression procedure, using SPSS version 17. The
differences between the treatments were analyzed, using
Duncan’s multiple range test (*P < 0.05).

2.3 Study of Various TiO2-Coated Substrates
Photocatalysis for Oxidative degradation activity
and Reducing Standard Chlopyrifos Solution

3. RESULTS AND DISCUSSION
Standard chlopyrifos at the concentration of 1 mg L-1
or 2% KI solution was prepared in a flask and then placed
inside different types of glass substrates coated with TiO2
(glass ball: 1 cm in diameter, glass slide (2.5 x 7.5 cm)
and glass bead: 1 mm in diameter prepared by coatingwith TiO2 powder at 45 mg mL-1 (with almost the same
surface area) by FCVAD (Filterred Cathodic Vacuum Arc
Deposition) at oxygen 10-2 Torr and 250 volt. Each TiO2
coated substrate was put in photocatalysis reactor for 15,

3.1 Study of Various TiO2-Coated substrates
Photocatalysis for Oxidative Degradation Activity
and Reducing Standard of Chlorpyrifos Solution
Iodine liberation by 2 % KI increased in of all TiO2coated treatments (Fig. 2). The increase in iodine
liberation promoted oxidation efficiency by the reaction
time.The active hydroxyl free radical which generated

82

SEE-Mie, Japan, Nov. 19-21, 2015
from the reaction react with potassium iodide which
resulting in iodine liberation[9]. Reduction in standard
chlorpyrifos by different TiO2-coated glass substrates withphotocatalysis is shown in Fig. 3. The concentration ofchlorpyrifos solution decreased and time of exposure
increased. Within the first 15-minnute, a rapid reduction
in chlorpyrifos concentration was obvious in alltreatments. However, most effective method of reducing
the amount of chlorpyrifos was observed when TiO2coated glass bead was used and treated for 15-min. It wasable to reduce significantly almost 50% of chlorpyrifos
from 1.0 mgL-1 to4.6 mgL-1 while the concentration ofother treatments slightly decreased with increasing time.
The increase in iodine liberation promoted oxidation
efficiency by the reaction time. It’s hypothesized that highdensity and surface area of TiO2-coated glass bead as
determinated by BET (BRunaver Emmett-Teller) analysis(data not shown) are able to increase the photocatalytic
efficiency by increasing reactive species generation.
These confirmed with a study of an organophosphatepesticide exposed longer to UV decomposed better [6].
This is because when the irradiation time by UV lamp
increases, lots of free radicals and formed in the liquid,causing much decomposition of the pesticides [8, 18].

Fig. 3: Degradation efficiency of chlorpyrifos under
different TiO2-coated glass substrates
Previous studies had shown many intermediates of thephotocatalytic degradation identified according to thereaction [11]. Oxidant attack of the OH- on the P=S bondoccurred first, resulting in the formation of oxon
derivatives. Continuous attack of OH- followed by therupture of P-O bond resulted in the formation ofcorresponding phenols and different alkyls or phosphateesters [6, 7].
3.2 TiO2-Coated Glass Substrates Photocatalysis on
the Reduction of Chlorpyrifos Insecticide in
Chinese Kale and its Quality Changes During
Storage
Chinese kale were washed in different TiO2-coatedsubstrate to remove residual chlorpyrifos. It was foundthat degradation percentage of chlorpyrifos in Chinese
kale when washed in TiO2-coated glass bead increased
with increasing time. The highest rate of reduction
occurred in 60 minutes when compare with the control,
which was immersed in distilled water. It was found thatphotocatalysis
reducedchlorpyrifos
theTiO2
concentration to 53 % when compared with the control
which was 11.5 % (Fig. 4). Similarly, the decomposition
rate of 17-β-oestradiol treated by immobilized TiO2 was
98% in 3.5 h. [20]. In addition, two organophosphorus
insecticides,
dimethyl-2,2-dichlorovinyl
phosphate(DDVP) and dimethyl-2,2,2-trichloro-hydroxy ethyl
phosphonate (DEP), were photocatalytic degraded byillumination with a super-high pressure mercury lamp or
by exposure to sun light[21]. All of these treatments wereobserved to have no effect on fruit quality, as determinedby on weight loss, leaf color, total soluble solids andascorbic acid (Table 1)

Fig. 2: Oxidative degradation activity (Iodine liberation)
after treatment with different TiO2- coated glass
substrates

Fig. 4: Chlorpyrifos degradation in Chinese kale whentreated with various TiO2-coated substrates for
60 minutes
Table 1 Effect of TiO2-coated substrates phytocatalysis on
quality of Chinese Kale after Storage at 5°C for 12 days

83

SEE-Mie, Japan, Nov. 19-21, 2015
Columns with different letter of each parameter indicate
significant differences by Duncan’s multiple range test(*P < 0.05)
4.

Treatment

Peel color

Ascorbic
acid mg/100
g

L*

a*

b*

Control

6.5 ab

8.8 a

23 a

-4.5 a3.5 be40.5 abglass ball

6.1 ab

9.0 ab

22.5 ab-3.9 ab

4.2 ab

39.0 bc

glass slide

5.9 bc

7.8 ab

21.0 ab-3.83 bc

4.3 ab37.5 cglass bead

6.3 ab

9.0 ac23.7 a-4.12 ab

4.9 a42.8 a[9] Hart E.J. and Henglein A, "Free radical and free
atom reaction in the solnolysis of aqueous iodine andformatesolutions",JournalofPhysicalChemistry,Vol.89,1985,pp 4342-4347.
[10] Herrmann JM, Guillard C, "Photocatalytic
degradation of pesticides in agricultural used waters",
Chemistry, Vol. 3, No. 23, 2000, pp. 417–422.
[11] Herrmann JM, Guillard C, Arguello M, Agüera A,
Tejedor A, Piedra L and Fernández-Alba A,"Photocatalytic degradation of pesticide pirimiphosmethyl: Determination of the reaction pathway andidentification of intermediate products by various
analytical methods", Catalysis Today, 1999, 54,
353–367.
[12] Hashimoto K, Irie H and Fujishima A, "TiO2
photocatalysis: A Historical overview and future
prospects", Japanese Journal of Applied Physics, Vol.
44, No. 12, 2005, pp. 8269-8285 (Part 1).
[13] Rahman MA and Muneer M, "Photocatalyseddegradation of two selected pesticide derivatives,
dichlorvos and phosphamidon, in aqueous
suspensions of titanium dioxide", Desalination, Vol.
181, 2005, pp. 161-172.
[14] Tariq MA, Faisal M, Muneer M and Bahnemann D,"Photochemical reactions of a few selected pesticide
derivatives and other priority organic pollutants inaqueous suspensions of titanium dioxide", Journal of
Molecular Catalysis A: Chemical, Vol. 265, 2007,
pp. 231–236.
[15] Florencio MH, Pires E, Castro AL, Nunes MR,
Borges C and Costa F M, "Photodegradation of
Diquat and Paraquat in aqueous solutions bytitanium dioxide: evolution of degradation reactions
and characterisation of intermediates", Chemosphere,
Vol. 55, 2004, pp. 345–355.
[16] Lomora M, Draghici C and Enesca Al.,
"Intermediary compounds in advanced oxidation
processes for wastewater treatment", in " Bulletin of
the Translvania University of Brasov, Series K:
Engineering Sciences Vol. 4 (53) No. 1-2011, 2011,
pp. 51-58.
[17] Shayeghi M, Dehghani MH, Alimohammadi M andGoodini K, "Using ultraviolet irradiation for removal
of malathion pesticide in water", Journal of
Arthropod-Borne Diseases, Vol.6, No.1, 2012, pp.
45–53.
[18] Carp O, Huisman C L and Reller A, "Photoinduced
reactivity of titanium dioxide", Progress in Solid
State Chemistry, Vol. 32, 2004, pp. 33–177.
[19] Calza P, Medana C, Pazzi M, Baiocchi C andPelizzetti E, "Photocatalytic transformations of

ACKNOWLEDGEMENTS

The authors would like to acknowledge Postharvest
Technology Innovation Center, Commission on Higher
Education Bangkok and Faculty of Science ChiangMai
University for financial support. This research study was
undertaken in Department of Physics and Materials
Science and Department of Biology, Faculty of Science,
ChiangMai University, Thailand.
6.

TSS
(%
brix)

CONCLUSION

Photocatalysis using TiO2-coated glass bead had highperformance on the degradation of chlorpyrifos
insecticide. In addition, it was confirmed that thistechnique could improve vegetable quality with noadverse effects on quality of Chinese kale in weight loss,
leaf color, total soluble solids and ascorbic acid content.
5.

Weightloss(%)

REFERENCES[1] Fujishima A, Rao TN and Tryk DA, "Titanium
dioxide photocatalysis", Journal of Photochemistry
and Photobiology C: Photochemistry Reviews, Vol.
1, 2000, pp.1-21.
[2] Jian C, "Advanced oxidation technologies:
Photocatalytic treatment of wastewater", PhD Thesis,
1997, Wageningen, Netherlands.
[3] Philippopoulos CJ. and Nikolai M D, "Photocatalytic
processes on the oxidation of organic compounds inwater", 2013, http://www.intechopen.com (Access:July 2013)[4] Ravelli D, Dondi D, Fagnoni M and Albini A,"Titanium dioxide photocatalysis: An assessment of
the environmental compatibility for the case of thefunctionalizationofheterocyclics”,
AppliedCatalysis B: Environmental, Vol., 99, 2010, pp.442–
447.
[5] Mital GS and Manoj T, "A review of TiO2
nanoparticles", Chinese Science Bulletin, Vol. 16,
2011, 56, pp. 1639-1657.
[6] Mountacer H, Nemmaoui SM, Rafqah S, Voyard G
and Sarakha M, "TiO2 Photocatalysis of theOrganophosphorus Fenamiphos: Insight into the
Degradation Mechanism", ISRN Environmental
Chemistry, Article ID 319178, 2013, pp. 1-8.
[7] Konstantinou IK and Albanis TA, "Degradation
pathways and intermediates of photocatalytictransformation of major pesticide groups in aqueous
TiO2 suspensions using artificial and solar light: A
review", 3rd European Conference on Pesticides andRelated Organic Micropollutants in the Environment,
Halkidiki, Greece, 2004, pp.320-324.
[8] Konstantinou I K. and Albanis TA, "Photocatalytictransformation of pesticides in aqueous titanium
dioxide suspensions using artificial and solar light:
intermediates and degradation pathways", Applied
Catalysis B: Environmental, Vol. 1310, 2002, pp. 117.

84

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sulphonamides on titanium dioxide", Applied
Catalysis B: Environmental, Vol. 53, 2004, pp.63–69.
[20] Harada K,
Hisanaga T and Tanaka K,“Photocatalytic degradation of organophosphorous
insecticides in aqueous semiconductor suspensions”,
Water Research, Vol. 24, 1990, pp. 1415-1417.
[21] Evgenidou E., Konstantinou I., Fytianos K. andAlbanis T. “Study of the removal of dichlorvos anddimethoate in a titanium dioxide mediatedphotocatalytic process through the examination ofintermediates andthe reaction mechanism”,
Journal of Hazardous Materials. Vol. B137, 2006,
pp. 1056-1064.

85

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

SHORT-TERM EFFECTS OF COURT-TYPE TRADITIONAL THAIMASSAGE ON PRESSURE PAIN THRESHOLD AND PAIN INTENSITYIN PATIENTS WITH CHRONIC TENSION-TYPE HEADACH
Peerada Damapong1, Naowarat Kanchanakhan2, Wichai Eungpinichpong3, Prasobsook Putthapitak4, andPongmada Damapong1
1

College of Allied Health Science Suan Sunandha Rajabhat University, Bangkok 10300, Thailand
2
College of Public Health Sciences, Chulalongkorn University, Bangkok 10330, Thailand
3
Research Center in Back, Neck, and Other Joint Pain, and Human Performance, Faculty of Associated Medical
Sciences, Khon Kaen university, Khon Kaen 40002, Thailand
4
Bamnet Narong Hospital, Amphur Bamnet Narong, Chaiyaphum Province 36160. Thailand

ABSTRACTThis study aimed to evaluate the short-term effects of the court-type traditional Thai massage (CTTM) on
pressure pain threshold and pain intensity to treat patients suffering from chronic tension-type headaches(CTTHs) comparing with amitriptyline taking. A randomized controlled trial was conducted. Sixty patientsdiagnosed with CTTH were evenly divided into the treatment and control group. The treatment group received a
45-minute course of court-type traditional Thai massage the control group was prescribed to take 25 mg ofamitriptyline once a day before bedtime lasted. The results were evaluated in short-term day 1 after intervention,
The measurement consisted of Visual Analog Scale (VAS), Tissue hardness and pressure pain threshold (PPT).
The results demonstrated that there was a significant decrease in pain intensity for the CTTM group at different
assessment while a significant difference occurred between-group comparison (P<0.05). Moreover, the PPT of
the CTTM group was significantly increased (P<0.05). It can therefore be concluded from the findings that
CTTM seems to be an effective therapy for stress-related variables and increased the PPT as well as reducing
pain intensity for the CTTHs.
Keywords: Effects ,Traditional Thai Massage, Tension-type Headache
ETTH, but the disorder is greater than that of ETTH,
but the disorder is less common [4].
TTH treatment involves both pharmacologic andnon-pharmacologic
approaches[1].
Nonpharmacologic approaches have been widely usedand proven effective but with fewer risks andundesirable side effects, a survey by the WHO on
headache treatment indicated that the three mostpopular types of alternative or complementary
therapies were physical therapy (44%), acupuncture(39%), and naturopathy (25%) [5]. Amongcomplementary therapies, traditional Thai massage
is an alternative treatment. It can be classified into
two types: the popular type traditional Thai or
Chaloeisak massage and the Court-type Traditional
Thai Massage (CTTM) employing polite gesturesand emphasizing pressing on points for treatment
purposes [6] - [8]. Despite the popularity of
traditional Thai massage, there have been somestudies investigating its effects on alleviating TTHs
carried out in Thailand, including the single-groupstudies employing a quasi-experimental design ofWattakeecharoen, [9] Udompittayason, [10]Meechana, [11] and the randomized controlled
clinical trials of Kruapanich et al [12]. and Sooktho[13]. The results yielded inconclusive evidence on

INTRODUCTION
Tension-type headache (TTH) is the most common
form of primary headache [1]. The International
Classification of Headache Disorders (Headache
Classification Subcommittee of the International
Headache Society (HIS) 2004) that strongly suggest
a neurobiological basis, at least for the more severe
subtypes of tension-type headache, the division into
episodic and chronic types [1]. The lifetime
prevalence of TTH was as high as 78% in a
population-based study in Denmark [2]. Globally,
the percentages of the adult population with anactive headache disorder are 42% for tension-type
headache [3]. However, for some individuals, thedifference based primarily on the frequency of attack
with the episodic tension-type headache (ETTH) or
chronic tension-type headache (CTTH), difference
between these two types of headache is that theformer involves pain that lasts no longer than 15days per month, whereas the latter causes pain that
continues at least 15 days per month for over six
months[1]. However, the aggregate societal impact
is large because the disorder is highly prevalent. The
individual impact of CTTH is greater than that of86SEE-Mie, Japan, Nov. 19-21, 2015

the likelihood of traditional Thai massage in
reducing TTHs, thus calling for further research.
A pilot study on the effectiveness of the court typetraditional Thai massage in CTTH treatment on asample of 10 subjects using the inclusion criteria
developed by the HIS. The subjects received two
massage therapies for 45 minutes each over a periodof one week with evaluations being done before andafter each treatment. The findings showed that the
majority of the patients were comparison before andafter the treatment revealed a significant reduction in
CTTH symptoms after the treatment at p < 0.05
(Visual Analog Scale (VAS) before and after thetreatment were 6.80 and 2.70 respectively). It wasalso found that the post-treatment angles of
movement in all directions were enhanced at p <0.05 [14]. Nevertheless, to ensure the short-term
effects of CTTM on pressure pain threshold (PPT)and pain intensity in treating CTTHs, it is necessary
to carry out a randomized controlled trial andcompare the results with those obtained from theprescription of amitriptyline.

with a severity of greater than or equal to 4 on the
VAS, be willing to participate, no prior experience
with the CTTM, amitriptyline and other treatments
or prior experience dating back more than 1 week.
Patients were excluded for any of thefollowing: other types of headache not classified as
CTTH, history of the following illnesses ordisorders: a. cervical disorders, such as cervicalspondylosis, or herniated disc, b. neurologicaldisorders, such as hemiplegia or paresis, c. skindiseases, such as chickenpox or herpes zoster, nocommunicative ability or inability to follow
instructions and a fever of 38.5°C.

MATERIALS AND METHODS
DesignA randomized controlled trial was
conducted at the Department of Traditional Thai
Medicine, Bamnet Narong Hospital, Amphur
Bamnet Narong, Chaiyaphum Province, Thailand.
This study was approved by the 1st Ethics Review
Committee For Research Involving Human Subjects,
Health Science Group, Chulalongkorn University(COA No. 052/2557).

Figure 1:The massage points 1–5 on the back of thehead of CTTH patient [15].

Subjects
The patients aged 18-65 years at
Bamnet Narong Hospital diagnosed with CTTH
according to the criteria of IHS [1] with theinclusion and exclusion criteria below. The sample
consisted of 60 patients with CTTH as identified by
the score on the VAS of 4 or above [12]. They wererandomly assigned to the treatment group or thecontrol group, each with 30 subjects.
The main inclusion criterion was CTTH
diagnosed by criteria of IHS [1], for any of thefollowing: Headache occurring on ≥ 15 days permonth on average for over six months, Headache
lasts hours and could also be continuous, Sufferfrom at least two of the following symptoms: a.
bilateral location, b. pressing/tightening (nonpulsating) quality, c. mild or moderate intensity, d.
not aggravated by routine physical activity such as
walking or climbing stairs, experience headache
without the following symptoms: a. no more than
one of photophobia, phonophobia or mild nausea, b.
neither moderate nor severe nausea nor vomiting,
not attributed to another disorder, suffer fromheadaches at least twice a week, experience pain

Figure 2:The massage points 1–5 on the forehead of
CTTH patient[15].
87SEE-Mie, Japan, Nov. 19-21, 2015

Assessment
Outcome measures including the VAS,
tissue hardness meter and algometer, were assessed
before the first treatment, assessed was conductedagain in short-term day 1.

practitioner. They were prescribed to take 25 mg
once daily. Each of them was informed that the
medication
could
cause
drowsiness,andrecommended that strict adherence to the prescribedtime of consumption was required.

Measurement instruments
The VAS is an instrument for measuring
perception of current pain, rated from 0 (no pain) to
10 (most severe pain ever experienced). In thisstudy, the VAS was assessed before the firsttreatment as well as after the treatment at short-termday 1. Tissue hardness and PPT were measured
using a Tissue Hardness meter-and-algometer (OE220, ITO /JAPAN). Tissue hardness measurement
involved pushing the force sensor of the device on
the skin over the trapezius muscle until the beepsound was noted, then stop pushing and read therecorded number giving the percentage of tissue
hardness. PPT was measured using the algometermode of the device. The 1-cm2 sensor knob was
gradually pushed down on the skin over the muscle
until the patient feel a little discomfort without pain.
At this time, the patient was informed to push thehand-held switch with a beep sound to stop theprocedure and read the recorded force for PPT. The
reliability of measurement were tested at the
beginning of the study and found high for tissue
hardness (ICC = 0.97) and PPT (ICC = 0.92) [15].
The tissue hardness and the PPT were assessed
before the first treatment as well as after thetreatment at short-term day 1.

Randomization
The patients meeting the inclusion
criteria were assigned to either the treatment group(receiving CTTM) or the control group (taking
amitriptyline) using the simple random samplingtechnique. The randomization was performed using
a lottery by the researcher assistant.
Statistical Analysis
The data was analyzed in terms of meanand standard deviation (SD) for continuous variables
and percentage for categorical variables. The study
aimed to analyze each session of treatment
separately at different time points: before the firsttreatment, after day 1.
An analysis of Paired t-tests were used
to compare the within-group variables at baseline
with outcome measures short-term day 1 after thetreatment or control period within each respective
group, and analysis of covariance (ANCOVA) was
also be conducted to compare the differences
between the two groups as well as estimate theadjusted difference between the two groups at 95%
confidence level.
RESULTSIntervention
Sixty patients aged 18-65 years who
were diagnosed with CTTH according to the criteriaof the International Headache Society (IHS)
participated. They were randomly allocated into a
treatment group and control group. After the
preliminary diagnosis, the randomization, andsigning of the consent form, the patients were givena 1 day treatment according to the group to whichgroup they belonged. The details are as follows.
The 30 patients who were randomly
allocated in the treatment group received the CCTM.
Lasting 45 minutes for each session, the treatment.
The CCTM involved using thumb pressures along
the massage meridian lines and points of CCTM.
In details, the method for alleviating
TTH using CCTM comprised of seven steps lasting
45 minutes, starting from the shoulders (15 minutes),
both sides of the upper back (5 minutes), the areaconnecting the neck and the shoulders (10 minutes),
the tips of the shoulders (3 minutes), the back of thehead (5 minutes) (Figure 1), the middle line of head
(2 minutes), and the forehead (5 minutes) (Figure 2).
The other 30 patients who wererandomly allocated into the control group were
given Amitriptylene bya licensed medical

Details of demographic data and health status were
presented in table 1. The average age 37 to 50 year
classify from class interval of CTTM group was13(43.30) and of the control group was 13(43.30).
Most baseline characteristics were equally balanced
between the two groups. Table 2 shows compare thewithin-group VAS means of the CTTM group andthe control group at baseline, short-term day 1. The
results showed a statistically significant decline in
the VAS means for both the groups (P < 0.05).
Tissue hardness and PPT not statistically significant
for both the groups. Table 3 shows compare between
groups the CTTM group and the control group werecompared at baseline, short-term day 1, it was foundthat after adjustment for baseline levels, the means
for VAS and PPT were statistically different at
short-term day 1 (P < 0.05). The VAS mean of the
CTTM group was 5.03 compared to 5.13 for thecontrol group with the difference between the twogroups equaling 0.32 (95% confidence interval,
0.07-0.57, P < 0.05). The PPT mean of the CTTM
group was 3.40 compared to 2.89 for the control
group with the difference between the two groups
equaling 5.38 (95% confidence interval, 5.53 - 0.55,
P < 0.05).

88

SEE-Mie, Japan, Nov. 19-21, 2015

Table 1 Demographic and baseline clinicalcharacteristic
Characteristics
Control
CTTM
P-value
GenderFemaleMaleAged (year)
23–36 years
37–50 years
51–64 years

26(86.70)
4 (13.30)

29(96.70)
1 (3.30)

6 (20.00)
1 (3.30)
13(43.30) 13(43.30)
11(36.70) 16(53.30)
Mean = 49.75; SD = 10.93; median= 48
Classify from class interval
Baseline of clinical outcome measure
Visual analog
6.30 ±
6.06 ±
scale (VAS 0–
1.20
0.94
10 cm); mean
 ± SD
Tissue59.89 ±
57.16 ±
hardness (%);
11.04
8.50
mean ± SD
Pressure pain
3.17 ±
2.85 ±
threshold
0.69
0.79(kg/cm2);
mean ± SD

Table 3 Comparison of the adjusted mean and 95%
CI outcome measures (adjusted for baseline
using ANCOVA)
Short-term day 1 (Mean ± SD)
Outcome
CTTM Contr Differ
Pol
ence
value
(95%
CI)
Visual0.32
5.03±1. 5.13±<0.05
analog scale
(0.07
24
1.04
(VAS 0–10
tocm); mean 
0.57)
± SD
Tissue0.625
56.88± 56.93 -5.59
hardness(-4.5011.55±(%); mean ±
to
8.40
SD
3.66)
Pressure
3.40±
5.38
<0.05
2.89±
pain
0.78
(5.53
0.65
thresholdto(kg/cm2);
0.55)
mean ± SD

<0.05

0.350

0.105

0.159

0.264

Note: CTTM is court-type traditional Thai massage.
NA is not available. 𝑃𝑃 < 0.05 is statisticallysignificant differences from baseline.

Note: CTTM is court-type traditional Thai massage.

DISCUSSION

Table 2 Comparison of the outcome measures
between baseline (pre-test) and post-test
assessments in the CTTM and control
groups (paired t-tests).

This study aimed to evaluate the short-term effectsof the CTTM on PPT and pain intensity to treat
patients suffering from CTTH comparing withamitriptyline taking. Assessment was conducted at
the VAS, tissue hardness meter and PPT, wereassessed before the first treatment, assessed was
conducted again in short-term day 1. The headachepain intensity scores reduced from baseline at shortterm day 1 for both the CTTM group and the control
group, the VAS, a comparison between the twogroups indicated statistically significant differences.
Similar findings were also reported, Cathcart S, et al.
study Pain sensitivity mediates the relationshipbetween stress and headache intensity in chronic
tension-type headache, results shows pain sensitivity
significantly mediated the relationship between
stress and headache intensity [16]. This study
similar findings were Chatchawan and colleagues,
on the effects of Thai traditional massage onpressure pain threshold and headache intensity inpatients with chronic tension-type and migraine
headaches, the results shows in both groups,
headache intensity decreased significantly (𝑃𝑃 < 0.05)[17].
A comparison of the tissue hardness reduced for
CTTM groups but not statistically significant forwithin-group and between the groups. differedfindings are also reported elsewhere. Zheng et al.

OutcomeGroup

Baseline

Visualanalog scale(VAS 0–10cm); mean
 ± SD
Tissuehardness(%); mean
± SD

CTTM

6.30 ±
1.20
6.06 ±
0.94
59.89 ±
11.04
57.16 ±
8.50
3.17 ±
0.69
2.85 ±
0.79

Pressurepain
threshold(kg/cm2);
mean ± SD

Control
CTTM
Control
CTTM
Control

Shortterm
day 1(Mean ±
SD)
5.03±
1.24
5.13±
1.04
56.88±11.5556.93±8.40
3.40±0.
782.89±0.
65

P-value

<0.05
<0.05
0.198
0.896
0.056
0.697

Note: CTTM is court-type traditional Thai massage.
NA is not available. 𝑃𝑃 < 0.05 is statisticallysignificant differences from baseline.

89SEE-Mie, Japan, Nov. 19-21, 2015[18] evaluated the therapeutic effectiveness oflumbar tender point deep massage in treating chronic
nonspecific low back pain.
The PPT compare between groups of the CTTM
group increased was significantly higher than thatof the control group. The results are consistent withthose of other researches carried out earlier. Walton,
DM., et al. study Clinical Pressure Pain Threshold
Testing in Neck Pain: Comparing Protocols,
Responsiveness,
andAssociation
With
Psychological Variables, the results suggest that
PPT is adequately reliable and that 3 measurements
should be taken to maximize measurement
properties[19]. Similar findings were also
reported, Toro-Velasco et al. [20], whichinvestigated the effectiveness of a head-neckmassage protocol in alleviating CTTHs compared toplacebo ultrasound. An assessment of PPT at bothsides of temporalis muscles immediately and 24
hours after the treatment did not demonstrate an
improvement in the patients’ conditions. It should be
noted, however, that Toro-Velasco et al.’s research
is different from the present study in terms ofresearch design, sample size, and the form and areaof massage. and Similar findings are also reported,
Chatchawan and colleagues [17], on effects of Thai
traditional massage on pressure pain threshold andheadache intensity in patients with chronic tensiontype and migraine headaches. After the treatment
and at 3 and 9 weeks of follow-up, the TTM group
showed a significant increase in PPT (𝑃𝑃 < 0.01)
compared with the sham ultrasound group.

supported by Suan Sunandha Rajabhat University,
Bangkok, Thailand.

REFERENCES[1] WorldHealthOrganization, “The International
Classification of Headache Disorders 2nd Edition,”
Cephalalgia, vol. 24, 2004.
[2] Martelletti, P. and T.J. Steiner, Handbook of
Headache practical management. 2011, London
New York Springer Milan Heidelberg Dordrecht[3] Stovner, L., et al., The global burden ofheadache: a documentation of headache prevalenceand disability worldwide. Cephalalgia, 2007. 27(3):p. 193-210.
[4] Stephen, D. S., Richard B., and Donald J.D. L.,
Wolff ’s Headache and Other Head Pain, Oxford
University, Oxford, UK, 2001.
[5] World Health Organization, Atlas of headache
disorders and resources in the world 2011. 2011.
[6] The Foundation for the Promotion ofThai
TraditionalMedicine Ayurved School, Traditional
Massage (Court-type Thai Traditional Massage),
Pickanesprinting, Bangkok, Thailand, 2005.
[7] The Foundation for the Promotion ofThai
TraditionalMedicine and Ayurved Thamrong School
Center of Applied Thai Traditional Medicine
Faculty of Medicine Siriraj Hospital Mahidol
University, Traditional Massage (Court-type Thai
Traditional Massage) Basic Massage, Mahidol
University, Bangkok, Thailand, 2011.
[8] AyurvedThamrong School Center ofAppliedThai Traditional Medicine Faculty of
Medicine Siriraj Hospital Mahidol University,
Traditional Massage (Court-Type Thai Traditional
Massage)Massage Point, Mahidol University,
Bangkok, Thailand, 2014.
[9] Wattakeecharoen, J., Comparison the effects ofmodified Thai traditional massage and managementby paracetamol on level of pain and duration of
decreasing pain level in tension-type headache
patients. , in Master Thesis in nursing. 1991,
Mahidol University.
[10] Udompittayason, W. and W. Tanchaiswad,
Effect of Thai massage on reduction of tension-type
headache. Thai J Nurs Res 2001. 5: p. 156-68.
[11] Meechana, R., The comparison of the effects ofThai traditional massage and the use of paracetamol
for reducing tension of persons with headache., in
Master Thesis in Public health. 2001, Mahidol
University.
[12] Kruapanich, C., et al., The immediate effect of
Traditional Thai massage for reducing pain on
patients related with Episodic tension-type
headache., in Master of Science Thesis in Physical
Therapy. 2010, KhonKaen university.
[13] Sooktho, S., et al., Therapeutic Effectiveness of
Traditional Thai Massage on Patients with Chronic-

CONCLUSIONS
The results showed the
VAS a statisticallysignificant decrease in headache pain intensity for
the CTTM group at at baseline, short-term day 1 anda statistically significant difference between the
CTTM group and the control group at each
assessment at at baseline, short-term day 1. As fortissue hardness, the value for the CTTM group was
significantly lower than that of the control group at
short-term day 1, and the value for both the groups
reduced at short-term day 1, although notstatistically significant. Additionally, the PPT
compare between groups of the CTTM groupincreased was significantly higher than that of thecontrol group. It can therefore be concluded fromthe findings that CTTM seems to be an effective
therapy for stress-related variables and increased the
PPT as well as reducing pain intensity for the
CTTHs.
ACKNOWLEDGEMENTS
This study was supported by the Thai Traditional
Medical Knowledge Fund. This publication has been90

SEE-Mie, Japan, Nov. 19-21, 2015

Tension Type Headache And Migraine., in Master of
Science Thesis in Physical Therapy. 2012,
KhonKaen university.
[14] Damapong, P. Kanchanakhan, N.
Eungpinichpong, W., and Damapong, P.,
Effectiveness of Court-type Traditional Thai
Massage in Patients with Chronic Tension-type
Headache: A Pilot Study. Journal of HealthResearch. vol. 29, no. 5, 2015.
[15] Damapong, P. Kanchanakhan, N.
Eungpinichpong, W., Putthapitak, P., andDamapong, P., A Randomized Controlled Trial on
The Effectiveness of Court-type Traditional Thai
Massage versus Amitriptyline in Patients with
Chronic Tension-type Headache. Evidence-BasedComplementary and Alternative Medicine Article.
In press, 2015.
[16] Cathcart S, PhD., Bhullar N, PhD., Immink M,
PhD., Vedova CD, PhD., Hayball J, PhD. Pain
sensitivity mediates the relationship between stressand headache intensity in chronic tension-type
headache/La sensibilité à la douleur médiatrice
entre le stress et l'intensité des céphalées de tension
chroniques. Pain Research & Management : The
Journal of the Canadian Pain Society 2012
Nov;17(6):377-80.
[17] Chatchawan, U. Eungpinichpong, W. Sooktho,
S. Tiamkao, S., and Yamauchi, J. “Effects of thaitraditional massage on pressure pain threshold andheadache intensity in patients with chronic tensiontype and migraine headaches,” The Journal of
Alternative and Complementary Medicine, vol. 20,
no. 6, pp. 486–492, 2014.
[18] Zheng, Z. Wang, J. Gao ,Q., et al., “Therapeutic
evaluation of lumbar tender point deepmassage forchronic non-specific low back pain,” Journal of
Traditional Chinese Medicine, vol. 32, no. 4, pp.
534–537, 2012.
[19] Walton DM, Levesque L, Payne M, Schick J.
Clinical Pressure Pain Threshold Testing in Neck
Pain: Comparing Protocols, Responsiveness, andAssociation With Psychological Variables. Phys
Ther 2014 06;94(6):827-37.
[20] Toro-Velasco, C. Arroyo-Morales, M.
Fernดandez-de-las-Pe˜nas, C. Cleland, J. A. andBarrero-Hernดandez, F. J. “Short-term effects ofmanual therapy on heart rate variability, mood state,
and pressure pain sensitivity in patients with chronic
tensiontype headache: a pilot study,” Journal of
Manipulative and PhysiologicalTherapeutics, vol. 32,
no. 7, pp. 527–535, 2009.

91

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

XANTHAN GUM FROM SUGAR CANE RESIDUE
Nittaya Ngowatana1 and Kanokwan Rudisirisak1
Department of Chemistry, Faculty of Science and Technology, Rajamangala University,
Thunyaburi, Pathumtani,12110, Thailand

1

ABSTRACT
Xanthan gum is polysaccharide that is used as the component to increase the viscosity and stability of thefood product and other product. Some microorganisms could produce xanthan gum. This project focused on thexanthan gum production by using sugarcane residue, as law material, and Xanthanmonas campertris TISTR 840.
We found that incubation time of Xanthanmonas campertris TISTR 840 at room temperature was 48 hours.
Sugarcane residue extraction that composed sugar 15.5g./100 mL. , pH 7, incubated with Xanthanmonas
campertris TISTR 840 for 144 hours at room temperature and 200 rpm. shaker speed could produce xanthan gum
in highest amount.. Precipitation of xanthan gum was added KCl 4 g to 100 mL of incubation media thatremoved microorganism . We dried xanthan gum at 1000 C ,30 min. and collected 1.5g. of xanthan gum. The
produced xanthan gum was soluble in water, 95% ethanol, 5% NaOH, 8% HCl, iso-propyl alcohol and glycerol.
It was stable in 5% NaOH, 8% HCl , 2% NaCl. The produced xanthan gum that was soluble inwater;2g./100mL.; was stable at 1200C. Infrared spectroscopy showed that both of produced and commercial
xanthan gum were the same pattern of IR spectrum . Salad cream added with produced xanthan gum was stablein acid-base property and viscoscity for 4 weeks.
Keywords: Xanthan gum, Xanthanmonas campertris TISTR 840, Sugarcane residue, Polysaccharide,
Microorganism production

INTRODUCTION

Sugarcane Residue Extraction

We made artificial paper from sugarcane
residue.We found that if we boiled the residue
before paper production , we could reduce amountof NaOH that extracted cellulose. Xanthanmonas
campertris can grow on rice, barley, corn flour, acidwhey, molasses and sugarcane,etc,[1] and produce
xanthan gum.[1],[2]. Xanthan gum is use as additivein food, cosmetic and medicine industry because its
suitable property, such as a high degree of
pseudoplasticity, a high viscosity at low
concentration[2].The FDA (Food and Drug
Administation in 1996) allowed to use xanthan gum
as food additive[3]. This project focused on thexanthan gum production by using sugarcane residue,as law material for production of xanthan gum from
Xanthanmonas campertris TISTR 840.

Sugarcane residue 1 kilogram was cut into small
pieces and boiled in 1,000 mL.of water about 3
hrs.The extraction was light yellow, evaluated pH
and amount of reducing sugar by DNSA. The
sugarcane residue extraction was sterilized andstored at low temperature under aseptic conditions
throughout the entire experiment.
Determination Of The Reducing Sugar Content
The reducing sugar content was determined with
DNSA that measured at 520 nm using a glucose
solution (100-500 mg/dm3) as the standard.
Growth Rate Of Xanthanmonas campertris TISTR
840 In Sugarcane Residue Extraction
The activated Xanthanmonas campertris TISTR 840
was inoculated in sterile sugarcane residue
extraction 50 mL. and incubated at room
temperature ,shaking rate 200 rpm., 144 hrs.. This
inoculated extraction , 5 mL., was inoculated insterile sugarcane residue extraction 250 mL andincubated at the same condition anddetermined
growth rate by turbidity measuring at 600nm..

MATERIALS AND METHODS
Preparation Of Xanthanmonas campertris TISTR
840
Freeze-dried culture of Xanthanmonas campertris
TISTR 840 was inoculated in nutrient broth underaseptic conditions and incubated at room
temperature and 200 rpm. shaker speed. Turbidity at
600 nm. used todetermined growth rate of
Xanthanmonas campertris TISTR 840. The activated
Xanthanmonas campertris TISTR 840 was keep inslant at low temperature.

Factors Effected Xanthan Gum Production
The reducing sugar content
The sugarcane residue extraction was adjusted the92

SEE-Mie, Japan, Nov. 19-21, 2015

reducing sugar content to 0.5, 0.75, 1.5 and 3.0
g/100mL., pH7 by using NaOH and sterilized. The
activated Xanthanmonas campertris TISTR 840 was
inoculated in 100 mL. of this extraction andincubated at room temperature ,shaking rate 200
rpm., 24 hrs.. This inoculated extraction , 5 mL., wasinoculated in sterile sugarcane residue extraction 95
mL and incubated at the same condition. At 0, 48, 96,
144 hrs., we measured pH, viscosity by using
4cm.diameter probe at 100 rpm. Separated microorganism from media by centrifuge. After sterilized
media , measured amount of reducing sugar andused 1% KCl to coagulate xanthan gum.

Color of xanthan gum

Acid- base condition

Solubility in solvent

The sugarcane residue extraction was adjusted the
reducing sugar content to 1.5 g/100mL., pH 5, 7and
9 by using NaOH. The extraction that were primary
pH and adjusted pH were sterilized. The activated
Xanthanmonas campertris TISTR 840 was
inoculated in 300 mL. of each extraction andincubated at room temperature ,shaking rate 200
rpm., 24 hrs.. Each inoculated extraction 10 mL.,
was inoculated in sterile sugarcane residue
extraction 90 mL,respectively and incubated at thesame condition. At 0, 48, 96, 144 hrs., we measured
pH, viscosity by using 4cm.diameter probe at 100
rpm. Separated micro-organism from media by
centrifuge. After sterilized media , measured
amount of sugar and used 1% KCl to coagulate
xanthan gum.

Comparison solubility of 2%xanthan gum, 2% starch,
2% gum arabic in H2O, ethyl alcohol, 5%NaOH,
8%HCl , isopropylalcohol and glycerol.

250rpm., 24 hrs.. Each inoculated extraction 10 mL.,
was inoculated in sterile sugarcane residue
extraction 90 mL,and incubated at the same
condition. At 0, 48, 96, 144 hrs., we measured pH,
viscosity by using 4cm.diameter probe at 100 rpm.
Separated
micro-organism from media by
centrifuge. After sterilized media , measured
amount of reducing sugar and used KCl 2%, 3%
and 4% to coagulate xanthan gum.
Properties Of Produced Xanthan Gum

Stability in solutions
Prepare 2% of xanthan gum in 2%NaCl, 5%NaOH
and 8%HCl.Measure viscosity of these solutions byusing 4 cm.probe at 100rpm., room temperature andrecorded at 24, 48,72 and 96 hrs.Compare with 2%
starch, 2% gum arabic.
Stability at temperature
Prepare 2% of xanthan gum in 2%NaCl, 5%NaOH
and 8%HCl.Measure viscosity of these solutions byusing 4 cm.probe at 100rpm.,at 40, 60, 80 and
100oC..Compare with 2% starch, 2% gum arabic.

Shaking rate
The sugarcane residue extraction was adjusted thesugar content to 1.5 g/100mL., pH 7 by using NaOH.
The extraction was sterilized. The activated
Xanthanmonas campertris TISTR 840 was
inoculated in 120 mL. this extraction and incubatedat room temperature ,shaking rate at 150, 200 and250rpm., 24 hrs.. Each inoculated extraction 10 mL.,
was inoculated in sterile sugarcane residue
extraction 90 mL,and incubated at the same
condition. At 0, 48, 96, 144 hrs., we measured pH,
viscosity by using 4cm.diameter probe at 100 rpm.
Separated
micro-organism from media by
centrifuge. After sterilized media , measured
amount of reducing sugar and used 1% KCl tocoagulate xanthan gum.

Property Of Produced And Commercial Xanthan
Gum
Viscosity
Measured viscosity of 1% of each produced andcommercial xanthan gum by using 4 cm.probe at
100rpm.
Acid-base value
Measured pH of 1% of each produced andcommercial xanthan gum at room temperature.
.
Comparison melting point of produced andcommercial xanthan gum by using Staurt Melting
Point Apparatus SMP3.

Concentration of KCl
The sugarcane residue extraction was adjusted thesugar content to 1.5 g/100mL., pH 7 by using
phosphate buffer. The extraction was sterilized. The
activated Xanthanmonas campertris TISTR 840 was
inoculated in 120 mL. this extraction and incubatedat room temperature ,shaking rate at 150, 200 and

Infrared spectrum
Comparison infrared spectrum of produced andcommercial xanthan gum.

93

SEE-Mie, Japan, Nov. 19-21, 2015

Xanthanmonas campertris TISTR 840 used thesugarcane residue extraction as carbon source.

RESULT AND DISCUSION
Growth Rate Of Xanthanmonas campertris TISTR
840 In Sugarcane Residue Extraction

Reducing sugar(g/mL)
3.5

Figure 1 was shown that the stastionary phase of theactivated Xanthanmonas campertris TISTR 840 insterile sugarcane residue extraction was 48-144 hrs..

3

OD600 (nm)

2.5

2.5

3 g/100mL

2

1.5 g/100mL

1.5

0.75 g/100mL

1

0.5 g/100mL

0.5

2

0

time (hr)0

1.5
1time (hr)
0

24

48

72

96

120

48

72

96

120

144

Fig. 3 Profile of the amount of reducing sugar in
growth rate of Xanthanmonas campertris TISTR
840.

0.5
0

24

144

Figure 4 was shown that the Xanthanmonas
campertris TISTR 840. could produce the higest
xanthan gum in the 1.5 g/100mL. of reducing sugarof sugarcane residue extraction pH 7 at room
temperature and shaking rate 200rpm. thatrecipitated by 1%KCl.

Fig.1 Growth curve of The activated Xanthanmonas
campertris TISTR 840
Factors Effected Xanthan Gum Production
The Reducing sugar content

Amount of
Xanthangum (g)2.5

Figure 2 was shown that the sugarcane residue
extraction; amount of 1.5 and 3.0 g/100mL.reducing
sugar, pH 7; similar effected to growth rate of
Xanthanmonas campertris TISTR 840 at room
temperature,shaking rate 200 rpm., This profile
wasshown that the higher amount of reducing sugar,
the higher growth rate of Xanthanmonas campertris
TISTR 840.

2

1.5

2.5

2
3 g/100mL
3 g/100mL
1.5 g/100mL
1.5 g/100mL

1.5

g/100mL
0.75 0.75
g/100mL
1

0.5

0

1
0.5 g/100mL
0.5 g/100mL
0.5

0
0

0

24

50
48

100
72
time (hr)

96

150

120

200 time (hr)144

OD600(nm)1.4

Fig. 4 The Xanthanmonas campertris TISTR 840.
could produce the higest xanthan gum in the 1.5
g/100mL. of reducing sugar of sugarcane residue
extraction

1.2
1

3 g/100mL

0.8

1.5 g/100mL

0.60.75 g/100mL
0.5 g/100mL

0.4

Acid- base condition

0.2
0time(hr)
0

24

48

72

96

120

Adjusted pH of the sugarcane residue extraction; pH
5 by acetate buffer, pH 7 by phospate buffer and pH
9 by Tris buffer. The primary pH was the origin
sugarcane residue extraction. Figure 5 was shownthat the sugarcane residue extraction ; amount of 1.5
mg./100mL.reducing sugar; at the primary pH andpH 7 were the similar effect to growth rate of
Xanthanmonas campertris TISTR 840.at room
temperature and shaking rate 200rpm..

144

Fig. 2 The reducing sugar content of the sugarcane
residue extraction , 0.5, 0.75, 1.5 and 3.0 g/100mL.
effected to growth rate of Xanthanmonas campertris
TISTR 840.
Figure 3 was shown that the amount of reducing
sugar of all of the sugarcane residue extraction at pH
7 ,room temperature and shaking rate 200rpm..hadthe same profile in the growth of Xanthanmonas
campertris TISTR 840. This profile indicated that94

SEE-Mie, Japan, Nov. 19-21, 2015

Shaking rate

OD600(nm)

0.9
0.8
0.7
0.6
0.5
0.4
0.3
0.2
0.1
0

Figure 7 was shown that shaking rate at 200 rpm.
was suitable for production xanthan gum from thesugarcan residue extraction; amount of 1.5 g./100mL
reducing sugar ,adjusted pH 7 at room temp andprecipitation by 1% KCl.

primary
pH 5
pH 7
pH 9

0

24

48

72

96

120

144

Amount of
Xanthangum (g)3time(hr.)

2.5

Fig.5 Effect of pH of the sugarcane residue
extraction at amount of 1.5g/100mL. reducing sugar
to growth rate of Xanthanmonas campertris TISTR
840.

pH 9
96 120 144

250 rpmtime (hr)
50

100

150

200

Concentration of KCl

pH 7

72

1

Fig. 7 The highest amount of xanthan gum from thesugarcane residue extraction; 1.5 g/100mL.ofreducing sugar, adjusted pH 7 at room temperatureand shaking rate 200 rpm..

pH 5

48

200 rpm0

primary

24

1.5

0

viscosity(cP.)

0

150 rpm

0.5

Figure 6 was shown that the primary pH sugarcane
residue extraction; amount of 1.5 g./100mL.reducing
sugar at room temperature and shaking rate 200rpm.
Was the highest viscosity.
35
30
25
20
15
10
5
0

2

Figure 8 was shown that the 4%KCl was suitable toprecipitate xanthan gum from the sugarcan residue
extraction; amount of 1.5g./100mL reducing sugar,
adjusted pH 7 at room temp and shaking rate at 200
rpm.

time(hr)Fig. 6 The highest viscosity of sugarcane residue
extraction; 1.5 g/100mL.of reducing sugar , primarypH,at room temperature and shaking rate 200 rpm..

Amount of
Xanthangum (g)54Figure 7 was shown that the primary pH sugarcane
residue extraction; amount of 1.5 g./100mL.reducing
sugar ,adjusted pH 7 at room temperature andshaking rate 200rpm. could produce the highest
amount of xanthan gum that precipitated by 1% KCl.

3
2
1
0

2

3

4

5

KCl %w/v

Amount of
Xanthangum (g)3primary

2.5

Fig. 8 The highest precipitation of xanthan gum byusing 4%KCl from the sugarcane residue extraction;
1.5 g/100mL.of reducing sugar, adjusted pH 7 atroom temperature and shaking rate 200 rpm..

pH 5

2
1.5

pH 7

1

pH 9

The Suitable Conditions For Production Xanthan
Gum From The Sugarcane Residue Extraction

0.5
0time (hr)
0

24

48

72

96

120

144

From figure 1-8 and results indicated that we could
produce xanthan gum from the 1.5 g/100mL.ofreducing sugar of sterilized sugarcane residue
extraction that adjusted to pH 7 by phosphatebuffer[4] because phosphate was energy source[5],shaking rate 200 rpm. with 4 cm.diameter probe at

Fig. 7 The highest amount of xanthan gum from thesugarcane residue extraction; 1.5 g/100mL.ofreducing sugar, adjusted pH 7at room temperatureand shaking rate 200 rpm..
95

SEE-Mie, Japan, Nov. 19-21, 2015

room temperature
Properties Of Produced Xanthan Gum

Viscoscity (cP)40

Produced xanthan gum was light yellow powder.We
found that the properties of produced xanthan gum
were similar to the other gums.

30
Xanthan Gum

20

Starch10

Solubility in solvent

Gum Arabic

0
0

24

48

72

96

time (hr)

2% produced xanthan gum, 2% starch and 2% gum
arabic could dissolve well in H2O, ethyl alcohol,
5%NaOH, 8%HCl , isopropylalcohol and glycerol .

Fig.11 Stability of 2% of xanthan gum, 2% starchand 2% gum arabic in 8%HCl

Stability of solutions
Figure 9-11; the viscosity of 2% produced xanthangum, 2% starch, 2% gum arabic.in 2%NaCl, 5%
NaOH and 8%HCl measured by using 4 cm.probe at
100rpm., room temperature and recorded at 24,
48,72 and 96 hrs. indicated that the solutions of
produced xanthan gum weremore stable than theother .

Stability at temperature
Figure 12 ; the viscosity of 2% produced xanthangum, 2% starch and 2% gum arabic in 2%NaCl,
5%NaOH and 8%HCl measured by using 4 cm.
probe at 100rpm. at 40, 60, 80 and 100oC. indicatedthat the 2% produced xanthan gum was more stable
than the other.

Viscoscity (cP)50
Viscoscity (cP)40

40
Xanthan Gum

30

30
Starch20

Xanthan Gum

Gum Arabic

20

10

StarchGum Arabic

10

0
0

24

48

72

0

96

0

20

time (hr)

40

60

80

100

120

temperature 0C

Fig.9 Stability of 2% of xanthan gum, 2% starch and
2% gum Arabic in 2%NaCl

Fig.12 Stability of 2% of xanthan gum, 2% starchand 2% gum arabic in 8%HCl at 40, 60,80 and
100oC.

Viscosity (cP)

Properties Of
Xanthan Gum

40
30

And

Commercial

Viscosity , acid-base valueand melting point

Xanthan Gum
20

Produced

StarchTable 1 Properties of produced and commercial
xanthan gum

Gum Arabic

10
0
0

24

48

72

96

Propertytime (hr)viscosity(cP.)
pH
melting point

Fig.10 Stability of 2% of xanthan gum, 2% starchand 2% gum arabic in 5%NaOH

96

Producedxanthan gum
600
7
170

Commercial
xanthan gum
580
7
>145

SEE-Mie, Japan, Nov. 19-21, 2015

Table1 indicated that the properties of produced andcommercial xanthan gum were similar; viscosity of
1% of produced and commercial xanthan gum
measured by using 4 cm.probe at 100rpm.

REFERENCES[1] Rosalam,S., England, R. “Review of xanthan
gum production from unmodified starches by
Xanthomonas campestris sp.”Enzyme andMicrobial Technology,39,(2006)pp 197-207[2] Sandra,F et.al,Characterization of xanthan gum
produced from sugar cane broth.Carbohydrate
polymers.volumn 86,Issue 2, 15 August
2011,pp 469-476.
[3] FAO/WHO(Food and Agriculture Organizationof the United Nation ).1990.Production
yearbook
1989.Roma,Codebook.ECON109(1990).
[4] Salah,R.B.,et.al.Production of xanthangum from
Xanthomonas campestris nrrl B-1459 byfermentation of date juice palm byproduct.(Phoenix dactylifera L.) J.of Foodprocess Engineering,34(2011),pp457-474.
[5] Vuyst L.De.,Vermeire,A. Use of industrial
medium components for xanthan production by
Xanthomonas campestris.Applied
microbiology and biotechnology,42(1994),pp187-191

Infrared spectrum
Figure 13 and 14 indicated that infrared spectrum of
produced and commercial xanthan gum.were similar.

Fig.13 Infrared spectrum of produced xanthan gum.

Fig.14 Infrared spectrum of commercial xanthan gum.

97

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

EXACT TRAVELING WAVE SOLUTIONS FOR THE GENERALIZEDHIROTA-SATSUMA COUPLE KDV SYSTEM USING THE
EXP − φ (ζ ) -EXPANSION METHOD()

Mostafa M.A. Khater1 and Emad H. M. Zahran2
1

Department of Mathematics, Faculty of Science, Mansoura University,
35516 Mansoura, Egypt;2
Department of mathematical and physical engineering, college of engineering Shubra,
University of Benha, Egypt

ABSTRACTIn this research, we find the exact traveling wave solutions involving parameters of the generalized HirotaSatsuma couple KdV system according to the 𝒆𝒆𝒆𝒆𝒆𝒆(−𝝋𝝋(𝝃𝝃)) -expansion method and when these parameters aretaken to be special values we can obtain the solitary wave solutions which is derived from the exact travelingwave solutions. It is shown that the proposed method provides a more powerful mathematical tool for
constructing exact traveling wave solutions for many other nonlinear evolution equations.
Keywords: The 𝒆𝒆𝒆𝒆𝒑𝒑(−𝝋𝝋(𝝃𝝃)) -expansion method; The generalized Hirota-Satsuma couple KdV system;
Traveling wave solutions; Solitary wave solutions.
DESCRIPTION OF METHOD
Let us we have the following nonlinear evolution
equation𝑃𝑃(𝑢𝑢, 𝑢𝑢𝑡𝑡 , 𝑢𝑢𝑥𝑥 , 𝑢𝑢𝑡𝑡𝑡𝑡 , 𝑢𝑢𝑥𝑥𝑥𝑥 , … . . ) = 0,
(2.1)
Since, P is a polynomial in 𝑢𝑢(𝑥𝑥, 𝑡𝑡) and its partial
derivatives. In the following, we give the main stepsof this method
Step 1. We use the traveling wave solution in theform

INTRODUCTION
No one can deny the important role which playedby the nonlinear partial differential equations in thedescription of many and a wide variety ofphenomena not only in physical phenomena, butalso in plasma, fluid mechanics, optical fibers, solidstate physics, chemical kinetics and geochemistry
phenomena. So that, during the past five decades, a
lot of method was discovered by a diverse group of
scientists to solve the nonlinear partial differential
equations. Such methods are tanh - sech method [1][3], extended tanh - method [4]-[6], sine - cosine
method [7]-[9], homogeneous balance method [10,11],F-expansion method [12]-[14], exp-function
method [15, 16], trigonometric function series
method [17], (G'/G )-expansion method [18]-[21],Jacobi elliptic function method [22]-[25], The
𝒆𝒆𝒆𝒆𝒆𝒆(−𝝋𝝋(𝝃𝝃)) -expansion method [26]-[28] and soon.
The objective of this article is to apply the𝒆𝒆𝒆𝒆𝒆𝒆(−𝝋𝝋(𝝃𝝃)) -expansion method for finding theexact traveling wave solution of the generalized
Hirota-Satsuma couple KdV system which plays animportant role in mathematical physics.
The rest of this paper is organized as follows: In
Section 2, we give the description of the𝒆𝒆𝒆𝒆𝒆𝒆(−𝝋𝝋(𝝃𝝃)) -expansion method In Section 3,
we use this method to find the exact solutions of thenonlinear evolution equations pointed out above. In
Section 5, conclusions are given.

𝑢𝑢(𝑥𝑥, 𝑡𝑡) = 𝑢𝑢(𝜉𝜉),𝜉𝜉 = 𝑥𝑥 − 𝑐𝑐𝑐𝑐,(2.2)

Where c is a positive constant, to reduce Eq. (2.1) tothe following ODE:
𝑝𝑝(𝑢𝑢, 𝑢𝑢 ′ , 𝑢𝑢′′ , 𝑢𝑢′′′ , … . . ) = 0,

(2.3)

Where P is a polynomial in u (ξ) and its total
derivatives.
Step 2. Suppose that the solution of ODE (2.3) canbe expressed by a polynomial in 𝑒𝑒𝑒𝑒𝑒𝑒(−𝜑𝜑(𝜉𝜉)) as
follow𝑢𝑢(𝜉𝜉) = 𝑎𝑎𝑚𝑚 (exp(−𝜑𝜑(𝜉𝜉))𝑚𝑚 + ⋯ , 𝑎𝑎𝑚𝑚 ≠ 0(2.4)

Where 𝜑𝜑(𝜉𝜉) satisﬁes the ODE in the form

𝜑𝜑 ′ (𝜉𝜉) = exp�−𝜑𝜑(𝜉𝜉)� + 𝜇𝜇 exp�𝜑𝜑(𝜉𝜉)� + 𝜆𝜆,(2.5)
The solutions of ODE (2.5) are

98

(2.5)

SEE-Mie, Japan, Nov. 19-21, 2015

u= 1 u + 3u u + 3 −v 2 + ω ,()xx
 t 4 xxx

(3.1)
− 1 v xxx − 3uv x ,v t =2− 1 ωxxx − 3 u ωx .
ωt =
2


When 𝜆𝜆2 — 4𝜇𝜇 > 0, 𝜇𝜇 ≠ 0,𝜑𝜑(𝜉𝜉) = 𝑙𝑙𝑙𝑙 ��𝜆𝜆2 −4𝜇𝜇−�𝜆𝜆2 −4𝜇𝜇 𝑡𝑡𝑡𝑡𝑡𝑡ℎ(

2𝜇𝜇

(2.6)

2

(𝜉𝜉+𝑐𝑐1 ))−𝜆𝜆

When 𝜆𝜆2 — 4𝜇𝜇 > 0, 𝜇𝜇 = 0,𝜑𝜑(𝜉𝜉) = −𝑙𝑙𝑙𝑙 �

𝜆𝜆𝜑𝜑(𝜉𝜉) = 𝑙𝑙𝑙𝑙 �−2(𝜆𝜆(𝜉𝜉+𝐶𝐶1 )+2

2𝑒𝑒𝑒𝑒𝑒𝑒�𝜆𝜆(𝜉𝜉+𝐶𝐶1 )�−1

�,

�,

(2.7)

When 𝜆𝜆 — 4𝜇𝜇 = 0, 𝜇𝜇 ≠ 0, 𝜆𝜆 ≠ 0,

(2.8)

When 𝜆𝜆2 — 4𝜇𝜇 = 0, 𝜇𝜇 ≠ 0, 𝜆𝜆 = 0,(2.9)

𝜆𝜆2 (𝜉𝜉+𝐶𝐶1 )�,𝜑𝜑(𝜉𝜉) = 𝑙𝑙𝑙𝑙 ��4𝜇𝜇−𝜆𝜆2

�4𝜇𝜇−𝜆𝜆2 𝑡𝑡𝑡𝑡𝑡𝑡 ((2.10)

22𝜇𝜇(𝜉𝜉+𝑐𝑐1 ))−𝜆𝜆v (x,=t) v (ζ ), ω (x,=t) ω (ζ ) and=
ζ k(x − λ1 t)carries the partial differential equation (3.1) into theordinary differential equation

𝜑𝜑(𝜉𝜉) = ln(𝜉𝜉 + 𝐶𝐶1 ),When 𝜆𝜆2 — 4𝜇𝜇 < 0

When ω = 0, Eq. (3.1) reduce to be the well-known
Hirota-Satsuma couple KdV equation. Using thewave transformation u (x, t) = u(ζ ),

1 3

u′
k u ′′′ + 3 k u u ′ + 3 k ( −v 2 + ω )′ ,
−λ1 k=4
1

− k 3 v ′′′ − 3 k u v ′,(3.2)
−λ1 k v ' =2
1
− k 3 ω ′′′ − 3 k u ω ′.
−λ1 k ω ′ =2
Suppose we have the relations between (u &v )(ω &v ) ⇒ (u = α v 2 + β v + γ )ω A v + B ) . Where α , β , γ , A and B are
(=

�,

and

arbitrary constants. Substituting this relations into
second and third equations of Eq. (3.2) andintegrating them, we get the same equation andintegrate it once again we obtain

Where 𝑎𝑎𝑚𝑚 , … . , 𝜆𝜆, 𝜇𝜇 are constants to be determinedlater.
Step 3. Substitute Eq. (2.4) along Eq. (2.5) into Eq.
(2.3) and collecting all the terms of the same power
𝑒𝑒𝑒𝑒𝑒𝑒 (— 𝑚𝑚𝑚𝑚(𝜉𝜉)), (m = 0,1,2,3 ...) and equating themto zero, we obtain a system of algebraic equations,which can be solved by Maple or Mathematica to getthevaluesofit.
Step 4. Substituting these values and the solutionsof Eq.(2.5) into Eq.(2.3) we obtain the exact
solutions of Eq.(2.1).
It is to be noted here that the construction of the𝑒𝑒𝑒𝑒𝑝𝑝(−𝜑𝜑(𝜉𝜉)) –expansion method is similar to the−2αv 4 − 2 βv 3 + 2 ( λ1 − 3γ )v 2
k 2 v ′2 =(3.3)

+ 2c1 v + c 2 ,where c1 and c 2 is the arbitrary constants ofintegration, and hence, we obtaink 2 u ′′ = 2α k 2v ′2 + k 2 ( 2αv + β )v ′′ −αv 4 − 2βv 3 + 2 ( λ1 − 3γ )v 2 = 2α 
 (3.4)
+
+
2
c
v
c
 1

2
3
2
 −2αv − 3βv
+ ( 2αv + β ) .
 +2 ( λ1 − 3γ )v + c1 G ' 
 -expansion. For betterG 

construction of the understanding of the duality of both methods we cite[29], [30] and [31].

So that, we have

P ′′ + lP − mP 3 =0.

3 APPLICATIONS
Here, we will apply the 𝒆𝒆𝒆𝒆𝒆𝒆(−𝝋𝝋(𝝃𝝃)) -expansion
method described in Sec.2 to find the exact travelingwave solutions and the solitary wave solutions of thegeneralized Hirota-Satsuma couple KdV system[32].
We consider the generalized Hirota-Satsuma couple
KdV system

Where c1 =

99

(3.5)

1

2α ( β + 2λ1αβ − 6αβγ )22,SEE-Mie, Japan, Nov. 19-21, 2015v (ζ ) = a P(ζ ) −
A=
B

β
β2 −4
,α =
,
2α
4(γ − λ1 )4 β ( λ1 − γ )
,
β2 −4
1

6 ( −γ + λ1 ) ( β 2 − 4 )

2

λ 2
2
P(1,2) =
±
±
×
m
2 m



 (3.12)


2µ

,
2


4
−
λ
µ


2
(ζ + C 1 )  − λ  − λ − 4µ tanh 
2

 


×

16c 3λ1β 2 − 2c 3λ1β 4 − 16c 3γβ 2 + 3c 3γβ 4 


2
2
2
2
6
 +56λ1 γβ − 48γ λ1β − 16c 2 + c 2 β



4
2
2
2
 −12c 2 β + 12c 2 β − 16γ λ1 − 32λ1 γ  , −8λ13 β 2 + β 4γ 3 − 2 β 4 λ13 + 32c 3γ −32c 3λ1 + 48γ 3 + β 4γ 2 λ1−a  3β 2−2α a 3
=
+
−
=
l
2
λ
6
γ
,
m
.


1
k 2  2α
k2


and

λ 2
2
P(3,4) =
±
±
×
m
2 m



 (3.13)


2µ

,
 λ 2 − 4µ
 2(ζ + C 1 )  − λ  − λ − 4µ coth 
2

 


Balancing between the highest order derivatives andnonlinear terms appearing in P ′′ andP

3

When 𝜆𝜆2 — 4𝜇𝜇 > 0, 𝜇𝜇 = 0,⇒

2 3N ) ⇒ ( N= 1) . So that, by using(N + =

2
λ 2
λP(5,6) =.
±±m exp ( λ (ζ + C 1 ) ) − 1
2 m

Eq.(2.4) we get the formal solution of Eq.(3.5)

P (ζ ) =a 0 + a1 exp ( −φ (ζ ) ) ,(3.6)(3.14)
When 𝜆𝜆2 — 4𝜇𝜇 = 0, 𝜇𝜇 ≠ 0, 𝜆𝜆 ≠ 0,

Substituting Eq. (3.6) and its derivative into Eq.
(3.5) and collecting all term with the same powerof 𝒆𝒆𝒆𝒆𝒆𝒆(−𝟑𝟑𝟑𝟑(𝝃𝝃)) , 𝒆𝒆𝒆𝒆𝒆𝒆(−𝟐𝟐𝟐𝟐(𝝃𝝃)) , 𝒆𝒆𝒆𝒆𝒆𝒆(−𝝋𝝋(𝝃𝝃)) ,𝒆𝒆𝒆𝒆𝒆𝒆(𝟎𝟎𝟎𝟎(𝝃𝝃)) we get:2a1 − m a13 =0,

2 2 ( λ (ζ + C 1 ) + 2 )λ 2P( 7,8) =
.
±
±
2 m
m
λ 2 (ζ + C 1 )(3.7)

a1 λ − 3m a0 a =0,2
1(3.15)
When 𝜆𝜆2 — 4𝜇𝜇 = 0, 𝜇𝜇 ≠ 0, 𝜆𝜆 = 0,

(3.8)

2 a1 µ + a1 λ 2 + l a1 − 3m a02 a1 =0, (3.9)a1 λ µ + l a0 − m a =
0.
3
0

2
1
λ 2
P(9,10) =.
±±2 m
m ζ +C1(3.10)(3.16)

Solving above system by using maple 16, we get:λ2

When 𝜆𝜆2 — 4𝜇𝜇 < 0

λ

2
2
l=
, a1 =, where− 2 µ , a0 =
±
±
2
2 m
m
( m > 0 ) . thus the solution is

λ 2
2P(11,12) =
±
±
×
2 m
m




 (3.17)


2µ

,
2


λ − 4µ2(ζ + C 1 )  − λ  − λ − 4µ tan 
2

 


λ

2
2
P (ζ ) =exp ( −φ (ζ ) ) . (3.11)
±
±
2 m
m
Let us now discuss the following cases:
When 𝜆𝜆2 — 4𝜇𝜇 > 0, 𝜇𝜇 ≠ 0,

and

100

SEE-Mie, Japan, Nov. 19-21, 20152
λ 2
P(13,14) =
±
±
×
2 m
m

7-

µ = -2 the solution P1 and P2 in Eq.

 (3.18)


2µ

,
2


4
−
λ
µ


2
(ζ + C 1 )  − λ  − λ − 4µ cot 
2

 


(3.13) represent kink shape soliton
solution.
8-(3.13) represent singular multi soliton
solutions. (Dark and bell shaped).
9-

P2 in Eq. (3.13) represent kink shapesoliton solution.

(

λ
10- =

µ = -4 the solution P1 and P2 in Eq.
(3.13) represent kink shape soliton
solution.

( λ > 0, µ > 0 ) For example λ = 3,

1-

( λ > 0 ) For example λ = 3 the solution

multi soliton solutions. (Dark and bell
shaped).
2- λ < 0 For example λ = -3 the solution( λ > 0, µ < 0 ) For example λ = 3,P3 and P4 in Eq. (3.14) represent singularmulti soliton solutions. (Dark and bell
shaped).

Eq.(3.12) represent singular multisoliton solutions. (Dark and bell
shaped).

•Case3. when:0) ,( λ − 4µ =2( λ ≠ 0, µ ≠ 0 ) For example λ = 1, µ = 0( λ < 0, µ > 0 ) For example λ = -3,µ = 2 the solution P1 and P2 in Eq.

the solution P5 and P6 in Eq. (3.15) represent(3.12) represent kink shape soliton
solution.

singular kink soliton solutions.
•( λ < 0, µ < 0 ) For example

Case4. When:0) ,( λ − 4µ =2=µ 0 ) The solution P7( λ 0,=

λ = -3, µ = -2 the solution P1 andand P8 in Eq.

(3.16) represent singular kink soliton solutions.

( λ − 4µ < 0 ) .

P2 in Eq. (3.12) represent singular•

Case5. When:multi soliton solutions. (Bell and dark
shaped).

1-( λ > 0, µ > 0 ) For example λ = 2,=
( λ 0, µ < 0 ) For example λ = 0,2

µ = 4 the solution P11 and P12µ = -4 the solution P1 and P2 in Eq.

in Eq.

(3.17) represent bell shape soliton and dark
periodic solutions.

(3.12) represent singular multi soliton
solutions. (Dark and bell shaped).
6-2

P3 and P4 in Eq. (3.14) represent singularµ = -2 the solution P1 and P2 in

5-)

Case2. When: λ − 4 µ > 0, µ =0 .

(3.12) represent kink shape soliton
solutions.

4-

(

•

µ = 2 the solution P1 and P2 in Eq.

3-0, µ < 0 ) For example λ = 0,

( λ 2 − 4µ > 0 ) .

Case1. when:2-( λ < 0, µ < 0 ) For example

λ = -3, µ = -2 the solution P1 and

4 PHYSICAL INTERPRETATIONS OF THE
SOLUTIONSIn this section, we depict the graph and signify
the obtained solutions to the generalized HirotaSatsuma couple KdV system. Now, we will
discuss all possible physical significances forparameter.

1-( λ < 0, µ > 0 ) For example λ = -3,µ = 2 the solution P1 and P2 in Eq.

• Note that:
All the obtained results have been checked with
Maple 16 by putting them back into the original
equation and found correct.

•( λ > 0, µ < 0 ) For example λ = 3,

2-

( λ > 0, µ > 0 ) For example λ = 3,

( λ < 0, µ > 0 ) For example λ = -1,µµ = 2 the solution P1 and P2 in Eq.

= 2 the solution P11 and P12 in Eq.

(3.17) represent singular multi soliton.

3-(3.13) represent singular multi soliton
solutions. (Bell and dark shaped).
101=( λ 0, µ > 0 ) For example λ = 0,

SEE-Mie, Japan, Nov. 19-21, 2015

µ = 2 the solution P11 and P12

Eq. (3.12)

in Eq.

(3.17) represent (Dark and Bell) periodic
soliton solutions.

( λ > 0, µ > 0 ) For example λ = 2,4-

µ = 4 the solution P13 and P14

in Eq.

(3.18) represent multi soliton solutions(Bell and Dark).

( λ < 0, µ > 0 ) For example λ = -1,

5-µ = 2 the solution P13 and P14

in Eq.

(3.18) represent multi soliton solutions(dark and bell).

6-=( λ 0, µ > 0 ) For example λ = 0,

µ = 2 the solution P13

and P14in Eq.

(3.18) represent multi soliton solutions(Dark and Bell).
Figures:Eq. (3.12)

Eq. (3.12)

Eq. (3.12)

Eq. (3.12)
102

SEE-Mie, Japan, Nov. 19-21, 2015

Eq. (3.12)

Eq. (3.12)
Eq. (3.12)

Eq. (3.12)

Eq. (3.12)

Eq. (3.13)
103

SEE-Mie, Japan, Nov. 19-21, 2015

Eq. (3.13)

Eq. (3.13)

Eq. (3.13)

Eq. (3.13)

Eq. (3.13)

Eq. (3.13)

104

SEE-Mie, Japan, Nov. 19-21, 2015

Eq. (3.13)

Eq. (3.14)

Eq. (3.13)

Eq. (3.14)

Eq. (3.13)

Eq. (3.14)

105

SEE-Mie, Japan, Nov. 19-21, 2015

Eq. (3.14)

Eq. (3.16)

Eq. (3.15)

Eq. (3.16)

Eq. (3.15)

Eq. (3.17)

106

SEE-Mie, Japan, Nov. 19-21, 2015

Eq. (3.17)

Eq. (3.17)

Eq. (3.17)

Eq. (3.17)

Eq. (3.17)

Eq. (3.18)

107

SEE-Mie, Japan, Nov. 19-21, 2015

Eq. (3.18)

Eq. (3.18)

Eq. (3.18)

Eq. (3.18)
5 CONCLUSIONSThe 𝒆𝒆𝒆𝒆𝒆𝒆(−𝝋𝝋(𝝃𝝃)) -expansion method has been
applied in this paper to find the exact traveling wave
solutions and then the solitary wave solutions of thegeneralized Hirota-Satsuma couple KdV system. Let
us compare between our results obtained in thepresent article with the well-known results obtainedby other authors using different methods as follows:
Our results of nonlinear dynamics of the generalized
Hirota-Satsuma couple KdV system are new anddifferent from those obtained in [32], and figs. [116], show the solitary traveling wave solution of thegeneralized Hirota-Satsuma couple KdV system .
We can conclude that the 𝒆𝒆𝒆𝒆𝒆𝒆(−𝝋𝝋(𝝃𝝃)) -expansion
method isis a very powerful and efficient technique infinding exact solutions for wide classes of nonlinear
problems and can be applied to many othernonlinear evolution equations in mathematicalphysics. Another possible merit is that the reliability

Eq. (3.18)

108

SEE-Mie, Japan, Nov. 19-21, 2015of the method and the reduction in the size ofcomputational domain give this method a wider
applicability.

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[9] C. Yan, A simple transformation for nonlinear
waves, Phys. Lett. A 224 (1996) 77-84.
[10] E. Fan, H.Zhang, A note on the homogeneousbalance method, Phys. Lett. A 246 (1998) 403-406.
[11] M. L. Wang, Exact solutions for a compound
KdV-Burgers equation, Phys. Lett. A 213 (1996)
279-287.
[12] Emad H. M. Zahran and Mostafa M.A. Khater,
The modified simple equation method and its
applications for solving some nonlinear evolutions
equations in mathematical physics,(Jokull journal- Vol. 64. Issue 5 - May 2014).
[13] Y. J. Ren, H. Q. Zhang, A generalized Fexpansion method to find abundant families ofJacobi elliptic function solutions of the (2+1)dimensional Nizhnik-Novikov-Veselov equation,
Chaos Solitons Fractals, 27 (2006) 959-979.
[14] J. L. Zhang, M. L. Wang, Y. M. Wang, Z. D.
Fang, The improved F-expansion method and its
applications, Phys.Lett.A 350 (2006) 103-109.
[15] J. H. He, X. H. Wu, Exp-function method for
nonlinear wave equations, Chaos Solitons
Fractals 30 (2006) 700-708.
[16] H. Aminikhad, H. Moosaei, M. Hajipour, Exact
solutions for nonlinear partial di_erential

109

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wave solutions for power law and Kerr law nonlinearity using the 𝒆𝒆𝒆𝒆𝒆𝒆(−𝝋𝝋(𝝃𝝃))expansion
method . ( GJSFR Volume 14-F Issue 4 Version 1.0).
[29] M. Alquran, A. Qawasmeh, Soliton solutions ofshallow water wave equations by means of
expansion method. Journal of Applied Analysis andComputation. Volume 4(3)(2014) 221-229.
[30] A. Qawasmeh, M. Alquran, Reliable study ofsome new _fth-order nonlinear equations bymeans of (G'/G)- expansion method and rationalsine-cosine method. Applied Mathematical Sciences.
Volume 8(120) (2014) 5985-5994.
[31] A. Qawasmeh, M. Alquran, Soliton andperiodic solutions for (2+1)-dimensional dispersive
long water-wave system. Applied Mathematical
Sciences. Volume 8(50) (2014) 2455-2463.
[32] Yan, Zhenya. "The extended Jacobian elliptic
function expansion method and its application in thegeneralized Hirota–Satsuma coupled KdV system."
Chaos, Solitons & Fractals 15.3 (2003): 575-583.

110

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

EFFECT OF THE BIOEXTRACT TO CONTROL THE CURVULARIALEAF SPOT (Curvularia. sp) AND CANKER OF LEMON(Xanthomonas campestris citri)
Vithaya Tavenooth,
Faculty of Agricultural Technology, Rajamangala University Of Technology Thanyaburi, Thailand

ABSTRACT
Effect of the bio-extract to control the Curvularia Leaf Spot (Curvularia. sp) and Canker of Lemon(Xanthomonas campestris citri) under laboratory operations. Faculty of Agricultural Technology Rajamangala
University of Technology Thanyaburi [RMUTT] Thailand between June and July 2015 by Bio-extract obtained
from the fermentation of sugar mixed with one part of water and one part of chip plant species. Three ingredients,
bio-based formulation with agar. 4 different types of plants, names Galangal, chili, basil, alata are used in theseexperiments and mixed in 4 formula[I-IV] with control distill water.The growth rate and sizing ofcolony are determine at 1,3,5,7and 14 days by Randomized Complete Design (CRD) with four replications fivetreatments is used. The results shown that Curvularia sp growth effect to all formula at 3 days. All formulaprohibit growth the Curvularia sp for all formula and shown non- different diameter of colony below 1.4
centimeter . Effect of bio-extract control of the citrus canker (Xanthomonas campestris citri) on agar NA. foundthat growth of bacteria Xanthomonas campestris citri on food do not mix bio-extract was higher than on thewater extract bio-extract and bacteria Xanthomonas campestris citri) growing at least 1,2 formula shows that
bio-extracted from plants tend to control plant diseases.
Keywords : Bio-extract, Curvulatia.sp, Xanthomonas campestris citri, Galangal, Chili, Basil, Alatacaused by bacteria Xanthomonas campestris citri.
The study found that the bio-organic substances thatare qualified to serve as a deterrent to prevent plantdisease control, and also can be used instead ofchemicals

INTRODUCTION
Many small farmers in Northeast Thailand havebeen using the bio-extracts (BE) produced fromplant and animal residues to reduce or replacechemical fertilizer and pesticide use. They use bioextract either singly or in combination with otherorganic amendments in crop production. Chemical
pesticide widely used for plant cultivation andcontrol plant disease including lemon production.
However, chemical pesticide cause high cost andeffect to quality of soil in long term use to prevent
plant disease by using chemicals. In farming, inaddition to causing problems with toxic chemicals in
the environment, then it may be left to farmers who
use and includes a certain chemical residues to
consumers of agricultural products [1,6] Currently
imports are found to be bio–extract in many,
whether it is a fermented in accelerating the growthof plants, the use of bio-fermentation to enhance thequality of the output, for better for water. Bio-extract
fertilizer becomes one of the alternative compound
for reduction of chemical treatment or Biologicalinsect repellent to pests control and the use of
Effective Microorganisms in Plant Disease[1,2]therefore, recognizes the importance of crop quality,
thus leading Microorganisms used as a test plantdiseases caused by bacterial leaf spot. This is caused
by Curvularia sp. And canker is
The aim of current study was to apply the bioextracts to top margin is 30mm while the left, right,

MATERIALS AND METHODSThe experiment was conducted at Rajamangara
University of Technology Thunyaburi, Pathumthani
province. Randomize Complete Design (CRD) wasapplied for this experiment with 5 treatments viz.
bio-extract formulas of formula 1. galangal, Chili,
basil, alata. formula 2 galangal, chili, basil, formula
3. galangal, chilies, formula 4. Galangal, chili, basil,
alata and leavening P.D. 2 and 5 recipes do not mix
fermented foods by measuring the growth of themycelium fungus on a PDA was to apply the bioextracts to find a formula to control Curvularia sp.
causes leaf spot of corn. to control bio-fermentation
bacteria Xanthomonas campestris citri causes citrus
canker.
Bio-extract preparation
Stems and leaves of galangal, chili, basil , alata .
leaves were cut or ground into small pieces andmixed with molasses at the ratio of 3:3: Clean water(20liters)was added to each 3 kg of mixture. The
mixture was left to ferment in a 20-L closed bucket(anaerobic conditions) for 3 month (department ofagriculture, 2015). Then, the product, or bio-extract,111

SEE-Mie, Japan, Nov. 19-21, 2015

was released into plastic bottles wrapped in foil andkept at 4°C as a stock solution for experimentationfrom 4 different
types
of plants names;
galangal( Alpinianigra.L.Burtt) , chili ( Capsicum
frutescens L) , basil ( Ocimu sanctum linn)
alata( Sennaalata L.Roxb.) obtained from thefermentation of sugar mixed w) ith one part of waterand one part of chip plant species. and water wasadded to the mixture to make 20 L. The fermentation
was allowed for 3 months Three ingredients, biobased formulation with agar. 4 different types ofplants names:galangal( Alpinianigra.L.Burtt, )chili( Capsicum frutescens L.), basil(Ocimu sanctumlinn),alata(Sennaalata(L.) Roxb.) are used in .

technique was applied [4] by ratio PDA
concentrations: bio-extract: 10 ml: 1ml preparedusing PDA in test tubes and stored in (ratio:10:1)
of bio extracts was incorporated to potato
refrigerator at 4°C. Curvularia leaf spot pathogen
was isolated from dextrose medium agar for
inoculation of the test pathogen infected corn plants
and was identified as per in sterilized petridish. The
pathogen was monograph and standard procedures.
grown on potato dextrose agar medium was placedat center of
petridish containing different
formula .The growth rate and sizing of colony are
determine at 1,3,5,7and 14 days The agar dilution
assay was carried out according to [5] with a slight
modification. Thirty nine gramsof potato dextrose agar (PDA) powder was boiled until
the agar completely dissolved in 1 L of distilled water.
The solution was then sterilized using autoclave at
121°C for 15 min. 10 ml of the sterilized PDA and 1 mlof bio- extract were mixed and plated on the sterilized
petridish (8.5 cm in diameter). 7.0 mm diameter ofmycelia discs were inoculated at the centre of themedium. The antifungal assay was divided into4.
different treatments as bio-extract of 4 formula The
colony growth was determined on the

Table1 Doses of herbs used in making fermented ineach recipe
The amount of herbs used in making
fermented
each
recipeGalanga Chili
basil( Oci Alata( Alpinia (Capsic mu( Sennaal
sanctum)nigra.
sicum
ata
frutesce
ns L .)

)

)

3kg 3
kg
2 kg 3kg 3
kg
1 kg

3 kg
4 kg

3kg

3kg 3
kg

3kg
3kg
-

Statistical analysis
The experimental data were statistically analyzed .The
significance of differences between the treatments wasevaluated by one way analysis of variance at thesignificance level of 95 % .The Statistical software
SPSS version
17.0 was used in the analysis. All the data wereanalyzed with students ‘t’ test .The value of growthparameter and disease data were statisticallyanalyzed .In the test of significant *(P≤0.05),**(p≤0.01),***(p≤0.001) indicate the treatments weresignificant at probability level respectively.

3kg
-

-

3kg -

RESULTSThe Data recorded during the course of investigation
been
subjected
tothree-wayhasclassification. The conclusion was drawn on thebasis of analysis of variance. The calculated valueof F was compared with table value of F at 5%
levels of significance for an appropriate
degreeoffreedom The result shown that
Curvularia sp. growth effect to all formula at 3 day.
All formula prohibit .The growth of Curvularia sp
on all formula shown that non- different diameter ofcolony below 1.4 centimeter .Effect of bio-extract all
formula on disease Curvularia sp in general disease
incidence (Table-1) The growth of Curvularia sp
on all formula 1. galangal, chilli, basil,alata was sizeof colony 1.33 centimeter.formular2,1.43 centimeter
formula 3,1.5 centimeter formular4,1.45 centimeter
while other formular5( control) 5.99 centimeter on
14day, The growth of Curvularia sp on all formula

These experiments and mixed in 4 formulas IIV ( with control) distill water( .The growth rate andsizing of colony are determine at 1,3,5,7and 14 daysby Randomized Complete Design (CRD) with four
replications five treatments is used. Bring biofermentation to test effect to inhibit fungal(Curvularia sp ) growth and bacteria (Xanthomonas
campestris citri) by the agar well diffusion method
for each plant extract and filtered through Muslincloth and 100% plant extract solution was prepared.
The extracts were poured in the flasks plugged withcotton and heated at 100°C for 10 minutes to avoid
contamination [3]. The bio-extract formulas offormula 1. galangal, chili, basil, alata formula 2galangal, chili, basil, formula 3. galangal, chili,
formula 4. galangal, chili, basil, alata poison food112

SEE-Mie, Japan, Nov. 19-21, 2015

1. galangal, chilli, basil,alata was size of colony
1.30 centimeter. Formula 2,1.35 centimeter formula3,1.38 centimeter formula 4,1.35 centimeter whileother formular5 (control) 4.05 centimeter on 7 days

5

0.8
3

Fig. 1 The Growth rate of Curvularia sp.on PDA
mixed bio-extract 5 formulas at 1,3,5,7,and14 days

Formular 2

diameter of colony of
Curvularia sp.

6
5

5

2

2.8 4.0 5.9
558

formulaFormular 3

43

Effect of bio-extract control of the citrus canker(Xanthomonas campestris citri) on agar NA. foundthat growth of bacteria Xanthomonas campestris
citri on food do not mixed bio-extract was higher
than on the water extract bio-extract and bacteria(Xanthomonas campestris citri) growing at least 1,2

Formular 1

7

3

Formular 4

3
2

Formular 5

1
0 The period of Curvularia sp. growth .

Table1 Average diameter colony of Curvularia sp.
Growth on PDA mixed 5 formulas at 1,35,7 and 14 days

3

5

7

14

size of diameter of colony
Xanthomonas campestis

1

Figue.2The growth rate of Xanthomonas campestis
citri on PDA mixed bio-extract 5 formulas at
1,3,5,7,and 14 days.

Date
Formul
ar

1
2
3
4

1
1

3

Table 2 Average diameter colony of of Xanthomonas
campestris citri . Growth on PDA mixed 5 formulas
at 1 ,3,5.7 and 14 days

1.2 1.3 1.3 1.4
5

5

5

3

Formula1
2
3
4
5

0.7 1.2 1.3 1.3 1.5
388date 1 date 3 date5 date 7 date 14
The period of Xanthomonas campestris
citri. growth.

1.2 1.3 1.3 1.3
8

7
6
5
4
3
2
1
0

8

0.9 1.2 1.3 1.3 1.4

1
0.7b
0.7b
0.7b
0.7b
0.78a

DISCUSSION

113

The diameter of colony
3
5
7
14
0.7c
0.7d
0.7c
0.7d
0.78c 0.78d 0.78c 0.85cd
0.98b 1.03c
1.1b
1.1bc
1.13b
1.2b
1.2b
1.28b
1.48a 1.53a
1.6a
2.65a

SEE-Mie, Japan, Nov. 19-21, 2015

Effect of bio-extract control of Curvularia
sp. growth effect to all formula at 3 days. All
formula prohibit growth the Curvularia sp for all
formula and shown non- different diameter ofcolony below 1.4 centimeter . Effect of Bio-extract
control of thecitrus canker (Xanthomonas
campestris citri) on agar NA. found that growth ofbacteria( Xanthomonas campestris citri) on PDA
mixed the water do not mix bio-extract wasdiameter colony of Xanthomonas campestris citri
higher than bio-extract and bacteria( Xanthomonas
campestris citri) growing at least 1,2 formula showsthat bio-extracted from medicinal plants tend tocontrol plant diseases. The bio-extracts indicate thepotential of selected plant species as a source of
natural fungicidal material and bactericide material.
Antifungal and antibacterial activity was confirmed
by all of the selected plant species .The results ofthis research as well as provides results of theresearch [6].The results revealed that different
formula extracts do not varied in their efficacy forinhibiting the mycelia growth and bacterial growthof tested pathogens .

[1] Ashwani Tapwal, Nisha Shipra Garg, Nandini
Gautam, Rajesh Kumar .In Vitro antifungal potencyof Plant extracts again five phytopartogen.Braz.
arch.biol.technol.vol.54 no.6 uritiba Nov./Dec.2011[2] Bajwa, R., Shafique, S., Anjum, T. and Shafique,S. (2004), Antifungal Activity of Allelopathic Plant
Extracts IV: Growth Response of Drechslera
hawaiiensis, Alternaria alternata and Fusariummonilifrome to Aqueous Extract of Parthenium
hysterophorus. Int. J. Agri. Biol., 6: 511516.[ Links ][3] Kiran, K., S. Linguraju and S. Adiver, 2006.

Effect agents against Drechslera sorokiniana In:
Asian of plant extract on Sclerotium rolfsii, theincitant Cong. Mycol. Pl. Pathol., Indian Soc. Mycol.
Pl. of stem rot of ground nut. J. Mycol. Pl. Pathol.,
Pathol. University of Mysore (Abst) Oct.1-4, pp:
24
1.
[4] Madavi, S. and R.P. Singh, 2005. Managementof Production productivity and export ofvegetables.mushroom pathogens through botanicals.
Ind. Technical Bulletin 7 Indian Institute of
Vegetable Phyto. Pathol., 58: 189-193. Research,
Varanasi.
[5] Nene, Y. and L. Thapilyal, 2000. Poisoned
foodtechnique of fungicides in plant disease
control3rd Edn. Oxford and IBH Pu[5Alam SJ,
Chem Sci, 2004, 116, 325.
[6]Chalermwut, Noisopa, Benjaphorn Prapagdee,
ChalieNavanugraha
andRungjarat
Hutacharoen :2010,Kasetsart J. (Nat. Sci.) 44(5) 809

Acknownledgement
Author are thankful to Faculty of Agricultural
Technology, Rajamangala University of Technology
Thanyaburi ,Thailand for research funding ,providing necessary facilities and help.
REFERENCES

114

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

OPTIMAL MIXING RATIOS OF SILICA AND HYBRID RESIN WITHEPOXY RESIN FOR CONCRETE FLOOR SURFACE COVERING
Kyuhwan Oh1, Choi Woo Byung2 and Sang Keun Oh3
Faculty of Architectural Engineering, Seoul National University of Science and Technology, Seoul
2
Faculty of Engineering, , Research head at Dootop C&C (Inc.), Seoul
3
Faculty of Architectural Engineering, Seoul National University of Science and Technology, Seoul
1

ABSTRACTThe goal of this study was to find the optimal mixing ratios of silica with a silane coupling agent for using
them as cover materials for concrete floors. The Epoxy resin is currently used as the floor-finishing materials.
However, the epoxy resin has many disadvantages such as peeling, decreased bond strength in wet conditions,weakness upon impact, poor film rigidity, susceptibility to corrosion, and environmentally-unfriendliness, whenused in underground structure parking lots.
Accordingly, this study carried out experiments to determine the viability of using hybrid-finishing materials
for floors, with 3-glycidoxypropyltrimethoxysilane as the silane coupling agent. The results of adhesion strength,
impact resistance, flexural strength, compressive strength, and length change tests were used to determine theoptimal mixing properties. Based on these results, the best mixture ratio (mass ratio) was found to be 1:1.75.
Keywords: Epoxy Resin, Silane Couplig Agent, Silica, Concrete Floor Finishing Materials

based floor-finishing materials, the development of a
hybrid resin using silane coupling agent has been
recently attempted. The hybrid resin would improvephysical performance as well as bond strength
between the heterogeneous materials. However, thus
far hybrid resins have had limited application in thefield because of their poor bond strength on a wet
surface and lifting and peeling caused by long-term
effects of live loads.2
To overcome these problems, a major objective
has been made through this study to improve thebasic physical properties of floor-finishing materials
by finding an optimal mixing ratio of the hybrid
resin and silica, mixed with a hydrolyzed silane
coupling agent (hereafter referred to as “hybrid
resin”) to increase the thickness of the coating
material and improve its overall physicalperformance, i.e., increased bond strength, impact
resistance, and compressive strength.

INTRODUCTION
As the population density increases, more andmore large buildings and apartment complexes arebeing constructed in South Korea. Even the alreadycongested areas now have high-rise buildings. To
maximize the land utilization, most of the buildings
now have underground parking lots. However, theseunderground parking lots are subjected to repetitive
live loads caused by pedestrians and vehicles. As aresult, floor-finishing materials rapidly degrade
because of factors such as floor impact, friction, andtire wear.
In particular, the bond strength of the epoxyresin-based finishing materials become susceptible
to various forms of degradation and damage due torelatively high humid environment. Additionally,
most epoxy-resin-based floor-finishing materials are
only 2–3 mm thick, causing problems such as low
impact resistance, low abrasion resistance, low
flexural strength, and frequent occurrences of brittle
fracture.`
The maintenance and repair of the damaged
finishing materials cost additional time and money.
From an eco-friendly viewpoint, the epoxy-resinbased floor-finishing materials, which use solvents
such as paint thinners (acetone, naphtha, methyl
ethyl ketone, etc.) and toluene, do not create a safe
environment in the closed underground parking lots.
Despite these factors, inorganic finishingmaterials that do not use such solvents are notactively used because of the certain material
weaknesses such as shrinkage and low abrasion
resistance during the curing process.
In order to ameliorate the material andenvironmental issues associated with epoxy-resin-

MATERIALS
Epoxy Resin
The base of the epoxy resin used in thisexperiment was a liquid resin comprising diglycidylether, type bisphenol A; a polymide-amine-basedmaterial was used as the curing agent for the epoxy
resin. The following Table 1. shows the physicalproperties of epoxy resin.
Silane Coupling Agent
3-Glycidoxypropyltrimethoxysilane (GPTMS) waschosen as the silane coupling agent. Its chemical
structure consists of organic chains in which one
115

SEE-Mie, Japan, Nov. 19-21, 2015

terminal has a methoxy functional group where threehydrolysis reactions are possible and the other has an
epoxy functional group. GPTMS also chemicallybinds organic and inorganic materials.

Determination of Optimal Content Ratio of
Epoxy and Silane Coupling AgentGPTMS was added to an ethanol solution for
preprocessing the silica by the silica wet process.
Silica was immersed in a hydrolyzed solution at pH 4,
followed by filtration, drying, and then blended withthe epoxy resin.
After preprocessing, the hardened body of thesilane coupling agent resin, blended with epoxy, wasanalyzed using scanning electron microscopy (SEM).
The silane coupling agent was added to the samples
that showed the best dispersibility. The results
showed that 4 wt% GPTMS had the best
dispersibility and was therefore chosen as the basic
resin for testing.

Table 1. Epoxy Resin Properties
Properties
Typical Value
Epoxy Equivalent Weight,

180-190g/eq

Viscosity(cPs at 25℃)

700-1,100

Hy-Cl(wt%)

0.1

Specific Gravity(20℃)

1.14

In order to improve the weak affinity between theorganic matrix and the inorganic filling material infloor-finishing materials, silane coupling agents canbe used for improving the performance and qualityof inorganic and organic composite materials byenhancing their mechanical and electricalcharacteristics, water resistance, bond strength, resin
modification, and surface modification of the fillingmaterials. Table 2 lists the physical characteristics ofthe silane coupling agent used in this study.

(a) GPTMS 2 wt%(b) GPTMS 3 wt%(c) GPTMS 4 wt%(d) GPTMS 6 wt%

Table 2. Properties of GPTMS
Properties

Typical Value

Molecular Weight

236.4

Viscosity(cPs at 25℃)

3

Fig. 1. Dispersion level of silica in GPTMSTEST RESULTS AND DISCUSSION
Resin-based and silica composite material (C.R.)

Specific Gravity(25℃)

1.069

Flow value and interfacial de-adhesion

Refractive Index, n25℃

1.427

Flash point(℃)

110

Boiling point(℃)

290

The mixing ratio of the epoxy resin and silica(No. 7 and No. 10) for the flow values andinterfacial de-adhesion test was set; the basic mixing
ratio was fixed as 4:1 (base: curing agent) and themixing ratio of silica increased by 0.5 g from 5.0 g
to 7.5 g, giving six values of resin: silica (1:1.0 to
1:1.5). Figs. 2 and 3 show the results of the flow
values and the occurrence of interfacial de-adhesion
per mixing ratio of C.R._A and C.R._B.

Silica
The average particle size of the fine silica, madeby SIBELCO Inc, used for preprocessing the silane
coupling agent was 6–9 μm. Silica No. 7 and No. 10,
numbered and made by Kyung-In material Inc, were0.1–0.35mm and 0.01–0.05mm used as the fillingmaterials in the epoxy resin that contains the silane
coupling agent.
116

SEE-Mie, Japan, Nov. 19-21, 2015

300
250

271
245

243

238

227

212

263

252

241

232

For the C.R._A n2 mix, it was found that while
the flow value had a high flexibility of 257 mm, nointerfacial de-adhesion was found. For the C.R._B
n1 mix, the flow value showed 249 mm of flexibility
and no interfacial de-adhesion. Therefore, in the
C.R_A, to obtain an appropriate ratio of No. 7 and
No. 10, the ratio of silica added to epoxy resin was
1:1 (mass ratio). In the C.R_B, to obtain an
appropriate ratio of No. 7 and No. 10, the ratio
between the silica added to the epoxy and silane
coupling agent synthesis resin was 2:3 (mass ratio).
In the subsequent tests conducted to investigate
the physical properties (bond strength, impact
resistance, flexural strength, compressive strength,
length change rate, etc.), the mixing ratio of silica
No. 7 and No. 10 used in all the C.R._A mixtures
was C.R._A n2, shown in Table 6, and for C.R._B
the mixing ratio of C.R_B n1 was used. A mixing
ratio of epoxy resin and mixed silica was increased
by adding 0.25 weight between 1:1 and 1:2 (massratio) to have five levels for manufacturing thespecimens.

210

204

200
150
100
50
0

1:1.0

1:1.1

1:1.2

1:1.3

1:1.4

1:1.5

1:1.0

C.R_A : Mix proportioning of Silica #7

1:1.1

1:1.2

1:1.3

1:1.4

1:1.5

C.R_A : Mix proportioning of Silica #10

Fig. 2 Test results for flow values and material
separation of C.R._A(Unit:mm)

Material
separation

300
250

247

244

236

228

277
222

272

266

258

250

244

212

200
150

Bond strength test

100

Bond strength test method was followed by KS F
4937. The test results of the bond strength of C.R._A
are shown in Figs. 4 and 5.

50
0

1:1.0

1:1.1

1:1.2

1:1.3

1:1.4

1:1.5

C.R_B : Mix proportioning of Silica #7

1:1.0

1:1.1

1:1.2

1:1.3

1:1.4

1:1.5

(Unit: N/mm2)

C.R_B : Mix proportioning of Silica #10

5

ADM

WCM

ADC

WCC

4.5

Fig. 3 Test results for flow values and material
separation of C.R._B

4
3.5
3

For the mixing ratio of C.R._B, silica No. 7
showed that interfacial de-adhesion occurred in all
the mixing ratios, but silica No. 10 had no interfacial
de-adhesion.
Therefore, in a 1:1.3 mixed sample, shown in No.
7 part of Fig. 2, interfacial de-adhesion did not occur.
However, a somewhat good flow value was seen.
Interfacial de-adhesion also did not occur in the
1:1.3 mixed sample in No. 10 part of Fig. 9, which
also had a good flow value. As a result, an additional
test was conducted to select the appropriate mixing
ratio for No. 7 and No. 10 to suppress shrinkage
after curing.
For the C.R._A, a mixing mass ratio of epoxy:silica (No. 7 and No. 10) was fixed at 1:1.3 ratio,
while the ratio of silica No. 7 and No. 10 was
adjusted to determine the flow values and interfacial
de-adhesion. Because the interfacial de-adhesion
results were the same with both types of silica for
C.R._B, the best flow value, observed for the
S.R._B: silica ratio of 1:1.0, was used and themixing ratio (mass ratio) of silica No. 7 and No. 10
was adjusted to determine the flow values andinterfacial de-adhesion presence.

2.5
2
1.5
▲ Limit: 1.2 N/㎟

1
0.5

3day
7day
14day
28day

3day
7day
14day
28day

3day
7day
14day
28day

3day
7day
14day
28day

3day
7day
14day
28day

0

1:1

1:1.25

1:1.5

1:1.75

1:2

Fig. 4 Test results of the mixing ratio and bondstrength at each curing age of C.R._A(Unit: N/mm2)117

SEE-Mie, Japan, Nov. 19-21, 2015

5
4.5

ADM

WCM

ADC

WCC

creating a cross-linking between the resin-based
coating film, which did not form strong roots, andthe concrete base to improve the bond strength in the
C.R_B in a wet-base condition compared to that in
the C.R_A.

4
3.5
3
2.5

Impact resistance test

2
1.5
1

▲ Limit: 1.2 N/㎟

0.5

3days
7days
14days28days

3days
7days
14days28days

3days
7days
14days28days

3days
7days
14days28days

3days
7days
14days28days0

1:1

1:1.25

1:1.5

1:1.75

1:2

Fig. 5 Test results of the mixing ratio and bondstrength at each curing age of C.R._B
In C.R._A, the broken floor material, together
with the floor concrete, was shown in the driedmortar (ADM) and dried concrete (ADC), regardlessof changes in the silica addition amount, once it
exceeded 1.2 N/mm2, the quality criteria of KS F
4937 was above 179.87% and 265.29%, on average,
respectively. On the other hand, the wet mortar(WCM) and wet concrete (WCC) showed overall
interfacial falling off, regardless of the changes in
the added amount of silica, and all the mixing ratios
other than 1:1 and 1:1.75 were below the KS
standard. Therefore, for the wet mortar and concretebase, the epoxy resin and silica additions to theepoxy resin do not improve the bond strength.
At the 1:1.75 mixing ratio, the bond strength
improved in the wet concrete, but gradually
decreased as the curing continued, as shown in thedried concrete. This phenomenon is disadvantageous
in terms of long-term durability of the floor. At the
mixing ratio of 1:1.25 and 1:1.2, a similar trend wasseen in the wet concrete.
In the C.R_B, the overall strength increased bycompared to that of the C.R_A. The bond strength in
the dried mortar and dried concrete destroyed thebase, exceeding the KS quality standard by
approximately 181.67% and 283.83%, respectively.
Further, in the C.R_B:silica = 1:1–1:1.75 (massratio) range at the wet mortar and concrete base, thebond strength result exceeded the standard by
approximately 145.88% and 188.04%; all thesamples showed the falling apart of the floor
material together with the floor concrete.
In the case of the wet concrete (WCC), a mixing
ratio of 1:1, 1.:1.5, and 1:1.75 except for strength at
the curing ages of 14 d and 28 d in the 1:2 mixing
ratio showed higher bond strength distribution
compared to that of the dried mortar (ADM). This
result occurred because the hybrid resin reacted withfine moisture in the surface of the adherent, thereby

The impact resistance test of C.R was conductedat the curing age of 14 days after coating on the wet
concrete and wet concrete bases by KS F 2622. The
test result was summarized Figure 6.
For the C.R_A. the samples in which silica wasadded to the epoxy resin showed cracks around theedge of the hollow hole, regardless of the fall heightin the concretes under dried and wet conditions,regardless of change in the amount of added silica.
This was because dispersion was not easy owing
to the interfacial de-cohesion in the epoxy matrix
when silica was simply added to the epoxy resin sothat cross-linking density at that region degraded,
thereby creating cracks on the area of impact.
Therefore, the addition of silica alone cannot solve
the problem of brittle fractures that occur often withconventional epoxy resin materials.

Fig. 6 Surface Condition after impact
resistance test
For the C.R_B, the impact of a spherical weight
fallen from the height of 1 m showed no damage tothe concrete base under the dried and wet conditions,regardless of the amount of the silica addition added
to the hybrid resin. However, near the hybrid
resin:mixing silica ratio of 1:2 (mass ratio), cracks
were found around the hollow hole owing to theimpact of the spherical weight fallen from the heightof 1.5 m.

118

SEE-Mie, Japan, Nov. 19-21, 2015

This result can be explained based on the fact thatthe silane coupling agent contained in the hybrid
resin connected the epoxy matrix and silica to form
interfacial force by a chemical bond between themso that the stability of the silica particles increased
and a uniform dispersion phase formed, facilitating
the buffering action owing to absorption anddispersion against the external impact. As observed
for mixing ratio of hybrid resin:mixing silica=1:2(mass ratio), this phenomenon can also be explainedby fact that increase in the silica contents candecrease the cross-linking density because of theaggregation of silica owing to the high-specificsurface area of silica.

Fig. 8. Test result of compressive
strength of C.R_B
This result showed that the mesh structure of the
C.R_B having diversified tissue structure because of
the addition of silica was somewhat disadvantageous
in terms of compressive strength compared to the
C.R_A that has fine tissue structure as it consists of
only the polymer resin.
The difference of the mixing ratio showed that in
the C.R_A, the relatively high compressive strength
was observed for the mixing ratios of 1:1.25 and1:1.75, while in the C.R_B, the mixing ratio of
1:1.25 showed the highest compressive strength. In
particular, both C.R_A and C.R_B showed increased
compressive strength up to a mixing ratio of 1:1.25
based on the amount of the added silica. However,for ration more than 1:1.25, no compressive strength
increase was observed. Even in the C.R_B, thecompressive strength decreased up to a mixing ratioof 1:1.75. Based on this result, increasing theamount of the silica added minimally affected thecompressive strength and 1:1.25 should beconsidered as the appropriate level.
The flexural strength of C.R_A showed thatsamples with added silica had somewhat higher
result in the range 29.45–48.30 N/mm2 at 3 d ofcuring age. It also showed increasing distribution up
to 7 d of curing, followed by a decrease till the 14th
day of curing age. Then, at 28 d of curing age, theflexural strength varied in the range 22.24–34.04
N/mm2. Therefore, the overall flexural strength
showed less distribution than that observed at 3 d ofcuring age. At 28 d of curing age, the strength
increased as the amount of the added silica waschanged; however, the degree of change wasminimal.
On the other hand, in the case of C.R_B, most of
the mixing ratios showed values above 30 N/mm2 of
the flexural strength, thus showing overall
improvement in the flexural strength compared tothat observed in the C.R_A. The mixing ratios of
1:1.25 and 1:1.75 indicated better flexural strengthcompared to other mixing ratios. In particular, theinitial strength at 1:1.75 was approximately 34%
higher than that at 1:1.25. At all the aging conditions,deviation of less than ~4% was observed, whichsuggested stable flexural strength values. This
flexural strength characteristic can reduce the crack
occurrence probability with regard to the initial
deformation (behavior and deflection) after thecompletion of construction and can accelerate theoverall project schedule, including the subsequent
operations, which was considered as advantageous.
In the case of 1:1.25 mixing ratio, its initialstrength was lower than that observed for the 1:1.75
mixing ratio; however, it increased gradually as thematerial age increased by approximately 6% at 28 d.

Compressive strength and flexural strength test
Compressive strength and flexural strength test
method was followed by KS L 5105, KS F 2408.
Figs. 7-8 show the result of the compressive strength
test of the C.R.
The compressive strength of the specimens of
C.R_A and C.R_B showed somewhat increasing
trend as the curing ages increased. In the C.R_A, all
the mixing ratios except for 1:1 exceeded 100
N/mm2 at 28 d of curing age, whereas in the C.R_B,
all the mixing ratios had values below 100 N/mm2.
120
100
80
60
40
20
3days

0

1:1

1:1.25

7days

1:1.5

14days

1:1.7528days

1:2

Fig. 7 Test result of compressive
strength of C.R_A
2(Unit: N/mm )

120
100
80
60
40
20
3days

0

1:1

1:1.25

7days

1:1.5

14days28days

1:1.75

1:2

119

SEE-Mie, Japan, Nov. 19-21, 2015

Although this result was within the error range, amixing ratio of 1:1.25 can maintain stableperformance better than a mixing ratio of 1:1.75,
which demonstrated gradual decrease as the material
age increased after the initial strength.
Conclusively, flexural strength was greatly
affected as mesh structure formed by adding mixed
silica into the hybrid resin. This result was consistent
with the previous study result, which reported morethan 20% increase because of silica addition.
This result indicated that while compressive
strength of the epoxy resin increased as the material
age increased, it became vulnerable to brittle
fracture as confirmed by the impact resistance test.
In the case of C.R_B, flexural strength improved
owing to the buffer action of the silane coupling
composite resin.

Based on the conclusions mentioned above, theoptimal mixing ratio of the epoxy and hybrid resins
as well as mixing silica was 1:1.75 (mass ratio)
when the dried condition of the concrete base cannot
be secured because of the broad investing region andshortening of the schedule. However, when a size isrelatively small and a field where dried condition of
the concrete base surface can maintain well, its
optimal ratio shall be 1:1.25(mass ratio) for a longterm basis viewpoint.
In the future, when floor-finishing materials areapplied to a field, securing performance through test
evaluation such as wheel load resistance
performance, noise occurrence, slide resistance, andchemical resistance will be evaluated. It needs to befurther reviewed and studied for extending its
application range to various purposes apart from theconstruction of finishing materials.

CONCLUSIONACKNOWLEDGEMENTS
This research was supported by a grant(15RERPB082204-02) from Residential Environment
Research Program funded by Ministry of Land,
Infrastructure and Transport of Korean government.

The results of the study that aimed to derive theoptimal mixing ratio of an epoxy resin for concrete
floor constructed with a silane coupling agent andsilica are as follows:
The bond strength test result showed in the case ofsilica addition to the epoxy and hybrid resins, allvalues of flexural strength at all mixing ratios (1:1–
1:1.75) except for 1:2 mixing ratio at 14 d and 28 dof the curing age under the wet-base condition
showed improved bond strength in the wet base, thus
exhibiting clear improvement effect on reducing thedifference with the dried base.
The impact resistance test result on the resinbased specimens showed that no change was foundwhen silica was added. Brittle fracture characteristicof the epoxy resin improved through the addition of
the silane coupling agent. Abrasion resistance also
clearly improved owing to silane coupling synthesis
because of the bond formation between GPTMS andthe curing agent, which caused coupling action
between the epoxy bond and the silica interfacial toform a strong interfacial force.
The measurement result of the compressive
strength on the hybrid resin showed that thecompressive strength of the epoxy and hybrid resins
had an overall lower compressive strength than thatof the epoxy resin. In terms of mixing ratio, thecompressive strength increased up to 1:1.25, butshowed no change as the silica mixing rate increased
and then decreased later, which showed irregularchange. Therefore, improvement in the compressive
strength cannot be obtained by hybrid resin andsilica mixing. On the other hand, in the flexuralstrength test, the improvement owing to the hybrid
resin was shown clearly. For example, at the mixing
ratios 1:1.25 and 1:1.75, consistent high flexural
resistance performance was observed from 3 days
strength and 28 days strength.

REFERENCES[1] Chae, Woo-byung et al., “A Study on the
Performance Evaluation of Surface FinishingMaterial for Parking Slab Mixed with
Cemetitious Powder Component to Polyurethane
Resin ”, Journal of the Architectural Institute of
Korea(Structure system), Volume 27 No.1 (Total
volume 267), 2011, pp.111-118[2] Chae, Woo-byung , Ph.D thesis, Physical
Performance Evaluation of Hybrid FinishingMaterial for Concrete Slab using Silane
Coupling Agent, Architectural Engineering,
Graduate School of Architectural Engineering,
Chungbuk National University, 2013, 02[3] Xi-e Cheng, Shiyong Liu, Wenfang Shi ,“Synthesis and properties of silsesquioxane-based
hybrid urethane acrylate applied to UV-curable
flame-retardant coatings,” Progress in Organic
Coatings, 65, 2009, pp.1–9[4] J. J. Benkoski, E. J. Kramer, H. Yim, M. S. Kent,
and J. Hall, “The Effects of Network Structureon the Resistance of Silane Coupling Agent
Layers to Water-Assisted Crack Growth,”
Langmuir, Vol. 20. No.8, 2004, pp.3246–3258[5] Cornelius CJ, Marand E, “Hybrid inorganicorganic materials based on a 6FDA-6FpDADABA polyimide and silica: physicalcharacterization studies,” Polymer, Vol. 43, No.8,
2002, pp.2385–2400[6] Cevdet Kaynaka, Cengiz Celikbileka, Guneri
Akovalia , “Use of silane coupling agents toimprove epoxy–rubber interface,” European
Polymer Journal, Volume 39, Issue 6, 2003,
pp.1125–1132
120

FirstJapan,
International
on Science, Engineering & Environment,
SEE-Mie,
Nov.Conference
19-21, 2015
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

STATISTICAL MECHANICS IN BAYESIAN REPRESENTATION:
HOW IT MIGHT WORK AND WHAT OUGHT TO BE THE
PROBABILITY DISTRIBUTION BEHIND IT.

1

E. B. Starikov1,2Institute for Theoretical Solid-State Physics, KIT, Wolfgang-Gaede-Str. 1, D-76131 Karlsruhe, Germany;
E-mail: starikow@tfp.uni-karlsruhe.de; 2 Department of Physical Chemistry, Chalmers University ofTechnology, SE-41296 Gothenburg, Sweden.

La statistique n'est qu'une addition correcte de chiffres faux.
(The statistics is just the correct addition of the false numbers.)
Charles-Maurice de Talleyrand-Périgord

ABSTRACT
Statistical mechanics is clearly being restricted by its fuzzy basement, namely its assumption as for the‘large number of microscopic particles’. This communication tries to show and discuss some handy and useful
way of how to circumvent such a restriction.
Keywords: Entropy, Enthalpy, Thermodynamics, Statistical Physics, Bayesian Statistics.

a clearly formulated, substantiated, justified andfully competent suggestion to employ the Bayesian
approach in deriving the relationship between theentropy and probability notions. The only serious
and effectual obstacle on the way to the practicalembodiment of that ingenious suggestion by van der
Waals was the fact that the Bayesian approach to theprobability notion wasn’t really ‘trendy’ – not onlyat his time – but even approximately until the timeof after the Second World War – it had to succumbto the ‘frequentist’ train of thoughts…

INTRODUCTION
In our most recent review paper devoted tothe ultimately true interpretation of the ideas by N. L.
S. Carnot [1] we have posed the following question
as
for
the
statisticalinterpretationofthermodynamics: Was it just a plain success orsolely a sheer despair? To our mind, the correct
answer would be – the both. Why?
Indeed,
one
of
the
two
basic
thermodynamics laws (the 1st one) cannot be
considered a kind of statistical regularity, whereasanother one (the 2nd one) – could nonetheless be
made to obey the statistical regularities. Then, how it
could be possible to combine this fact with the clear
dialectic interrelationship between the two laws inquestion (cf. the work [2] for more detailed
discussion of this important topic)?

Still, fortunately, van der Waals’ valuablesuggestion has not experienced just a tracelessdissolution in the whirlpool of the ‘trendy’ medium– it had still been employed in the work by George
Augustus Linhart [4-7], and, moreover, it is being
further developed in the most recent time (cf. thework by Preety Aneja and Ramandeep S. Johal [8] –as well as all the recent work from this very active
and successful group [9-13]), as well as thereferences therein).

The first (to the best of our knowledge)
interesting suggestion as to a possible way out of theabove-mentioned logical blind alley came from
Johannes Diderik van der Waals – as early as in1911 [3]. In his short note Prof. Dr. van der Waals
had discussed the interrelationship between theprobability and entropy notions, as it appeared fromthe considerations by L. Boltzmann and J. W. Gibbs.

Meanwhile, the ‘frequentist’ statisticalphysical approach is based upon the long known andover-all accepted atomistic representation of the
Matter, which makes us to operate with “extremely
large number of atoms/molecules”, and therefore wehave seemingly no other reasonable way than just to
apply to the conventional statistical treatment …

Specifically, what Prof. Dr. van der Waals
had suggested was in no way just a speculation – but

121

SEE-Mie, Japan, Nov. 19-21, 2015

dT 2
=
dT 1

With this in mind, it is extremely important
to note that the very possibility to avoid theconventional explicit microscopic consideration
could be rather helpful, for notions like “extremely
large number of atoms/molecules” are in fact
FUZZY, in accordance with the well-known
SORITES paradox. Indeed, it’s a practically difficult
task to achieve a universally strict definition of what
exactly the “large number” is and hence, operatingwith such notions and their derivatives, like“thermodynamic limit”, isn’t really a productive
approach.

 − T 1 + TP + TM
T 1−1+ K 1 + TM K 1 + TP K 
1 + T 1K−K 2
1 + T1()()≡ 1 + TP + TM

K

K

K

K

K

−1+

1
K




)(

K

.

K

K

K

K

K

K

K



= 1 + T 1K 1 + T 2 K .

(

)(

)

1 + T 1KKThat is, our Eq. 3 can be recast as follows:

T 1−1+ K dT 1
T 2−1+ K dT 2.
=−
1 + T 1K
1 + T 2K

(

)

(

)

(5)

And, if we assume that dT 2 = − dT 1 ,then, the desired prior, as a function of temperature(Pr(T)) is unique – for all the subsystems understudy – and then (in G. A. Linhart’s representation !)reads, in effect, as a specific heat capacity atconstant volume, divided by temperature:(1))(1 + TP ) K

(1 + TP ) + T1 − T1
(4)
= (1 + T 1 ) + (− T 1 + TP + TM (1 + TP )) − T 1 + TP + TM (1 + TP ) = (1 + T 1 )1 + T K −1  CV (T )=Pr (T ) = .
K T
1+ T Now, we employ the reasoning used for Eq.
2 by Aneja-Johal [8], namely, that the difference
between the ‘final’ and ‘initial’ entropies is equal tozero. With this in mind and making use of Eq. 1 here,
we get the following interdependence between thetemperatures T1 and T2 of the both interacting
systems (T1 and T2 here – are the relative
temperatures (divided by Tref), like x in Eq. 1 above,
whereas(also – the both –are divided by Tref)):

(

K

)

T 1K − T 1K + 1 + TM K 1 + TP K
KFirst of all, we start with the expression for
entropy formally derived by G. A. Linhart [4-7],
which is in fact nothing more than a temperaturedependent expression for the conventional
Boltzmann’s entropy:

(

)

K

Now, we can rearrange Eq. 3 a little bit insuch a way, that we get a product of two functions,
F(T1) and G(T2), to apply formula (1) by AnejaJohal [8].

ENTROPY CONSIDERATIONSC∞
Tln 1 + x K ; x ≡.
KTr e f

)(

(

Thus,
the
aim
of
our
present
communication should be to demonstrate how
Bayesian approach might be handy and useful incircumventing the SORITES paradox, as well as toshow the way of establishing mathematical/logicalinterconnection between its results and the wellknown, tried and true products of the ‘frequentist’
train of thoughts.

S=

(3)
K

(6)

Interestingly, when the expectation(average) temperature is calculated, using the latterform of prior, we get exactly this same form of theGaussian hypergeometric function 2F1 – as we
obtain, when calculating the internal energy within
G. A. Linhart’s approach (see Eq. 8 in the work[14]) … Thus, we readily see that Aneja-Johal
approach fits well into the general framework of theG. A. Linhart’s ‘Bayesian’ statistical mechanics …
But there is also a clear technical (mathematical)
complication – to work out some closed formulas forthe work, the efficiencies etc. – we have toapproximate the available special transcendentfunctions … But, to our mind, it shouldn’t constituteany principal complication …

1

 − T 1K + TP K + TM K 1 + TP K  K
 . (2)T 2 = 1 + T 1K
Thus, Eq. 2 here casts T2 as a function of T1, andvice versa. This is why, we differentiate T2 by T1
and simplify the expression of the resulting
derivative, to get the following formula:

WORK, EXPECTATION TEMPERATURE,
INTERNAL ENERGY CONSIDERATIONS
To find the expression for the work done,
we start with the formulation by Aneja-Johal [8].
Thus, we can extract the work (W) in some process122

SEE-Mie, Japan, Nov. 19-21, 2015

involving the both systems in question, which isequal to the decrease in internal energy (U) of thetotal system, W = – ∆U, where ∆U = Uﬁn – Uini.

y

B y (a, b ) = ∫ t a −1 (1 − t )Then, it is possible to recast the right-hand part of
Eq. 8, using Eq. 10, in the following way:2

(1 + z )

(11)

1
z
1
B z K  ,1 − ;
K
K
K


K
1+ z

All these results can be properly checked using thesoftware Mathematica …
Therefore, it is in principle possible toexpress the Gauss hypergeometric functions in Eq. 7
via regularized incomplete Beta functions, as soon
as we notice that:I y (a, b ) =By (a, b ),B1 (a, b )(12)where Iy – is the regularized incomplete Beta
function and B1 – the conventional complete Beta
function. Then, taking Eq. 12 into account, it is in
general possible to rewrite the right hand side of Eq.
11 as follows:

2

(8)

1

 1
F1 1, ,1 + ;− z K  ≡
K

 K
−1
1
z
1
B z K  ,1 −  ≡
K
K
K
K 

2

and on the other hand, we employ the well known
interconnection between the Gauss’ Hypergeometricand incomplete Beta functions:

1+ z

1
1
B z K  ,1 − Kz −1 1+ z K  K

py − p B y ( p, q ) = 2 F1 ( p,1 − q,1 + p; y )
−

1

1+ z

We see that Eq. 7 is formulated in terms of thespecial function,
namely – the Gauss’Hypergeometric function 2F1, which complicates a
lot its practical usage … Thus, we would need tosimplify Eq. 7. So then, first, we use one of thePfaff’s transformations:11
B1  ,1 −  ≡
1
K
K
1
K
B1  ,1 − 
K
K
−1
1
z 
 π 
1
 π csc   I z K  ,1 − ,K K
 K  K  K

1

1  zK  K
1
1
 B z K  ,1 − ⇒ K K 1+ z 
K
K
K 

−

1  zK  K1
1
 B z K  ,1 −  ≡K  1 + z K 
K
K


K

−1

TP
TM
T1
T2
xP ≡
; xM ≡; x1 ≡; x2 ≡
.
Tref
Tref
Tref
Tref

)

1

 1
F1 1, ,1 + ;− z K  =
K
K


1
K −K

(7)

where:((10)

a > 0; b > 0.

W = C ∞ Tref1
 1
F1 1, ,1 + ;− z K  =
K

 K
1
1 1
−
1 zK 
;
1 + z K K 2 F1  , ,1 + ;K 1 + z K 
K K

dt ;

0

Then, using the Linhart’s expression for theinternal energy (see the work [14], Eq. 8), we get thefollowing formula for the work:

 

1
 1
K 

 xP1− 2 F1 1, ,1 + ;− xP  
K
K



 


1
1

 ,
 + xM 1− 2 F1 1, ,1 + ;− xM K   K  
 K




1
 1
  K   x11− 2 F1 1, K ,1 + K ;− x1    −  


 

1
 1
K 
  + x 21− 2 F1 1, ,1 + ;− x 2    KK   


 

b −1

(9)

1+ z

1 1
1 zK 

≡ 2 F1  , ,1 + ;K 1 + z K 
K K

(13)

1+ z

where csc ≡ 1/sin stands for the conventional
cosecant function.

And now, if we recall the definition of theincomplete Beta function, we can cast it as follows:And, therefore, Eq. 7 might essentially be
simplified in such a way:123

SEE-Mie, Japan, Nov. 19-21, 2015

W = C ∞ Tref
 
−1
 
 xP1 − xP  π csc π   I K  1 ,1 − 1   + 
 xP
 
K 
K    K   1 + xP K  K
 
 



1   
xM − 1 1 π 
 xM 1 − K  π csc K   I xM K  K ,1 − K       1 + xM K 






−1
 
  
π
1
1
1
x







  x11 − π csc   I x1 K  ,1 −   + K K     
K K 
1 + x1 K 
−  

  
−1
 
  x 21 − x 2  π csc π   I K  1 ,1 − 1    x2
  
K 
K   K K 
1+ x2 K   

introduce some proper, pertinent approximations forthe function IY(a,b). In this case there are just two
possibilities, namely: Y – around 0, as well as Y –around 1.
(14)Then, we get:Y a  a(1 − b )Y
+ O Y 2 + ...  ;1 +aB(a, b ) 
a +1

Y → 0 − and − a ∉ N;

( )I Y (a, b ) ∝I Y (a, b ) ∝ 1 −(15)(1 − Y )b Y a 1 − (a + b )(Y − 1) + O((Y − 1)2 ) ;bB(a, b ) 
b +1
Y → 1 − and − b ∉ N.

And, finally – the last, but not the least …
The important mathematical point here is that thefunction IY(a,b), the regularized incomplete Beta
function, represents nothing more than the
cumulative probability function for some random
number Y obeying the Beta distribution. Hence,
interestingly, all this does boil down to nothing morethan just the Bayesian approach to statistics – as it
originally ought to be – for, as well known, that was
Reverend Thomas Bayes himself, who started
employing the continuous Beta distribution function
as a prior for the discrete binomial distributions …

CONCLUSION
The above considerations clearly show usthat statistical mechanical inferences could be pretty
well – and in a completely straightforward way –handled within the Bayesian approach. This occurs
to be possible, since we are closely following theapproach by G. A. Linhart [4-7].
The immediate profit on this way consistsin that our considerations are absolutely not
restricted to the throughout fuzzy notion of some“large number” of atoms/molecules, as it is normallythe case for the conventional treatment (see, forexample, [16] and the references therein). And thisprofit is definitely achievable within the frameworkof Bayesian approach, which enables us to get rid of
the fuzziness introduced by the straightforwardly
and blindly adopted atomistic hypothesis. So, here
we might get an opportunity to significantly widen
the actual horizons of the conventional statistical
thermodynamics, to include not only strictly
macroscopic, but also meso- and even nanoscopic
levels of studies …

Well, and physically this means that weought to consider the heat capacity at constantvolume to be a random variable. Would the latterconclusion be a kind of heresy – and ought we to be
immediately condemned by all the researchers’community? Not at all, God bless, for such aseemingly unexpected standpoint could still bethroughout plausible (see, for example, the work[15], the references therein, as well as thecorresponding discussion in the work [14]).
Indeed, the (statistical-mechanical) physicalsense of heat capacity consists in that it shows how
the ‘sum’ of all the possible elementary excitationsin the system would describe the macroscopic stateof the system. Linhart’s formula (please, cf. Eq. 5 in[14]) is just the mathematical expression of thisproperty – moreover, it shows, how theexperimentally measurable heat capacity, that is, in
our notations, Y ≡ C , might well be expressed interms of the standard probability theory (However, there is the only serious andcrucially important poser that still remains
unanswered:
What ought to be the formal logical links
between the Bayesian representation outlined above
and the conventional Gibbs ensembles described by
the Normal (Gaussian) distribution function, thetried and true Boltzmann exponential distribution
etc., which are already long and very well known tobe really faithful and useful mathematical
instruments of theoretical physics ?

)…

To sum up, Eq. 14 here is expressing thework to be done via the probabilities to achievesome definite value of the heat capacity (or,generally speaking, some definite macroscopic stateof the system under study) at some particulartemperature value.

Well, the immediate and clear answer is:
Surely, we do not have to overthrow or, that is to say,completely refurbish all the conventional statisticalmechanics ! But we just ought to widen thehorizons of the latter and carefully look after theThus, from here on, the only way to handle
Eq. 14 in terms of elementary functions would be to124

SEE-Mie, Japan, Nov. 19-21, 2015

detailed conceptual links between its different
chapters…

[6] G. A. Linhart, Additions and Corrections –Correlation of Entropy and Probability. J. Am.
Chem. Soc., v. 44, 2968-2969, 1922.
[7] G. A. Linhart, Correlation of Heat Capacity,
Absolute Temperature and Entropy. J. Chem.
Phys., v. 1, pp. 795-797, 1933.
[8] P. Aneja, R. S. Johal, Prior information andinference of optimality in thermodynamic
processes. J. Phys. A, Math. Theor., v. 46, p.
365002, 2013.
[9] R. S. Johal, Models of Finite Bath andGeneralized Thermodynamics. In: Studies inFuzziness and Soft Computing. A. Sengupta, Ed.,v. 206, pp. 207-217, 2006.
[10] P. Aneja, R. S. Johal, Prior Probabilities andThermal Characteristics of Heat Engines. Cent.
Eur. J. Phys., v. 10, pp. 708-714, 2012.
[11] R. S. Johal, Efficiency at Optimal Work fromFinite Reservoirs: A Probabilistic Perspective. J.
Non-Eq. Thermodyn., v. 40, pp. 1-12, 2015.
[12] P. Aneja, R. S. Johal, Form of Prior for
Constrained Thermodynamic Processes. Eur.
Phys. J. B, v. 88, pp. 129-138, 2015.
[13] R. S. Johal, Renuka Rai, G. Mahler, Reversible
Heat Engines: Bounds on Estimated Efficiency
from Inference. Found. Phys., v. 45, pp. 158170, 2015.
[14] E. B. Starikov, Many Faces of Entropy orBayesian
Statistical
Mechanics.
ChemPhysChem, v. 11, pp. 3387-3394, 2010.
[15] R. L. Scott, The Heat Capacity of Ideal Gases. J.
Chem. Educ., v. 83, pp. 1071-1081, 2006.
[16] A. R. Khokhlov, A. Yu. Grosberg, V. S. Pande,
Statistical
PhysicsofMacromolecules(Polymers and Complex Materials). AIP Press,
New York, USA, 1997.
[17] B. H. Lavenda, “Statistical Physics. A
Probabilistic Approach”, Wiley-Interscience
Publication, New York, Chichester, Brisbane,
Toronto, Singapore, 1991, pp. 224-230.
[18] M. Smithson, J. Verkuilen, “Fuzzy Set Theory.
Applications in the Social Sciences”, Sage
Publishing, Thousand Oaks, CA, USA, 2006, pp.
41-43.

…Regretfully, the short format of thepresent communication doesn’t really allow us todwell on this important topic, but we would at least
like to point out here that:
The Beta Density is anyway of extreme importancein the formal mathematical derivation of theconventional Canonical Distribution [17].
The Beta Probability Distribution is the tried andtrue method of successful statistical evaluation in thecases where fuzzy sets are at work [18].

ACKNOWLEDGEMENTS
I greatly appreciate expressing my sincere
gratitude to Dr. Ramandeep Singh Johal, Associate
Professor (Physics), Indian Institute of Science
Education & Research, Mohali, for detailed andthorough discussions on the above theme of ourcommon research interest.

REFERENCES[1] E. B. Starikov, What Nicolas Léonard Sadi
Carnot wanted to tell us in fact. Pensée Journal,
v. 76, pp. 171-214, 2014.
[2] E. B. Starikov, Valid Entropy-Enthalpy
Compensation: Its True Physical Meaning. J.
Appl. Solut. Chem. Mod., v. 2, pp. 240-245,
2013.
[3] J. D. van der Waals, Über die Erklärung derNaturgesetzeaufstatistisch-mechanischer
Grundlage. Phys. Z., v. XII, pp. 547-549, 1911.
[4] G. A. Linhart, NOTE. The Relation Between
Entropy and Probability. The Integration of the
Entropy Equation. J. Am. Chem. Soc., v. 44, pp.
140-142, 1922.
[5] G. A. Linhart, Correlation of Entropy andProbability. J. Am. Chem. Soc., v. 44, 18811886, 1922.

125

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

ADOMIAN DECOMPOSITION METHOD FOR SOLVING OF
FREDHOLM INTEGRAL EQUATION OF THE SECOND KIND USING
MATLAB
Dalal Adnan Maturi1
1

Departement of Mathematics, Faculty of Science, King Abdulaziz University, P.O.Box 42664,Jeddah 21551,
Saudi Arabia

ABSTRACTIn this paper, we will be find exact solution of Fredholm Integral equation of the second kind through using
Adomian Decomposition Method by using MATLAB program, so all calculations can be easily using
MATLAB to find that exact solution.
Keywords: Fredholm integral equation of the second kind; Adomian Decomposition Method; MATLAB.

INTRODUCTION(2) into the Fredholm integral equatin (1) to obtainIn this paper, we consider the Fredholm integral
equation of the second kind∑∞
𝑛𝑛=0 𝑦𝑦𝑛𝑛 (𝑥𝑥) = 𝑓𝑓(𝑥𝑥) +𝑏𝑏
𝜆𝜆 ∫𝑎𝑎 𝐾𝐾(𝑥𝑥, 𝑡𝑡)(∑∞𝑛𝑛=0 𝑦𝑦𝑛𝑛 (𝑡𝑡)) 𝑑𝑑𝑑𝑑,𝑏𝑏𝑦𝑦(𝑥𝑥) = 𝑓𝑓(𝑥𝑥) + 𝜆𝜆 ∫𝑎𝑎 𝐾𝐾(𝑥𝑥, 𝑡𝑡)𝑦𝑦(𝑡𝑡) 𝑑𝑑𝑑𝑑(1)
The unknown function 𝑦𝑦(𝑥𝑥), that will be determined,
occurs inside and outside the integral sign. Th kernel
𝐾𝐾(𝑥𝑥, 𝑡𝑡) and the function 𝑓𝑓(𝑥𝑥) are given real-valued
functions, and 𝜆𝜆 is aparameter.
In this paper, we present the computation of exact
solution of Fredholm integral equation of thesecond kind using MATLAB.

or equivalenty𝑦𝑦0 (𝑥𝑥) + 𝑦𝑦1 (𝑥𝑥) + 𝑦𝑦2 (𝑥𝑥)+𝑦𝑦3 (𝑥𝑥) + ⋯ = 𝑓𝑓(𝑥𝑥) +𝑏𝑏
𝜆𝜆 ∫𝑎𝑎 𝐾𝐾(𝑥𝑥, 𝑡𝑡) [ 𝑦𝑦0 (𝑡𝑡) + 𝑦𝑦1 (𝑡𝑡) + 𝑦𝑦2 (𝑡𝑡) ⋯ ]𝑑𝑑𝑑𝑑(5)

The zeroth component 𝑦𝑦0 (𝑥𝑥) is identified by all
terms that are not included under the integral sign .
(This means that the components 𝑦𝑦𝑛𝑛 (𝑥𝑥), 𝑛𝑛 ≥ 0 of
the unknown function
𝑦𝑦(𝑥𝑥) are completely
determined by setting the recurrence relation

ADOMIAN DECOMPOSITION METHOD
In this section, we use the technique of theAdomian Decomposition Method [4,9,13,14] . The
Adomain Decomposition Method consists ofdecomposing the unknown function 𝑦𝑦(𝑥𝑥) of any
equation into a sum of an infinite number ofcomponents defined by the decomposition series
𝑦𝑦(𝑥𝑥) = ∑∞𝑛𝑛=0 𝑦𝑦𝑛𝑛 (𝑥𝑥),(4)𝑦𝑦𝑛𝑛+1 (𝑥𝑥) =𝑦𝑦0 (𝑥𝑥) = 𝑓𝑓(𝑥𝑥),𝑏𝑏
𝜆𝜆 ∫𝑎𝑎 𝐾𝐾(𝑥𝑥, 𝑡𝑡)𝑦𝑦𝑛𝑛 (𝑡𝑡) 𝑑𝑑𝑑𝑑, 𝑛𝑛 ≥ 0(6)or equivalenty𝑦𝑦0 (𝑥𝑥) = 𝑓𝑓(𝑥𝑥),𝑏𝑏(2)𝑦𝑦1 (𝑥𝑥) = 𝜆𝜆 � 𝐾𝐾(𝑥𝑥, 𝑡𝑡)𝑦𝑦0 (𝑡𝑡) 𝑑𝑑𝑑𝑑

Or equivalenty𝑎𝑎𝑏𝑏𝑦𝑦(𝑥𝑥) = 𝑦𝑦0 (𝑥𝑥) + 𝑦𝑦1 (𝑥𝑥) + 𝑦𝑦2 (𝑥𝑥)+𝑦𝑦3 (𝑥𝑥) + ⋯ (3)𝑦𝑦2 (𝑥𝑥) = 𝜆𝜆 � 𝐾𝐾(𝑥𝑥, 𝑡𝑡)𝑦𝑦1 (𝑡𝑡) 𝑑𝑑𝑑𝑑𝑎𝑎𝑏𝑏

Where the components 𝑦𝑦𝑛𝑛 (𝑥𝑥), 𝑛𝑛 ≥ 0 will be
determined recurrently. The Adomain
Decomposition Method concerns itself with finding
the components 𝑦𝑦0 (𝑥𝑥), 𝑦𝑦1 (𝑥𝑥), 𝑦𝑦2 (𝑥𝑥), 𝑦𝑦3 (𝑥𝑥), ⋯individually.

𝑦𝑦3 (𝑥𝑥) = 𝜆𝜆 � 𝐾𝐾(𝑥𝑥, 𝑡𝑡)𝑦𝑦2 (𝑡𝑡) 𝑑𝑑𝑑𝑑𝑏𝑏𝑎𝑎𝑦𝑦4 (𝑥𝑥) = 𝜆𝜆 ∫𝑎𝑎 𝐾𝐾(𝑥𝑥, 𝑡𝑡)𝑦𝑦3 (𝑡𝑡) 𝑑𝑑𝑑𝑑

And so on for other component's.

To establish the recurrence relation, we substitute
126

(7)

SEE-Mie, Japan, Nov. 19-21, 2015

𝜋𝜋

In view of (7 ), the components
𝑦𝑦0 (𝑥𝑥), 𝑦𝑦1 (𝑥𝑥), 𝑦𝑦2 (𝑥𝑥), 𝑦𝑦3 (𝑥𝑥), ⋯ are completely
determined. As a result, the solution 𝑦𝑦(𝑥𝑥) of theFredholm integral equation (1) is readily obtained ina series form by using the series as assumption in (2).

𝑦𝑦11 (𝑥𝑥) = � 𝑥𝑥𝑥𝑥𝑦𝑦10 ( t)𝑑𝑑𝑑𝑑 =0𝜋𝜋𝑦𝑦12 (𝑥𝑥) = � 𝑥𝑥𝑥𝑥𝑦𝑦11 ( t)𝑑𝑑𝑑𝑑 =0694677298961617𝑥𝑥𝜋𝜋 3,82944

1346209783445453𝑥𝑥𝜋𝜋 3.
15552

EXAMPLEAnd so on. Using (2) gives the series solution

Example1. Consider the Fredholm integral equationof second kind𝒚𝒚(𝒙𝒙) = 𝐜𝐜𝐜𝐜𝐜𝐜 𝒙𝒙 + 𝟐𝟐𝟐𝟐 +𝝅𝝅𝒚𝒚(𝒙𝒙) = 𝐜𝐜𝐜𝐜𝐜𝐜 𝒙𝒙 + 𝟐𝟐𝟐𝟐 + � 𝒙𝒙𝒙𝒙𝒙𝒙( 𝐭𝐭)𝒅𝒅𝒅𝒅 .
𝟎𝟎

Applying the Adomian Decomposition Method we
find
∞

𝝅𝝅

∞

𝒏𝒏=𝟎𝟎

𝟎𝟎

𝒏𝒏=𝟎𝟎

� 𝒚𝒚𝒏𝒏 (𝒙𝒙) = 𝐜𝐜𝐜𝐜𝐜𝐜 𝒙𝒙 + 𝟐𝟐𝟐𝟐 + � 𝒙𝒙𝒙𝒙 � 𝒚𝒚𝒏𝒏 (𝒕𝒕) 𝒅𝒅𝒅𝒅 .
To determine the components of 𝒚𝒚(𝒙𝒙), we use therecurrence relation
𝒚𝒚𝟎𝟎 (𝒙𝒙) = 𝐜𝐜𝐜𝐜𝐜𝐜 𝒙𝒙 + 𝟐𝟐𝟐𝟐,
𝝅𝝅𝒚𝒚𝒏𝒏+𝟏𝟏 (𝒙𝒙) = � 𝒙𝒙𝒙𝒙 𝒚𝒚𝒏𝒏 ( 𝐭𝐭)𝒅𝒅𝒅𝒅,
𝟎𝟎

𝒏𝒏 ≥ 𝟎𝟎.

This in turn gives

𝒚𝒚𝟎𝟎 (𝒙𝒙) = 𝐜𝐜𝐜𝐜𝐜𝐜 𝒙𝒙 + 𝟐𝟐𝟐𝟐,

𝒚𝒚(𝒙𝒙)𝝅𝝅𝟐𝟐𝒙𝒙(𝝅𝝅𝟑𝟑 − 𝟑𝟑)
𝒚𝒚𝟏𝟏 (𝒙𝒙) = � 𝒙𝒙𝒙𝒙 𝒚𝒚𝟎𝟎 ( 𝐭𝐭)𝒅𝒅𝒅𝒅 =
,
𝟑𝟑
𝟎𝟎

𝝅𝝅

𝒚𝒚𝟐𝟐 (𝒙𝒙) = � 𝒙𝒙𝒙𝒙𝒚𝒚𝟏𝟏 ( 𝐭𝐭)𝒅𝒅𝒅𝒅 =𝟎𝟎𝝅𝝅𝟐𝟐𝒙𝒙(𝝅𝝅𝟑𝟑 − 𝟑𝟑)
𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝒙𝒙𝝅𝝅𝟑𝟑++⋯𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑= 𝐜𝐜𝐜𝐜𝐬𝐬 𝒙𝒙 + 𝟐𝟐𝟐𝟐 +

𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝒙𝒙𝝅𝝅𝟑𝟑,𝟒𝟒𝟒𝟒𝟒𝟒𝟒𝟒𝟒𝟒𝟒𝟒𝟒𝟒𝟒𝟒𝟒𝟒𝟒𝟒𝟒𝟒𝟒𝟒𝟒𝟒𝟒𝟒𝟒𝟒

Then the gives the exact solution
𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝒙𝒙
𝒚𝒚(𝒙𝒙) =𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟓𝟓𝟓𝟓𝟓𝟓+ 𝐜𝐜𝐜𝐜𝐜𝐜 𝒙𝒙

𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝝅𝝅𝟑𝟑,
𝒚𝒚𝟑𝟑 (𝒙𝒙) = � 𝒙𝒙𝒙𝒙𝒚𝒚𝟐𝟐 ( 𝐭𝐭)𝒅𝒅𝒅𝒅 =𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟎𝟎
𝝅𝝅𝒚𝒚𝟒𝟒 (𝒙𝒙) = � 𝒙𝒙𝒙𝒙𝒚𝒚𝟑𝟑 ( 𝐭𝐭)𝒅𝒅𝒅𝒅 =𝟎𝟎
𝝅𝝅𝒚𝒚𝟓𝟓 (𝒙𝒙) = � 𝒙𝒙𝒙𝒙 𝒚𝒚𝟒𝟒 ( 𝐭𝐭)𝒅𝒅𝒅𝒅 =𝟎𝟎

𝝅𝝅𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝝅𝝅𝟑𝟑,
𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐
𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝝅𝝅𝟑𝟑,
𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖

𝒚𝒚𝟔𝟔 (𝒙𝒙) = � 𝒙𝒙𝒙𝒙 𝒚𝒚𝟓𝟓 ( 𝐭𝐭)𝒅𝒅𝒅𝒅 =𝟎𝟎
𝝅𝝅𝒚𝒚𝟕𝟕 (𝒙𝒙) = � 𝒙𝒙𝒙𝒙 𝒚𝒚𝟔𝟔 ( 𝐭𝐭)𝒅𝒅𝒅𝒅 =𝟎𝟎
𝝅𝝅𝒚𝒚𝟖𝟖 (𝒙𝒙) = � 𝒙𝒙𝒕𝒕( 𝐭𝐭)𝒅𝒅𝒅𝒅 =
𝟎𝟎

𝜋𝜋

0
𝜋𝜋

𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝝅𝝅𝟑𝟑,𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑

𝑦𝑦10 (𝑥𝑥) = � 𝑥𝑥𝑥𝑥 𝑦𝑦9 ( t)𝑑𝑑𝑑𝑑 =0𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝝅𝝅𝟑𝟑,𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑

𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝝅𝝅𝟑𝟑,
𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐

𝑦𝑦9 (𝑥𝑥) = � 𝑥𝑥𝑥𝑥𝑦𝑦8 ( t)𝑑𝑑𝑑𝑑 =𝟐𝟐𝒙𝒙(𝝅𝝅𝟑𝟑 − 𝟑𝟑)
𝟑𝟑𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝒙𝒙𝝅𝝅𝟑𝟑+𝟒𝟒𝟒𝟒𝟒𝟒𝟒𝟒𝟒𝟒𝟒𝟒𝟒𝟒𝟒𝟒𝟒𝟒𝟒𝟒𝟒𝟒𝟒𝟒𝟒𝟒𝟒𝟒𝟒𝟒
𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝝅𝝅𝟑𝟑+
𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖
𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝝅𝝅𝟑𝟑+
𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐
𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝝅𝝅𝟑𝟑+
𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖
𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝝅𝝅𝟑𝟑+𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑
𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝝅𝝅𝟑𝟑+
𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐
𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟔𝟔𝟔𝟔𝟔𝟔𝟔𝟔𝟔𝟔𝟔𝟔𝟔𝟔𝟔𝟔𝟔𝟔𝟔𝟔𝟔𝟔𝝅𝝅𝟑𝟑+𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑𝟑
𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝝅𝝅𝟑𝟑+
𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏
𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝝅𝝅𝟑𝟑+
𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏
𝟔𝟔𝟔𝟔𝟔𝟔𝟔𝟔𝟔𝟔𝟔𝟔𝟔𝟔𝟔𝟔𝟔𝟔𝟔𝟔𝟔𝟔𝟔𝟔𝟔𝟔𝟔𝟔𝟔𝟔𝟔𝟔𝝅𝝅𝟑𝟑+
𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖
𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝝅𝝅𝟑𝟑++⋯
𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏

138734700048595𝑥𝑥𝜋𝜋 3,1769472

1433882164955047𝑥𝑥𝜋𝜋 3,1769472

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Fig. 1 Plot 3D and 2D of the exact solutions result
Of Fredholm integral equation for example 1[7] P. Linz, Analytical and Numerical Methods for
Volterra Equations, Studies in Applied
Mathematics 7, SIAM, Philadelphia, 1985.

CONCLUSION[8] F. Mirzaee, Numerical Computional Solution of
the Linear Volterra Integral Equations System
Via Rationalized Haar Functions, Journal of
King
Saud
UniversityScience,22(4)(2010),265-268.

In this paper, Adomain Decomposition Method, forsolving Fredholm integral equations of the second
kind, is studied successfully. The computations
associated with example were performed using
MATLAB.

[9] A.M.Wazwaz, Linear and Nonlinear Integral
Equation: Methods and Applications, Springer,
2011.

REFERENCES[1] V. Balakumar, K. Murugesan, Numerical
Solution of Systems of Linear Volterra Integral
Equations Using Block-Pulse Functions,
Malaya Journal of Matematik, S(1)(2013)77-84.

[10] S. Effati and M.H. NooriSkandari, OptimalControl Approach for Solving Linear Volterra
Integral Equations, I.J.Intelligent Systems andApplications, 2012,4,40-46.

[2] L.C. Becker and M. Wheeler, Numerical andGraphical Solutions of Volterra Equations of theSecond Kind,Maple Application Center, 2005.

[11] D.A.Maturi, Numerical Solution of System of
Two
Nonlinear
Volterra
IntegralEquations,International Journal of Computers &Technology, Vol12,No.10,pp.3967-3975,2014.

[3] R.L.Burden and J. Douglas Faires, Numerical
Analysis, 8th ed., Thomson Brooks/Cole,
Belmont, CA, 2005.

[12] D.A.Maturi, A.Z.Bajamal, B.M.AlGethami,
Numerical Solution of Volterra Integral
Equation of Second Kind Using Implicit
Trapezoial , Journal of Advances In
Mathematics, Vol8,No.2,pp.1540-1553,2014.

[4] T. A. Burton, Volterra Integral and Differential
Equations, 2nd ed., Mathematics in Science &Engineering, 202, Elsevier, 2005.
[5] M.I. Berenguer, D. Gamez, A. I. GarraldaGuillem,M. Ruiz Galan, and M.C. Serrano
Perez, Biorthogonal Systems for Solving
Volterra Integral equation Systems of theSecond Kind, Journal of Computional andApplied Mathematics,235(7)(2011),1875-1883.

[13] D.A.Maturi,, Adomian Decomposition Method
of Fredholm Integral Equation of the Second
kind using Maple, Journal of Advances In
Mathematics, Vol9,No.1,pp.1868-1875,2014.
[14] D.A.Maturi,,
Applicationof
AdomianDecomposition Method of Fredholm Integral
Equation of the Second Kind , European Journalof Science and Engineering, Vol2,No.2,pp.19,2014.

[6] J. Biazar and M. Eslami, Modified HPM for
Solving Systems of Volterra Integral Equationof the Second Kind, Journal of King Saud
University-Science, 23(1)(2011),35-39.

128

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

THE EFFECT OF CROSS-LINKED AGENTS ON
KERATIN FILMS PROPERTY
Weerasak Songeon and Prasong Srihanam
1

Faculty of Science, Mahasarakham University, Maha Sarakham 44150, Thailand
ABSTRACTThis research aimed to investigate the effect of cross-linking agents on the properties of keratin films. The films
were prepared by mixing all solutions until homogeneous before pouring them into polystyrene plates and ovendrying them at 40 oC for three days. The obtained films were characterized for their morphology and secondary
structure using a scanning electron microscope (SEM) and Fourier transform-infrared (FT-IR) spectrophotometer.
The native keratin film had smooth surfaces and was slightly fragile throughout the film area. Considering all the
cross-linking agents, the keratin film cross-linked with glutaraldehyde had the smoothest surface. In addition, thedifferences in the cross-linking agents resulted in different morphologies of the films. The secondary structure
analysis found that the random coil structures of the films had been changed into β-sheets after blending with thecross-linking agents. This resulted in an increase to a denser texture, strength and thermal stability of the films.
The results suggest that the morphology, secondary structure and thermal stability of the keratin films weredependent on the content and type of cross-linking agent used.
Keywords: Film, Keratin, Morphology, Secondary structure
INTRODUCTION

Preparation of Keratin Solution

Keratin is a structural protein that has uniquebiological and chemical properties [1], [2]. It can beextracted from several original sources. Recently,
keratin has been used in many applications [3], [4].
It can be prepared in many forms, especially as afilm. It has also exhibited a high potential as a
scaffold material for several tissue engineering
applications. Previous reports have developed novel
keratin by cross-linking the disulfide bonds. The
recycled keratin biomaterials could be fabricatedinto films to be used as drug release carriers.
However, a keratin film with this composition has
limited applications due to its high fragility, lowstrength and flexibility [5]. As an alternative,
polymer blends, as cross-linking agents, have beenused to improve some of the limitations of thekeratin material [6], [7]. However, the effect ofcross-linking agents on the keratin properties has notbeen fully studied. Therefore, the objective of thiswork was to study the effect of different crosslinking agents on keratin film properties, especiallythe morphology, secondary structure and thermal
stability.

Human keratin was extracted using amodification of Shindai’s method [26]. Briefly, 10gof hair sample was dissolved using a mixture
solution of 7g urea, 2g sodium dodecyl sulfate(SDS) and 0.8g sodium hydroxide (NaOH) in 100
mL distilled water at 70 °C while being stirred until
homogeneous dissolution. The obtained solution wasthen dialyzed against distilled water for three days.

Preparation of Keratin Blend Films
A 1% wt keratin solution was firstly mixed
with different ratios of cross-linking agents inbeakers. The mixture solutions were then poured
into polystyrene plates with diameters of 9 cm. The
plates were then dried in an oven at 40 °C for threedays to obtain the blend films.

Characterizations
Morphological observation

METHODOLOGYAll of the films were dehydrated and cut (~1cm in length) before observing their morphology
under a scanning electron microscope (SEM) (JEOL,
JSM-6460LV, Tokyo, Japan). The samples weresputter coated with gold on double sided carbon tapefor enhancing surface conductivity. Current andHuman hair was gathered from a local hairsalon in Maha Sarakham Province, Thailand. The
hair was wormed at 40 °C before being immersed inn-hexane for 12h to remove the external lipid. All
chemical reagents used were analytical grade.

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SEE-Mie, Japan, Nov. 19-21, 2015

voltage were adjusted to give a power of 2W (3mA,
15 kV) for 3 min.

RESULTS

Secondary structure analysis
Morphological study
All of the films had their secondary structures
investigated using attenuated total reflection infrared(ATR-IR) spectroscopy (Perkin Elmer-Spectrum Gx,
USA) in the spectral region of 4000-400 cm-1 at a 4
cm-1 spectral resolution and 32 scans.

The morphology of the films wasinvestigated using a scanning electron microscope(SEM). The results showed that keratin (Fig. 1a) hada smooth surface with a homogeneous texture of thecross-section without phase separation. Keratin
blended with PEGDE resulted in a rougher surface
as well as cross-section (Fig. 1b) in comparison to
the native keratin film. In contrast, the keratin
blended with glutaraldehyde (Fig. 1c) and genipin(Fig. 1d) had smoother surfaces than the native
keratin film. Considering the edge of the films, thekeratin blended with genipin showed some slightphase separation, which was not found in the otherfilms.

Thermal properties study
The keratin/sericin blend films with 8-10 mg
were loaded in a platinum crucible. The
thermogravimetric analysis (TGA) was thenperformed using a TA instruments SDT Q600
(Luken’s drive, New Castle, DE). The samples were
non-isothermally heated from 50 °C to 800 °C at aheating rate of 20 °C/min. The TGA was performed
in nitrogen with a flow rate of 100 mL/min.
aI

aII

bI

bII

cI

cII

dI

dII

Fig. 1 SEM micrographs native keratin film (a) and keratin blended with PEGDE (b), glutaraldehyde (c) andginipin (d). Column I present as the surface and column II a cross-section of the films. (All bars =10µm).

130SEE-Mie, Japan, Nov. 19-21, 2015

while glutaraldehyde showed them at 1622, 1571
and 1236 cm-1 [Fig. 2c]. In addition, the keratin
blended genipin showed absorption peaks at 1628,
1553 and 1236 cm-1 [Fig. 2d].

Secondary structure
The results showed that the native keratin film hadabsorption peaks at 1671, 1539 and 1232 cm-1 [Fig.
2a]. The keratin film blended with PEGDE had
absorption peaks at 1664 and 1234 cm-1 [Fig. 2b],

Figure 2 FTIR spectra of native keratin (a), keratin blended with 0.1% PEGDE 0.01 g (b), keratin blended withgenipin (c) and keratin with glutaraldehyde (d).
at 311 °C (Fig. 3a). Among the cross-linking agents,
keratin blended genipin showed the highest T d,max at
316 °C (Fig. 3f,g), then PEGDE at 314 °C (Fig.
3b,c) and glutaraldehyde had the lowest of T d,max at
304 °C (Fig. 3d,e).

Thermal stability
The thermal stability of the films as indicated by
DTG curves is shown in Fig. 3, which shows the
maximum temperature of decomposition (T d,max ),which are summarized in Table 1. The native keratinstarted weight lose at about 105 °C and had a T d,max

Figure 3. DTG curve of native keratin (a), keratin blended with PEGDE of 0.01 g (b) and 0.02 g (c),glutaraldehyde of 0.01 g (d) and 0.02 g (e) and genipin of 0.01 g (f) and 0.02 g (g).

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Table 1 Temperature of maximum decompositionof keratin films blended with different
cross-linking agents.
Type of films
KeratinKeratin/PEGDE
Keratin/glutaraldehyde
Keratin/genipin

ACKNOWLEDGEMENTS
The authors would like to thank the Faculty of
Science, Mahasarakham University, Thailand forfinancial support for this work.

T d,max (ºC)
311
314
304
316

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procedures for human hair protein films andproperties of alkaline phosphatase incorporated
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and keratin,” Biomacromolecules, Vol. 9, 2008,
pp. 1299-1305.
[7] Tonin C, Aluigi A, Vineis C, Varesano A,
Montarsolo A. and Ferrero F, “Thermal andstructural characterization of poly(ethyleneoxide)/keratin blend films,” J. Therm. Anal.
Calorim., Vol. 89, 2007, pp. 601-608.
[8] Sun P, Liu ZT, Liu ZW, “Particles from birdfeather a novel application of an ionic liquid andwaste resource,” J. Hazard Mater., Vol. 170,
2009, pp. 786-790.
[9] Wang Y-X, Cao X-J, “Extracting keratin fromchickens by using a hydrophobic ionic liquid,”
Process Biochem., Vol. 47, 2012, pp. 896-899.
[10] Kweon HY, Um IC, Park YH, “Structural andthermal characteristics of Antheraea pernyi silk
fibroin-chitosan blend film,” Polymer, Vol. 42,
2001, pp. 6651-6656.

DISCUSSIONThe SEM micrographs showed the different
surfaces and textures of the cross-sections according
to the unique characteristics of each cross-linking
agent. Generally, the keratin varied in size,
molecular weight and amino acid components. The
cross-linking agents influenced the dense texture of
the film. This was due to their acting as a binder
between the keratin molecules to hold them moreclosely together. The secondary structure of theprotein was mainly observed in the amide I, II and
III regions [8]. Amide I was the stretching of the
carbonyl group (-C=O) while amide II was theblending of the –NH group and stretching of –CH.
On the other hand, amide III was the stretching of –CN and the plane of –NH as well as the stretching of–CC and –C=O [9]. The FTIR spectra suggested thatthe native keratin was composed of α-helix andrandom coil structures. Glutaraldehyde, the smallest
chemical structure, helped to decrease thecrystallinity of the keratin film and resulted in adecrease in the thermal stability of the keratin film.
However, the keratin films that were blended withPEGDE and genipin had increased thermal stability.
This might suggest that PEGDE and genipin arecomplex chemical structures that interacted with thekeratin molecules more than the glutaraldehyde andcaused an increase in the α-helix and β-sheet
structures. The decomposition of all the films
showed at least two steps with the T d,max higher than
300 °C (300-330 °C). This temperature was thedecomposition of the amino acid side chain andpeptide bonds between the amino acids [10].
CONCLUSION
The native keratin had smooth surfaces with someparticles with homogeneous textures without phaseseparation. The keratin film blended with crosslinking agents had altered textures and increased
thermal stability due to changes in their secondary
structure, except for glutaraldehyde. The results
obtained in this work may be used for the
preparation of keratin films for several applications,especially biomedical and controlled drug release.
132

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Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

THE EFFECT OF STARCH ON PROPERTY OF SILKFIBROIN/KERATIN BLEND FILMS
Yaowalak Srisuwan and Prasong Srihanam
Faculty of Science, Mahasarakham University, Maha Sarakham 44150, Thailand

ABSTRACTThis work aimed to study the effect of starch on silk fibroin (SF)/keratin (K) blend film properties. The SF
and K solutions were mixed with starch, homogeneously stirred and poured into polystyrene culture plates. The
mixture solution was then dried in an oven at 40 °C for three days. The films were then investigated for theirmorphology, secondary structure and thermal properties using a scanning electron microscope (SEM), Fouriertransform-infrared (FT-IR) spectrophotometer and Thermogravimetric analysis (TGA). The results showed thateach film had different surface patterns depending on the ratio used. Almost all the films co-existed with random
coil and α-helix structures, which resulted in an increase in the flexibility of the film. The structure of the films
changed to β-sheet after blending the SF and K according to the H-bond formation and increased the thermal
stability of the films. This result indicated that starch helped to decrease the crystalline structure of the film,
which increased their flexibility.
Keywords: Biopolymer, Morphology, Secondary structure, Thermal property
INTRODUCTIONMETHODS
Silk is a natural fibrous protein produced fromsilkworms that has a unique characteristic. It has
been proven that silk fiber has several excellent
biological properties, including high strength,
biocompatibility, low inflammatory response andbiodegradability [1]. Recently, silk has been ofincreasing interest for applications, especiallybiomedical and controlled drug release [2],[3]. The
silk component, fibroin, has been reported as animportant biomaterial that can be constructed invarious forms [4]. In addition, silk fibroin has been
blended with other materials to obtain novel
materials, such as collagen [5], PLGA and alginate[6] or hyaluronan [7]. Keratin, a kind of high cystein
content fibrous protein, has been applied in various
fields, include tissue engineering [8]. Little
information is available about silk fibroin/keratin
blend materials. However, the structural proteins
have some limiting properties with regard to theiruse, which are their fragility and low flexibility.
Therefore, we chose starch, a polysaccharide withhigh polarity, for improving the properties of the silk
fibroin (SF)/keratin (K) blend films. The propertiesof the blended films, such as morphology, secondary
structure and thermal stability, were investigated.

Preparation of Silk Fibroin Solution
SF solution was prepared by firstly boiling twice
the cocoons of Bombyx mori in 0.5% (w/v) Na 2 CO 3
solution at 90 °C for 30 min each time, and thenwashing with distilled water to obtain SF. The pureSF was then dissolved using a tertiary system of
CaCl 2 :ethanol:H 2 O (1:2:8 by mol) at 70-75 °C for
60 min. The hydrolysate SF was dialyzed against
distilled water with a dialysis membrane (MW cut
off 10 kDa) for three days to exclude the salt. The
concentration of the SF solution was adjusted to 1%(w/v) by distilled water.
Preparation of Keratin Solution
K was extracted from human hair that wascollected from a hair salon in Maha Sarakham
Province, Thailand. The hair was immersed inhexane solution for 12 h to remove some lipid
components, and then air-dried at room temperaturefor one day. Then 1 g of dried hair was dissolved in
20 mL of a mixture solution of 0.02 M sodiumhydroxide (NaOH), 0.5 M urea, 0.26 M sodium
dodecyl sulfate and distilled water at 70 °C withstirring until the hair was completely dissolved. The
solution was then dialyzed against distilled water for
three days with a dialysis tube (MW. cutoff = 3,500
Da) to obtain the k solution. The k concentration
was diluted to 2% w/v against distilled water before
use.

133

SEE-Mie, Japan, Nov. 19-21, 2015

mainly composed of many different protein sizes
that resulted in the rough surface of the film. In caseof the blend films, unequal ratios caused particles ofstarch granules to appear in the film. This suggested
that there might be more starch molecules than theratio needed to interact with the SF and K
molecules.

Silk Fibroin/Keratin Blend Film Preparation
The SF/K blend films were prepared bymixing 1% wt. of SF solution and 1% wt. K solution
at different ratios: 1:1, 1:3 and 3:1. The 21 mL of the
mixture was then mixed with 0.25g starch. The
solution was boiled to dissolve the starch before
pouring onto the polystyrene plates. They wereplaced in an oven at 40 °C for three days to obtain
the blend films. In addition, the native SF and K
films were also prepared for comparisons of the film
properties.

a

Characterization of Films
All films were cut and their morphology
observed under a scanning electron microscope(SEM) (JEOL, JSM-6460LV, Tokyo, Japan). The
samples were sputter coated with gold and placed on
double sided carbon tape for enhancing surface
conductivity. The secondary structures of the films
were analyzed using FTIR spectroscopy (Perkin
Elmer-Spectrum Gx, USA) in the spectral region of
4000-400 cm-1 at a 4 cm-1 spectral resolution and 32
scans. Thermal properties were also measured using
a thermogravimetric analyzer (TGA), TA
instruments, SDT Q600 (Luken’s Drive, New
Castle, DE). The films with weights of 8-10 mg
were prepared and loaded in a platinum crucible.
The samples were non-isothermal heated from 50°C
to 1000 °C at a heating rate of 20 °C/min. The TGA
was carried out in nitrogen with a flow rate of 100
mL/min. The TG and heat flow were recorded withTA Instrument’s Q series explorer software. The
analyses of the data were done using TA
Instrument’s Universal Analysis 2000 software(version 3.3B).

b

c

d

RESULTS AND DISCUSSION
Morphology of Filmse

Native SF film had slightly rough surfaces with ahomogeneous texture observed in the cross-section(Fig. 1a); as did the native K film (Fig. 1b). The
surfaces of the blended films were rougher than thenative films and particle like-beads covered the film
surfaces and textures (1:3 ratios, Fig. 1e). It was also
found that the surfaces and texture of the blend films
depended on the ratios of SF/K used. The mostcompatible film textures and surfaces were in theblend ratio at 1:1 (Fig. 1d) compared to the otherratios (Fig. 1c and 1e).
The morphology of the film was affected by thechemical composition of each material [9]. SF ismainly composed of similar monomers that resulted
in a smooth surface and homogeneous texture. K isFig. 1 SEM micrographs of various films: native silk
fibroin (d), keratin (b) and silk fibroin/keratin
blend in different ratios of 3:1 (c), 1:1 (d) and
1:3 (e) with 0.25g starch added. Left
presented as surface and right as crosssection. (All bars = 50µm)

134SEE-Mie, Japan, Nov. 19-21, 2015

The increases in the T d,max could be a result of theinteraction via H-bonds between the hydroxyl
groups of the starch and amino or carboxylic groupsof the protein [12].

Secondary Structure of Films
Figure 2 shows the FTIR spectra of the various
types of films. In general, the films had variedabsorption peaks. The native SF film showedabsorption peaks at 1660, 1548 and 1249 cm-1,
whereas the native keratin film had absorption peaks
at 1652, 1547 and 1242. The absorption peaks of theblend films showed different patterns according to
the blend ratios. At the SF/K ratio of 1:3, theabsorption peaks were found at 1659, 1525 and 1249
cm-1. The 1:1 ratio had absorption peaks at 1649,
1525 and 1312cm-1. At the SF/K ratio of 3:1, theabsorption peaks were at 1691, 1526 and 1228 cm-1.
The results indicated that SF/K blended withstarch had increased the strength of the films. Thiswas observed from the absorption peaks at amide II(1525 cm-1), which dominantly appeared after
mixing with starch. This peak was designated as a βsheet structure [10]. Moreover, the absorption peaks
at about 100-900 cm-1 also appeared. These peaks
were the response of the saccharide structure [11].

Fig. 3 TG curves of various films: native silk fibroin(a), native keratin (b) and SF/K blend in theratios of 1:3 (c), 3:1 (d) and 1:1 (e) with
0.25g starch added.

Fig. 2 FTIR spectra of various films: native silk
fibroin (a), native keratin (e) and SF/K blend
in the ratios of 1:3 (b), 1:1 (c) and 3:1 (d)with 0.25g starch added.

Fig.4 DTG of various films: native silk fibroin (a),native keratin (b) and SF/K blend in the ratiosof 1:3 (c), 3:1 (d) and 1:1 (e) with 0.25g
starch added.

Thermal stability
Table 1 T d,max of several films.

The thermal stability of the films was illustrated by
TG curves (Fig. 3). Generally, the films started todecompose at about 100 °C, which was the water
evaporation temperature. The main decomposition
temperatures of all the films were higher than 300°C, which was clearly indicated by the DTG curves(Fig. 4).
The maximum temperature ofdecomposition (T d,max ) peaks are summarized inTable 1. The native SF had a T d,max at 310 °C, while
the native K had a T d,max at 309 °C. Among theblend ratios, SF/K at 1:3 had the highest T d,max of
315 °C, while the ratios of 3:1 and 1:1 had similar
T d,max vales at 311 °C.
135

Film typeT d,max (ºC)

Silk Fibroin (SF)
Keratin (K)SF:K (1:3)
SF:K (3:1)

310
308
315
311

SF:K (1:1)

311

SEE-Mie, Japan, Nov. 19-21, 2015[5] Zhou J, Cao C, Ma X, Lin J, “Electrospinningof silk fibroin and collagen for vascular tissue
engineering,” Int. J. Biol. Macromol., Vol. 47,
2010, pp. 514-519.
[6] Wang X, Wenk E, Castro GR, Meinel L, Wang
X, Li C, Merkle H, Kaplan, DL, “Silk coatingson PLGA and alginate microspheres for protein
delivery,” Biomaterials, Vol. 28, 2007, pp.
4161-4169.
[7] Garcia-Fuentes M, Meinel AJ, Hilbe M, Meinel,
L, Merkle HP, “Silk fibroin/hyaluronan
scaffolds for human mesenchymal stem cell
culture in tissue engineering,” Biomaterials,
Vol. 30, 2009, pp. 5068-5076.
[8] Reichi S, “Films based on human hair keratin as
substrates for cell culture and tissue
engineering,” Biomaterials, Vol. 30, 2009, pp.
6854-6866.
[9] Teresa K-K, Justyna B, “Biodegradation of
keratin waste: Theory and practical aspects.
Waste Manage., Vol. 31, 2011, pp. 1689-1701.
[10] Wang Y-X, Cao X-J, “Extracting keratin fromchickens by using a hydrophobic ionic liquid,”
Process Biochem., Vol. 47, 2012, pp. 896-899.
[11] She Z, Jin C, Huang Z, Zhang B, Feng Q, Xu Y,“Silk fibroin/chitosan scaffold: Preparation,
characterization and culture with HepG2 cell,” J.
Mater. Sci. Mater. M., Vol. 19, 2008, pp. 35453553.

CONCLUSION
Starch helped to increase the flexibility of the SF/K
blend films as it caused a change in the secondary
structure of the films from β-sheet into random coil.
The surfaces and texture of the SF/K blend films
varied due to the blending ratios and were composedof particles within the cross sections of the films that
also increased the surface roughness. The blended
film at a 3:1 ratio had the highest stability after
mixing with starch. The different properties of the
SF/K blend films should enable the preparation ofnovel materials for medical and pharmaceuticalapplications.
ACKNOWLEDGEMENTS
The authors would like to thank the Faculty of
Science, Mahasarakham University, Thailand forfinancial support of this presentation.
REFERENCES[1] Altman GH, Diaz F, Jakuba C, Calabro T,
Horan RL, Chen J, Lu H, Richmond J, Kaplan
DL, “Silk-based biomaterials,” Biomaterials,
Vol. 24, 2003, pp. 401-416.
[2] ChenJ,
Minoura,N,“Transportofpharmaceuticals
throughsilk
fibroinmembrane,” Polymer, Vol. 35, 1994, pp. 28532856.
[3] Hofmann S, Wong Po Foo CT, Rossetti F,
Textor M, Vunjak-Novakovic, G, Kaplan DL,
Merkle HP, Meinel L, “Silk fibroin as anorganic polymer for controlled drug delivery,”J. Control Release, Vol. 111, 2006, pp. 219-227.
[4] Zhou J, Cao C, Ma X, Hu L, Chen L, Wang C,“In Vitro and in vivo degradation behavior of
aqueous-derived electrospun silk fibroin
scaffolds,” Polym. Degrad. Stab., Vol. 95, 2010,
pp. 1679-1685.

[12] Srihanam P, “Silk fibroin/chitosan blend films
loaded methylene blue as a model for polar
molecular releasing: Comparison between Thaisilk varieties,” J. Appl. Sci., Vol. 11, 2011, pp.
2592-2598.

136

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

AN ALGEBRAIC AND COMBINATORIAL APPROACH TO THE
CONSTRUCTION OF EXPERIMENTAL DESIGNSJulio Romero1 and Scott H. Murray2
Department of Information Sciences and Engineering, University of Canberra, Australia;
2
Department of Mathematics and Statistics, University of Canberra, Australia.

1

ABSTRACT
Experimental design is a well-known and broadly applied area of statistics. The expansion of this field to theareas of industrial processes and engineered systems has meant interest in an optimal set of experimental tests.
This is achieved through the use of combinatorial and algebraic approaches. As such, the present study states thetheoretical basis to construct and enumerate experimental designs using non-isomorphic mathematical structuresin the form of matrix arrangements called orthogonal arrays (OAs). These entities are characterized by their
number of rows, columns, entries (symbols), and strength. Thus, each different column could represent somemeasurable feature of interest (temperature, pressure, speed). The runs, expressed through OA rows, define thenumber of different combinations of a particular design. Similarly, the symbols allocated in OAs’ entries could
be the distinct levels of the phenomenon under study. During the OA construction process, we used group theory
to deal with permutation groups, and combinatorics to create the actual OAs following a particular design. The
enumeration process involved the use of algebraic-based algorithms to list all possible combinations of arrays
according to their isomorphic equivalent. To test isomorphism, we used graph theory to convert the arrays into
their corresponding canonical graph.
The outcomes for this study are, firstly, a powerful computational technique to construct OAs from 8 to 80
runs; and secondly, additions in the published list of orbit sizes and number of non-isomorphic arrays given in[1] for 64, 72, and 80 runs.
Keywords: Orthogonal arrays, Combinatorics, Experimental design, Engineered systems.

appraisal of different alloys in strength of materials;
the selection of design parameters to make theproduct / process to work within a specified
tolerance range under a wide variety of field
conditions (we say the design is being robust); andthe determination of the key factor combinations
affecting a particular product performance.
Besides their flexibility of being easily
implemented in engineering design [2], our arrays
are mathematically made so we can perform their
combinatorial “enumeration”. This last idea is theone presented in this paper. Our interests infollowing a purely mathematical point of view indealing with experimental designs are, firstly, thedevelopment of algorithms which actually calculate
the objects we are defining theoretically; secondly,
to answer concrete questions in group theory to
explore more of it; and thirdly, to deal withcomplexity theory such as to able to answer the
problem whether two graphs, given by theiradjacency matrix, are in fact, isomorphic [5].

INTRODUCTION
The engineering or scientific method is theapproach of solving problems through the efficient
application of scientific principles based upon awell-structured theoretical knowledge [2]. In
applying the aforementioned approach, engineers
undertake experiments or tests as an intrinsic andnatural part of their jobs. As such, sound statisticalbased experimental designs are extraordinarily
useful within the engineering profession aiming to
improve process and systems characterized bysuitable
engineering
specifications.
These
specifications are described as several “controllable”
variables associated with the overall system/process
performance. Therefore, knowing the main factors
and their interactions, the engineer is able to analyze,
for instance, process yield, process variability,
development time, and operational costs [3], [4].
Latest implications in using experimental tests
are related with engineering parameter design.
Within this discipline, it is possible not only todevelop new products/processes, but also to enhancethe existing ones. To cite some examples inparameter design, we have the evaluation andcomparison of basic design configurations; theWe initially present the main concepts of grouptheory which underlie the algorithms used toconstruct the arrays. We move further with the tools
provided by the theory of graphs, to map an array
into its equivalent canonical graph to be able to137

SEE-Mie, Japan, Nov. 19-21, 2015indirectly assess isomorphism between the arrays.
We then present a pseudo code to implement abacktrack search algorithm to look through thedifferent orbits which conform the orbit space of aparticular array of design type t.

computational implementation.
We applied group theory to define the full groupof factor transformations and the corresponding
automorphism group. Furthermore, we used graphtheory to represent the orthogonal array as a coloredgraph. This approach allowed us to define acanonical representative of an orbit of OAs using the
canonical graph [9]. This leads to improve thecomputational time and memory usage for the
calculations. We also implemented the backtrack
search and the lexicographical least run algorithms
to find the arrays and as a decision criteria to drop aleaf [1], [10].

COMBINATORIAL SETTING
Orthogonal arrays (OAs) are related to
combinatorics, finite fields, geometry, and error
correcting codes. Fig. 1 shows an example of an OAof strength two (transposed).

Algebraic Setting
Consider 𝐹𝐹𝑁𝑁𝑁𝑁 as the set of all elements of theform:

Fig. 1 Strength two OA (transposed)
Each of the four possible rows does appear in thearray, and they appear the same number of times(picked them in groups of 𝑡𝑡 = 2 columns). This is
the fundamental property that defines an OA [6]. In
the previous example, only three symbols appeared,
0, 1, and 2. Thus, we say the array has 3 levels. Notethat each level may represent a particular
combination of physical properties: fuel withadditive or not, 20oC or 80oC, machine running or
stopped, and so forth. Following the same example,
we have 3 columns each representing a variable
under study (additive, temperature, machine’s
condition). In a similar way, our array F has 12 rows
or runs, each representing a particular combinationof the different variable levels. Mathematically, we
represent an OA of strength 𝑡𝑡, 𝑠𝑠 levels, 𝑁𝑁 runs, and𝑎𝑎𝑗𝑗
𝑎𝑎 variables as: 𝑂𝑂𝑂𝑂(𝑁𝑁, 𝑆𝑆𝑖𝑖 , 𝑡𝑡) . For our particulararray 𝐹𝐹, we have 𝑂𝑂𝑂𝑂(12, 31 22 , 2) or equivalently, adesign type 𝑈𝑈(31 , 22 ) [6], [7].

𝐹𝐹𝑁𝑁𝑁𝑁 = �𝐹𝐹: 𝐹𝐹 𝑖𝑖𝑖𝑖 𝑎𝑎 𝑁𝑁 × 𝑑𝑑 𝑚𝑚𝑚𝑚𝑚𝑚𝑚𝑚𝑚𝑚𝑚𝑚, 𝐹𝐹𝑖𝑖𝑖𝑖 ∈ 𝑆𝑆𝑗𝑗 �(1)called the set of all fractional factorial designs(FFDs). We define the groups 𝐺𝐺𝜌𝜌 , 𝐺𝐺𝛾𝛾 , and 𝐺𝐺𝜎𝜎 ,acting on 𝐹𝐹𝑁𝑁𝑁𝑁 as 𝐺𝐺𝜌𝜌 = 𝑆𝑆𝑆𝑆𝑆𝑆(𝑁𝑁) , the group of all
permutations acting on rows; 𝐺𝐺𝛾𝛾 = 𝑆𝑆𝑆𝑆𝑆𝑆(𝐷𝐷), thegroup of permutations acting on columns; and𝐺𝐺𝜎𝜎 = 𝑆𝑆𝑆𝑆𝑆𝑆(𝑆𝑆), the permutation group acting on
symbols. Thus, 𝜌𝜌 𝜖𝜖 𝐺𝐺𝜌𝜌 defines an action:
𝜌𝜌�𝐹𝐹𝑖𝑖,𝑗𝑗 � → 𝐹𝐹𝑁𝑁𝑁𝑁 = �𝐹𝐹𝜌𝜌𝜌𝜌,𝑗𝑗 �similarly, 𝛾𝛾 ∈ 𝐺𝐺𝛾𝛾 defines an action:

(2)

𝛾𝛾

𝛾𝛾 ∈ ∏𝑘𝑘 𝑆𝑆𝑆𝑆𝑆𝑆(𝐽𝐽𝑘𝑘 ) ⊆ 𝑆𝑆𝑆𝑆𝑆𝑆(𝐷𝐷) → 𝐹𝐹𝑁𝑁𝑁𝑁 = �𝐹𝐹𝑖𝑖,𝛾𝛾𝛾𝛾 � (3)and 𝜎𝜎 ∈ 𝐺𝐺𝜎𝜎 defines an action:

𝜎𝜎 = (𝜎𝜎1 , … , 𝜎𝜎) ∈ ∏𝑘𝑘 𝑆𝑆𝑆𝑆𝑆𝑆(𝐽𝐽𝑘𝑘 ) ⊆ 𝑆𝑆𝑆𝑆𝑆𝑆(𝑆𝑆) →𝜎𝜎𝑗𝑗𝜎𝜎= �𝐹𝐹𝑖𝑖,𝑗𝑗 �
𝐹𝐹𝑁𝑁𝑁𝑁A strength-t OA assures that all possiblecombinations of the levels in a variable of up to t
occur together equally often [6]. Thus, the strengthof the array defines the effects of each individual
variable (factor) that can be taken in consideration
when assessing the design [6], [8]. Also, according
to the strength t required, we will be able to calculate
some interactions between factors as well. Suchexperiments are called fractional factorial designs[7]. Our particular interest is in OAs of strength 3,
which can model all main factors in a particular
phenomenon under study and up to two interactions
between the factors.

(4)

Definition 1. Consider the set 𝐹𝐹𝑁𝑁𝑁𝑁 of 𝑁𝑁 × 𝑑𝑑 arrays,
and G the group of permutations. We define theaction of the group G on the set 𝐹𝐹𝑁𝑁𝑁𝑁 as a map
𝜙𝜙: 𝐺𝐺 × 𝐹𝐹𝑁𝑁𝑁𝑁 → 𝐹𝐹𝑁𝑁𝑁𝑁 such that:• 𝐹𝐹𝑒𝑒 = 𝐹𝐹, ∀ 𝐹𝐹 ∈ 𝐹𝐹𝑁𝑁𝑁𝑁 ; 𝑒𝑒, identity element.
• (𝐹𝐹)(𝑔𝑔1 𝑔𝑔2 ) = (𝐹𝐹𝑔𝑔1 )𝑔𝑔2 ∀ 𝑔𝑔1 , 𝑔𝑔2 ∈ 𝐺𝐺.

Corollary 2. Let the map ∅ define a grouphomomorphism such that ∅: 𝐺𝐺1 → 𝐺𝐺2 where
𝐺𝐺1 and 𝐺𝐺2 are both permutation groups. Then ∅ is a
one-to-one map if and only if 𝑘𝑘𝑘𝑘𝑘𝑘(∅) = 𝑒𝑒

MATHEMATICAL BACKGROUNDThis section shows how we performed theconstruction and enumeration of strength threeorthogonal arrays. We initially explain themathematical approach used for the permutation
138

Proof. Assume the map ∅ is one-to-one. It holds that∅(𝑒𝑒) = 𝑒𝑒2 , the identity element of 𝐺𝐺2 . Thus, 𝑒𝑒 is the
only mapped element into 𝑒𝑒2 by ∅, so 𝑘𝑘𝑘𝑘𝑘𝑘(∅) = 𝑒𝑒.

SEE-Mie, Japan, Nov. 19-21, 2015

Assume now that 𝑘𝑘𝑘𝑘𝑘𝑘(∅) = 𝑒𝑒 . For all 𝑔𝑔 ∈ 𝐺𝐺 theelement mapped into ∅(𝑔𝑔) are the elements of theright coset {𝑒𝑒𝑒𝑒} = {𝑔𝑔} showing that ∅ is one-to-one.

Fg1 = Fg 2 . It follows that there is a bijection
between the elements in OrbG (F) and the rightcosets of stab(F), thus∅ρ : Sym(N) → Sym(FND )and the result follows.

|G| = |stab(F)||#of right cosets of stab(F)| = |G|= |stab(F)|�Og (F)�Definition 3. We have the following mappings:(5)∅𝛾𝛾 : � 𝑆𝑆𝑆𝑆𝑆𝑆(𝐽𝐽𝑘𝑘 ) → 𝑆𝑆𝑆𝑆𝑆𝑆(𝐹𝐹𝑁𝑁𝑁𝑁 )

(6)

𝑘𝑘

∅σ : � Sym�Sj � → Sym(FND )(7)k

It follows from definitions 1 and 3,

Im∅ρ , Im∅γ , Im∅σ ≤ Sym(FND )G = < 𝐼𝐼𝐼𝐼∅ρ , Im∅γ , Im∅σ >Theorem 6. (Burnside's Theorem) Suppose the group
G acting on a set FND ; then, the number of orbits in
FND ; is given by

1⁄|G| � |stab(F)|(8)

Proof. Using lemma 5, we have:(9)

G = Gρ × Gσ ⋊ Gγ

(10)

G = ∅ρ (ρ) ∙ ∅σ (σ) ∙ ∅γ (γ) ≤ Sym(FND )(11)

OrbG (F) = {Fg | g ∈ G}

(12)

where Gσ ⋊ Gγ = ∏m
k=1 Sym�Sj,k � ≀ Sym(Jk )equivalently,

1⁄|G| � |stab(F)| = � 1⁄�Og (F)�F ∈ FND

Using our previous results from Eqs. (15), (16) and(17); the length of the G-Orbit of G is the number ofdistinct objects isomorphic to it. Thus,

we define the orbit space as the family of allequivalence classes obtained from G acting on anelement F of the set FND . Let F and T both elementsof FND . We say they are isomorphic if there exists a
permutation g ∈ G such that F = Tg. The previous
expression can also be written as F = T g .

|OrbG (F)| =

(15)

|G|
|Aut(F)|(18)

ENUMERATION USING GRAPH THEORY

Suppose now that a group G acts on a set FND ;then, for each element F ∈ FND , we redefine theequivalence class (orbit) containing F as:|G| = |stab(F)|�Og (F)�(17)

Definition 7. Let G be the group of all row, column,
and symbols permutations, and F ∈ FND . The set of
all isomorphisms from F to F is called theautomorphism group of F and is denoted by Aut(F)The elements of Aut(F) are called automorphisms ofF.

Definition 4. Let G be a group of permutations acting
on a non-empty set FND ; we define the orbit of G
containing F to the equivalence class given by:(14)

F ∈ FND

suppose there are OS orbits in FND , and F in the orbit
Og ; then, ∑F ∈ FND 1⁄�Og (F)� = OS .

orOG (F) = {F g | g ∈ G}

(16)

F ∈ FND

In the previous section, we explained how wemathematically set up the conditions for theconstruction and enumeration of strength t
orthogonal arrays. In this section, we formallyexplain their construction and how we perform theenumeration by mapping the OAs as canonicalgraphs.

Lemma 5. Suppose that a group G acts on a set FND ;then, for each F ∈ FND ,Mapping an OA to its equivalent canonical graph

Proof. Suppose that g1 and g 2 are in the right cosetof stab(F) and g1 = πg 2 for some π ∈ stab(F) .
Thus, Fg1 = (F)(πg 2 ) = (Fπ)g 2 . On the other hand,
suppose that Fg1 = Fg 2 , then F = Fg 2 g1−1 implyingthat g 2 g1−1 ∈ stab(F); therefore g1 and g 2 belong to
the same right coset of stab(F) if and only if
139

Let FND the set of fractional factorial designs
with F ∈ FND . Let Fij be a particular entry in thearray F, where i: ith row and j: jth column. We defineSρ the set of all N-tuples which represent thedifferent rows of the array F. Then, Sρ ={ρ1 , … , ρN } and Fij ∈ S; where S is the set containing

SEE-Mie, Japan, Nov. 19-21, 2015

size N.

the different possible symbols for a particular designU.

To determine row, symbol, and column vertices,
we have the following color partition proposition:

Definition 8. A colored graph is a triple FG =(V, E, Γ), where V is the set of the different vertices,v, of the graph; E is the set of edges, and Γ a map
from V to a set of colors C.

Proposition 12. Let F ∈ FND of strength t ≥ 1 andrun-size N. Thus,a) FG has a tripartite partition (Cρ , Cγ , Cσx ) withm|Cρ | = N, |Cγ | = ∑m
k=1 a k , and |Cσx | = ∑k=1 a k Sk .
b) Every vertex v ∈ V has a valence ν denoted by
ν = V(v)c) For the column-vertex set Cσx , we denote thevalency for cσx ∈ Cσx as νx , where νx is the uniqueelement {1, … , m}.
d) Let s ∈ S, the set of different symbols (levels).
Then ∃ cσx ∈ Cσx such that {s, cσx } ∈ E, the set ofedges for some k in {1, … , m}.
e) From d), it follows that the valence of a symbolvertex is given by

Definition 9. We define the neighbor of a vertex
vx ∈ V as η(vx ) = �vy ∈ V � �vx , vy � ∈ E} . An
isomorphism FG → FG′ = (V, E, Γ) is a bijection
η: V → V ′ such that:�vx , vy � ∈ E ↔ �η(vx ), η�vy �� ∈ E′ and Γ(vx ) =Γ�vy � ↔ Γ ′�η(vx )� = Γ ′�η�vxy �� ∀ vx , vx ∈ V.

Proposition 10. Let F ∈ FND . We construct a coloredgraph FG = (V, E, Γ) for the array F as follows:a) The set of the vertices V, is made on the elements
ρi , i: 1,2, … , N; γj , j: 1,2, … , d and σjx , j: 1, … d; x ∈S ; corresponding to the rows, columns, and thedistinct levels of the array.
b) The set of the edges, E , made on all of theE1 = {ρi , σjFij } and E2 = {γj , σjFij } ∀ i: 1, … , N andj: 1, … , d.
c) The set of the edges, E, made on all of the vertices
ρi with color Cρ ; all of the vertices γ with color Cγ ;and all of the vertices σjx with color Cσx .

ν(v) =d(19)|𝐸𝐸| = 𝑑𝑑𝑑𝑑 + � 𝑘𝑘𝑖𝑖

(20)

I

𝑑𝑑
𝐼𝐼

(21)

f) Let ρ ∈ Cρ and γ ∈ Cγ ; thus, there exists a pathof length two from ρ to γ through a vertex in V, andthis path is unique.
Definition 13. Let an orthogonal array be of design
type U and run size N. Consider also a colored graphwhich satisfies all of the points given in 12 above.
Thus, we call the colored graph as being of the type
(U; N), which forms a sub-set of FG .

Thus, FG has three partitions: rows, columns, andlevels. Mathematically, we express this as V = Cρ ∪Cγ ∪ Cσx . Similarly, we write the set of the edges as
E = E1 ∪ E2 ⊆ (Cρ × Cγ ) ∪ (Cσx × Cγ ). It follows
that the cardinalities |V| and |E| are given by|V| = N + � k i + d

NN+1 = +1
ν(cσx )
vx

Lemma 14. Let F2 and F2 ∈ FND OAs with designs
type 𝑈𝑈 and 𝑁𝑁 . Let also FG1 ; FG2 ∈ SFG be theircorresponding graphical representations. Thus,
F1 and F2 are isomorphic arrays if and only if FG1
and FG2 are isomorphic graphs.
Proof. Suppose F1 and F2 are isomorphic arraysg∈ FND ; then F1 = F2 ; g ∈ G. Because g ∈ G, itfollows that g is a product of g ρ , g γ , and g σ
permutations; and from c) in proposition (10), weghave FG1 = ∅�F1 � = ∅(F2 ) = FG2 . Therefore, FG1
and FG2 are isomorphic graphs. Suppose now that
FG1 and FG2 are isomorphic graphs; thus, ∃ g ∈ G
gsuch that FG1 = FG2 . Because FG1 and FG2 satisfy
all of the points given in proposition (10), they are
tripartite and the permutation g preserves the graphcoloring. Therefore, g can be written as the productof g ρ , g γ , and g σ permutations acting on F1 and thecomposed map takes F1 to F2 .

To characterize the graph of an OA, we define
the column-color classes to the disjoint union ofcolor classes Cρ , Cγ , and Cσx . The total number ofcolors of FG is 2 + m and each row-vertex isadjacent to sv symbol-vertices. Moreover, eachsymbol-vertex is adjacent to exactly one columnvertex, where sv = ∑mi=1 |Ci |Lemma 11. Let 𝑆𝑆𝐹𝐹𝐹𝐹 the set of all coloured graphs,
and the map ∅ defined as ∅: FND → 𝑆𝑆𝐹𝐹𝐹𝐹 that takes
an array F ∈ FND to the corresponding coloredgraph FG ∈ 𝑆𝑆𝐹𝐹𝐹𝐹 ; thus, ∅ is an injection.

Example. Assume we have an orthogonal array withdesign type U(31 , 22 ) and run size N = 6 (afraction of the array shown in Fig. 1); then, the set of

Proof. The number of vertices of FG does not depend
upon F but only on the design type U and the run

140

SEE-Mie, Japan, Nov. 19-21, 2015

vertices is made up on the elements ρi , i ∈ {1, … ,6};and γj , j ∈ {1, … ,7} ; and σjx , j ∈ {1,2,3} , x ∈{1,2} (see proposition (10)). We assign one color to
the set of rows Cρ ; one color to the partition
Cγ1 ⊆ Cγ corresponding to the level 3; one color to
the second partition Cγ2 ⊆ Cγ corresponding to thetwo levels of the two columns with the same symbol
level (0,1); and one color for the set of symbols Cσx .
We have in total |V| = 6 + ∑3i ri + 3 = 16 vertices,
and |E| = 2 × 6 + 7 edges. The colored graph ofthis array is shown in Fig. 2.

graph in order to be compared against the orbitrepresentative one. If it turns out that the two graphs
are isomorphic, the newest array is counted as partof the orbit-representative array and discarded.
However, if the graphs are not isomorphic, thenewest array is stored and classified as part of theorbit representatives for the particular design 𝑈𝑈.
The backtrack search algorithm

Mathematically, we consider the idea of finding
a FFd ∈ FND with a design type U . This design
specifies, among other parameters, the strength t of
the array, which is the main criterion looked in the
search tree to drop a leaf.
Definition 15. We define a partial image to the setof distinct entries in a row by 𝑆𝑆𝑒𝑒𝑒𝑒𝑒𝑒 = [Fi1 , … , Fir ] ,0 ≤ r ≤ m . When r = m , we call the sequence
𝑆𝑆𝑒𝑒𝑒𝑒𝑒𝑒 as complete.

Fig. 2 Canonical graph of the orthogonal array F.
Algorithm Description
The construction process requires an existingorthogonal array with design type U made using
simple combinatorial techniques. We then startadding the different symbols according to thespecified design. By adding symbols, we create a
new column to the existing array until the newrequired OA is completed.
During the process of adding symbols, ouralgorithms check that the conditions of strength
𝑡𝑡 and sequence's lexicographical order are being
met; otherwise, the entire OA is discarded. The
aforementioned process is carried out using the
backtrack search algorithm [11].
Fig. 3

In addition to the previous criteria, we use ourpermutation group 𝐺𝐺 with the operations 𝑔𝑔𝜌𝜌 , 𝑔𝑔𝛾𝛾 and𝑔𝑔𝜌𝜌 to prune the tree when we find isomorphic graphs
downstream of the search tree (this stage help us tosave important computational time and memoryusage resources). Furthermore, the recently madearray is then mapped to its equivalent canonical

Backtrack Search Algorithm.

According to definition 15, the backtrack searchgoes through the partial images given by thesequence 𝑆𝑆𝑒𝑒𝑒𝑒𝑒𝑒 . Within this search, it will use any
knowledge of the design to prune the search tree.
Note that in constructing a new design we totally141

SEE-Mie, Japan, Nov. 19-21, 2015

order the sequences 𝑆𝑆𝑒𝑒𝑒𝑒𝑒𝑒 so that we induce a
lexicographical order for the set of partial images.
This means that only the first point of each k-orbit
has to be considered when extending 𝑆𝑆𝑒𝑒𝑒𝑒𝑒𝑒 .

We have presented a mathematical andcomputational method for constructing andenumerating strength-t orthogonal arrays given a
fixed number of experiments. The technique shown
provided a feasible generic framework and has beenvalidated through both, the comparison of designs
already listed by several different techniques, andthe discovery of some new mixed OAs.

Figure 3 shows the algorithm we use to traverse
a tree created to search orbits and theirrepresentatives. The search will go through some ofthe elements of the permutation group whileskipping some leaves according to the previously
discussed criteria.

ACKNOWLEDGEMENTS
My deepest gratitude to Dr Scott H. Murray forhis continuous support throughout the developmentof this project. Many thanks also to Dr Judith
Ascione for her very useful assistance during theearly stages of preparing this manuscript.

Isomorphism Classes Enumeration Results
In Table 1, we show some examples of results
obtained by Man [1] which were corroborated with
our approach. In addition, we introduce newisomorphism classes enumerated using the techniquepresented in this paper.

REFERENCES[1] Nguyen M, “Computer-algebraic methods forthe construction of designs of experiments”.
Technische Universiteit. Eindhoven, Eindhoven
University Press, 2005.
[2] Blanchard BS and Fabrycky WWJ, “Systems
engineering and analysis”, Prentice-Hall
international series in industrial and systems
engineering, 2011.
[3] Ross PJ, “Taguchi techniques for quality
engineering”, McGraw-Hill Education (India),
Pvt Limited, 2005.
[4] Tsai JT, “Robust optimal-parameter design
approach for tolerance design problems”,
Engineering Optimization, 42(12):1079 - 1093,
2010.
[5] Dummit DS and Foote RM, “Abstract Algebra”,
Wiley, 2003.
[6] Hedayat AS, Sloane NJA, and Stufken J,“Orthogonal arrays: theory and applications”,
Springer series in statistics, Springer-Verlag,
1999.
[7] Montgomery DC, “Design and Analysis ofExperiments”, Wiley, 2012.
[8] Lekivetz R and Tang B, “Multi-level orthogonalarrays for estimating main effects and specified
interactions”, Journal of Statistical Planning andInference, 2012.
[9] David G and David B, “Graphs for orthogonalarrays and projective planes of even order”,
SIAM Journal on Discrete Mathematics,
26(3):1076-1087, 2012.
[10] Schoen ED and Nguyen M, “Enumeration andclassification of orthogonal arrays”. Journal of
Algebraic Statistics, 2007.
[11] Hulpke A, “Notes on Computational Group
Theory”, Department of Mathematics, Colorado
State University, 2010.

The first column of the table represents the run size
𝑁𝑁 for the different designs. The second column
corresponds to the actual design type 𝑈𝑈 according to
the multiplicity notation for automorphism grouporders. The third and fourth columns of the table are
the number of the automorphism groups and theircorresponding size respectively. We have indicatedwith an asterisk the newest designs we have found.
Table 1 Non-isomorphic OAs of strength three
N
64
64

Type
45
4 1
4 2

#
1
3

64
64
64
64
72

41 25
41 26
41 27
41 28
61 24

12692
≥ 7865*≥ 10661*≥ 1189
156

Size
1441
2561,
5121,
15361

25636,
51272,
307232,409612,1105924

72
61 25
64296
1 6
72
6 2
≥ 36550*
1 772
6 2≥ 54834*
1 3
80
4 2
17
80
41 24
303
80
41 25
≥ 18653*80
41 26≥ 15283*
Note: new arrays indicated with an asterisk *.
CONCLUSION
142

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

MODEL DEVELOPMENT FOR OUTBREAK OF DENGUE FEVERSURVEILLANCE SYSTEM IN DISTRICT LEVEL
Pongmada Damapong1, Peerada Damapong2, Supat Jumparwai3
College of Allied Health Science, Suan Sunandha Rajabhat University, Thailand
3
Sirindhorn College of Public Health, Khon Kaen, Thailand

1,2

ABSTRACT
There is reportedly confirmed that the number of epidemics of dengue fever has increased. Use ofhealth surveillance system on epidemic of dengue fever at the district level is restricted. A study to develop asuitable Model for Outbreak of Dengue Fever Surveillance System (MODFSS) in district level. The 60
participants, including 3 government officers leaders, 10 local leaders, 3 specialists, and 44 village healthvolunteer of participating in the development of the model. The present study utilized three sets of a database,reported on a monthly basis. These included dengue fever cases, notification in advance of the mosquito
breeding sources, problems and obstacles of the related organization and epidemic of dengue fever by the local
community leaders. The five approaches to develop of the MODFSS included situational analysis, prototype
system design, system test, system improvement and model dissemination. This study was conducted in 10
communities. The MODFSS model application was created at the district level. The model evaluated andmonitored epidemic of dengue fever practices of prevention and control actions in communities. The fiveimportant constituents of the MODFSS were 1) organizations of epidemiology networks, 2) indicators of
epidemic, 3) data collection tools, 4) data analysis and 5) dissemination of information. The MODFSS consistedof six core activities (detection, registration, confirmation, reporting, analysis and suggestion) and four support
activities (communication through meeting and brainstorming, training, supervision and resource-provision). The
developed MODFSS is an effective of health surveillance suitable for district level.
Keywords: Model Development, Outbreak, Surveillance System, Dengue Fevermodel for bottom up dengue fever surveillancesystem suitable for communities at the district level.
Consequently, reported data, information andmessage deriving from the surveillance model will
aid appropriate solutions in prevention and control
of dengue fever, control of major breeding sourcesof mosquitoes, and people potentially at risk relevant
to problems and needs of the district level.

INTRODUCTION
There is reportedly confirmed that the
number of epidemics of dengue fever has increased,
especially in tropical and subtropical regions
distributed globally. Dengue fever(DF) is an acuteinfectious disease the mosquito Aedes aegypti-borne
is responsible for transmitting the dengue virus(DENV) between human [1]. In Thailand, with apopulation of over 65.12 millions in 2014[2] wasaround 39,569 cases of dengue fever and morbidity
rate was 61.75 for dengue fever per 100,000 in
2014. Of which, they were aged between 5 to 34
years. Their occupations included students (46.1%),
pre-school child (19.2%), employed(17.7%) andothers (17.0%), respectively[3].
The national policy of Thailand has placed
dengue fever on the national strategic since the last
decade up to present[4]. However, there were someproblems in operation of the policy into real practicethe control on dengue fever such as organizations
system , authority of local related organizations,
local legislation and regulation of dengue fever
control[5].
Since there is restricted use of public healthsurveillance system in dengue fever at the districtlevel in Thailand, this research aimed to study anddevelop suitable dengue fever surveillance system in
district level. Findings will indicate the effective

MATERIALS AND METHODSThis research was carried out from June,2014 to June, 2015 in 10 communities located inBang Yi Rong Subdistrict, Bang Khonthi District,
Samut songkham Province, Central Thailand. It
consist 60 participants from all sectors involving
with dengue fever in the participating in the model
development. These included direct responsible
government officers leaders (3), local leaders(10),university specialists(3), and village healthvolunteer(44). For design, monitoring and evaluationof the developed MODFSS model. The study
utilized three sets of database reported on a monthly
basis, such as databases included dengue fever cases,
notification in advance of the mosquito breeding
sources and problems and obstacles of the relatedorganization and epidemic of dengue fever by the
local community leaders. The study used fiveprocessual step approach and began with situational143

SEE-Mie, Japan, Nov. 19-21, 2015

analysis of Step 1 and followed by reforming theexisting surveillance system into the developed
MODFSS of Step 2 to Step 4. Step 5 involved
dissemination of the MODFSS. Each step yielded
specific and measurable outputs and outcomes thatguide the next steps.
Research step 1: Situation analysis. This step
involved assessment of the current community
context, environmental condition, status of thedengue fever surveillance system and action byusing secondary data sources, survey, observation,interview, and meeting. This step led to finding
about the strengths and weaknesses of the existing
situation and the current system.
Research step 2: Prototype system design.
This step included creation and reformation of theworking committee, stakeholders and networks inthe dengue fever surveillance system in the district
with an assistance of the university specialists.
Through the support activities such as meeting andbrainstorming using information derived fromresearch step 1.
Research step 3: System test. This step
focused on carrying out the process-oriented action
steps developed and started the full implementationof the developed MODFSS in the existing condition
to achieve goals and objectives of the model. It
allowedtheworkingcommittee
andstakeholders/networks to assess effectiveness of themodel and to help identifying problematic areas in
the processes of model implementation.
Research step 4: System improvement. This
step involved modification of the MODFSS andsetting guidance for monitoring and evaluation of
the overall reform progress of an implementation. Its
end result of this step guided to the effectiveness of
the MODFSS suitable for local communities at the
district level.
Research step 5: Model dissemination. This
step involved transferring of the newly developedmodel (MODFSS) for further implementation inother areas.
Research tools: This research utilized bothquantitative and qualitative data collection tools.
Quantitative data were collected by using threeforms of record sheets of the surveillance system,
MODFSS1- MODFSS3 to elicit data on 1) dengue
fever cases, 2) Index and to identify the major
breeding sources of mosquitoes, House Index(HI),Container Index(CI), Breteau Index (BI), and 3)
people potentially at risk. In addition, it also used
qualitative data were obtained by using focus group
discussion, secondary data review, and participant
observation in the meeting and brainstorming
sessions of the working committee, networking
groups and stakeholders.
Data analysis: Quantitative data on arrested
dengue fever cases, index and to identify the major
breeding sources of mosquitoes, and reported

people potentially at risk, and were analyzed byusing descriptive statistics such as frequency,
percentage, rate, average and standard deviation.
Qualitative data were analyzed by using content
analysis.
The study was approved by the Ethics
Review Committee for Research Involving Human
Subjects, Sirindhorn College of Public Health, Khon
Kaen, Thailand (number 050/2557).
RESULTS
Bang Yi Rong Subdistrict, Bang Khonthi
District, Samut songkham
Province was acomprised 10 communities, based on its total
population of 1,978 in 2014, there were 1,184
population aged 5-34 years (59.8%) currently livingin the area. Results on situational analysis oncommunity context and existing dengue fever
surveillance system, and the developed MODFSS
were described as the following.
Situational Analysis
The results of the study reflected community
context of Bang Yi Rong Subdistrict, Bang Khonthi
District and its existing dengue fever surveillancesystem.
Community Context: The study found that
there were numbers and rate of dengue fever
treatment between January to May, 2015 in the areas
report to 26 cases (79.5 per 100,000 population). Of
which, they were aged between 2 to 72 years(Mean
25.1 years). Their occupations included students(37.4%), employed(33.0%), self-employed (10.5%)
and others (19.1%), respectively
Existing dengue fever Surveillance System:
The dengue fever surveillance system on epidemic
of dengue fever at the district level is limited. As aresult, the incomplete data management could impair
solutions to help solve the dengue fever problems of
the people in responsible areas.
The Developed MODFSSThe development of the MODFSS in thiscurrent study grew out from the restricted
management of dengue fever data generated amongauthorities and responsible staffs at district level.
Usingfive-process
approachformodel
development, the attributes of the developed
MODFSS, including system structure, delineated as
the followings.
The system structure: The structure of thedeveloped MODFSS comprised three important
attributes:
responsibleorganizationsofepidemiology networks, indicators of epidemic
situation, and dissemination of dengue fever
information.
144

SEE-Mie, Japan, Nov. 19-21, 20151)Responsible organizations of epidemiology
networks: The developed MODFSS comprised ofstaff from both government and privateorganizations and networks to contributed in thecollaborative work. There were five responsiblegroups: 1) Government official group, including the
Public Health Chief Officer, Nurses, and Public
Health Officers; 2) Local politician group, including
the Mayor, Vice Mayor, and Alderman; 3)
Community leader group, comprising heads of thesubdistrict and communities; 4) Volunteer group
comprising village health volunteer, and 5) Expert
group, included the specialists from Suan Sunandha
Rajabhat University (College of Allied Health
Science) and Sirindhorn College of Public Health,
Khon Kaen. Each group had to either carry out
dengue fever surveillance tasks, or participate in themonthly meeting, or both. Details of the roles andactivities of each responsible organization andnetwork were shown in Table 1.

then divided into two groups: Index and to identify
the major breeding sources of mosquitoes, HI, BI,
CI, and people potential at risk.
Group 1-Indicator of dengue fever cases. The
indicator for determining morbidity rate of dengue
fever cases were divided as the following alarming
signs were served as indicators for taking precaution
on of dengue fever cases problems in the area: if
there were more than 20.0% of the median ofmorbidity rate of dengue fever over the last 5 years.
Group 2-Indicators of major breeding sourcesof mosquitoes. The indicators for determining major
breeding sources of mosquitoes were divided into
three categories. These included indicators forHouse index (HI), Container index (CI), and Breteau
index (BI). The following alarming signs wereserved as indicators for taking precaution on of
dengue fever cases problems in the area: 1) HI:
having more than 5.0 % of houses infested withlarvae and/or pupae; 2) CI : having more than 2.5%of water-holding containers infested with larvae or
pupae; and 3) BI : having more than 2.5 of numberof positive containers per 100 houses inspected.
Group 3- Indicators of people potentially at
risk. The indicators for determining enabling factorsof the people potentially at risk were divided into
two categories, including proportion of people
potentially at risk and existing dengue fever risk area.
The following indicators served as alarming signs
for taking precaution on dengue fever problems
pertaining to people potentially at risk in the area: 1)
having people with dengue fever risk behaviors
more than 5 per 1,000 population and 2) having
more than 5 of number of positive areas per 100
houses inspected.
The above indicators inter-wovently served
as information and guideline leading to appropriate
public actions in prevention and control of dengue
fever in communities at a district level.
3)Dissemination of dengue fever information:
The developed MODFSS recognized the importanceof tranferring raw data obtained from thesurveillance system into information and message to
guide public actions, particularly prevention andcontrol of dengue fever problems in the target
communities. Consequently, data dissemination inthis newly developed model was done by several
means to both public and private sectors. These
included communication through meeting andbrainstorming among working committee and staff
in responsible orgnizations and networks, as well asreporting to local leaders and village healthvolunteers.

Table 1 Dengue fever surveillance activities andsupport activities divided by the responsibleorganizations and networks.
Dengue fever
surveillance
activities

Supportactivities

Detection
Registration
Data collection
ReportingAnalyses
Feed backCommunication
Training
Supervision
Resource provision

Organizations/
Networks

District level
District Healthxx x x x x
CenterSubdistrict
level
Health Promotion x x x x x x x x
Hospitals
Subdistrictxx xxAdministration
Organizations
Communityxx xx
Leaders
Village Health xx x
Volunteers
Note: x = activities and support activities divided by
the responsible organizations and networks.
2) Indicators of epidemic situation : Using
database on monthly dengue fever cases generated
by the Ministry of Public Health , the indicators fordetermining dengue fever situation in communities
had been modified from its original source (Ministryof Public Health). Such modified indicators wereDISCUSSION
At the initiation period, the first applicationof surveillance system in public health in global was
145

SEE-Mie, Japan, Nov. 19-21, 2015

in disease prevention and control[6],[7]. Applicationof surveillance in dengue fever in Thailand wasrecent, started in 1958. However, the surveillancesystems previously set up were not consistently andcontinuously operated[8]. In addition, an existing
dengue fever surveillance system does not reach its
full coverage. Consequently, there was limited useof dengue fever surveillance system in district level .
This current study provided ways to sustainable thedengue fever surveillance system in district level.
The newly developed MODFSS in this study waseffective for system, findings also indicated the useof information related to dengue fever in several
public actions, including prevention and control ofdengue fever problems, as well as suppression ofsuch problems.
Dengue fever surveillance system in Thailand
basically utilized 2 principal strategies prevention
and control such as control of mosquito breeding
sources and public health education. Unlike thesituation in the Singapore that had implemented thesuccessful dengue fever control by making use of 3
principal strategies, source reduction of Aedes
aegypti population, public education, and law
enforcement[5]. Consequently, the use of Dengue
fever surveillance system in Thailand was more
likely to benefit public actions in regards toprevention and control tasks rather than for curative
law enforcement. Furthermore, a policy does not
focus on developing active surveillance. On theother hand, general surveillance system used in thehave focused on passive surveillance[6], [7] ,[9].
The MODFSS in this study is useful for
determining magnitude of dengue fever problems
for it provides early warning signs of occurrences of
emerging problems. The data has gathered from
hospital registration and records, survey of mosquito
breeding sources, and people potentially at risk. In
addition, this MODFSS was effective and simple forusage in communities[10]. Finally, the MODFSS
developed in communities at Bang Yi Rong
Subdistrict, Bang Khonthi District is recommended
to be further utilized in other districts elsewhere.

to shape the model for dengue fever surveillancesystem in this current study. Our thanks also go to
the public health chief officer, public health officers,
nurses, mayor, vice mayor, alderman , community
leaders, and village health volunteer of bang yi rong
subdistrict, bang khonthi district, samut songkham
province for the kind guidance, assistance andcooperation.
Funding : This research was supported by National
Research Council of Thailand and Suan Sunandha
Rajabhat University, Thailand.
REFERENCES[1] M. Womack (1993). "The yellow fever
mosquito, Aedes aegypti". Wing Beats 5 (4): 4.
[2]
Department of Provincial Administration.
Thailand Population Report 2014. The Year 2014
inReview.
Availablefrom:
http://www.dopa.go.th[3] Bureau of Epidemiology.
ThailandEpidemiology Report 2014. The Year 2014 in
Review.
Available
from:http://www.boe.moph.go.th/files/report/201
50106_732528.pdf[4] Department ofDisease Control. National
Strategic Plan for Control of Communicable
Disease Year 2012 – 2016: Ministry of Public
Health, 2012.
[5] Adisak Bhumiratana,
Apiradee Intarapuk,Suriyo Chujun, Wuthichai Kaewwaen, Prapa
Sorosjinda-Nunthawarasilp&
Surachart
Koyadun(2014). Thailand Momentum on Policy
and Practice in
Local Legislation on Dengue Vector Control.
Interdisciplinary Perspectives on Infectious
Diseases.
[6]
Langmuir,Alexander D.
1963.
The
surveillance of communicable diseases ofnational importance. New England Journal of
Medicine 268 : 182-192.
[7] Last JM. A Dictionary of Epidemiology Second
Edition. New York : Oxford University Press
1988.
[8] Department of Disease Control. Guidelines forOperations Surveillance and Prevention of
Dengue Fever : Ministry of Public Health, 2014.
[9] Losos J., Z. Rumaloutine and Sentinel
Surveillance Methods. Eastern Mediterranean
Health Joumal 1996;2:1,46-50.
[10] P. Damapong, N. Kanchanakhan, W.
Eungpinichpong, and P. Damapong“Effectiveness of court-type traditionalThaimassage
in patients with chronic tension-type headache: apilot study,” Journal of Health Research, vol. 29,
no. 5, 2015.

CONCLUSION
The MODFSS developed in this current study
was a bottom up and effective form of public healthsurveillance suitable for communities at a districtlevel. A surveillance system of dengue fever incommunities has effectively for monitored a dengue
fever
problems . A completeness to develop
surveillance system has to attention from public
sector was a key success factor.
ACKNOWLEDGEMENTS
The researchers are very grateful to allparticipants for contributing important information
146

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

DEVELOPMENT OF FISHMEAL PROCESSING FROM CATFISH
PROCESSING WASTE
Charun Likitrattanaporn
Faculty of Agricultural Technology, Rajamangala University of Technology Thanyaburi (RMUTT),
Thailand

ABSTRACT
Thailand is one of the top fish producing nations in the world not only marine culture but also freshwateraquaculture. Since 1984, the artificially propagated hybrid catfish (clarias gariepinus x c. macrocephalus) has
been cultured commercially and increasingly gained popularity among farmers spared throughout the country. At
present Catfish processing such as dried fish, pickled fish and fish sausage becomes the important role for the
farmer income and household economy. However, the most processing waste transform as organics fertilizer
used in their farm is not valued compared to a byproduct as fishmeal. The simple fishmeal processing isdeveloped for Catfish feeds from the Catfish processing waste (CPW). Cooking process is compared between
steaming and boiling before squashing and drying process. The qualities of fishmeal were evaluated such asprotein, fat, ash and moisture content. The results shows that both cooking processes are not significantly
different in term of overall qualities but the boiling process shows slightly lower in term of energy used than thesteaming process. All fishmeal samples gain protein content lower than 36% and slightly high fat content about
15% which could be used for Catfish feeds.
Keywords: Catfish, Fishmeal processing, Catfish processing waste

nutrient content; protein. Feeds and feeding practices
became important technique to overcome the farmer
economy.
Simultaneously catfish could be added value by
processing, like dried fish, pickled fish, fish sausageetc., estimate double price from raw material.
However, catfish processing waste such as fish head,gut and skin were transformed to organics fertilizer
which is easy utilized but don’t earn any direct
income. Estimation of waste maybe more than 50%
of total weight that means half of catfish will bethrown out. In marine processing industry theirwaste will be transformed to fishmeal and fish oil
which they can earn a lot of money and it isalternative protein source for cattle and poultry.
Fishmeal processing is carried out in six steps:
cooking, pressing, separating, evaporation, drying
and grinding. When the fish is heated the proteinpresent in its coagulates and ruptures the fat deposits.
The cooked fish will be pressed which removes
large amount of liquid from raw material. The liquid
is collected to separate the fish oil from water. Thenthe water which is also known as stick water will be
evaporated to a thick syrup containing 30-40%
solids. Finally, pressed fish cake is subjected todrying using press cake method to obtain a stablemeal. This meal is grinded to the desired particle
size. [4]INTRODUCTION
Catfish production in Thailand has increased
dramatically after the widespread adoption of hybrid
fish and reached about 137,000 ton/year by 2012. [1]Most of the production is sold in domestic markets.
The artificially propagated hybrid catfish (clarias
gariepinus x clarias macrocephalus) is easier andquicker to raise than Clasrias macro-cephalus and at
first, commanded better prices than the previously
more widely cultured Clasrias batrachus. However,soaring production and a slow growing market haveslimmed profit margins and fish farmers haveattempted to reduce feed costs and increase unit size.
Since 1960s the marine trash fish has been
mainly used for feeding catfish culture, although
floating pelleted feeds available in the market for
decades. [2] However it has become popular feeds
for catfish culture farm since in 1993 [3] but few
years later the chicken processing wastes, principally
heads, intestines and leg bones have become
important catfish feed resources.
Catfish feed, is the major cost for Thai farmers.
It can be used so as to alternate feed from chicken or
pig manure. To reduce its cost but affect topreferable of customer and deduct the catfish market
share of freshwater fish production. Moreover, due
to the bird flu (Highly Pathogenic Avian Influenza)disease outbreak in 2003, it caused the negative
effect to integrated catfish farming. Catfish feed iscommonly major used ingredient composition andCatfish production farm needs to apply
Sustainable agriculture aims to develop production147

SEE-Mie, Japan, Nov. 19-21, 2015

especially as self-support on feeds and feed practice,value added by processing and marketing. To reachthe goal, first step is to develop on catfish feed byutilize their processing waste to produce fishmeal inorder to be the Catfish feed.

and grinding as shown in figure 4. Three outputs ofthis process are fishmeal, fish oil and protein syrup.

Raw materials

MATERIALS AND MATHOD
CookerCatfish Processing Waste (CPW)The CPW used in this study came from thecommunity enterprise namely “Bueng-Kham-Poi
Catfish Processing Centre”. This community issituated at Thanyaburi, Pathumthani province.
People there produce dried Catfish twice a week at
300kg raw material which gain waste around 40% of
raw material. Most of it is heads together with apartof gut. CPW will be collected and cooled down
before delivery to laboratory and do experiment.

Screw press

Cake

LiquidDryer

Oil separator

Grinder

Fishmeal

Fish oil

Stick water

Evaporator

Protein syrup

Fig. 4 The fishmeal Processing Flow Diagram(Zhoushan Xinzhou Fishmeal Equipment Factory)

Fig. 1 The selected Catfish 200-300g each

The above flow process diagram shows theindustrial fishmeal processing which is commonlyused in marine by-product especially Tunaprocessing waste that contains valuable fish oil andprotein extract. While freshwater fish containdifferent fish oil which may use for other purposes.
In this study the processing waste is focused onfishmeal processing in order to add value and may
be they can develop their own Catfish feeds in the
future. The fishmeal process for sustainableagriculture principle should design a simple process,cheaper, available equipment and low energy
requirement.
Therefore, the fishmeal processing consists of 4
processes, start from cooking, after that squashingwater with oil from cooked waste. From preliminary
test cooked waste is directly dried result shows thathigh fat content reach 30% of fishmeal. The cake ismilled before drying.

Fig. 2 The dried Catfish

Cooking process
Fig. 3 The Catfish head, a processing waste (CPW)The cooking process is the first step to stop
enzyme and microorganism in the waste not to deter
late and spoilage. Normally boiling and steaming areused for cooking process in this study. To produce
fishmeal from the aquatic processing waste should

Fishmeal Processing Design
Fishmeal processing is carried out in six steps:
cooking, pressing, separating, evaporation, drying
148

SEE-Mie, Japan, Nov. 19-21, 2015

consider the pathogen transfer which may cause
disease problem or contamination [5]. So thecooking process of the Catfish processing waste
need to heat at 100oC for 30 minutes or more. The
boiling process, equal weight of CPW and water areused and boiled for 30 minutes with occasionalstirring. After that CPW is screened and cooled
down before milling. The steaming process, CPW isfilled in basket and steamed at atmosphere pressurefor 60 minutes, then cool down to room temperature
before milling.
Squashing process

Fig. 6 the Milling equipment

The manual compressing equipment, which is a
simple squashing process, is used as shown in figure
5. Cooked CPW is filled in the perforated column
and then turn the handle clockwise to move thecompression plate downward in order to compress
the CPW and release the water with oil out of theperforated column.

Drying process
Two techniques are used in this experiment; thesun drying is applied in order to save power input
and a Tray dryer which controls drying temperature
at 60oC.

Experimental Design
Samples

Boiling

Cooking

Steaming

Squashing

Milling

Sun drying

DryingTray dryer

Fishmeal
Fig. 5 the manual compressing equipment
Grinding
Milling process
Qualities Evaluation

The meat grinding equipment is used for cutting
CPW into small particles as shown in figure 6.
Squashed CPW is fed into a feed tube of equipment
continuously and screw inside the grinder pull CPW
in and push toward a knight and the holes plate
which CPW will cut into small pieces but it is still awet cake which has to be dried.

CPW sample was cooked by two different
methods; boiling and steaming, after cooking
samples were cooled to room temperature and thenmilling by meat grinding equipment. The sample
was dried by the tray dry until the moisture content
of sample below 10%. The dried fishmeal will be
grind before qualities evaluation; protein, fat, ash,moisture content and Calcium. Three replications areneeded and average value are compared andanalyzed.
149

SEE-Mie, Japan, Nov. 19-21, 2015

RESULTS
Fishmeal Processing Design
The fishmeal processing design for farmers andcommunity entrepreneur can be a simple process
such as normal boiling processing or steaming
processing which CPW is cooked or sterilized before
milling or drying. Unfortunately, the CPW contains
a lot of oil accompany with water during boiling andsteaming, it should be squashed the oil and water out
before milling and drying. So, cooking process did
not require special equipment. The cooking time forboiling process is about 30 min. and steaming
process about 1 hour are accepted. Cooking process
handling, both boiling and steaming show a little
problem on hot material handling during screen
boiled CPW and carry steamed CPW after cooking.
Cooked CPW are squashed by the manualcompressing equipment which is a simple method tosquash water and oil out the CPW. The boiled CPW
look like more rot than the steamed CPW may be
due to stirring of CPW during cooking.
Compressed CPW may be called a half dried
CPW nearly 30% of moisture removal including fishoil. However, this manual compressing equipment
needs a man power which is hard to control force
steadily. Oil content will affect to its quality andpower consumption of drying process.
Drying of CPW under control drying temperature
at 60oC can be sure that heat will not affect toprotein content and other vitamins. So both sun
drying and tray drying at low temperature will be thesame in term of quality but only drying time andpower consumption will be different. Tray dry took
72 hours to dry the CPW to 10%MC compared tothe sun drying it took 5 days for about 15%MC.
The fishmeal processing from CPW could be
developed in simple process which consists of 4
processes continuously; first cooking, thensquashing and then milling finally drying. The
coarse fishmeal gains from this process and must be
grinded again before using as a feed.
CPW

Fig. 8 Dried CPW fishmeal from boiling process

Fig. 9 Dried CPW fishmeal from steaming process
Qualities evaluation
The dried fishmeal was grinded before qualities
evaluation such as protein content, fat content, ash,moisture content and calcium content. The results offishmeal qualities evaluation from different fishmeal
processing are shown in table 1.
Qualities list

Boiling

Steaming

35.68±1.71 a
35.91±1.22 aa15.14±2.24
14.69±2.53 aa38.15±0.87
37.90±1.08 aa
8.09±1.52
6.19±1.33 bb
12.78±2.63
15.25±2.17 a
Remark: the same letter show non-significantly difference

Protein content %
Fat %
Ash %
%MC
Calcium %Table 1. Fishmeal qualities evaluation

Cooking - (boiling or steaming)

The fishmeal qualities from boiling and steamingshow non-significantly difference for three major
qualities; protein content, fat content and ash. The
protein content gains about 36% which slightly
below the fishmeal class III (at above 40%) in both
samples. While fat content shows quite highcompared to the commercial which uses the screw
compressor or screw expeller. The manual cylinder
compressor may not be met the same level ofcompression which is a mechanically force. The
commercial screw expeller could separate stickwater over 50% of moisture removal cause low fat
content below 3% in common. To improve thismatter the screw compressor should be used insteadof the manual cylinder compressor. Percent of ash

Squashing – (cylinder compressor)
Milling – (meat grinder)Drying – (tray dryer or sun drying)
Grinding – (fine fishmeal for feeds
mix, option)
Fig. 7 the simple fishmeal processing for thesustainable agriculture150SEE-Mie, Japan, Nov. 19-21, 2015shows very high at above 37% in both samples. Thismay be from soil and clay in the gut. Normally,
Catfish live and eat on the ground. The goodfishmeal should control at low level ash as much as
possible, so the CPW in this process should separate
head and gut in order to deduct ash.
For the moisture content in this experiment, theCPW fishmeal shows slightly low percent ofmoisture content below 10% which is too low forcommercial purpose. This occurs only for tray dryer
used. For sun drying the CPW fishmeal will dry to
15% in 5 days and shorter if solar dryer is applied.
The calcium content from this experiment showsslightly high level at 12.78 and 15.25% for boilingand steaming respectively. Normally calcium is needfor all formula feeds at about 1-3%. In this case theexceed calcium may cause some problems toanimals. If it’s used it can be applied for specificfeed which need high calcium.
Overall qualities of CPW fishmeal both fromboiling process and steaming process are nonsignificantly difference. The CPW fishmeal can beused as the Catfish feeds by mixing the othermaterials based on feed formula requirement.

Technology Thanyaburi (RMUTT) who gave afunding to support this research project and also thestaff of community enterprise namely “BuengKham-Poi Catfish Processing Centre”, Thanyaburi,
Pathumthani province who support the Catfish
processing waste (CPW) and lastly thank you
Associate professor Wannakarn Likitrattanaporn
from SWU who helps edit the paper.
REFERENCES[1] DOF, Fisheries statics of Thailand 2012.
Department of Fisheries, Bangkok, Thailand.
2012.
[2] Edwards, P., K.E. Weber, E.W. McCoy, C.
Chantachaeng, C. Pacharakiti, K. Kaewpaitoon
and S. Nitsmer. “Small-scale fishery project in
Pathumthani province, Central Thailand; A
socioeconomic and technological assessment of
status and potential”. AIT Res. Rep. No.158,
Asian Institute of Technology, Bangkok,
Thailand. 1983.
[3] Little, D.C., K. Kaewpaitoon, T. Haitook. “Thecommercial use of chicken processing wastes toraise hybrid Catfish (clarias gariepinus x
clarias macrocephalus) in Thailand” NAGA,
The ICLARM, Aquabyte section, October, 1994.
[4] Thongrod S, “Analysis of feeds and fertilizers
for sustainable aquaculture development inthailand”, FAO Fisheries Circular No. 497, Vol.
1, Aug. 1987, pp. 23-49.
[5] Tom, A. Gill, “Waste from processing aquatic
animal and animal products: implecation on
aquatic animal pathogen transfer”. FAO
Fisheries Circular No. 955. Canadian institute ofFisheries Technology, Dalhousie University,
Nova Scotia, Canada. 2000.

Adoption on Feeds Processing
From this experiment the CPW fishmeal
shows nutrition value at a certain level and somedifficulties on drying process under limitation ofusing the meat grinder for milling process. The
cooked CPW is mixed with other compositions likebran, fine corn etc., to be feeds mixed before millingby the meat grinder or pellet making, and thendrying process of feeds. The same process can
produce Catfish feeds or others instead of fishmeal.
ACKNOWLEDGEMENTS
The author would like to thank AssitantProfessor Dr. Amnart Silawat, Dean of Faculty ofAgriculture Technology, Rajamangala University of

CPW
Cooking

Squashing151

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First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

THE COMPLEX SOLUTION FOR AN INTEGRO- DIFFERENTIAL
EQUATION IN ELASTIC MEDIA PROBLEM IN PRESENCE OF HEAT
M. A. Abdou,a Department of Mathematics, Faculty of Education, Alexandria University, Egypt.
Abstract: Complex variables method has been used to derive the solution of the first and second fundamental
boundary value problems (BVPs) for an infinite elastic plate in presence of a uniform flow heat. The plate is
weakened by a curvilinear hole C. This curvilinear hole is conformally mapped on the domain outside a unit
circle γ using a general rational mapping function. The complex variables method is used to reduce the problem
to an integro- differential equation with Cauchy kernel. Then, the two complex potential functions are obtained.
Many special cases of the conformal mapping and some applications for different cases are discussed from thework.
Key words and phrases: Boundary value problem, an infinite plate, conformal mapping, integro-differentail
equation, complex potential functions.
MSC (2010): 74B10, 30C20.
INTRODUCTION:
The complex potential functions φ1 (t ) and ψ 1 (t )Several authors discussed the different solutions oftake the following forms see Parkus [8]the BVPs and its applications in many different
S + iS ysciences; see Gakhov [1], Ciarlet et al. [2], Hairong(2)
ϕ1 (ζ ) =− xln ζ + c Γζ + ϕ (ζ )2π (1 + k )et.al, [3] Anastasi and Aral [4]. Also, for the contact
and mixed problems see Colton and Kress [5], and(S − iS y )(3)
ψ 1 (ζ ) k x
ln ζ + c Γ∗ζ + ψ (ζ )Abdou [6]. Moreover, for the first and second =2π (1 + k )fundamental problems we see that some authors
where, S x , S y are the components of the resultant
used Laurent's theorem to express the solution in theseries form, see England [7], Pakus [8] andvector of all external forces acting on the boundary
Kalandiya [9]. Others used complex variablesand Γ , Γ∗ are complex constants. Generally themethod to express the solution of the BVPs in thetwo complex functions ϕ (ζ ) and ψ (ζ ) are single
form of two complex potential functions, Gaursat
value analytic functions within the region outside thefunctions, by using many rational mappings, seen
unit circle γ and ϕ (∞) 0, ψ (∞) 0.
==Abdou [10, 11], Abdou and Khamis [12] and Abdou
Many authors have used the rational mappingand Khar-Eldin [13].
In thermoelastic problems for an elastic media, the =z cw ( ζ ), c > 0 ; ω ′(ζ ) does not vanish or
first and second BVPs are equivalent to finding two
become infinite inside (outside) the unit circle γ ,analytic functions ϕ (z ) and ψ (z ) of one complex
see [11, 13, 17]argument z= x + iy . These functions must satisfy
In this paper, the rational mappingζ +mζ +m ζ
the boundary conditions,z = c ω (ζ ) = c, c > 0 , n ≠ n (4)(1 − n ζ ) (1 − n ζ )(1)
K ϕ1 (t ) − t ϕ1′(t ) −ψ 1 (t ) =f (t ).
where z ′(ζ ) does not vanish or become infinite
Here, t denotes the affix of a point on the boundary.
outside the unit circle γ , will be used to map the
In terms =of z c ω (ζ ), c > 0, ω ′(ζ ) ≠ 0, ∞ forboundary C of the given region occupied by theζ > 1 , outside a unit circle γ .
middle plane of the plate in the z − plane ( z =For the stress BVPs, K = −1 and f (t ) is a
x + iy ) onto the unit circle γ in the ζ − planegiven function of stress. While for K= k > 1 , f (t )=(ζ ρ e i θ , 0 ≤ θ ≤ 2π ) .
is a given function of displacement which called thethermal conductivity, we have the displacement
BVPs. The books written by Noda et al. [14],Hetnarski and Ignaczak [15], Parkus [8] and Popov[16] contain many different methods to solve theproblems in the theory of elasticity in one, two andthree dimensions.
−1

1

−2

2

−1

1

153

−1

2

1

2

SEE-Mie, Japan, Nov. 19-21, 2015

FOR
MU
LAT
ION
OF
THE
PRO
BLE
M
=
n1 0.4,=n 2 0,=
m 1 0.2,=m 2 0; Fig.1
AN
D THE RATIONAL MAPPING:
Consider a thin infinite plate of thickness hwith a curvilinear hole C , where the origin lie inside
the hole is conformally mapped on the domain
outside a unit circle γ by means of a rational
mapping function (4). If a heat Θ = qy is following
uniformly in the direction of the negative y − axis,
where the increasing temperature Θ is assumed tobe constant a cross the thickness of the plate, i.e.
Θ = Θ( x, y ) , and q is the constant temperature
gradient. The uniform flow of heat is distributed by
the presence of an insulated curvilinear hole C . The
heat equation satisfies the relation,
∂2
∂2
2
∇ 2=
Θ 0, ∇=+(6)∂x 2 ∂y 2

n = 0.3, n = 0.25, m = 0.8, m = −0.01; Fig.2
1

2

1

2

n1 = 0.9, n 2 = 0.4, m 1 = −0.99,
m 2 = −0.05; Fig .3

∂Θ
= 0,=
r r0
(7)
∂n
n is the unit vector perpendicular to the surface.
The thermoelastic potential Φ, after neglecting thevariation of the strain and the stress with respect tothe thickness of the plate, satisfies the formula, see
Parkus [8](8)∇ Φ= (1 + ν ) α Θ.
α is scalars which present the coefficient of thethermal expansion and ν is Poisson’s ratio. Assume
the force of the plate is free of applied loads.
In this case, the formula (1), for the first andsecond BVPs respectively takes the following forms,∂Φ∂Φ+iϕ (t ) + t ϕ ′(t ) + ψ (t ) = (1.5)
∂x
∂y
(9)
1
∫ [ iX (s ) −Y (s )] ds + c ,
+
2G
2

=
=
=
n1 0.002,
n 2 0.001,
m 1 0.04,
m 2 = 0.02;

Fig .4Using the transformation (4), Eq. (1.1) reduce toK ϕ1 (c ω (ζ )) −

ω (ζ )f (c ω (ζ )) (5)ϕ (c ω (ζ )) −ψ (c ω (ζ )) =
ω ′(ζ )
1

1

1

The last formula represents the first and second BVPs
in ζ − plane. In addition, we consider the BVP for an
isotropic homogeneous perforated infinite elastic media
in presence of uniform flow of heat. Then, we use themore general shape of conformal mapping to obtain thecomplex potential functions for the problem in the form
integro-differential equation with singular kennel.
Many special cases when the curvilinear hole takes thecircle, ellipse and square shapes with other importantand new cases are obtained. Several applications for the
first and second BVPs are discussed. Moreover, thecomponents of stress, in each application, are computed.

154

1

1

s

0

k ϕ (t ) − t ϕ ′(t ) −ψ (t ) =u + iv −
1

1

1

∂Φ
∂Φ
−i
.
∂x
∂y

(10)

Here, the applied stresses X (s ) and Y (s ) areprescribed on the boundary of the plane, s is thelength measured from an arbitrary point. u , v are
the displacement components, G is the shear
modulus and Φ represents the thermoelastic

SEE-Mie, Japan, Nov. 19-21, 2015

potential function. Also, the applied stresses X (s )and Y (s ) must satisfy the following, see Parkus [8]To obtain the two Gaursat functions by using theconformal mapping (4) in the boundary conditions

dy
dx
dy
dx
(11)
X (s ) =σ−σ,Y (s ) =
σ
−σ
ds
ds
ds
ds

(1), we write the expression

xx

xy

yx

Here, σ xx , σ xy and σ yy

yy

−1

xx

the curvilinear

yy

α

2
is the coefficient of heat transfer)

2

1

2

β (ζ ) is regular function for ζ > 1 . The expression
−1

(12)

ω (ζ )
has two singularities at ζ = n1 and ζ = n 2 .
ω ′(ζ )

(13)

Using Eqs. (2) and (3) with the aid of (20), theformula (1) yields−1(1 + ν )K ϕ (σ ) − α (σ )ϕ ′(σ ) −ψ ∗ (σ ) =F∗ (σ ) ,where,

hole C in z − plane onto the domain of outside unit
circle in ζ − plane under the condition ω ′(ζ ) does
not vanish or become infinite outside the unit circle
γ . The following graphs give the different shapes of
the rational mapping (4).

(21)

ψ (ζ ) =ψ (ζ ) + β (ζ ) ϕ ′(ζ ); F (ζ ) =f (c ω (ζ )) =f (t ),∗F∗ (=ζ ) F (ζ ) − cK Γζ − c Γ∗ζ −1 + N (ζ )[ α (ζ ) + β (ζ ) ]METHOD OF SOLUTION

N (ζ ) = c Γ −In this section, we use the complex variable
method to obtain the two complex functions,
Gaursat functions, ϕ (ζ ) , ψ (ζ ) . Moreover, theS x − iS y
2π (1 + k )

ζ ,

(22)

The function F (σ ) with its derivatives must satisfy
Hölder condition.
Our aim is to determine the functions ϕ (ζ ) andthree stress components σ xy , σ xx and σ yy will becomplete determined.

ψ (ζ ) for the various BVPs. For this, multiply both

The Component of Stresses
The solution of Eq. (2.1) under (2.2) is given by,
r2
(14)
=
Θ q [ R + 0 ],=
R
x2+y2
R
Substituting Eq. (14) into Eq. (8), after using polar
coordinates, we have
(1 + ν ) α q r02(15)
Φ=
ln z R 2
4
In addition, the stresses components, after somealgebraic relations, can be adapted in the form,side of Eq.(21) by− K ϕ (ζ ) −1 N (σ ) α (σ )α (σ ) ϕ ′(σ )
dσ −
dσ
∫
2π i
(σ − ζ )2π i(σ − ζ )1∫γγ

F (σ )1d σ (23).
∫
2π i γ (σ − ζ )The formula (23) represents the integro differential
equation of second kind with Cauchy kernel. The
references, Fedotov [18], Hanyga and Seredyńska
[19], Bavula [20] and AL-Jawary and Wrobel [21]contain many different methods to solve this kind of
the equations analytically and numerically in one,
two and three dimensions.
To obtain the integral terms of Eq. (23) we use Eq.
(19) and then apply the residue theorem to have,2hb
1 α (σ ) ϕ ′(σ )dσ = c∑ j j ,
(24)
∫γ
j =1
nj −ζ
2π i
(σ − ζ )
∗

2

2

2

σ= 2G [η (z + 4z z + z ) Im z + Re[ 2 ϕ ′(z ) + M (z , z )]]
2

yy

(17)
σ =
2G [η ( z z − 2(Im z ) Re z + Im M (z , z )]then integratingζ)= A (ζ ) − c Γ ζ ; A (=

xx

2

dσ
2π i (σ − ζ )over the circle γ , and using (22), we obtain

σ = 2G [ − η (z + 4z z + z ) Im z + Re[ 2 ϕ ′(z ) − M (z , z )]]
(16)

xy

1

−1

stresses given by the following relations,∂2Φ ∂2Φ
∂2Φ
]σ xx − σ yy + 2i=
σ xy 2G [ 2 − 2 + 2i
∂y
∂x
∂x ∂y

λ
=
σ +σ
4G [ Re ϕ ′(z ) − λΘ ] ,(=−1hhω (ζ )=+, (20)α (ζ ) + β (ζ ); α (ζ ) =ω ′(ζ )
ζ −n ζ −n

are the components of+4G [ z ϕ ′′(z ) + ψ ′′(z ) ]ω (ζ )
in the form,ω ′(ζ )

(18)

where,(1 + ν ) r=; M=(z , z ) z ϕ ′′(z ) + ψ ′(z ) , (19)η
2 (z z )After determine the Gaursat functions thecomponents of stress are completely determined.
2

0

2

−1

b j , j = 1, 2 are complex constants can be determine.
In addition, we haveN (n ) h1
N (σ ) α (σ )dσ = ∑
.
(25)
∫γ
n −ζ
2π i
(σ − ζ )Hence, Eq. (23) yields,
2

Gaursat Functions:

j

j =1

j

155

j

SEE-Mie, Japan, Nov. 19-21, 2015

2

h

j =1

n −ζ

ζ ) A (ζ ) − c Γ ζ + ∑−K ϕ (=∗−1

Assume[ N (n ) + c b ] (26).

j

j

j

−P
P
;Γ =
e
4
2

K = −1, Γ =j∗−2 i θ

;0 ≤ θ ≤ 2π , S = S = f = 0.
xyThen, the Gaursat functions of Eqs. (26) and (28)becomeLcP=
ϕ (ζ )
ζ e θ +∑
; ,
n −ζ
2
−1

2

2i

j

i =1

j

2
2 n j2 sin 2θ 
cP  1 − 2 n j cos 2θ
Lj
hj 
=
+i
 (29)
4
1 + h j d j  1 − h j d j

σ --- σxxyy--- σ ++ Fig.5
xy

The two constants b j , after differentiating Eq. (26)and using the result in Eq.(24), areMax . σσ xxyy atθ ≈ 1.178π

M ax σ xxyy at θ ≈ 0.732π ;σσ ---- σxx

Fig.6

KE − h d E
n
, d
,
b
=
=
(1 − n )c (K −h d )

cP
4

− ζ −
ψ (ζ ) =

2

j

j

j

2

j

j

2

2

j

j

j

j

2

.

2

j

−1

yy

--- σ +++ Fig.(7)xyhζω (ζ )ϕ (ζ ) + ∑ϕ (n ),
1− n ζ
ω ′(ζ )
−1

2

∗

−1

j

∗

j =1

j

j

cP
(30)
.
4
We have the stress BVP of an infinite plate
weakened by a curvilinear hole C and stretched at
infinity by a uniform tensile stress of intensity P ,and heat in the negative direction of y − axis.
For n = 0.3, n2 = 0.25 , m = 0.8, m = −0.01,
p = 0.25 , the stress components σ xx , σ yy andϕ=(ζ ) ϕ ′(ζ ) +E j =−A ′(n j ) − c Γ∗ n j2 − h j d j N (n j ); j =1, 2 (27)The complex functions ψ (ζ ) can be determine
directly from (21), after substituting the expressionof ψ ∗ (σ ) and F∗ (σ ) , then taking the complex
conjugate of the resulting equation and using the∗expression of β (σ ) . After multiplying both sides ofdσ
the result by
then integrating over the
2π i (σ − ζ )unit circle γ and using the properties of Cauchy
integral and calculate sum residue, we obtainhζω (ζ )
ψ (ζ ) = cK Γζ −ϕ (ζ ) + ∑ϕ (n ) ,ω ′(ζ )
1− n ζ

1

1

2

σ xy are obtained in the normal plate see Figs. (5)(6).

−1

2

−1

∗

−1

j

∗

j =1

j

j

σ xx positive at 0.13π ≤ θ ≤ 0.7π , 1.27π ≤ θ ≤ 1.4π
1.6π ≤ θ ≤ 1.75π . σ yy
0 ≤ θ ≤ 0.127π , 1.37π ≤ θ ≤F (σ )
1 F (σ )
(28)
∫
dσ −
dσ
2π i (σ − ζ )2π i γ σ
SOME APPLICATIONSIn this section, we assume some different
applications for the first and second fundamental
BVPs. In addition, we compute components ofstresses directly.
Application 1: Curvilinear hole for an infinite plate
subjected to uniform tensile stress and flowing heat:
+

1

∫

γ

2π . σ xy

π
3

≤θ ≤

3π
, 1.656π ≤ θ ≤ 1.94π .
2

For the thermoelastic plate, after using the substitutions
α 0.7;=
ν 1, we have the=G=, q 0.1 , r0 = 0.75,=
following the stress components see Figs.(7) -(8).
1
2

156

SEE-Mie, Japan, Nov. 19-21, 2015

σσ --- σ --- σ ++ Fig.(9)--- σ --- σ ++ Fig.(11)
yy

xx

yy

xx

xy

xy

σ
at θ ≈ 1.5287π
σ
max at θ ≈ 0.98726π
Max .

xx

σ xx
σ yy

yy

σ

σ
Max .
at θ ≈ 1.0987π .Fig.10
σ
xx

max σ xxyy at θ ≈ 1.9745π ;Fig.12
σxx

positive at 0 ≤ θ ≤ 1.7197π . σ yy at 0.828π ≤ θ ≤0.96π and 1.79π ≤ θ ≤ 1.91π . σ xy at 0 ≤ θ ≤ 0.1274π .

yyApplication 3: The external force acts on thecenter of the curvilinear.
When, K = k , Γ = Γ∗ = f = 0. Then, we havehn1
( Ζ − 1)∑2π (1 + k ) (n − ζ )=−k ϕ (ζ )

2

j

j

j =1

j

σ

xx

positive at 0.38π ≤ θ ≤ 1.1π , 1.4π ≤ θ ≤ 1.53π and1.656π ≤ θ ≤ 2π . σ yy at 0 ≤ θ ≤ 0.38π ; 1.53π ≤ θ ≤M ax. σσ xxyy at θ ≈ 1.17π .Fig .8

at 0.828π ≤ θ ≤ 1.274π ; 0 ≤ θ ≤ 0.16π ;1.4π ≤ θ ≤ 1.656π and 1.75π ≤ θ ≤ 2π .
Application 2: Curvilinear hole having two poles
and the edge is subject to a uniform pressure P :If K = −1, S = S = Γ = Γ = 0, f (t ) = P t ; Θ = q y .
1.72π . σ

max σ xxyy at θ ≈ 1.40127π
σ

xy

∗

x

y

.

We haven +m n +m3

ϕ (ζ ) cP ∑
=
2

1

j

j

hE

2

2

(n − n )(n − ζ )

−∑

j 1=
j 1
=
j
j ±1
j

j

j

(n − ζ )(1 − h d )jjω (ζ )
ψ (ζ ) =ϕ ′(ζ ) − cP ζ − (n + n )cP−ω ′(ζ )hζ+∑ϕ ′(n )
1− n ζ

(31)

j

j

−1

2

j

2

j

x

(33)

y

2

−1

j

∗

j

y

−1

x

j

x

j

xx

1.656π ≤ θ ≤ 2π . σ yy at 0 ≤ θ ≤ 0.38π ;1.53π ≤ θ ≤ 1.72π

σ xy positive at 0 ≤ θ ≤ 0.16π , 0.828π ≤ θ ≤ 1.274π ,1.72π ≤ θ ≤ 2π . For the
0

2

j

j =1

x

2

thermoelasticity,at
r 0.75,
α 0.7,
ν 1====
G 0.5,=
q 0.1 ,.Figs.(11-12)

j

2

j

∗

in the normal plate, see Figs. (9), (10).
positive at 0.38π ≤ θ ≤ 1.1π ,1.4π ≤ θ ≤ 1.53π ;
σ

and

j

2

j

2

j

(32).

stress components σ xx , σ yy and σ xy are obtained

1.4π ≤ θ ≤ 1.656π

2

∗

j

1

y

2

−1

We have the solutions of stress BVP when the edgeof hole is subject to a uniform pressure P .
For n1 = 0.3 , n = 0.25, m = 1, m = −0.01 p = 0.25, the2xhζω (ζ )(34)
ψ (ζ ) =ϕ (ζ ) + ∑ϕ (n )−
ω ′(ζ )
1− n ζ
Where,
S + iSS − iS−ϕ (ζ ) =ϕ ′(ζ ) −
ζ , N (n ) =n ,
2π (1 + k )2π (1 + k )S + iSΖ.
, b =E =h d n2π c (1 + k )2π (1 + k )We have the solution of the second fundamental
BVP when the heat is flowing in the negative
direction of y − axis and the force acts on the centerof the curvilinear hole.
For n = 0.3, n = 0.25, m = 1, m = −0.01, p = 0.25.
the stress components σ
, σ
and σ
are
obtained in Figs.(13), (14).

2

−1

j

j =1

j

2

−1

1


 kh d (S + iS )hd
(S − iS ) 
=
Ζ 
−
(
)
(
)
k
h
d
k
h
d
−
−



1

,

j

j

2

j

1

2

xx

157

j

y

j

yy

y

xy

SEE-Mie, Japan, Nov. 19-21, 2015

σxx

positive at 0 ≤ θ ≤ 1.72π . σ at 0.83π ≤ θ ≤ 0.96π

max σσ xxyy at θ ≈ 0.9809πyy

and 1.72π ≤ θ ≤ 1.91π . σ at 0 ≤ θ ≤ 0.13π ; θ ≤ 1.91π .

max σ xxyy at θ ≈ 1.9586π , Fig.14
σxy

In the thermoelasticity plate, we have the following
shapes for the stress components by using thesubstitutions G = 1 / 2, q = 0.1, r0 = 0.75, α = 0.7, ,ν = 1 , see Figs.(15),(16).

.
σ

σ

xx

positive at 0 ≤ θ ≤ 1.72π . σ yy 0.83π ≤ θ ≤ 0.96π

xx

___ σ

yy

____ σxy+++ Fig.13(v) The components of stress σ xx , σ yy and σ xy isand 1.7197π ≤ θ ≤ 1.91π . σ xy 0 ≤ θ ≤ 0.1274π .
CONCLUCTION
From the previous discussion we have thefollowing result

completely determine and plotting after obtaining
the two complex functions.
(vi) As a main result of inserting the effect of
uniform flow of heat in the negative of y − direction(i) The conformal mapping=z c ω (ζ ), c > 0 where

we have, M ax.σ xyN > M ax.σ xyHandMin .σ < Min .σ , where, σrepresent the shear

5

N
xy

ω ′(ζ ) ≠ 0, ∞ ; ζ > 1, mapped the infinite region to

H
xy

N
xy

components of stress at normal state, while σ xyH
represent the shear components of stress after
inserting the effect of heating.
(vii) If we denote to the angle that appears theσmaximum value of σ xx in normal state by θ1 , andyyσthe angle that appears the maximum value of σ xx

yy

σ

xx

____ σyy____ σxy

after inserting the effect of heating by θ 2 , we note+++Fig.15

θ1 < θ 2(viii) If we denote to the angle that appears theσmaximum value of yy in normal state by θˆ , andmax σσ xxyy at θ ≈ 0.9809π

σ xx

M ax σ xxyy at θ ≈ 1.96π , Fig .16

1

σ

σ

the angle that appears the maximum value of σ yyxx

after inserting the effect of heating by θˆ , we note2θˆ < θˆ1.

2(ix) All of the previous works in this paper isconsidered as special cases from this study.

outside a unit circle γ .
REFERENCES(ii) After applying the mapping,=z c ω (ζ ), c > 0,
the boundary value problems reduce to the integrodifferential equation with discontinuous kernel.
(iii) Cauchy method is the best method to solving the
integro-differential equation with Cauchy kernel andobtaining the two complex functions ϕ (z ) and[1] F. D. Gakhov, Boundary Value Problems,Paragon 1966.
[2] P. G. Ciarlet, M. H. Schultz, R. S. Varga,
Numerical methods of high-order accuracy for
nonlinear boundary value problems I.One
dimensional problem, Numer. Math., Vol. 9, 1967.

ψ (z ) directly.
(iv) The solution of the boundary value problems for
isotropic homogeneous infinite elastic media inplane reduces to determine the two complex
function called Gaursat functions[3] Hairong Lian1, Dongli Wang1, Zhanbing Bai
and Ravi P Agarwal, Periodic and sub harmonic
solutions for class of second-order p-Laplacian158

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Hamiltonian systems, j. Boundary Value Problems,
2014, 2014:260pp. 1-15.

[19] A. Hanyga , M. Seredyńska, Positivity ofGreen's functions for a class of partial integrodifferential equations including viscoelasticity, J.
Wave Motion, Vol. 47, 2010.

[4] G. A. Anastasia, A. Aral, Generalized Picard
singular integrals, Compute. Math. Appl. 57 (2009)821-830.

[20] V.V. Bavula, The group of auto morphisms of
the algebra of polynomial integro-differential
operators, J. Algebra, Vol. 348 , 2011.

[5] D. Colton, R. Kress, Integral Equation Methods
in Scattering Theory, John Wiley, New York, 1983.

[21] M.A. AL-Jawary, L. C. Wrobel, Numericalsolution of two-dimensional mixed problems withvariable coefficients by the boundary-domain
integral and integro-differential equation methods,
Engineering Analysis with Boundary Elements,
Vol.35, 2011.

[6] M. A. Abdou, First and second fundamental
problems for an elastic infinite plate with acurvilinear hole. Alex. Eng. J. Vol. 33, 1994.
[7] A. H. England, Complex Variable Method in
Elasticity, Mc Graw, London, New York, 1971
[8] H. Parkus, Thermo elasticity, Spring-Verlag,
Barlen, 1976
[9]A.I. Kalandiya, Mathematical Method of Two
Dimensional Elasticity, Moscow,1975[10] M. A. Abdou, Fundamental problems forinfinite plate with a curvilinear hole having infinite
poles. Appl. Math. Compute. Vol. 93, 2002.79-91[11] M. A. Abdou, A.K. Khamis, On a problem of
an infinite plate with a curvilinear hole having threepoles and arbitrary shape. Bull. Call. Math.Soc,
Vol.29, 2000.104-115[12] M.A. Abdou, E.A. Khar-Eldin, An infinite plate
weakened by a hole having arbitrary shape. J. Comp.
Appl. Math. Vol. 56, (1994)341-351.
[13] N.I. Muskhelishvili, Some Basic Problems ofMathematical Theory of Elasticity, Holland, 1953.
[14] N. Noda, R.B. Hetnarski, Y. Tanigawa,
Thermal Stress, Taylor and Francis, 2003.
[15] R.B. Hetnarski,J. Ignaczak, Mathematical
Theory of Elasticity, Taylor and Francis, 2004.
[16] G. Ya. Popov, Contact Problems for a LinearlyDeformable Foundation, Kiev, Odessa, 1988.
[17] I. H. El-Sirafy, M.A. Abdou, First and second
fundamental problems of infinite plate with acurvilinear hole, J. Math. Phys. Sci.Vol. 18,1984.1-7[18] A.I. Fedotov, Quadrature-difference methods
for solving linear and nonlinear singular integrodifferential equations, J. Nonlinear Analysis, Vol. 71,
2009.

159

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

A ROBUST HARMONY SEARCH ALGORITHM BASED NODEDEPLOYMENT FOR HYBRID WIRELESS SENSOR NETWORKS
Abdulqader Mohsen1, Walid Aljoby1, Khaled Alenezi2, and Abdulrahman Alenezi3
Faculty of Computing and Information Technology, University of Science and Technology, Yemen
2College of Information and Communication Technology, University Islamic International Malaysia, Malaysia
1

ABSTRACTThe performance of the wireless sensor networks, composed of static sensor nodes, is significantly influenced by
the random deployment. Often, the sensors are scattered incorrectly and hence positioned inaccurately. A
frequent criticism of the random deployment of stationary nodes is that it might cause coverage holes in the field
being monitored. In this paper, we propose adding mobile sensor nodes after the initial deployment of thestationary nodes to overcome the coverage holes problem. To achieve optimal coverage, a harmony algorithm is
employed to find the optimal solution for the added mobile nodes intended for covering of the holes. The
proposed algorithm determines the best locations of the mobile nodes that need to be added after the initial
deployment of the stationary nodes. The performance of the proposed algorithm was evaluated using several
metrics, and the simulation results demonstrated that, compared to similar state-of-the-art algorithms, theproposed algorithm can optimize the network coverage in terms of the overall coverage ratio, coverage degree
and the number of additional mobile nodes.
Keywords: Target Coverage; Mobile Sensor Nodes; Meta Heuristic Algorithms; Coverage Maximization;
Stationary Sensor Nodes.
being monitored [3]. Based on the application, thesensornodes
canbescatteredeitherdeterministically or randomly. The deterministic
deployment is based on a pre-determined design ofthe sensor locations such as grid deployment. On
the other hand, in random deployment the sensor
nodes are deployed within the sensing field
stochastically and independently such as scattering
the nodes from an aircraft randomly. In a hostileenvironment or remote large scale WSNs, the sensor
nodes positions cannot be predetermined and thus
the random deployment might be the unique choice.
Nevertheless, random deployment of the sensor
nodes causes some holes in the field undermonitoring; therefore, in most cases, random
deployment is not guaranteed to be effective forachieving the required objective in terms of the area
coverage [2].
Nevertheless, random deployment of the sensor
nodes, in most cases, does not guarantee fullcoverage, leading to holes formulation problem [23].
Therefore, to overcome this problem andmaximizing the covered area or targets, an efficientalgorithm should be developed.
According to the application requirements, thenodes might be stationary, mobile, or hybrid [23]. In
small-scale WSNs where all nodes are stationary,
the coverage can be determined by the initial
network configuration and the coverage can be
maximized by manually deploying additional nodes

INTRODUCTION
A Wireless Sensor Network (WSN) is a spatiallydistributed system consists of collection ofautonomous, tiny, low-cost, battery operated sensor
nodes that cooperate with each other to monitor andrecord physical or environmental conditions such as
remote environmental monitoring and target tracking[1]. Based on the needed purpose, the sensor nodes
achievethesensing,communication
andcomputation tasks. Usually, each node in WSNs is
configured to accomplish sensing task, and thus thesensing attribute is considered as an essential factor
in designing the network. Moreover, the coverage ofthe sensing field and the motion of sensor nodes are
the important aspects related to the sensing attribute.
Many researchers have studied the coverage
problem in WSNs either as target coverage or area
coverage [2]. The main objective of the area
coverage protocols is to maximize the covered areaof the whole sensing field while the main objectiveof target coverage protocols is to split the sensing
field into targets and then maximize the number oftargets that could be covered in the sensing field.
The coverage performance is affected by manydifferent factors such as sensing model, sensor
mobility, network topology, and deployment
strategy and so on. One of the most importantfactors is the deployment strategy in which thesensor nodes are distributed or dispersed in the field160

SEE-Mie, Japan, Nov. 19-21, 2015

to the initially deployed ones. On the other hand, inlarge scale WSNs applications, the sensing filed may
be hostile or human intervention is not possible andhence, the sensor nodes can deployed only randomly[1].
Typically, two methods can be used to reduce orremove the holes in random deployment after initial
deployment based on the motion of the sensor nodes.
In the first method, in case all sensor nodes aremobile, an efficient algorithm should be developed
to maximize the coverage area and simultaneously
minimize the moving cost of the mobile nodes. In
this situation, the coverage area is maximized byutilizing the mobility property of the sensor nodes.
Therefore an efficient deployment algorithm, such as
virtual force algorithm or potential field algorithm
can be used to relocate the mobile sensor nodes after
the initial deployment these nodes [4], [5].
In the second method, in case the nodes are
hybrid in which some of the nodes are stationary andthe other are mobile, an efficient algorithm shouldbe employed to get the number and locations of themobile nodes that should be added after the initial
deployment of the stationary nodes. The mostefficient optimization algorithms that can be used
are the meta-heuristic algorithms, such as genetic
algorithm, ant colony optimization, particle swarm
optimization, and harmony search algorithm. Thesealgorithms can be used to find an optimal or close to
optimal solution for optimization problems inreasonable time [6]. A few researchers in the field of
WSNs have proposed heuristic algorithms to find the
optimal number of sensor nodes that should be
added after the initial deployment to maximize thecoverage [15], [18], [19], [22], and [23].
In this paper, we propose a meta-heuristic
approach that utilizes the movements of some nodes
to remove the holes which would be formulated after
the initial deployment. Our approach employed aharmony search algorithm (HSA) to determine theminimum number of mobile nodes that should be
used in addition to the previously deployedstationary nodes such that the coverage of themonitored area is maximized. The reason behind
usage of HSA is its stochastic components that can
explore more regions where the holes could not becovered by the state-of-the-arts solutions such as GA,
in an efficient and effective manner.
The rest of this paper is organized as follows.
Section II reviews the related work. Section III
views the assumptions and the coverage model.
Section IV presents the steps of the HSA based
coverage optimization. Section V shows simulation
experiments and discussion, and Section VI is theconclusion of the paper.

the node deployment problem to attain maximum
coverage in WSN extensively. Some researchers
have addressed WSNs with mobile sensor nodes[4],[5],[7],[8] where others have addressed WSNs
with both static and mobile nodes [9-12].
For mobile sensor networks, several approaches
have been proposed. Firstly, Howard proposed apotential field-based approach for deployment. It
formed the fields in such a way that allows each node
to be repelled by both obstacles and by other nodes,
thus forcing the network to distribute the nodes in thefield evenly [4]. After that, Zou and Chakrabarty
proposed a virtual force algorithm [5] to enhance thecoverage by both pulling and pushing force among
the nodes. Then, Wang, Cao and Porta used Voronoi
diagrams to find the uncovered areas and determine
the positions where the nodes can move [7]. Later,
Tahiri et al. employed simulated annealing algorithm
for nodes placement that maximize the coverage ofthe area of interest [8]. According to the authors, thealgorithm is able to find the near-optimal solution.
In contrast, several works have considered both
static and mobile nodes in WSN. Wang et al.
designed two bidding protocols to increase thecoverage by the movement of mobile sensors. The
protocols used Voronoi diagrams with static sensors
to discover coverage holes and bid mobile sensors
which convene the largest holes by accepting thehighest bids [9]. After that, Ahmed, Kanhere and Jha
proposed a distributed protocol used the geometricright-hand rule to determine the boundary nodes.
Then, the static nodes used a probabilistic coveragealgorithm with realistic sensing coverage model tocalculate the area coverage and determine coverageholes. Finally, the mobile nodes used the virtual
force algorithm to move [10]. In ref [11], Wang andWang proposed several variants based on particle
swarm optimization and virtual force algorithm.
These variants used multi-objective function to strikea balance between the coverage and the energy
consumption. Their obtained solutions were analyzed
to select the variant with best performance for better
deployment [11]. Recently, Wang et al. proposed abiogeography-based optimization algorithm tomaximize the coverage area of the network withdynamic deployment of static and mobile sensor [12].
In addition to the previous studies, different metaheuristic algorithms have been proposed to address
the problem of node deployment as it is an
optimization problem. It is worthy to note that thegenetic algorithms is the most popular meta-heuristic
used to solve this problem. Most of the proposed
genetic algorithms have focused on solving thedeterministic node deployment [13-18]. In turn, few
researches have addressed the random node
deployment [19-22]. In random deployment, genetic
algorithms are applied to maximize the coverage byfind the near optimal positions for additional mobile.
Sahin et al. in [19] proposed a force-based genetic

RELATED WORK
An important research problem in WSN is thecoverage problem. Many researchers have studied
161

SEE-Mie, Japan, Nov. 19-21, 2015

algorithm in which the mobile nodes utilize the sumof the forces used to choose their direction by theneighbours. After that, Qu and Georgakopoulos
developed a multi-objective genetic algorithm whichrunning on a base station to provide maximum
sensing coverage area. They claimed that thealgorithm can strike a balance between the travelled
distance and coverage area by maximizing thecoverage and minimizing the travelled distance [20].
Nematy, Rahmani and Yagouti proposed a genetic
algorithm to be used in cluster based WSN. The
results showed that the algorithm able to increase
coverage by finding the best places for the cluster
heads with more density of sensor nodes [21].
Rahmani et al. proposed new approach, based on
Voronoi diagrams andgenetic algorithm, tomaximizing coverage. Voronoi diagrams were used
to divide the field into cells and then a genetic
algorithm was used to determine the best positions
for additional mobile nodes maximizing the coveragein every cell [22].
Recently In [23], GA was employed to find thebest positions of extra mobile nodes to be added to
the network for enhancing the coverage after the
initial deployment of stationary nodes.
The harmony search algorithm has not been
investigated well to solve the coverage holes
problem, especially in hybrid wireless sensor
networks. In [24], a simple schema of HSA wasemployed to find the assignment of sensor nodes in awireless sensor network that enhance the network
coverage. However, it has not considered thecoverage degree (i.e., k-coverage), and has not evendeclared a method for holes removal.

𝐂𝐂𝐂𝐂𝐂𝐂𝐂𝐂𝐂𝐂𝐂𝐂𝐂𝐂𝐂𝐂 (𝐒𝐒) ← �

(1)

𝟏𝟏,

𝐃𝐃�𝑺𝑺𝒊𝒊 , 𝑶𝑶𝒋𝒋 � ≤ 𝒓𝒓

𝟎𝟎 , 𝐃𝐃�𝑺𝑺𝒊𝒊 , 𝑶𝑶𝒋𝒋 � > 𝒓𝒓

where D is the distance between the sensor node Si
and the target object being sensed Oj. When thetarget object can be covered or sensed, the coveragefunction (S) equals 1, otherwise 0.
HSA-BASED APPROACH
Harmony search algorithm (HSA) had been very
effective in a wide variety of optimization problems,presenting numerous advantages compared to
traditional optimization technique [26-28]. The
simplicity of implementation and high quality
solution of HSA highlight the potential of its usage
for the systems that require improvement such as
WSN.
HSA isamusic-based
meta-heuristic
optimization algorithm.
It requires fewer
mathematical requirements and does not require
initial value settings of the decision variables [28].
HSA has stimulated by the observation that musician
intends to create a piece of music with a suitablestate of harmony. This harmony in music isequivalent to find the optimal solution (i.e. global
optimum) for a problem under the optimization
process. HSA attains the best solution using adetermined objective function that is also limited by
specific constraints.
The main objective of employing the HSA in thispaper is to maximize the coverage by reducing theholes that are formulated as consequence of initial
deployment of the stationary nodes.
It is assumed that the base station will run the HSA
after gathering the locations of the stationary sensor
nodes in order to determine the number andlocations of the mobile nodes as follow:

PRELIMINARIES
Network Assumptions
In this paper we assume that the deployment of
the sensor nodes is randomly and each nodeequipped with GPS. Furthermore, the base station
node position is stationary and the number of sensor
nodes that are initially deployed equals to those thatare required to reach the full coverage in case thesenodes were deterministically deployed. In addition,
extra few mobile nodes are available to be used for
repairing the coverage holes after initial deploymentof the stationary nodes.

Step 1: Define the optimization problem andinitialize algorithm parameters.
For the current problem, we have to maximize
the coverage ratio of the network and minimize thenumber of added mobile nodes to the network,
which is defined by the objective function as givenin (2).
The function is used to estimate the fitness ofeach solution. The formulation of the fitness
depends on the problem determinants. The fitness
function is defined to select the best harmony for the
purpose of enhancement of the next generated
solutions by the HSA. The fitness function in thepresent problem defines the mutually exclusive
coverage ratio of each mobile node. That is, themaximum number of covered targets by each mobile
node that have not been uncovered by other mobile
or static nodes. Such constraint to the fitness
function prevents the overlapping among the

Coverage Model
For the coverage model, it was assumed thatevery sensor node with a sensing radius r can coveran area of circular shape. Also, sensor Si can detect atarget object Oj if it is inside the sensing range of Sj.
Equation (1) shows the binary model of sensor
detection:

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SEE-Mie, Japan, Nov. 19-21, 2015

coverage regions of the deployed mobile nodes andforces each mobile node to cover only a distinct
region. The fitness function of the mobile sensor
node 𝑀𝑀𝑆𝑆𝑆𝑆 is 𝑭𝑭(𝑴𝑴𝑺𝑺𝑺𝑺 ), that is given by:initialize HM. HM with the size of HMS can be
represented by (5).
𝑯𝑯𝑯𝑯 = �𝑭𝑭(𝑴𝑴𝑺𝑺𝑺𝑺 ) + 𝟏𝟏, 𝑫𝑫(𝑴𝑴𝑺𝑺 𝒊𝒊 , 𝑶𝑶𝒋𝒋 ) ≤ 𝒓𝒓
𝑭𝑭(𝑴𝑴𝑺𝑺𝑺𝑺 ) = � 𝐚𝐚𝐚𝐚𝐚𝐚 𝑶𝑶𝒋𝒋 ∉ {𝑺𝑺𝑪𝑪 , 𝑭𝑭(𝑴𝑴𝑺𝑺/𝒊𝒊 )}𝑶𝑶𝑶𝑶𝑶𝑶𝑶𝑶𝑶𝑶𝑶𝑶𝑶𝑶𝑶𝑶𝑶𝑶𝑭𝑭(𝑴𝑴𝑺𝑺𝑺𝑺 ),(2)
FR = �

𝑭𝑭(𝑴𝑴𝑺𝑺𝑺𝑺 )∑ 𝑶𝑶𝒋𝒋�%

Coverage = 𝑺𝑺𝑪𝑪 + ∑𝒎𝒎
𝒊𝒊=𝟏𝟏 𝑭𝑭(𝑴𝑴𝑺𝑺𝑺𝑺 )𝑰𝑰𝟏𝟏𝟏𝟏

𝑰𝑰𝟏𝟏𝟐𝟐⋮ ⋮𝑰𝑰𝑯𝑯𝑯𝑯𝑯𝑯
𝑰𝑰𝑯𝑯𝑯𝑯𝑯𝑯
𝟏𝟏
𝟐𝟐

⋯
⋱
⋯

𝑰𝑰𝟏𝟏𝒌𝒌𝑭𝑭𝟏𝟏⋮ �� ⋮ �
𝑰𝑰𝑯𝑯𝑯𝑯𝑯𝑯
𝑭𝑭𝑯𝑯𝑯𝑯𝑯𝑯
𝒌𝒌(5)

Each row vector of the first matrix represents a
random solution for the optimization problem underconsideration, while the value of the objectivefunction given by (4) is computed for each harmonyrow vector and represented by 𝑭𝑭𝒋𝒋 in the second
matrix, respectively.

(3)
(4)

Step 3: Improvise a new harmony from the HM
In this step, the improvisation of randomly
generated solutions stored in HM shown in (5) isensued by generating a new harmony vector
� 𝑰𝑰`𝟏𝟏 𝑰𝑰`𝟐𝟐 ⋯ 𝑰𝑰`𝒌𝒌 �. Each part of a new harmony vector
𝑰𝑰`𝒋𝒋 is generated based on the value of HMCR definedin step 1 and according to (6)This function calculates the coverage of the 𝑴𝑴𝑺𝑺𝑺𝑺
as function of the number of covered target locations
𝑶𝑶𝒋𝒋 , provided that 𝑶𝑶𝒋𝒋 does not belong to the coverageof any stationary node 𝑺𝑺𝑪𝑪 or mobile node 𝑭𝑭(𝑴𝑴𝑺𝑺/𝒊𝒊 ) .
𝑺𝑺𝑪𝑪 is the coverage of deployed previously stationary
sensor nodes , 𝑭𝑭(𝑴𝑴𝑺𝑺/𝒊𝒊 ) means the coverage of any
mobile node except mobile node 𝒊𝒊. In equation (3),the fitness ratio (FR) for each mobile node estimates
the percentage coverage of the mobile nodes withrespects to other nodes in the network, which isdefined as function of its coverage 𝑭𝑭(𝑴𝑴𝑺𝑺𝑺𝑺 ) and thetotal number of targets in the network. Furthermore,
the whole coverage of the network can be estimatedas an accumulation for the coverage of static nodes(𝑺𝑺𝑪𝑪 ) and the selected mobile nodes(𝒎𝒎) coverage, asin (4).
The solution of the formulated problem is the(x,y) location of a potential mobile sensor node in
the sensing field.
Likewise the population in GA, HSA uses a
Harmony Memory Size (HMS) that contains thenumber of solution vectors in Harmony Memory
Matrix. In our case, we initialize the HMS to 50.
In order to use this memory effectively, HSA
depends on three variables to improve the solution
vector, which are Harmony memory considering rate
(HMCR), Pitch Adjusting Rate (PAR), and the
maximum number of searches (stopping criterion)[28]. The value of HMCR is assumed to be 0.95. If
HMCR rate is too low, only few elite harmonies are
selected and it may converge too slowly. Otherwise,
the pitches stored in the harmony memory aremostly used, and newer pitches are not explored well.
The second variable, PAR, is assumed to be 0.8,
which controls the pitch adjustment. Lastly, themaximum number of iterations is considered as 3000.

𝑰𝑰`𝒋𝒋 ∈ 𝑯𝑯𝑯𝑯 𝐰𝐰𝐰𝐰𝐰𝐰𝐰𝐰 𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩 𝐇𝐇𝐇𝐇𝐇𝐇𝐇𝐇
𝑰𝑰`𝒋𝒋 ← � `𝑰𝑰𝒋𝒋 ∈ 𝑰𝑰`𝒋𝒋 𝐰𝐰𝐰𝐰𝐰𝐰𝐰𝐰 𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩 (𝟏𝟏 − 𝐇𝐇𝐇𝐇𝐇𝐇𝐇𝐇)(6)
As in (6), the components of the new harmony
vector 𝑰𝑰`𝒋𝒋 consist of components selected from the
HM members with probability of HMCR, and others
generated randomly with probability of (1-HMCR).
If 𝑰𝑰`𝒋𝒋 is generated from the HM, then it is further
amended according to PAR. The PAR determines
the probability of a candidate from the HM to bemodified and (1-PAR) is the probability ofremaining unchanged. The Pitch adjustment for theselected is 𝑰𝑰`𝒋𝒋 given by (7)𝐈𝐈𝐣𝐣𝐧𝐧 ∈ 𝐇𝐇𝐇𝐇 𝐰𝐰𝐰𝐰𝐰𝐰𝐰𝐰 𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩 𝐏𝐏𝐏𝐏𝐏𝐏
𝑰𝑰`𝒋𝒋 ← � `𝐈𝐈𝐣𝐣 𝐰𝐰𝐰𝐰𝐰𝐰𝐰𝐰 𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩𝐩 (𝟏𝟏 − 𝐏𝐏𝐏𝐏𝐏𝐏)(7)

Step 4: Update the HM
The generated vector from step3 and 4 isevaluated based on the objective function value, andcompared to the worst harmony vector in the HM. If
the objective function value for the new harmony
vector is better than the objective function value forthe worst harmony in the HM then new Harmony isplaced in the HM and the existing worst harmony is
excluded from the HM. Otherwise, no changes
would happen to the content of HM.

Step 2: Initialize the harmony memory (HM)The solution of the formulated problem is the(x,y) locations of potential mobile sensor nodes. For
the first time, this solution is randomly generated to

Step 5: Go to step 3 until termination criterion isreached.
After the termination criterion is reached, thecurrent best solution is chosen from the HM to
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SEE-Mie, Japan, Nov. 19-21, 2015

represent the solution
optimization problem.

for

the

articulated

increases and hence less mobile nodes would be
added to increase the coverage ratio.

SIMULATION RESULT AND DISCUSSION120

In this section, the performance of the proposed
algorithm is evaluated and compared against genetic
algorithm (GA) in [23], in terms of coverage ratio,
degree of coverage (k-coverage), and number of
additional mobile nodes. Moreover, the effect of thenumber of randomly deployed static nodes and thesensing ranges on coverage and number of
additional mobile nodes were investigated.
In the simulation environment, it was assumed
that the sensor nodes were randomly deployed andthe targets were uniformly located in a 200 m x 200
m sensor field. Two simulation experiments wereconducted for performance evaluation. In the firstexperiment, the number of deployed static nodes
ranged from 100 to 200 to cover 625 targets, whereas
the sensing ranges of all nodes are fixed to 12 m. In
the second experiment, the number of deployed static
nodes is fixed to 100, while the sensing ranges
ranged from 10 m to 20 m. In each experiment, thecoverage ratio, k-coverage, and number of extra
mobile nodes were measured before and after
applying both the HSA and the GA in [23].

GA: coverage with mobile nodes
HSA: coverage with mobile nodes

Network coverage (%)

100

80

60

40

20

0

100

110

120

130 140 150
160 170
Number of deployed static nodes

180

190

200

Fig. 1: Comparison of coverage ratio for different
number of deployed nodes.
Despite the fact that both GA and HSA schemas
ensure to find the minimum number of mobile nodes
to be added to the network for improving thecoverage, there is a slight increasing in the number ofmobile nodes in HSA schema. The petty increasingin the mobile nodes is beneficial for enhancing thepart of the coverage that could not be obtained
through GA schema. For instance, if the number ofstatically deployed nodes is 160, the number of added
mobile nodes in GA is 28, whereas it is about 30
nodes in HSA schema. The disjoint coverage of thepart of increasing is about 1.15%, (i.e., the coverageof surplus two nodes added in HSA), whereas thereal percentage of improvement for HSA compared
to GA is 4.57%, which means that HSA is morerobust and efficient than GA.

Effect of Number of Static Nodes
It is most likely that the coverage ratio of the
network increases as the number of deployed nodes
increases, either these nodes static or mobile nodes.
Both GA and HSA schemas propose deploying
additional mobile nodes alongside the static nodes toimprove the network's coverage. The figurecompares the coverage ratio of GA and HSA
schemas. Both schemas enhance network coverage as
the additional mobile nodes are located into regions
where targets are not covered by the static nodes.
However, the achieved coverage ratio of HSA
schema outperforms the case of GA schema. For
instance, if the number of statically deployed nodes is160, then the coverage of the network is 79.5%. In
such case, GA increases the coverage ratio to 91.8%,
whereas HSA schema causes 96.2%, as shown in Fig.
1. According to the numerical results, the percentage
improvements on the coverage ratio of HSA schemacompared to GA schema reach up to 4.57%. The
reason behind that is due to trapping the evolving
solutions in GA biased local optima. On the other
hand, the stochastic components of HSA lead totactical exploration for many locations and regions
where targets are not covered by the static nodes, aspossible in an efficient and effective manner.
Figure 2 shows the number of additional mobile
nodes for both schemas. As shown, the number ofmobile nodes drops as the number of statically
deployed nodes goes up. This is because more targets
would be covered as the number of static nodes

45
GA: mobile nodes vs. static nodes
HSA: mobile nodes vs. static nodes

Number of added mobile nodes

40
35
30
25
20
15
10
5
0

100

110

120

130 140 150 160 170
Number of deployed static nodes

180

190

200

Fig. 2: Number of additional mobile nodes versus
number of static nodes
Figure 3 shows the k-coverage after adding themobile nodes to the randomly deployed static nodes
in the network. For both cases, it is shown that as thenumber of nodes increases, the k-coverage increases.
This is because the static nodes in both cases are
randomly deployed and it is very likely that the164SEE-Mie, Japan, Nov. 19-21, 2015

coverage among these nodes is overlapped, hence thetargets would be covered by more sensor nodes as
the number of static nodes increases. What is more,
the k-coverage for both schemas is close to eachother, despite the increasing in mobile nodes for HSA.
For instance, if the number of statically deployed
nodes is 160, the k-coverage in GA is 2.19, whereas
it is about 2.17 in HSA schema. That is a proof that
few and extra mobile nodes added by HSA is notarbitrary, but it is intended for covering the holes in
the network.

Figure 5 shows the number of additional mobile
nodes for both schemas as a function of the sensing
range. It is shown that the number of mobile nodes
drops as the sensing radii of the nodes rise. This isbecause more targets would be covered as thesensing range of the static nodes goes up and hence
less mobile nodes would be added to increase thecoverage ratio.
100

Network Coverage (%)

90

2.5

GA: K-coverage mobile nodes
HSA: K-coverage mobile nodes

K-coverage

2

1.5

80

70

60
HSA: coverage of static nodes
HSA: coverage of static and mobile nodes
GA: coverage of static nodes
GA: coverage of static and mobile nodes

50

1
40
10

11

12

0.5

0

13

14

15

16

20

19

18

17

Sensing radii of deployed static nodes

100

110

120

130

140

150

160

170

180

190

Fig. 4: Comparison of coverage ratio for different
sensing ranges.

200

Number of deployed static nodes

As stated before in the discussion of Fig. 2, inspite of the slight increasing in the number of mobile
nodes in HSA schema, both GA and HSA schemas
ensure to find the minimum number of mobile nodes
to be added to the network for improving thecoverage. However, the minor increasing of themobile nodes in HSA is advantageous for enhancing
the part of the coverage that could not be achieved
via GA schema.

Fig. 3: Comparison of k-coverage for different
number of deployed nodes.

Effect of Sensing Range
Figure 4 compares the coverage ratio for GA andHSA schemas in terms of sensing range. Both GA
and HSA schemas propose deploying additional
mobile nodes alongside the static nodes to improve
the network's coverage. The evaluation HSA
conducted when the static nodes are randomly
deployed and after adding the mobile nodes to the
network.
It is shown that the coverage ratio increases as thesensing radii of the deployed nodes increase, sincesensor nodes with larger sensing range can cover
more targets than that with smaller range. The
coverage of the static nodes along with the additional
mobile nodes clearly outperforms the case of random
deployment of the static nodes as the additional
mobile nodes are located into regions where targets
are not covered by the static nodes.
However, the achieved coverage ratio of HSA
schema outperforms the case of GA schema. For
instance, if the sensing radius of the deployed nodes
is 15m, then the overall coverage ratio of statically
deployed nodes is about 80%. In such case and after
adding the mobile nodes, GA increases the coverage
ratio to 93.22%, whereas HSA schema causes
97.12%. According to the numerical results, thepercentage improvements on the coverage ratio of
HSA schema compared to GA schema reach up to
4 %.

50
HSA: mobile nodes vs. static nodes radii
GA: mobile nodes vs. static nodes radii

Number of added mobile nodes

45
40
35
30
25
20
15
10
10

11

12

17
16
15
14
13
Sensing radii of deployed static nodes

18

19

20

Fig. 5: Number of Additional mobile nodes versus
sensing ranges.
Figure 6 shows the k-coverage for GA and HSA
when the static nodes are randomly deployed andafter adding the mobile nodes as a function of thesensing ranges. As shown, the k-coverage increases
as the sensing radii of the deployed nodes increase.
This is because the coverage among sensor nodes
with large sensing range is very likely to overlap,
and hence more targets would be covered bymultiple nodes. Furthermore, the k-coverage for165

SEE-Mie, Japan, Nov. 19-21, 2015

both schemas overlaps to each other, despite theincreasing in mobile nodes for HSA. For example, if
the sensing radius of the deployed nodes is 15m, thek-coverage in GA is 2.31, whereas it is about 2.28 in
HSA schema. The closeness between them is a proof
that extra mobile nodes added via HSA is absolutely[4] Howard, M. J. Mataric, and G. S. Sukhatme,“Mobile Sensor Network Deployment using
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3.5

K-coverage

3

HSA: K-coverage of static nodes
HSA: K-coverage of static and mobile nodes
GA: K-coverage of static nodes
GA: K-coverage of static and mobile nodes

2.5

2

1.5

1
10

12

14

16

Sensing radii of static sensor nodes18

20

Fig 6: Comparison of k-coverage for different
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not arbitrary, but it is intended for covering moreholes in the network.
CONCLUSION
In this paper, we present a method that tackles thecoverage holes problem in hybrid WSN. Thismethod employs HSA to find an optimal solution to
the coverage holes problem caused by random
deployment of stationary sensor nodes.
The results of employing HSA have proofed that it
explores more regions in an efficient and effective
manner where the holes could not be discovered byother solutions. Our simulation results have shownthat node deployments based HSA maximize theoverall coverage by finding the lowest number offurther mobile nodes and their best positions in thesensing field when compared with the state-of-the-art
algorithms like GA. Generally, it can be concluded
that the HSA simplicity of implementation and highquality solution make it proper for solving complex
engineering optimization problems.

[10] N. Ahmed, S. Kanhere and S. Jha, “A Pragmatic
Approach to Area Coverage in Hybrid WirelessSensor Networks,” Wireless Communications
and Mobile Computing, Vol. 11, No. 1, 2011, pp.
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[15] Y. Xu and X. Yao, “A GA Approach to the
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[26] ZongWoo Geem, Music-Inspired Harmony
Search Algorithm”, Springer,2008.
[27] K.S. Lee, Z.W. Geem, A new meta-heuristic
algorithm
forcontinues
engineering
optimization: harmony search theory andpractice, Comput. Meth. Appl. Mech. Eng. 194,
pp. 3902-3933, 2004.
[28] Hoang, D.C.; Yadav, P.; Kumar, R.; Panda,
S.K., "A Robust Harmony Search Algorithm
Based Clustering Protocol for Wireless Sensor
Networks," Communications Workshops (ICC),
2010 IEEE International Conference on , vol.,no., pp.1,5, 23-27 May 2010[17] Tripathi, P. Gupta, A. Trivedi and R. Kala,“Wireless Sensor Node Placement using Hybrid
Genetic Programming and Genetic Algorithms,”
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Technologies, Vol. 7, No. 2, 2011, pp. 63-83.
[18] K. S. Yildirim, T. E. Kalayci and A. Ugur,“Optimizing Coverage in a K-Covered andConnected Sensor Network using Genetic
Algorithms,” Proceedings of the 9th WSEAS
International Conference on Evolutionary
Computing (EC’08), Sofia, 2-4 May 2008, pp.
21-26.
[19] C. Sahin, et al., “Design of Genetic Algorithms
for Topology Control of Unmanned Vehicles,”International Journal of Applied Decision
Sciences, Vol. 3, No. 3, 2010, pp. 221-238.
[20] Y. Qu and S. Georgakopoulos, “Relocation ofWireless Sensor Network Nodes using a Genetic
Algorithm,” Proceedings of 12th Annual IEEE
WirelessandMicrowave
Technology
Conference (WAMICON), Clearwater Beach,
18-19 April 2011, pp. 1-5.
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167

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

THE EFFECT OF FERTILIZER ON GROWTH OF STAGHORN FERNAT SEEDLING STAGE
1

Sawat Pimsuwan1, Preeyanat Hongthong1, Phattraporn Krangpanich1 and Cholthicha Suwanpinta1
Faculty of Agricultural Technology, Rajamangala University of Technology Thanyaburi, Thailand.

ABSTRACTThe effects of two fertilizer types with 3 concentrations on growth of staghorn fern (Platycerium coronarium)
were studied. This experiment was conducted at the nursery of Division of Crop Production, Faculty ofAgricultural Technology, Rajamangala University of Technology Thanyaburi, during October and December
2013. It was laid out in a RCBD with 4 replications and consisted of seven treatments. The treatments wereapplication of: water, a 21-21-21 fertilizer with the concentration of 0.5 g/l, 1.5 g/l, 3g/l, Bio-fertilizer with theconcentration of 1 ml/l, 2 ml/l and 3 ml/l of water. Leaf length, leaf width and canopy width of the ferns were
measured. The data were subjected to ANOVA, followed by Duncan’s Multiple Range Test at 5% level ofsignificance. No significant difference among treatments was found. However, the water showed the best result.
It gave 108.79 mm average canopy width, 3.13 mm average leaf length and 89.67 mm average leaf width.
Keywords:fertilizer, fertilizer on Growth of Staghorn fern, Staghorn fern, Platycerium coronarium
1. INTRODUCTION

Therefore, it is important to find out suitable types
and rate of fertilizers for staghorn fern in seedlingstage.

Ferns are categorized in vascular plants in terms of
epiphyte diversity [2], which are important in many
aspects, especially in ornamental and gardening
purposes. Currently, a trend of popularity for both
local and international is moving toward more fern
species. Staghorn fern (P. coronarium) is one ofthem. Probably, its rareness and typical form play arole on this matter. Streaky leaf hanging down isvery unique to this fern. Moreover, some leaves
appear in antler-like form. In the forest, this fern is agood indicator for forest richness. In a garden, by
having impressively large leaves, it gives animpression of having a naturally rich forest at home.
Moreover, its rareness gives an exotic phenomena
and of course, a high price. Due to its price,smuggling this fern from the wild for sale is a major
problem [6]. On the other hand, weather may be
another factor that causes the decreasing in numberof staghorn fern. It may not be suitable for the spore
germination and the fern growth for some reasons.
Now, the staghorn fern is endangered. To increase
the number of staghorn ferns to meet market demand[3] and also reduce the smuggling amount from theforest, any attempt to reproduce this fern would befavorable. To achieve this goal, at least, nursery
conditions should mimic the natural condition as
much as possible. The key issue is to reduce themortality of fern seedlings. Currently, many
staghorn-fern growers attempt to grow them form
the spores, but the survival rate of the seedlings
requires some improvement. Also, an appropriate
fertilizer for them need to be determined.

2. MATERIALS AND METHODS
2.1 Materials
Some 200 staghorn fern (P. coronarium) seedlings
with a true leaf (sporophyte stage, 1 centimeter) aretransplanted onto a peat moss basket for one month.
Some of these seedlings were chosen for theexperiment when they reached stage 2 or about fourmonths old. Typically, seedlings at this stage poserounded leaves with the size of 2.5 cm. The selected
seedlings were transferred onto individual pots withplanting media. The planting media were preparedfrom roots of Asplenium nidus fern and coconut
husk chips. Firstly, the fern roots were chopped into
small pieces and soaked in water. The two materials
were then mixed and after further soaking the mix
was filled into pots. Each experimental pot wasplaced into a clear plastic bag. The bags were tightly
tied up and hung on bars (Fig. 8). This procedure
was for controlling humidity.
2.2 Experimental design
Experimental design was randomized complete
block design (RCBD) with 7 treatments in 4 blocks(replications). The 21-21-21 pellet fertilizer andliquid bio-fertilizer were used as the experimental
treatments: 1) water, 2) diluted pellet fertilizer at 0.5
g/a liter of water, 3) diluted pellet fertilizer 1.5 g/aliter of water, 4) diluted pellet fertilizer 3 g/a liter of168

SEE-Mie, Japan, Nov. 19-21, 2015

water, 5) diluted bio fertilizer at 1 ml/a liter of water,
6) diluted bio fertilizer at 2 ml/a liter of water and 7)
diluted bio fertilizer at 3 ml/a liter of water. The
fertilizer solution was sprayed onto the plants at a
rate of 2 ml/plant once a week.
2.3 Data analysis
Statistical analysis was performed using analysis ofvariance procedure (ANOVA). Duncan’s new
multiple range test (DMRT) at the significant levelof 0.05 was used to compare differences amongmeans.

Fig.2 Trt2

3. RESULTS
The staghorn ferns grown with water (Trt1)
demonstrated the highest growth among treatments.
In average, their canopy width was 108.79 mm, leaf
width was 89.67 mm, leaf length was 73.13 mm andleaf numbers were 3.33 leaves (Table 1).

Table 1 The growth of staghorn fern
(P. coronarium) in seedling stage at week 9

Fig.3 Trt3

Treatment

Average growth of P. coronarium
canopy
width
(mm)

leave
width
(mm)

leave
length(mm)

leave
number

1
2
3
4
5
6
7
CV (%)
F-test108.79
91.94
79.23
96.29
98.76
102.61
98.21
12.23
ns

89.67
71.42
61.14
76.57
72.18
73.57
80.23
14.77
ns

73.13
61.16
51.55
64.00
62.57
61.40
67.04
14.55
ns

3.33
3.42
2.83
3.08
2.67
3.08
2.58
21.30
ns

Fig.4 Trt4

FiguresFigure 1-7 show the growth of P. coronarium at the
9th week, from treatments (Trt) 1-7.

Fig.5
Trt5

Fig.1 Trt1
169

SEE-Mie, Japan, Nov. 19-21, 2015

removed when the crown leaf has a diameter of 3 cm,
approximately [5]. The sporophyte transplanting in
the greenhouse has a survival rate of 100% of spores[7].
5. ACKNOWLEDGEMENTS
This research was partially funded by The Faculty ofAgricultural Technology, Rajamangala University ofTechnology Thanyaburi, Thailand.

Fig.6 Trt6

6. REFERENCES[1]Chiarawipa R, Rueangkhanab M. andChantanaorrapint A., Ferns Diversity and Growth
Development of Staghorn Fern (Platycerium
coronarium J.G. Koen.ex. Muell, Desv) Under Oil
Palm Plantation, King Mongkut’s Agricultural
Journal, 30(1) Jan-May. 2555 pp. 32-42[5]Fig.7 Trt7[2]Dubuisson J., Schneider H. and Hennequin S.,
Epiphytism in ferns: diversity and history. Science
Direct. Vol. 332, Issues 2–3, February–March 2009,
Pages 120–128[7][3]Hunter A. S.and Rosenau W.A., “The Effects ofUrea, Biuret, and Ammonia on Germination and
Early Growth of Corn (Zea mays L.)”, Soil Science
Society of America. Published: Jan,1966, p. 7781[1][4]Mikkelsen R.L., “Biuret in Urea Fertilizers(North America)”, Better Crops with Plant Food,
Vol. XCI (91) No. 3, 2007[2]Fig.8 Hanging of the experimental pots
4. DISCUSSION[5]Sangdanuch P., Platycerium, Bangkok: Amarinprinting, 2011, pp.158 [4]All levels of both fertilizers were inferior to waterprobably due to some toxic effects. One of known
toxicity causes by nitrogen so called Biuret. Thiseffect was expected to be the case in this study as it
was consistent with a germinating experiment incorn. The corn germination was restrained by NH3gas[ 1 ] . In another experiment, urea could generatehigh biuret even only placed nearby. It wassuggested that urea gave rise to NH3 during its
degeneration process, and that affected thegermination.
In case of seedling plants, the biuret effect may be
more serious [4]. Therefore, taking a goodconsideration on biuret is important for staghorn fernin seedling stage, especially in a closed system.
Furthermore, any fertilizer is not recommended.

[6]Thongtham C. and Suksathan P., FERNS,
Bangkook : Sarakadee Publisher,1997[3][7]Wu H. , Liu X, Ji H. and Chen L., Effects oflight, macronutrients, and sucrose on germinationand development of the endangered fern Adiantum
reniforme var. sinense (Adiantaceae). Scientia
Horticulturae . Vol. 125, Issue 3, June 2010, Pages
417–421[6]Timing for removing the staghorn-fern seedlings
from the plastic bags is also important. Basically, it
may be done when the crown leave reach a diameterof 9.0-10.0 cm. However, in a greenhouse equippedwith humidity and sunlight control, the seedlings can170

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

IMMEDIATE EFFECTS OF ONE AND TWO HOURS OF
TRADITIONAL THAI MASSAGE ON STRESS, HEART RATEVARIABILITY, AND AUTONOMIC NERVOUS SYSTEM FUNCTION
Thanarat Sripongngam1,2, Wichai Eungpinichpong2, Dhavee Sirivongs3, Jaturat Kanpittaya4, andKamonwan Tangvoraphonkchai5
1 Department of Health and Sport Science, Faculty of Education, Mahasarakham University, Thailand;
2Research Center in Back, Neck, Other Joint Pain and Human Performance, Khon Kaen University, Thailand;
3Department of Medicine, Faculty of Medicine, Khon Kaen University, Khon Kaen, Thailand;
4Department of Radiology, Faculty of Medicine, Khon Kaen University, Khon Kaen, Thailand;
5Faculty of Medicine, Mahasarakham University, Mahasarakham, Thailand

ABSTRACTThe purpose of this study was to investigate the immediate effects of different duration of treatment bytraditional Thai massage (TTM) on stress, heart rate variability (HRV) and autonomic nervous system (ANS)
function. Seventeen healthy participants were randomly allocated to receive either 1 hour of TTM (1-TTM)
group or 2 hour of TTM (2-TTM) group after which they were swabbed to receive the other one with a 2 - weeks
washed out period. Stress, HRV, and ANS function were measured at before and immediately after the TTM
treatment. Within-groups comparison demonstrated that stress index was decreased (p<0.05) in both groups,
stress resistance, the standard deviation of the normal-to-normal intervals (SDNN) and root mean square of
successive differences (RMSSD) were increased (p<0.05) in both groups, low frequency per high frequency(LF/HF) ratio was decreased (p<0.05) in 1-TTM group, HF and ANS activity were increased (p<0.05) in 1-TTM
group, whereas LF and ANS balance status were not changed in both groups. However, all of them were notsignificant difference for between groups comparison. We concluded that a single session of either 1 or 2 hours
of TTM could decrease stress and increase heart rate variability whereas only the 1-hour TTM could increase
ANS function.

Keywords: Massage, Stress, Heart Rate Variability, Autonomic Nervous System
Corresponding author:
Wichai Eungpinichpong, Department of Physical Therapy, Faculty of Associated Medical Science, Khon Kaen
University, 123 Moo 16 Mittraphap Road, Meuang District, Khon Kaen, 40002, Thailand. Tel. +66 81 7494748,
Fax. +66 43 202399, +66 43 347482, E-mail. wiceun@yahoo.com
tension [18], increase flexibility, and increaseparasympathetic activity [19]. Routine practice of
TTM may last 1 - 2 hours depends on available timeof clients. Since this is a time consuming method oftreatment, we doubt that 1-hour and 2 hours may
yield different results in terms of mental stress, heart
rate variability (HRV), and autonomic nervous
system (ANS) function. Therefore, this study aimed
to examine the immediate effects of different
duration of treatment by TTM on stress, HRV, and
ANS function in healthy subjects.

INTRODUCTION
Massage is an alternative treatment and may
provide many benefits on health. Many previous
studies found that massage could increase skintemperature and blood flow [1]-[3], decrease anxiety[4]-[7], decrease depression [7], decrease pain,
improve sleep quality [5], [8], increase renal bloodflow [9], decrease sympathetic nervous activity andincrease parasympathetic activity [10]-[11], increase
weight gain in infant [12], decrease cortisol levels[10], [13], and decrease stress [14]-[15].
Traditional Thai massage (TTM) is a deep
acupressure type of massage that has beencommonly used in Thailand because it is simple
to practice and suit Thai culture. The previous
studies showed that TTM could decrease spasticity,
increase functional ability, improve qualityof life [16], increase bone formation [17], decrease
anxiety, decrease pain [18]-[19], decrease muscle

MATERIAL AND METHODThis study was a crossover randomized
controlled trial, approved by the Ethical Committeeof Mahasarakham University, Thailand (272/2557).
Twenty participants were recruited in this study but
three of them dropped out at the beginning of thestudy because of illness. The remaining participants
171

SEE-Mie, Japan, Nov. 19-21, 2015

consisted of seventeen healthy participants included
6 males, 11 female, average aged 20.53±1.37 years
completed all the procedures. They were randomly
allocated into either a 1-hour of TTM (1-TTM)
group or a 2-hour of TTM (2-TTM) group after
which they were swabbed to the other one with 2
weeks washed out period. Each of them gave written
informed consent to participate in this study. The
participants were excluded from the study if they
had any kind of medication or other medical
treatment, moderate to severe muscle or joint pain,
impaired skin sensation or hypersensitivity tomassage, history of serious disease that must betreated by a doctor. The participants were advised torefrain from eating, drinking alcohol, smoking, andfoods containing caffeine, at least 2 hours before
participating in this study. Mental stress parameterconsisted of stress index and stress resistance, heart
rate variability (HRV) consisted of the standard
deviation of the normal-to-normal intervals (SDNN),
root mean square of successive differences(RMSSD), low frequency per high frequency(LF/HF) ratio, HF, and LF, autonomic nervous
system (ANS) function consist of ANS activity and
ANS balance status were measured at before andimmediately after the TTM treatment.

parasympathetic tones. LF response to the increasein baroreflex function [20]-[21], which increased
baroreflex causing an increase parasympathetic
activity and decrease sympathetic activity for
maintain homeostasis in the body. Increasing or
decreasing HF and LF reflects the ability of the bodyto maintain ANS balance [22].
The low frequency per high frequency (LF/HF)
ratios was used to assess ANS balance. ANS activity
and ANS balance status were used to determine
ANS function [22]-[23].
Increased stress resistance, SDNN, RMSSD, HF,
and ANS activity, decreased stress index, and LF/HF
ratio, indicated increased parasympathetic activity.
On the other hand, decreased stress resistance,
SDNN, RMSSD, HF, and ANS activity, increased
stress index, and LF/HF ratio indicated an increased
sympathetic activity [22]-[23].

Procedure and Protocol
The participants received a 1-hr or a 2-hrs
session of the TTM which was applied along theThai meridian lines (Fig. 1) with moderate thumband palm pressure on each of the body parts
including lower limbs, back, neck, head, and upper
limbs. The massage was performed in supine, side
lying on the left, and on the right positions. Passive
stretch for the corresponding muscle groups was
performed at the end of massage for each body part.
Mental stress, HRV, and ANS function were
measured by SA-3000P (Medicore Co., LTD.,
Korea) using standard procedure recommended
in the SA-3000P operation manual version 2.8.
The participants sat on a comfortable chair witha backrest and eyes opened and breathed normallythroughout the 5 minutes of data collection.
Stress parameters including stress index andstress resistance were used to assess ANS function.
Stress index presents the level of stress in the body.
Stress resistance indicates the adaptability of the
body against the stress. HRV parameters consistedof the standard deviation of the normal-to-normalintervals (SDNN), root mean square of successive
differences (RMSSD) were used to assess
ANS activity. High frequency (HF) reflectedparasympathetic tone, whereas low frequency (LF)reflected the combination of both sympathetic andFig. 1 The massage points on the meridian lines of
TTM as depicted by Wichai Eungpinichpong[24]
Statistical analysis
The data were presented as mean ± SD. ShapiroWilk Test was used to verify normal distribution.
Paired t-test and Wilcoxon Sign Rank-Test wereused to compare the outcome variables at before andafter TTM treatment within group. Unpaired t-Test
and Mann Whitney U-Test were used to compare
outcome variables between groups. Statisticalsignificance was set at the p < 0.05.
RESULTS
Within-groups comparison of the means between
before and after TTM treatment revealed that172

SEE-Mie, Japan, Nov. 19-21, 2015

stress index was significantly decreased after
massage (p = 0.026 and p = 0.019 in 1-TTM and2-TTM groups, respectively). Stress resistance wassignificantly increased (p = 0.033 and p = 0.021 in
1-TTM and 2-TTM groups, respectively). SDNN
was significantly increased (p = 0.047 and p = 0.006
in 1-TTM and 2-TTM groups, respectively).
RMSSD was significantly increased (p = 0.001 and
p = 0.001 in 1-TTM and 2-TTM groups,
respectively). However, the authors also foundsignificant decrease in LF/HF ratio (p = 0.017),
significant increase in HF (p = 0.001), andsignificant increase in ANS activity (p = 0.03),
only in the 1-TTM group. Whereas, the LF and
ANS balance status were not changed in both groups(Table 1). All parameters showed no significant
differences for between the groups comparison.

Table 2 Comparison on the stress, HRV and ANS
function between before and after TTM treatment in
2-TTM group.

outcomeStress index
93.80±9.2187.47±11.07*
95%CI
88.70, 98.90
81.34, 93.60
Stress resistance 100.20±14.19 110.13±15.64*
95%CI
92.34, 108.06 101.47, 118.80
SDNN
48.61±17.04
64.50±18.74**
95%CI
39.85, 57.37
54.13, 74.88
RMSSD
41.23±18.27
52.26±17.19**
95%CI
31.83, 50.62
43.42, 61.10
LF
6.30±0.96
6.45±0.66
95%CI
5.77, 6.83
6.08, 6.82
HF
5.92±0.67
6.16±0.82
95%CI
5.58, 6.26
5.74, 6.59
LF/HF ratio
1.90±1.23
1.70±1.29
95%CI
1.22, 2.58
0.99, 2.41
ANS activity
99.58±20.08
103.56±18.87
95%CI
88.46, 110.70 93.11, 114.01
ANS balance
40.74±29.68
45.64±33.01
status
95%CI
24.30, 57.18
27.36, 63.92
Note: HRV=heart rate variability, ANS=autonomic
nervous system, 2-TTM=two hours of traditional
Thai massage, SDNN=the standard deviation of thenormal-to-normal intervals, RMSSD=root meansquare of successive differences, LF=low frequency,
HF=high frequency

Table 1 Comparison on the stress, HRV and ANS
function between before and after TTM treatment in
1-TTM group.

outcome

2-TTM group (n = 17)
beforeafter
mean±SD
mean±SD

1-TTM group (n = 17)
beforeafter
mean±SD
mean±SD

Stress index
91.20±13.94
85.53±8.92*
95%CI
83.48, 98.92
80.59, 90.47
Stress resistance 106.33±23.68 113.40±17.86*
95%CI
93.22, 119.45 103.51, 123.29
SDNN
55.65±26.03
69.06±21.96*
95%CI
42.26, 69.03
56.90, 81.23
RMSSD
44.40±19.33
60.78±24.01**
95%CI
34.46, 54.34
48.43, 73.12
LF
6.55±1.04
6.54±0.80
95%CI
5.98, 7.13
6.10, 6.99
HF
5.94±0.75
6.45±0.83**
95%CI
5.55, 6.33
6.02, 6.87
LF/HF ratio
2.28±1.83
1.26±0.88*
95%CI
1.27, 3.30
0.77, 1.75
ANS activity
98.51±13.35
108.75±14.10*
95%CI
91.12, 105.91 100.95, 116.56
ANS
balance42.49±32.07
43.93±39.86
status
95%CI
24.73, 60.24
21.85, 66.00
Note: HRV=heart rate variability, ANS=autonomic
nervous system, 1-TTM=one hour of traditional Thai
massage, SDNN=the standard deviation of thenormal-to-normal intervals, RMSSD=root meansquare of successive differences, LF=low frequency,
HF=high frequency*

Significant difference at p-value <0.05
Significant difference at p-value <0.01**

DISCUSSION
The present study showed that both one and twohours of TTM could decrease stress index, increasestress resistance, SDNN, and RMSSD. Only one
hour of TTM could increase HF and ANS activity
and decrease LF/HF ratio. Whereas, LF and ANS
balance were not significantly changed in bothgroups. However, all of these measures were
found not significant difference when groups
were compared. The finding of the present
study demonstrated that TTM could increaseparasympathetic activity indicated by increased
SDNN, RMSSD, HF, ANS activity, decreased
LF/HF ratio, and decreased sympathetic activity
indicated by decreased stress index and increased
stress resistance. The results of this study were*

Significant difference at p-value <0.05
Significant difference at p-value <0.01

**

173

SEE-Mie, Japan, Nov. 19-21, 2015

blood flow and muscle fatigue following
isometric lumbar exercise”, Med Sci Monit,
Vol. 10(5), May 2004, pp. CR173–178.
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T, “The effects measurement of hand massage
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pp. 206–212.
[5] Castro-Sánchez AM, Matarán-Peñarrocha GA,
Granero-Molina J, Aguilera-Manrique G,
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[6] Field T, “Pregnancy and labor massage”, Expert
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[9] Sudmeier I, Bodner G, Egger I, Mur E, Ulmer
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[10] Lindgren L, Rundgren S, Winsö O, Lehtipalo S,
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[14] Hodgson NA, Lafferty D, “Reflexology versus
Swedish Massage to Reduce Physiologic Stressconsistent with the previous studies [4], [10], [11],[19]. They found 20 minutes of light pressure ofhand massage, a 30-minutes session of TTM on to
the back muscles, 80 min of touch massage(stroking) of the hands and feet, and a 5-minutehand holding could increase parasympathetic
activity and decrease sympathetic activity,
respectively.
The current study found that HF and ANS
activity were increased and LF/HF ratio wasdecreased in only one hour of TTM but not in twohours of TTM. It could be explained that all of theparticipants were people who are healthy and a twohours of TTM was long enough for the body torebalancing the functions of the autonomic nervous
system to return to normal. Therefore, it can be seenthat one hour of massage provides more effective
than two hours of massage.
The LF and ANS balance status were notsignificantly changed after both TTM treatments formaintaining the balance between sympathetic andparasympathetic activity.
CONCLUSION
The present study demonstrated that a single
session of either 1-hr or 2-hrs of TTM could increaseparasympathetic activity and decrease sympathetic
activity as indicated by decreased stress andincreased HRV. However, only 1-hr session of TTM
could increase ANS function. We suggest that 1-hr
session of TTM is sufficient to provide favorable
results on reducing mental stress and increase ANS
activity.
ACKNOWLEDGEMENTS
The authors would like to thank the volunteers
who participated in the study. Our special thanks to
Research Center in Back, Neck, Other Joint Pain and
Human Performance, Khon Kaen University for
financially supporting this study.
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175

SSSEE1345
SEE1345First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

ASSOCIATION OF CHILDHOOD DIARRHEA WITH HOUSEHOLDCONTACTS: OBSERVATION IN URBAN DIARRHEAL DISEASEHOSPITAL IN BANGLADESH
Shahnawaz Ahmed, Farzana Ferdous, Mohammad Abdul Malek, Sumon Kumar Das, Mohammod Jobayer Chisti
Abu Syed Golam FaruqueInternational Centre for Diarrheal Disease Research, Bangladesh (icddr,b)

ABSTRACT

Although diarrhea is considered as a food and waterborne disease, household transmission is common;
however, not well documented in our context. The present study aimed to determine the association of diarrhea
among urban under-5 children with household contacts who had diarrhea in recent days. A total of 929 under-5
diarrheal children with family history of diarrhea in past 7 days were enrolled in the Diarrheal Disease
Surveillance System (DDSS) of the Dhaka Hospital of icddr,b during 2001–2012. Another 9,908 children
constituted comparison group having no family history of diarrhea in last 7 days. In multivariate analysis,children with family history of diarrhea were at 1.69 (95% CI; 1.31- 2.18) times and 1.30 (1.00-1.69) times
higher risks for diarrhea due to Vibrio cholerae and Enterotoxigenic E. coli respectively compared to those withno such family history. Children aged ≥24 months with family history, were at higher risk [aOR-1.55 (95%CI1.25-1.93)] of diarrhea and prior antibiotic use before coming hospital [1.17 (1.00-1.38)]. Clinical presentation
revealed that, children belonging to family with positive history, significantly passed stool >10 times/day [1.39(1.19- 1.61)], had abdominal pain [1.35 (1.13-1.61)], and stayed longer in the hospital [1.36 (1.16-1.59)]. On theother hand, proportion of children who received vitamin A supplementation [0.85 (0.73-0.99)], were breastfed[0.77 (0.66-0.91)], and drink treated water [0.80 (0.69-0.94)] were lower among children from households withrecent diarrhea compared to their counterparts. Recent history of diarrhea among household contacts is directly
associated with childhood diarrhea due to V. cholerae and ETEC.
Keywords: Childhood, Diarrhea, Household contact, Urban

in 78 of 506 (17%) household contacts of patientswith cholera caused by V. cholerae O1 biotype
classical [5, 6].
Diarrhea reporting patients received oral
rehydration solution (ORS).If dehydration waspresent, intravenous fluids were used to treat patientswith severe dehydration and those with moderate
dehydration who could not take fluids by mouth.
Antibiotics are important adjuncts in the treatment ofsymptomatic V. cholerae infection; adults received
single dose doxycycline (300 mg) until resistancebecame widespread in Bangladesh in 2005 [5, 6].
Subsequently, single dose ciprofloxacin (1 gram) orazithromycin (1 gram) were used; children under theage of 18 years were treated with erythromycin (30–50 mg /kg/day for three days) or single doseazithromycin (20 mg/kg) [5, 6]. In developing
countries, like Bangladesh diarrhea is often
inadequately managed at home, which may result inpoor outcomes. Timely medical attention for
diarrhea is important for reducing deaths fromdiarrhea [7].
Individual contact has been recognized as being
accountable not only for small-scale transmission
among household contacts and communities, but

INTRODUCTION
Globally, 7.6 million children die before
completing 5 years of age; among them, 64% die
due to infectious disease in which diarrhea is one of
the most common diseases [1]. Household
transmission of gastroenteritis is common in the
United States, particularly in homes with smallchildren [2]. In majority of the developing countries,
diarrheal diseases cause significant morbidity andmortality, especially in children [3]. Three quartersof global childhood diarrheal deaths occur within
only 15 countries and Bangladesh is in 7th position
with 50,800 annual childhood deaths [4]. Althoughmuch of the world faces cholera risk during
pandemics, due to aquatic reservoirs, cholera has
been endemic in Bangladesh for centuries and is
hyperendemic in rural Bangladesh [5, 6]. From theenvironment more than 200 different serogroups
have been isolated; serogroups O1 and O139 aremajor causes of cholera. V. cholerae O1 biotype El
Tor is currently the predominant cause of cholera
globally and in Bangladesh [5, 6]. In two large
prospective cohorts of contacts of cholera patients in
Bangladesh, rectal swab positive infections occurred
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SEE-Mie, Japan, Nov. 19-21, 2015

also for the spread over a much wider geographicalarea [8]. Intra-familial transmission of diarrhea ismuch common in children and family members andplaymates perform important role in suchtransmission [8]. Spreading of diarrheal disease by
sharing sources of contaminated food and water or
fecal-oral transmission within household has beenreported by several studies [5-7]. A household
contact may acquire the disease by contact with thehousehold cases of cholera or indivuals may get V.
cholerae infections by attending a gathering in theweek preceding the disease [5]. Similarly, the use ofreservoir water has been observed to be a risk factor
for the infections caused by V. cholerae [6].
Previous studies have identified risk factors fordeveloping invasive diarrhea such as age, high fly
counts, food, and a recent overnight trip [8-11] .
Children living in overcrowded areas withinadequate sanitation reported illness of diarrhea
with known etiology [7]. Exposure to an infectedhousehold member with vomiting was associatedwith a 6-fold greater risk for new infection, whereas
exposure to diarrhea elevated, but not significantly,
the risk for new infection [13]. Moreover, a recent
study in rural Bangladesh observed that 40% of the
tube well sample had detectable Shigella (10%),Vibrio (10%), and pathogenic E.coli (8%)
suggesting water to be a potential risk factor forbacterial pathogens [14].
However, very little research has been conducted
to find out the association of childhood diarrhea withfamily members who had diarrhea in recent past (7days). Thus we intended to determine the associationof diarrhea among urban under-5 children withhousehold contacts who had diarrhea in recent days.

samples (culture, ELISA, and microscopy) are
performed to identify diarrheal pathogens.
Definition:
Diarrhea was defined as three or more loosestools in a 24-hour period and dysentery was defined
as invasive diarrhea with visible blood in one ormore stools [16]. Dehydration was definedaccording to icddr,b criteria; some dehydration if thepatient had any two of the following criteria present:
irritability, sunken eyes, dry mucosa, thirst, or
reduced skin turgor and severe dehydration was
defined as some dehydration with inability to drink,lethargy, unconsciousness, or absence/imperceptible
radial pulse [6]. Household contact was defined as
persons sharing the same cooking pot at least forprevious three days [6]. Maternal illiteracy, monthly
income of the family (>100$), Non sanitary toilet,
Treatment of drinking water, consider as a sociodemographic indicator; duration of diarrhea (>3days), dehydration status (severe), Number of stool(>10 times/24 hrs), abdominal pain, vomiting, fever,cough, and Vibrio cholerae, Shigella, rotavirus andETEC, Giardia lamblia, Entamoeba hystolytica
consider as etiologic indicator .

Study Participants

METHODS AND MATERIALS

From 2001 to 2012, 14,491 under-5 children
reported to DDSS in icddr,b’s Dhaka Hospital;
among them, 929 under-5 diarrheal children withfamily history of diarrhea in past 7 days wereenrolled and another 9,908 children constituted thecomparison group having no family history of
diarrhea within the same period.

Study Site

Specimen Collection and Laboratory Procedure

The study was conducted among under-fivechildren visiting urban Dhaka Hospital of theInternational Centre for Diarrhoeal Disease
Research, Bangladesh (icddr,b). Established in 1963,
the Dhaka Hospital located in urban Dhaka,currently provides free care and treatment to around
140,000 diarrheal patients each year. The hospitalhas been maintaining a Diarrheal Disease
Surveillance System (DDSS) since 1979, andsystematically enrolls patients attending the facility(2% since 1996), irrespective of age and sex. The
DDSS provides valuable information to hospital
clinicians in their decision-making process andenables to detect the emergence of new pathogens
and in early identification of outbreaks and theirlocations, thereby alerts the host Government to takeappropriate preventive and control measures.
Extensive microbiological assessments of fecal

Single, fresh, whole stool specimen (at least 3 ml
or grams, ideally 10 ml or grams) was collected frompatients at enrollment. Stool specimens were labeledwith the subject’s identification number, date andtime of collection and sent to the laboratory soonafter collection for isolation of etiologic agentsincluding rotavirus [17], Shigella [18] and Vibrio
cholerae [18, 19] and ETEC [18].
Ethical Statement
The Diarrheal Disease Surveillance System(DDSS) of icddr,b is a routine ongoing activity of
the Dhaka Hospital which has been approved by the
Research Review Committee (RRC) and Ethical
Review Committee (ERC) of icddr,b and verbal
consent was obtained from the caretakers/legal
guardians before enrollment.

177

SEE-Mie, Japan, Nov. 19-21, 2015(0.73-0.99)], breastfed [0.77 (0.66-0.91)], and dranktreated water [0.80 (0.69-0.94)] (Table 3).

Data Analysis
Statistical analyses were performed using
Statistical Package for Social Science (SPSS,
Chicago, IL version 15.5) and Epi Info (Version 6.0,
USD, Stone Mountain, GA). For categoricalvariables, differences in the proportion werecompared by Chi-square test and strengths ofassociations were estimated by calculating the odds
ratio (OR) with 95% confidence intervals (CI). A
probability of less than 0.05 was considered to bestatistically significant. Finally, logistic regression
analysis was performed to determine the factors
those were associated with family members who had
diarrhea. In the present analysis, variables of interest
were those variables that were found significantly
associated with dependent variable in univariate
analysis.

DISCUSSION
Cholera is often spread by ingestion ofcontaminated food and water; person-to-person
spread of cholera is infrequent because of the large
infectious dose (103-106 cells if contaminated water
is the source and 102-104 cells if contaminated food)[21]. During the first 2–3 years of life, much of thediarrheal disease burden is attributed to infection
with rotavirus, ETEC, EPEC, Shigella and manyother bacterial, viral, and protozoal organisms [20].
However; in the present study, under-five children
were also commonly infected with V.cholerae whichis less frequently observed in this age group.
Previous studies indicated that cholera is transmitted
within the household by other members of theaffected households [22]. It seems likely that foodcontaminated within a household and use of thewater reservoir is the most likely transmission routes
for cholera. Intra-familial transmission of shigellacarries a risk of diarrhoea, nine-fold higher amongchildren with intra-familial transmission than amongchildren of households without intra-familialtransmission [23]. In our study, ETEC was also
isolated among the children whose family members
had diarrhea. The insufficient epidemiologic facts
available suggests that Enterotoxigenic Escherichia
coli (ETEC) are usually spread by contaminatedfood and water vehicles; little is known about therisk of secondary spread by direct contact
transmission [21].
Older children were more often affected whosefamily members had diarrhea compared to non
diarrhea families which are one of the interestingfindings of this study. Environmental contamination
often plays important role in case of person-toperson secondary transmission [4]. Children aged
24-59 months are playful and much more
independent to stay in touch with dirt, mud, water
source compared to younger children. It might also
be reflecting changes in the population, such as inbaseline levels of immunity or population density, orchanges in organism virulence.
Personal contact has been documented as being
responsible not only for small-scale transmission
among household contacts and communities, butalso for the spread over a much wider geographicalarea [23]. In urban Bangladesh the burden of
diarrheal sickness in household contacts of cholera
patients is higher than as earlier estimated.
Considering etiology, most of the studies
documented rotavirus as most frequently causing
childhood diarrhea and Vibrio cholerae infection isless common among under-5 children in Bangladesh[24, 25].

RESULTSIn urban Bangladesh; Older children (24-59
months) were more often affected whose family
members had diarrhea compared to non diarrhea
families (25% vs. 14%; p<0.001). Female diarrhea
sick children were more common among diarrhea
families compared to non-diarrhea families (43% vs.
38%, p=0.002). Families who reported diarrhea had
more illiterate mothers, treated drinking water morecommonly, had breastfed child often, less frequently
used antimicrobials at home before coming to thehospital, less commonly used non sanitary toilet aswell as their children received vitamin A (Table 1).
Diarrhea children whose family had diarrhea; they
were suffering from longer duration of diarrhea,
presented with severe dehydration more often, andhad higher stool frequency (Table 1).Rotavirus wasless common (p<0.001) among children whosefamily had diarrhea, however, these children were
often infected with V. cholerae (p<0.001) and ETEC
(p<0.006) (Table 2).
In multivariate analysis, children with family
history of diarrhea were at 1.69 (95% CI; 1.31- 2.18)
times and 1.30 (1.00-1.69) times higher risk fordiarrhea due to Vibrio cholerae and Enterotoxigenic
E. coli respectively compared to those families
without any diarrheal illnesses. Children aged ≥24months with family history, were at higher risk[aOR-1.55 (95%CI-1.25-1.93)] of diarrhea and priorantibiotic use before coming to hospital [1.17 (1.001.38)]. Clinical presentation revealed that, children
belonging to families with diarrhea history,
significantly passed frequent stool (>10 times/day)[1.39 (1.19- 1.61)], had abdominal pain [1.35 (1.131.61)], and longer duration of diarrhea (>3 days)[1.36 (1.16-1.59)]. On the other hand, they lessfrequently received vitamin A supplementation [0.85178SEE-Mie, Japan, Nov. 19-21, 2015

Table I. Socio-demographic and nutritional status of family member had diarrhea and family member had nodiarrhea among under-5 children
Variable

Family member
diarrhea;n= 929 (%)

had

Family member
diarrhea;n= 9908 (%)

hadnoOR; (95% CI) p valueAge
24-59 months

233 (25)

1348 (14)2.13 (1.81, 2.50) <0.001

Female sex

400 (43)3764 (38)1.23(1.07, 1.42) <0.002

271 (29)2550 (26)

1.19 (1.02, 1.38) <0.023

261 (28)385 (42)349 (38)474 (51)273 (33)608 (65)882 (95)
321 (35)3116 (31)3783 (38)3928 (40)5505 (56)2484 (26)6926 (70)9529 (96)2966 (30)0.85 (0.73, 0.99) 0.038
1.15 (1.00, 1.32) 0.052
0.92 (0.80, 1.06) 0.237
0.83 (0.73, 0.96) 0.008
1.35 (1.16, 1.58) <0.001
0.82 (0.71, 0.94) <0.005
0.75 (0.54, 1.03) 0.080
1.42 (1.07, 1.43) 0.003

64 (7)
435 (47)242 (26)700 (75)
60 (7)
400 (43)268 (30)231 (26)341 (38)496 (5)4002 (40)1747 (18)7531 (76)653 (7)4006 (40)2924 (30)2397 (25)3570(37)

1.41 (1.06, 1.86) <0.015
1.30 (1.13, 1.49) <0.001
1.65 (1.40, 1.93) <0.001
0.96 (0.82, 1.13) 0.862
0.98 (0.74, 1.30) 0.932
1.11 (0.97, 1.28) 0.127
0.99 (0.85, 1.15) 0.899
1.06 (0.90, 1.24) 0.495
1.05 (0.91, 1.22) 0.492

Maternal Illiteracy

Non sanitary toilet
Treatment of drinking waterMonthly income of the family (>100$)
Vitamin A capsule supplementation
Breastfed PracticeUse of antibiotic prior to hospital visit
Use of ORS before hospital visit
Diarrhea duration (>3 days)
Dehydration status
SevereNumber of stool (>10 times/24 hrs)
Abdominal pain
Vomiting
Fever
Cough
Stunting
Wasting
Under-weight

Table II: Isolation of pathogen among under-5 children whose family member had diarrhea and non-diarrhea
Variable
Rotavirus
V.cholerae 01
Shigella
ETEC
Giardia lamblia
Entamoeba hystolytica

Family member had
diarrhea; n= 929 (%)

Family member had nodiarrhea; n= 9908 (%)

OR; (95% CI) p value

296 (33)
129 (14)43 (5)
81 (9)
05 (1)
3 (0.4)4319 (44)762 (8)441 (5)630 (6)61 (1)
18 (0.2)

0.61 (0.53, 0.71) <0.001
1.94 (1.58, 2.38) <0.001
1.04 (0.75, 1.45) 0.866
1.41 (1.01, 1.81) 0.006
0.90 (0.32, 2.35) 0.995
1.82 (0.43, 6.61) 0.251

Use of antimicrobials against infection isessential for treating infectious diseases [26].
Although, childhood diarrhea is a self limiting
disease and an emerging public health burden in
Bangladesh due to etiology specific high use ofirrational antimicrobials. This might be due tofamily member being inexperienced enoughregarding diarrhea treatment and can be explained inseveral ways: easy access to drug stores withavailability of frequently used low cost
antimicrobials and irrational prescribing practices by
the non professionals such as salesman of drug
stores as well as better socio-economic status of thefamilies who can afford for the antimicrobials. Other

than that, due to lack of legislation that prohibits
sales or prescribing of antimicrobials by thenonprofessionals [26].
Clinical manifestation raises concern regarding
abdominal pain, passage of frequent stool (>10
times/24hours) and longer diarrhea duration (>3days) significantly more in children from families
with diarrheah. More frequent purging as well aslarge voluminous stool are the common clinicalfeatures of cholera [6]. Family members first initiateoral fluid therapy at household level to treat theirchildren which is followed by visiting local
pharmacy in some cases, such attempt in many cases
can cause unnecessary delay in reporting to the179SEE-Mie, Japan, Nov. 19-21, 2015

facilities. Our observations also correlate with thesefindings. Receipt of vitamin A supplementation wasless in children from diarrhea families; but breast
feeding and boiled water drink was more frequent;
however, such findings contradict with ourobservations. There is no readily explanation but
likely explanation may be that boiling of water orbreast feeding practice was not up to the mark to
influence any protection against childhood diarrheal
illnesses. Transmission within family is morecommon in case of severely malnourished children
who are also at higher risk of death [16]. But,
present study showed no significant difference inany indicators of nutritional status among thegroups.

to icddr,b’s research efforts. icddr,b also gratefully
acknowledges the following donors which provide
unrestricted support : Government of the People’s
Republic of Bangladesh; the Department of Foreign
Affairs, Trade and Development (DFATD), Canada;
Swedish International Development Cooperation
Agency (Sida) and the Department for International
Development (UK Aid).
Table III. Factors associated with Family member
had diarrhea and family member had no diarrhea
among under-5 children (Dependent variable:
Family member had diarrhea =1, family member had
no diarrhea =0)
Indicator

Adjusted OR (95% CI) p valueAge
24-59 months

1.55 (1.25, 1.93) <0.001

CONCLUSION
The present study documented several sociodemographic and clinical features and etiology that
may have influence in household spread of diarrheal
disease of under-5 children. Etiologic evidence ofrecent days indicated that family history of diarrhea
among household contacts is directly associated withchildhood diarrhea due to V. Cholerae and ETEC
which are emerging public health burdens in
Bangladesh. Knowledge of the epidemiology andmode of transmission of V. cholerae, ETEC as wellas other enteric pathogens is important to prevent its
spread and may be useful in identifying high-risk
populations.
LIMITATION OF THE STUDY
Unbiased systemic sampling methods to enroll
patients into surveillance system irrespective of age,sex, nutritional status, socio-economic background;and the large dataset with standard laboratory
facility were strengths of the present study.
However, lack of detailed information about family
members who had diarrhea and non detection ofpathogens from family member were the main
limitations of our study.

Treatment of drinking
water (1= yes, no=0)
Received
vitaminA
supplementation (1= yes,
Breastfeeding practice (1=yes, no=0)
Antibiotic prior to hospital
visit (1= yes, no=0)
Diarrhea duration >3 days
(1= yes, no=0)
Number of stool >10times/24hrs (1= yes, no=0)
Abdominal pain (1= yes,
no=0)
Rotavirus (1=yes, no=0)0.80 (0.69, 0.94) < 0.006

V.cholerae (1=yes, no=0)

1.69 (1.31, 2.18) <0.001

ETEC (1= yes, no=0)

1.30 (1.00, 1.69) 0.045

0.85 (0.73, 0.99) 0.043
0.77 (0.66, 0.911) 0.002
1.17 (1.00, 1.38) <0.001
1.36 (1.16, 1.59) <0.001
1.39 (1.19, 1.61) <0.001
1.35 (1.13, 1.61) <0.001
0.74 (0.64, 0.87) <0.001

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COMPETING INTEREST
There is no potent conflict of interest to declare.
All authors confirm that there is no professional
affiliation, financial agreement or other involvementwith any company whose product figures
prominently in the submitted manuscript.
ACKNOWLEDGEMENTS
Hospital surveillance was funded by icddr,b and
the Government of the People’s Republic ofBangladesh through IHP-HNPRP. ICDDR,B
acknowledges with gratitude the commitment of theGovernment of the People’s Republic of Bangladesh
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[21] Sugimotol.Household Transmission of Vibrio
cholerae in Bangladesh. PLoS Negl Trop Dis,
2014. 8(11): p. e3314.
[22]
Albert.PathogenesisofProvidencia
alcalifaciens-induced diarrhea. Infect Immun,
1992. 60(12): p. 5017-24.
[23] Ahmed, F. Family latrines and paediatricshigellosis in rural Bangladesh: benefit or risk?
Int J Epidemiol, 1994. 23(4): p. 856-62.
[24] Kanungo. Clinical, epidemiological, and spatial
characteristics of Vibrio parahaemolyticus
diarrhea and cholera in the urban slums ofKolkata, India. BMC Public Health, 2012. 12: p.
830.
[25] Pastore G. Treatment of cholera in the adult.
Studies during recent epidemics in Apulia. Ann
Sclavo, 1975. 17(3): p. 399-418.
[26] Ahmed S. Urban-Rural Differentials in Using
Antimicrobials at Home among Under-5
Children with Diarrhea. Science Journal of
Clinical Medicine. Vol. 2, No. 3, 2013, pp. 8186. doi: 10.11648/j.sjcm.20130203.14

181

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

EFFICACY OF HORMONES ON PROLONGEVITY OF BANANAFRUITS
H.N.P. Singh, Sunita Kumari and M.M. Prasad
Post Graduate Department of Biotechnology
T.M. Bhagalpur University, Bhagalpur-812007 (India)

ABSTRACT

Banana fruits are extensively cultivated in the Gangetic belt of Bihar (India). Cultivation of banana
serves as staple food of common people of Bihar. But these fruits are lost every year due to faulty methodsof storage. The various concentrations i.e., 10-2M, 10-3M, 10-4M, 10-5M and 10-6M molar solutions of two
growth regulators like Indole Acetic Acid (IAA) and Gibberellic Acid (GA) were selected subsequently andthese solutions were tried on mature healthy fruits of Chinia variety. Out of five concentrations, 10-3M
molar solution of indole acetic acid and 10-2M solution of gibberellic acid were found to be most effective
in retaining total chlorophyll, chlorophyll ‘a’ and chlorophyll ‘b’ contents of banana fruits on 2nd day ofstorage. While minimum retention of total chlorophyll, chlorophyll ‘a’ and chlorophyll ‘b’ was observed by
the treatment of 10-6M, molar solution of IAA and GA at the end of the incubation period. However, result
also exhibited that in controlled fruits, concentrations of total chlorophyll, chlorophyll ‘a’ and chlorophyll‘b’ was reduced to a considerable extent with increase in storage period.
Keywords: Efficacy, hormones, prolongivity.
growth regulators on chlorophyll content , molar
solution of auxin and gibberellic acid was diluted
to desired concentrations i.e., 10-2M, 10-3M, 104
M, 10-5M and 10-6M. Mature healthy looking
fruit, approximately of same age were sprayedwith different concentrations of growth
regulators and were kept in polyethylene bags
separately. They were incubated along with
control for ten days. Total chlorophyll,
chlorophyll ‘a’and chlorophyll ‘b’of both treatedand controlled fruits were estimated at theregular interval of 2,4,6,8 & 10 days [10].

INTRODUCTION
Application of modern technology has
considerably enhanced the yield of banana fruits
and vegetables. However, a sizeable quantity islost during storage and marketing before it
reaches to the consumers. Faulty keeping qualityof the fruits has also caused deterioration in the
nutritive contents which ultimately lowers themarket value to a considerable extent [7]. As
such, it appears worthwhile to establish suchmethods which may delay fruit ripening andsenescence till they are consumed. Keeping thisin view the present investigation has been aimed
to increase the longevity of banana fruits by theapplication/use of two plant hormones like
Indole Acetic Acid (IAA) and Gibberellic Acid
(GA).

1 gm of fruit skin was taken and homogenizedwith excess of acetone in a glass homogenizer.
The supernatant was decanted and filtered using
whatman’s filter paper no. 42. Subsequently theabsorbancy of the processed solution was taken
at 645 and 663 nm. The values were put into theformulae and amount of total chlorophyll,
chlorophyll ‘a’ and chlorophyll ‘b’ wascalculatedMaterial Methods
In order to study the longevity of the fruits interm of chlorophyll content, auxin, IAA andgibberellic acid (GA) were tested underlaboratory conditions. To evaluate the effect of182

Table 2 : Effect of Indole Acetic Acid &Gibberellic Acid on chlorophyll ’a’ (mg/g)
contents of banana fruits

Table 1: Effect of Indole Acetic Acid &Gibberellic Acid on total chlorophyll (mg/g)
contents of banana fruits
Concentrat
ion

0
Day

2
Day
s

4
Day
s

6Da
ys

8
Day
s

10
Day
s

Concentrati
on

0
Day

2
Day
s

4
Day
s

6
Day
s

8
Day
s

10
Day
s

Control

0.48
3

0.31
3

0.19
2

0.18
7

0.16
8

0.14
5

Control

0.17
6

0.15
2

0.07
6

0.07
1

0.07
4

0.06
2

Indole Acetic Acid

Indole Acetic Acid

10-2M

0.36
6

0.33
4

0.32
7

0.32
7

0.30
9

10-2M

0.19
9

0.18
2

0.18
2

0.16
9

0.16
5

10-3M

0.46
3

0.43
1

0.41
8

0.39
1

0.37
2

10-3M

0.24
8

0.23
1

0.22
5

0.22
1

0.21
6

10-4M

0.41
4

0.38
2

0.38
8

0.35
6

0.34
7

10-4M

0.24
0

0.22
4

0.25
9

0.21
7

0.21
3

10-5M

0.39
4

0.36
6

0.37
1

0.31
7

0.30
9

10-5M

0.24
3

0.23
3

0.23
9

0.22
7

0.21
1

10-6M

0.37
0

0.34
2

0.33
9

0.28
3

0.26
3

10-6M

0.24
4

0.22
9

0.23
6

0.23
1

0.20
3

Gibberellic Acid

Gibberellic Acid

10-2M

0.43
9

0.32
4

0.30
1

0.21
3

0.15
4

10-2M

0.17
3

0.18
8

0.18
5

0.15
0

0.09
5

10-3M

0.43
4

0.23
0

0.21
3

0.19
2

0.12
8

10-3M

0.18
1

0.09
4

0.12
7

0.12
7

0.08
9

10-4M

0.41
8

0.29
6

0.23
0

0.14
3

0.11
4

10-4M

0.19
7

0.16
7

0.14
8

0.07
2

0.06
6

10-5M

0.39
7

0.32
8

0.17
5

0.14
9

0.11
8

10-5M

0.19
2

0.19
4

0.10
2

0.07
2

0.09
0

10-6M

0.32
7

0.29
1

0.17
1

0.18
1

0.12
6

10-6M

0.16
2

0.19
3

0.08
3

0.13
8

0.06
7

183

Table 3 : Effect of Indole Acetic Acid & Gibberellic Acid on chlorophyll ‘b’ (mg/g) contents of banana
fruitsConcentration

0
Day

2
Days

4
Days

6
Days

8
Days

10
Days

Control

0.307

0.161

0.116

0.115

0.094

0.083

Indole Acetic Acid
10-2M

0.167

0.151

0.145

0.157

0.143

10-3M

0.215

0.199

0.192

0.169

0.155

10-4M

0.174

0.158

0.157

0.247

0.133

10-5M

0.151

0.133

0.132

0.120

0.098

10-6M

0.130

0.112

0.103

0.084

0.059

Gibberellic Acid
10-2M

0.265

0.135

0.115

0.062

0.054

10-3M

0.253

0.135

0.081

0.064

0.039

10-4M

0.220

0.128

0.082

0.076

0.047

10-5M

0.205

0.132

0.074

0.062

0.027

10-6M

0.157

0.092

0.087

0.043

0.058

Chlorophyll ‘b’: The amount of chlorophyll ‘b’in treated fruits variably declined with increase
in days of incubation. Comparatively 10-3 M
concentration of IAA and 10-2 M of GA wererecorded most effective in retaining the faster fallin the level of chlorophyll ‘b’.

RESULT
Total Chlorophyll: It is evident from theTable.1 that the total chlorophyll content (0.483mg/g) of controlled fruits gradually declinedwith the increase in the storage period and wasrecorded 0.145 mg/g on 10th day. The treatmentof fruits with various molar concentrations of
IAA and GA gave variable retention of total
chlorophyll. 10-3M of IAA and 10-2 M of GA
showed most satisfactory results.

CONCLUSION
A comparative review of the results (table 1, 2 &3) showed that in controlled fruits concentrationof total chlorophyll, chlorophyll ‘a’ andchlorophyll ‘b’ was reduced to a considerable
extent with increase in the storage period of all
the five concentrations of IAA and GA, 10-3M
solution of IAA and 10-2 M solution of GA weremost effective in retaining the total chlorophyll,
chlorophyll ‘a’ and chlorophyll ‘b’ in banana
fruits.

Chlorophyll ‘a’: Table.2 shows that applicationof different molar concentrations of IAA and GA
had variable effect on retention of chlorophyll ‘a’.
Maximum retention was noticed by 10-3 M
solution of IAA and 10-2 M solution of GA. On
tenth day 0.216 mg/g and 0.095 mg/g ofchlorophyll ‘a’ was noticed.

Change in skin colour during ripening andsenescence of fruits involved either inchlorophyll degradation or qualitative &184

quantitative alteration of the green pigments into
other pigments [2]. Marked alteration in thepigmentation in the peels of banana fruits undercontrolled condition supports the above findings[9]. The delayed ripening and senescence of
banana fruits in present experiment under
treatment of the two growth hormones supports
the results [1], [3], [4], [5], [6], [8], [9], [11].

[9] Prasad, M.M and H.N.P. Singh (1993).
Effect of Hormones on longevity of banana
fruits. Nat. Acad. Sci. Letter 16, 2:59-62.
[10] Maclachan, S. and Zalik, S. (1963). Cand. J.
Bot. 41:1053.
[11] Tosh,S., M.A Choudhary and E.E.
Chatterjee (1977). Hormonal regulation ofsenescence in fruits of Trichosanthes dioica
Robx. Indian. J. Exp. Biol. 15:12-34.

ACKNOWLEDGEMENT
The authors are grateful to Prof. A.K Singh,
Head University Dept. of Botany & course cocoordinator, P.G. Dept. of Biotechnology,
TMBU, Bhagalpur University for providing lab
as well as library facility. UGC, New Delhi isalso thankful for providing all the required
financial support.

REFERENCE[1] Bevington, K.B (1973). Effect of Gibberellicacid on rind quality and storage of coastal
naval orange. Aust Jounral. Exptl Agric
Animal. Flus 30:196[2] Beevers, L (1976). “plant Biochemistry” 3rd
Edn. (Ed.J.Banner and J.E Varner)
Academic Press, New York San Francisco,
London 775p
[3] Gutter, Y(1956). Influnce of growth
regulators on the keeping quality of stored
ementines, Ktavia 6:119.
[4] Hatton, T.T (1958). Effect of waxes and
2,4,5-trichlorophenoxy acetic acid as postharvest treatment of Persian limes. Proc. Pla.
State Hort. Soc., 17:312.
[5] Stewart, W.S. (1948). Effect of plant growth
regulators on stored Citrous fruits.
Calif.Citogr., 34:80-84.
[6] Stewart, W.S., J.E. Palmer and H.Z. Hield(1952). Packaging house experiment on use
of 2,4,-dichloroacetic acid to increasestorage life of lemons, Proc. Amer. Soc.
Hort. Sci., 59:327-334.
[7] Singh, H.N.P (1992). Studies on diseases ofBanana: A pathological and bio-chemical
approach. Ph.D. Thesis, T.M. Bhagalpur
University, Bhagalpur.
[8] Prasad,
A.K.
(1986).
Pathologicalinvestigation on some varities of Pointed
Gourd fruits common in Bihar. Ph.D Thesis,
T.M. Bhagalpur University, Bhagalpur.

185

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

AEROBIC DANCE WITH FLEXIBLE STICK EXERCISE COULD
INCREASE MUSCLE STRENGTH, MUSCLE ENDURANCE, AND
FLEXIBILITY IN HEALTHY SUBJECTS
Suchira Nongaudom1, Napatsawan Thanaphonganan2, Thanarat Sripongngam2
1Department of Sport and Health Science, Faculty of Education, Mahasarakham University, Thailand;
2Department of Sport and Health Science, Faculty of Education, Mahasarakham University, Thailand

ABSTRACTThe aim of this study was to examine the effects of aerobic dance with flexible stick on muscle strength,
muscle endurance, and flexibility in healthy subjects. Twenty-five subjects (20.5 ± 1.1 years; BMI: 21.4 ± 4.1
kg/m2) were included in this study and they performed moderate of an aerobic dance with resistance training
exercise by using flexible stick 40 minutes per time included a 5-minute of warm up, a 30-minute of exercise,and a 5-minute of cool down, 3 times per weeks, for 4 weeks. Weight, back muscle strength, abdominal muscle
endurance, and flexibility were measured before and after exercise. This study found that significantly increased
in back muscle strength (p=0.33), abdominal muscle endurance (p=0.001), and flexibility (p=0.0001) after
exercise. However, 4 weeks of exercise did not affected on body weight. We conclude that 4 weeks of aerobic
exercise with flexible stick could increase back muscle strength, abdominal muscle endurance, and flexibility inhealthy subjects.
Keywords: Aerobic Dance, Exercise, Muscle Strength, Muscle Endurance, Flexibility
Corresponding author:
Napatsawan Thanaphonganan, Department of Sport and Health Science, Faculty of Education, Mahasarakham
University, 269/2 Nakhon Sawan Road, Meuang District, Mahasarakham, 44000, Thailand. Tel. +66 43754440,
Fax. +66 43754440, E-mail. nut4993@gmail.com

resistance exercise by using elastic band found that
increased muscle strength [7]-[8] and increased
physical performance included balance, speed, andmuscle endurance [8]-[9].
From the previous study showed that both
aerobic and resistance exercise provides many
benefits on health. Thus, this study was toinvestigate the effects of aerobic exercise by using
aerobic dance combined with resistance exercise byusing flexible stick on muscle strength, muscle
endurance, and flexibility in healthy subjects.

INTRODUCTION
Aerobic and resistance exercise are usually use
for improve physical performance. The previous
study found that aerobic and/or resistance exercises
were useful for improving body composition andphysical fitness [1]-[4]. Aerobic dance is a kind of
aerobic exercise that can perform easiest and aflexible exercise, that is, the people can decide theway to dance matching with the chosen melody andrhythm. Moreover, we can create variety of ways todance. Aerobic dance focuses on cardiorespiratory
endurance, muscle strength, flexibility, muscle
endurance, and agility. However, exercising canbecome more benefits if more loads are added toincrease intensity in exercises [5].
The flexible stick, which was adapted from
Daroonwan Suksom’ flexible stick [6], was used forthe exercise to increased resistance. It's made of arubber that is, readily available and inexpensive. The
property of flexible stick is reflexing reaction or
pulling back force after being stretched out. That iscalled stretch reflex. Every time the elastic straps are
stretched out, proprioception will be stimulated by
the property of the elastic straps to be aware andreact to the stretched straps. A study on the effects of

MATERIAL AND METHODThis study was a pre-experimental one-grouppretest-posttest study, approved by the Ethicalcommittee of Mahasarakham University, Thailand(241/2557). Twenty-five volunteers signed and gaveconsent to participation in this study. The volunteers
were at the age of 20.5 ± 1.1 years, and had BMI of
21.4 ± 4.1 kg/m2. The volunteers were excluded
from the study if they had muscle or joint pain, ahistory of chronic systemic or musculoskeletal
diseases, use of medications with known effects on
musculoskeletal system. The aerobic exercise withflexible stick program consisted of a 40 minutes a186

SEE-Mie, Japan, Nov. 19-21, 2015

day, 3 days a week for 4 weeks consecutively. The
exercise started with warming up for 5 minutes,
aerobic dance with flexible stick exercise (32postures) for 30 minutes, and cooling down for 5
minutes. Body weight, back muscle strength,
abdominal muscle endurance, and flexibility were
measured at before and after the exercise.
Poses for exercise

description
Grip the sticks withboth hands. Stretch out
to the front and thenspread your arms byusing both hands at atime.

Poses for exercise

description
Step on a sticks. Grip
the other, extend yourarms forward, andstretch the flexible
stick up and down.

could do [10].
Flexibility was measured by using flexibility
meter. The volunteers were instructed to sit on the
ground, extended their legs forward, and used theirfeet in dosiflexion position, which touch theflexibility meter. Then bent their bodies forwardwith arms extending straight, and used their fingers
to touch the scale, written on a material, for 2
seconds. The unit of scale was in centimeter [10].

Fig. 2 Flexible stick (adapted from Daroonwan
Suksom’ flexible stick [6])Statistical analysis
Fig.1 The example posture of aerobic dance withflexible stick exercise

The data were presented as mean ± SD.
Kolmogorov-Smirnov was used to verify normal
distribution. Paired t-test and Wilcoxon Sign RankTest were used to compare the outcome variables at
before and after TTM treatment within group.
Statistical significance was set at the p < 0.05.

Research instrument and measurement
The flexible sticks consisted of a pair of 20centimeter tubes and were connected by flexible
sticks in the form of continuous small loops, which
about 30 centimeters long. Each connecting loop
consisted of 3 elastic bands (Fig. 2)
Back muscle strength was measured by using leg
dynamometer. The volunteers were instructed to set
their feet six inches apart in the parallel position, thehands catch the handheld of the instrument and theyheld their head, back, as well as legs in a straightline. Then bent the body forward 45 degree after thatthey pull the handheld by keep the body to a straight.
Back muscle strength was measured in kilogram[10].
Abdominal muscle endurance was measured bysit-ups test. The volunteers were instructed to lie
down with tuning face up on mattresses, bent theirknees in right angle, and separated their feet a little.
Then joined their hands on their chests and had othervolunteers, who are kneeling down, grabbed andpressed the ankles of the volunteers who are lying
down. After the signal had been given, the lying
volunteers had to do sit-up in 30 seconds as manytimes as possible and counted how many times they

RESULTSThis study demonstrated that back muscle
strength was significantly increased (p = 0.033),
abdominal muscle endurance was significantly
increased (p = 0.001), and flexibility wassignificantly increased (p = 0.0001) after aerobic
dance with flexible stick exercise. However, weight
showed no significant differences within-groups
comparison (Table 1).
DISCUSSION
The aim of this research is to study about theeffects of aerobic dance with flexible stick exercise
on back muscle strength, abdominal muscle
endurance, and flexibility. From this study, it isfound that aerobic dance with flexible stick exercise
can improve back muscle strength, abdominal
muscle endurance, and flexibility. The results of this187

SEE-Mie, Japan, Nov. 19-21, 2015

study were corresponded with Larsson et al. [1],Sanal et al. [3], and Rhyu et al. [7] found that a 15week and a 12-week resistance exercise, and a sixweek elastic band exercise could increase muscle
strength, respectively. Moreover, Jin et al. [8]showed that a 12-week and a 5-month elastic band
resistance exercise could increase muscle endurance.
The present study demonstrated that just a 4-week
aerobic dance with flexible stick exercise could
improve physical fitness as indicated by increased
muscle strength, muscle endurance, and flexibility inhealthy volunteers.
Body weight was not significantly changed after
exercise. The result of this study was consistent with
Nassis et al. [11], they found that 12 weeks ofaerobic exercise training could not change bodyweight in overweight and obese girls. Whereas,
Taghian et al. [12] found that aerobic exercise,
which a maximal heart rate percentage of 60-65 and
80-85 and duration of 15-20 and 45-50 minutes, atthe beginning and the end of exercise could decrease
body weight in obese women.

ACKNOWLEDGEMENTS
We are grateful to thank the volunteers, who
dedicated their precious time to this study, and Sport
Department of Mahasarakham University, who lent
us equipment for the test and allowed us to use theplace for collecting data until the study has been
completed.

REFERENCES[1] Larsson A, Palstam A, Löfgren M, Ernberg M,
Bjersing J, Bileviciute-Ljungar I, Gerdle B,
Kosek E, Mannerkorpi K, “Resistance exercise
improves muscle strength, health status and pain
intensity
infibromyalgia-a
randomized
controlled trial”, Arthritis Res Ther, Vol. 17,
Jun. 2015, pp. 161-1175.
[2] Shultz SP, Dahiya R, Leong GM, Rowlands DS,
Hills AP, Byrne NM, “Muscular strength,
aerobic capacity, and adipocytokines in obese
youth after resistance training: A pilot study”,
Australas Med J, Vol. 8(4), Apr. 2015, pp. 113120.
[3] Sanal E, Ardic F, Kirac S, “Effects of aerobic or
combined aerobic resistance exercise on bodycomposition in overweight and obese adults:
gender differences. A randomized intervention
study”, Eur J Phys Rehabil Med, Vol. 49(1),Feb. 2013, 1-11.
[4] Sarsan A, Ardiç F, Ozgen M, Topuz O, Sermez
Y, “The effects of aerobic and resistance
exercises in obese women”, Clin Rehabil, Vol.
20(9), Sep. 2006, pp. 733-782.
[5] American College of Sports Medicine,“ACSM’s guidelines for exercise testing and
Prescription”, 7th ed. Baltimor: Lippincott
Willian & Wilkins, 2006.
[6] Suksom D, Siripatt A, “Flexible Stick Exercise:
the Alternative Kinds of Exercise for Thai
People”, Thai Health Promotion Foundation(THPF), 2007.
[7] Rhyu HS, Kim SH, Park HS, “The effects ofband
exerciseusing
proprioceptive
neuromuscular facilitation on muscular strength
in lower extremity”, J Exerc Rehabil, Vol.
11(1), Feb. 2015, pp. 36-40.
[8] Jin EH, Park S, So JM, “The effect of muscle
power training with elastic band on blood
glucose, cytokine, and physical function inelderly women with hyperglycemia”, J Exerc
Nutrition Biochem, Vol. 19(1), Mar. 2015, pp.
19-24.
[9] Ahn N, Kim K, “Effects of an elastic band
resistance exercise program on lower extremity
muscle strength and gait ability in patients with
Alzheimer's disease”, J Phys Ther Sci, Vol.
27(6), Jun. 2015, pp. 1953-1955.

Table 1 Comparison on the body weight, backmuscle strength, abdominal muscle endurance, andflexibility between before and after aerobic dancewith flexible stick exercise.

outcomeaerobic exercise withflexible stick (n = 25)
beforeafter
mean±SD
mean±SD

Body weight57.89±10.57
57.62±10.11
95%CI
53.53, 62.25
53.45, 61.80
Back muscle
65.16±38.11
72.77±29.78*
strength
95%CI
49.43, 80.90
60.50, 85.06
Abdominal
muscle18.60±4.83
22.08±4.12**
endurance
95%CI
16.61, 20.60
20.38, 23.79
Flexibility
9.36±7.51
11.96±7.43**
95%CI
6.26,12.46
8.90,15.03*Significant difference at p-value <0.05**Significant difference at p-value <0.01

CONCLUSION
The present study showed that aerobic dancewith flexible stick exercise for 40 minutes a day, 3days a week, and 4 weeks could increase backmuscle strength, abdominal muscle endurance andflexibility. However, a four-week exercise had noeffect on body weight changed.

188

SEE-Mie, Japan, Nov. 19-21, 2015

body fat, adiponectin, and inflammatory
markers in overweight and obese girls”,
Metabolism, Vol. 54(11), Nov. 2005, pp. 14721479.
[12] Taghian F, Zolfaghari M, Hedayati M, “Effectsof Aerobic Exercise on Serum Retinol Binding
Protein4, Insulin Resistance and Blood Lipids in
Obese Women”, Iran J Public Health, Vol.
43(5), May. 2014, pp. 658-665.

[10] Faculty of Sports and Health science, Instituteof Physical Education, Chumphon. The physicalfitness test [online] 2015 [cited 2015 July 20].
Available from: http://www.ipecp.ac.th/ ipecp/
cgi-binn/vni/Program/unit5/index.html[11] Nassis GP, Papantakou K, Skenderi K,
Triandafillopoulou
M,
KavourasSA,
Yannakoulia M, Chrousos GP, Sidossis LS,“Aerobic exercise training improve insulin
sensitivity without changes in body weight,

189

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

IMMEDIATE EFFECTS OF TRADITIONAL THAI MASSAGE ON
HEART RATE, BLOOD PRESSURE, AND ANXIETY IN DEPRESSION
PATIENTS: A PILOTSTUDY
Warangkana Chompoopan1,2, Wichai Eungpinichpong1,2 and Wilai Eungpinichpong31

2Faculty of Associated Medical Sciences, KhonKaen University, KhonKaen, Thailand
Research Center in Back, Neck, Other Joint Pain and Human Performance, KhonKaen University,Thailand
3
Graduate School, Northeastern University, KhonKaen, Thailand

ABSTRACT
Major Depressive Disorder has been predicted, the second leading cause of death and disability by theyear 2020. Massage has been the most popular complementary and alternative medical treatment for depression.
Massage is likely to effectively reduce anxiety. This study aimed to preliminarily examine the immediate effectsof Traditional Thai Massage (TTM) on heart rate, blood pressure, and anxiety on patients with depression. The
study was conducted at a district hospital, and 5 Local Health Promoting Hospitals in KhonKaen province,
Thailand. A single group pre-post design was applied. Fifteen patients diagnosed with depression participated in
the study. Before and immediately after the intervention, blood pressure, heart rate, and anxiety state (using thestate trait anxiety inventory; STAI) were measured. The results demonstrated a significant reduction on heart rate(mean different 5.57±4.80 bpm: p=0.001), and STAI after receiving TTM (mean score 38.47±5.51: p < 0.001).
However, no significant difference has been found in blood pressure (p=0.12). TTM seems to have somebeneficial immediate effects on patients with depression concerning reducing heart rate, and anxiety. A further
study using randomized controlled trial with larger sample size and long-term follow-up is suggested to verify
the effects.
Keywords: Traditional Thai Massage, Depression, Heart rate, Anxiety

population with depression regarding the heart rate
and anxiety. The purpose of this study was topreliminarily examine the effects of Traditional Thai
Massage (TTM) on heart rate, blood pressure, andanxiety of patients with depression.

INTRODUCTION
Depression is a worldwide common mental
illness, estimated 350 million people affected [1],and recognized a risk factor for coronary arterydisease. Some previous studies have found elevatedheart rate and lower heart rate variability in patientswith depression than non-depression patients [2],[3].Coronary heart disease has been found associatedwith coexisting level of anxiety than depression[4].Interestingly, the onset of anxiety generally
precedes depression, whereas anxiety disorders werestrongly related to major depressive disorder (MDD)
regardless of the time frame [5]. However, recent
studied evidence has suggested that the patterngeneralized anxiety has usually developed into
depression or vice versa [6].
Massage has shown some evidence of increasing
parasympathetic activities, reducing heart rate, andblood pressure in patients with musculoskeletal
disorders [7]. If massage could reduce heart rate andanxiety state of patients with depression, it could be
beneficial as an alternative therapy. However, no
study has yet reported its effect on the patient

METHODS
1. Design and setting
A single group pre-post experimental design wasapplied. This was done by having the patients
exposed to a session of 90 minutes TTM. All theoutcome measures were assessed before andimmediately after the TTM treatment. The study was
conducted at TTM room of a district hospital, and 5
Local Health Promoting Hospitals, in KhonKaen
province, Thailand.
2. Participants
15 patients, aged 15-59 years, were recruitedfrom the psychiatric clinic at the hospital. All
patients were classified accordingly to the inclusive
criteria to participate in the study through Patient
Health Questionnaire Screening by answering the190

SEE-Mie, Japan, Nov. 19-21, 2015

first 2 set of questions (PHQ-2 and PHQ-9), 9questions were answered if they fell into the criteria.
Patient Health Questionnaires were verified byclinicians. Patients with any history of contraindicationconsisted of either diabetes mellitus, hypertension,
multiple sclerosis or heart disease were excluded.

Table 1. Demographic data
Characteristic
Age
20-40
>40
(Mean ± S.D.)
Menopause
yes
No
Education
primary
secondaryOccupational
workers
Farmerhousewives
Income<5000 Baht/month>5000 Baht/month

3. Intervention of Traditional Thai Massage (TTM)
The technique of TTM used in this study basedon a standard whole body Thai massage known as
Sen Sib Nuad Thai. The TTM protocol consisted of
the following steps. Initially, having the patients lay
on his/her back the massage therapist applied gentle
but firm palm pressure on the patient’s medial aspectof upper arm aiming to temporally occlude thebrachial artery for 20-30 seconds after which
releasing the pressure to let blood flow to the armand hand. This technique was also done for the
lower limb using the palm pressure on the femoral
artery. This technique is called opening the windgate which aims to stimulate blood flow to all thetissues of the limbs. Then the therapist applied
gentle but deep thumb pressure massage along theten meridian lines of TTM that covered major
muscles of limbs, back, neck, and head consequently.
Thumb pressure massage along each of the line wasrepeated 5 rounds. The amount of thumb pressure oneach of the body parts was adjusted by the therapist
according to but not exceeds the pressure pain
threshold of the patient. At the end of the massage
session, the therapist applied gentle stretch for thosemuscles including calf, hamstring, quadriceps,
pectorals, back, neck, shoulder, arm, forearm, andfinger muscles. The TTM session covered one and ahalf hour.

n(%)
2(13.33)
13(86.67)
48.67±8.633(20.00)
13(80.00)
14(93.33)
1(6.67)9(60.00)
4(26.76)2(13.33)
13(86.67)
2(13.33)STATISTICAL ANALYSES
Shapiro-Wilk test was used to verify thenormal distribution of continuous variables. Data
were analyzed using STATA Version 10. Demographic
data and descriptive statistics were also applied.
Paired t-test and Wilcoxon Sign Rank-Test wereused to compare the outcome variables between the
pre-and the post-treatment procedure. A differenceat the level of p<0.05 was considered statisticallysignificant.
RESULTS
Demographic data showed that 86.67% of
the patients were more than 40 years of age. Threepatients (20%) were at the stage of menopause. 60%
was labored workers. Most of them had only primaryschool background. Their incomes ranged from lessthan 5000 baht/month (86.67%) to more than 5000
baht/month (13.33%) (in Table 1).
A Comparison on HR within the group
before and after TTM treatment showed that TTM
could significantly reduce heart rate (p=0.001) (Fig. 1).

4. Procedure
Every session of the study took place at the sametime of each day. Each patient arrived at 8.30
a.m.for the STAI interview, heart rate recording andmeasuring the blood pressure. After that the patient
rested in a TTM room for a few minutes, a qualified
female massage therapist who, passed the training
by the Department of Alternative Medicine, Ministryof Public Health gave a session of 90 minutes ofstandard TTM procedure while the patient lying on
the supine, and prone position. TTM was performedon the patient in the morning. Conversation was
minimized during the massage procedure, only few
questions were allowed. The massage session wasalways ended with stretching. Immediately, after
receiving TTM, STAI, heart rate and blood pressure
were reassessed.
5. Measurement equipment
Blood pressure and heart rate were measured at
rest in sitting position using a digital sphygmomanometer (Omron, Japan). A standard STAI was used toevaluate the state trait anxiety.

Fig.1 Comparison of resting HR before and after
TTM treatment.
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SEE-Mie, Japan, Nov. 19-21, 2015

Table 2 Comparison of blood pressure, heart rate,and STAI within the group before and after TTM
treatment.
TTM group (n = 15)
outcomebeforeafter
Mean ± SD
Mean ± SD
Blood pressure
SBP
123.12±4.35
117.56±3.93
DBP72.00±2.50
75.16±2.45
STAI40.20±1.3948.93±0.84*
Note: SBP=systolic blood pressure, DBP=diastolicblood pressure, STAI=state trait anxiety inventory*
Significant difference at p-value <0.001

CONCLUSION
Based on the results of this pilot study, we
conclude that a single session of TTM may reduce
heart rate and anxiety state of patients withdepression. We suggest that further research withrandomized controlled trial and follow-up study
should be applied to verify the effects of Traditional
Thai Massage for this patient population.
ACKNOWLEDGEMENTS
This study would not have been possible without
the kind cooperation of Sum Soong hospital, 5 Local
Health Promoting Hospitals (HuaiTuey, Kam Mad,
Kranuan, Kukam, Bannoonand the 15 patients. More
importantly, the Research Center in Back, Neck,
Other Joint Pain and Human Performance,
KhonKaen University as well as Sirindhorn Collegeof Public Health where have funded this study.

DISCUSSION
The result of this study has suggested that TTM
may have calming effect for this patient population
since it had reduced heart rate, blood pressure, andanxiety. The findings of this study are in line withthe previous two studies [6], [7]. Although thepsychiatric symptoms vary from patient to patient
depend upon the severity and complexity of thedisease, the anxiety level of all the patients withdepression has been reduced immediately after
having TTM. This may be due to feeling of comfort
and confident during the massage. These
psychological effects are very important for thepatients with depressive disorders since they always
have feeling of discomfort, agitate, and anxiety.
Although biological mechanism of massage on
depression has not been understood, massage has
been known as one of the ways to convey love andcare to the patients. The massage therapist and thepatients are not family members or relatives; nevertheless,
all the patients still could feel the touch and care thatany medicine could not provide. Consequently, theheart rate was reduced probably because ofrelaxation and the increasing of parasympathetic
activities of the autonomic nervous system [8]. Bothsystolic and diastolic blood pressures were notsignificantly changed after the massage in this study.
These may be due to the complex control
mechanism of both sympathetic and parasympathetic
nervous systems, renal and endocrine systems [9]. In
addition, the blood pressures of the patients were
within normal limit initially. Therefore, a single
session of TTM may not be able to affect them.
The limitation of the study consisted of small
sample size since it was a pilot study, and the only
immediate effects were investigated. Further study
should be conducted on a sufficient sample size andextended to a long-term treatment with follow-up.
TTM may be an alternative therapy for this type of
patient population. More importantly, the side effectof TTM is relatively minimal.

REFERENCES[1] World Health Organization, Sixty-fifth world
Healthassrmbly2012.http://www.who.int/mediac
entre/factsheets/fs369/en/[2] Delaney JPA, Leong KS, Watkins A, Brodie D,“The short-term effects of myofascial trigger
point massage therapy on cardiac autonomic tonein healthy subjects”, Journal of advanced nursing,
Vol.37, Feb. 2002, pp. 364-71.
[3] Carney RM, Freedland KE, & Veith RC,“Depression, the Autonomic Nervous Systeand
Coronary Heart Disease”, Psychosomatic
Medicine , Vol. 67, May-June. 2005, pp. 29-33.
[4] Lechin F, van der Dijs B, Orozco B, Lechin ME,
Báez S, Lechin AE, et al, “ Plasma
neurotransmitters, blood pressure, and heart rateduring supine-resting, orthostasis, and moderate
exercise conditions in major depressed patients”,
Biological Psychiatry, Vol. 38, Aug. 1995,
pp.166-73.
[5] Hasin DS, Goodwin RD, Stinson FS, Grant BF,“Epidemiology of major depressive disorder:
Resultsfrom the national epidemiologic survey
on alcoholism and related conditions”, Archivesof general psychiatry, vol. 62, Oct. 2005, pp.
1097-106.
[6] Moffitt TE, Harrington H, Caspi A, KimCohen J, Goldberg D, Gregory AM, &Poulton R, “Depression and Generalized Anxiety
Disorder”, Arch Gen Psychiatry, Vol.64, Jun. 2007, pp.
651- 60.
[7] Delaney JPA, Leong KS, Watkins A, Brodie D,“The short-term effects of myofascial trigger
point massage therapy on cardiac autonomic tonein healthy subjects”, Journal of advanced nursing,Vol. 37, Feb. 2002, pp. 364-71.

192

SEE-Mie, Japan, Nov. 19-21, 2015[8] Buttagat V, Eungpinichpong W, Chatchawan U,
Arayawichanon P, “Therapeutic effects oftraditional Thai massage on pain, muscle tension
and anxiety in patients with scapulocostal
syndrome: a randomized single-blinded pilot

study”, J Bodyw Mov Ther, Vol.16, Jan. 2012,
pp. 57–63.
[9]Chopra S, Baby C, Jacob JJ, “Neuro-endocrine
regulation of blood pressure”, Indian Journal of
Endocrinology and Metabolism, Vol.15, Oct. 2011, pp.
281-288.

193

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

ATOMIC FORCE MICROSCOPIC AND ELECTROCHEMICALCHARACTERIZATION OF THE MODIFIED SCREEN PRINTEDCARBON ELECTRODE BY SELF ASSEMBLED DEPOSITION OF
CHITOSAN AND ACTIVATED CARBON
Porntip Wongkaew1,2 and Suta Poosittisak1,3
Biosensing Technology for Sustainable Development Research Group, Khon Kaen University,
Khon Kaen 40002, Thailand; 2Department of Plant Science and Agricultural Resources,
Faculty of Agriculture, Khon Kaen University, Khon Kaen 40002, Thailand;
3
Department of Chemistry, Faculty of Science, Khon Kaen University, Khon Kaen 40002, Thailand.
1

ABSTRACTThe surface topographic characteristics generated after a modification of screen printed carbon electrode(SPCE) with either chitosan or activated carbon blending chitosan were closely investigated by atomic force
microscopy and a complementary electrochemical techniques. Eighty five percent deacetylation degree chitosan
was used at 1% in 1% acetic acid while the activated carbon blending ratio used was 1:1 in chitosan solution.
The modification was performed via self assembled deposition directly onto the working electrode surface area.
Growth feature of each modified surface was obviously differentiated by all roughness parameters such as anaverage roughness, root mean square, height different, grain and fractal. The highest roughness value with theleast grain was from chitosan modified SPCE. A good correlation result was obtained with electrochemical
cyclic voltammetry that a great change in current response was also appeared. Both the modified SPCE bychitosan and activated carbon blending chitosan could produce comparable higher current sensitivity with up toaround 0.5 slope value following by their regression coefficient of 0.99. Thus affordable and efficient platforms
for a fabrication of desirable pesticide biosensor could be achieved with these modifications as expected.
Keywords: Atomic force microscopy, cyclic voltammetry, Modified SPCE, Chitosan, Activated carbon
INTRODUCTION
nanoporous structure which provides superb
simultaneous adsorptive activity that allows morechemical catalytic reaction and electrical charge
built up. This material also enables superior energy
storage performance and a processing forsupercapacitors [3]. Recently it has become in use asa predominant electrode material for commercial
electrochemical double-layer capacitance [4]. As theporous activated carbon can be coated or blended
with a biocompatible polymer to give a smooth andpermeable film without blocking the pores and its
properties [5]. A homogenously dispersing ofactivated carbon in chitosan biopolymer is thus
expected for the preparation of electroactive material
in our modification of the basal screen printed
electrode.
In this study, modified screen printed electrodes
were formulated by surface incorporating with either
chitosan or activated carbon blending chitosan to get
an effective and affordable implement forelectrochemical application. Their morphologicalcharacteristics were closely investigated using byatomic force microscopic techniques in comparison
to their original SPCE surface. Coexisting
complementary electrochemical behaviour of themwere also determined by the use of voltammetricanalysis.

In the development of electrochemical
appliances including sensors, catalytic implements
and electronic devices, there are several types ofmaterials introduced for active electrode fabricationsuch as metal oxides, clays, conducting polymers
and carbon based elements [1]. Among these,
however in our viewpoint, a natural biopolymer as
chitosan and a high surface area activated carbon
have attracted much attention by their excellent
attributions which are not only a prompt availability
and productivity but also environmental friendly andcheap. Chitosan, the second most abundant polymer
in nature, is derived by deacetylation process fromchitin which is the main exoskeleton component ofcrustaceans and cell wall of fungi. It has abroadening of being researched for applications inmany fields because of many interesting properties
relatedtobothbiologicalactivity andelectrochemical affinity [2]. It is indeed a natural
cationic biopolymer and behaves as a polycation by
its protonated amine function at multiple sites of themolecule chains. Another interesting category, theactivated carbon, has been considered due to its
impressive properties concerning a high magnitudein surface area, chemical stability and conductivity.
Activated carbon is well known for its superfine
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SEE-Mie, Japan, Nov. 19-21, 2015

< 10 nm tip radius and 42 N/m force constant(Nanosensors TM, Neuchâtel, Switzerland). Surface
topography parameters such as average roughness
Ra (nm), root mean square or standard deviation of
the height value Rq (nm), height different or peakto-valley (Rpv), ten point height (Rz), mean spacing
average (Rsm), skewness (Rsk) and kurtosis (Sku) as
well as fractal and grain analysis, all were inspectedby the XEI software.

MATERIALS AND METHODS
Materials
Screen printed carbon electrode DRP-150 thatconsisted of 4 mm spot carbon as working electrodesurrounded with platinum line as counter electrodeand silver line as reference electrode was provided
by DropSens, S.L. Llanera (Asturias) Spain.
Chitosan (85% degree of deacetylation) was
obtained from Bioline Lab, Co., Thailand. An
analytical grade of activated carbon (DARCO®) andother chemicals for reagent preparation werepurchased from Sigma-Aldrich Co. LLC, USA and
Ajax Finechem Pty, Ltd., Australia. High purity
deionized water of 18.2 MΩ from Milli-Q RG
system (Millipore Corporation, MA, USA) was usedin all solutions.

Electrochemical analysis
Electrochemical experiments were performed atroom temperature using ECoChemie Autolab
PGSTAT 302N controlled with the Autolab Nova
software (Metrohm Autolab B.V., Utrecht, The
Netherlands). Cyclic voltammetry (CV) was theprincipal method of electrochemical analyses in thisobservation. Configuration of the self assembled
layer of chitosan and activated carbon blending
chitosan on SPCE working area surface was testified
by their CV performance in a 0.05 M phosphatebuffer saline (pH 6.5) containing 0.05 M EDTA plus
0.1 M KCl and 1.0 mM K3Fe(CN)6 at a scan rate of25, 50, 100, 150 and 200 m∙Vs−1 with a scan from
−0.6 to + 0.6 V.

Electrode modification
The Screen printed carbon electrode DRP-150
provided by DropSens, S.L. Llanera (Asturias) Spain
was used as basal electrode for further modification.
The working 4 mm spot surface area of SPCE wascleaned by 3 times rinsing with deionized water. The
self assembled chitosan modified electrode wassubsequently prepared by applying a 3.0 μl drop of
1% chitosan in 1% acetic acid solution onto thisworking carbon electrode surface area and naturally
dried up. Then it was covered with a 5 μl drop of 0.1
M NaOH for 30 min to fix the film forming and let it
dried again. In case of the activated carbon blending
chitosan modified electrode, an activated carbon
powder was added to 1% chitosan in 1% acetic acidsolution at 1:1 ratio by weight and thoroughly mixed
and degassed prior to use. Similarly, a 3 μl drop of
this blending solution was applied to the working
electrode surface spot area, dried up, and fixed by 5μl drop of 0.1 M NaOH for 30 min. These modified
electrodes were then ready after since a natural air
dried process was finished.

RESULTS AND DISCUSSION
Morphological characterization by AFM
Surface roughness characteristics
Characterization of the investigated working
electrode surfaces was achieved by measuring theroughness parameters extracted from AFM
topography using instrument’s XEI software.
Quantitative morphological characteristics such as
average roughness (Ra), root mean square roughness(Rq), peak-to-valley (Rpv), ten point height (Rz),mean spacing average (Rsm), skewness (Rsk),
kurtosis (Sku) and fractal were obviously perceived
as compiled in Table 1. Different nanoscaled surface
features were visualized as shown by 3D AFM
images in Fig.1. An average and root mean squareroughness of the chitosan modified SPCE were 1.2
fold higher but about 1.5 lesser in height and spacing
parameter than the basal SPCE surface. These
assessments provided a rougher but lower peakspacing and spike planar surface after chitosan
covering on to basal SPCE, thus indicated a thicklayer topping. While a covering with activatedcarbon blending chitosan yielded smoother surface
with 1.6 to 2 fold smaller in roughness and heightparameters. The fractal or self similarity value of
this modified surface was increased up to 2.35
suggesting a thoroughly dispersion of activatedcarbon along the surface film layer.

AFM investigation
The working surface of each electrode wasobserved by a XE-120 Atomic force microscope(Park Systems Corp., Suwon, Korea) controlled with
XEP software for data acquisition and XEI software
for image processing and analysis. AFM images
were obtained by 2×2 μm area of the sample surface(x-y accessible area) at 0.5 Hz scan rate.
Measurements were based on true non contact modewith a PPP-NCHR silicon cantilever consisting of a
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SEE-Mie, Japan, Nov. 19-21, 2015

Surface grain profile
The nanostructural differences among basal
SPCE and its modifying surface were also definedby their grain profile determination by XEI software.
Average grain size measured by area, volume,
perimeter and peak-to-valley as well as an estimatedgrain numbers could be revealed as displayed inTable 2, notwithstanding their irregularity in shapeand size. Chitosan modified SPCE yielded fewest
amount of grain with 106.5 unit/μm2 in their surface
area while the highest amount of 307.5 unit/μm2
were from activated carbon blending chitosan
modified SPCE. The grain profile of basal SPCE
was displayed as sizable and voluminous granulewith reference to its predicated parameters. After acovering with chitosan, the surface became lessen in
grain number in coupling a different form of its
grain size and shape. These grains of chitosan
modified surface were the largest in area andperimeter but very small peak-to-valley value andlooked rather slightly wrinkle taper smear on top ofbasal SPCE. In case of a modification with activatedcarbon blending chitosan, the amount of the grain
was increased to about 3 times more than the
covering with chitosan only. The size and shape ofthe grains in this case was much smaller than boththe basal SPCE and chitosan modified SPCE.
Investigation on a distribution of different grain
sizes along the 2×2 μm scanning surface layer of
each inspected electrode was also done and its
results are as illustrated in Fig. 2.
Table 1 Surface profile parameters before and after
modification of the screen printed carbon
electrode with chitosan and activatedcarbon blending chitosan
Parameters

Bare
SPCE

Fig. 1

SPCE-Chi

SPCEChiActC
Ra (nm)18.69321.78011.388Rq (nm)24.49425.19313.505
Rpv (nm)157.231109.762
77.546Rz (nm)155.236107.966
76.862
Rsm (µm)
0.83030.43530.2398Rsk-0.191-0.180-0.521
Rku
3.316
1.950
2.623
Fractal2.2095
2.213
2.348
Note: SPCE = screen printed carbon electrode,
SPCE-Chi = chitosan modified screen printed
carbon electrode, SPCE-Chi-ActC = activatedcarbon blending chitosan modified screen printed
carbon electrode, Ra = roughness average, Rq =standard deviation of the height value, Rpv = peakto-valley, Rz = ten point height, Rsm = mean spacing
average, Rsk = skewness, Rku = kurtosis

Three-dimensional AFM images of (a) barescreen printed carbon electrode, (b)chitosan modified screen printed carbon
electrode and (c) activated carbon blending
chitosan modified screen printed carbon
electrode.

Table 2 Grain parameters of electrode surface
measured before and after modification of
the screen printed carbon electrode withchitosan and activated carbon blending
chitosan196

Parameters

Bare
SPCE

SPCEChi

Area (µm2)
Volume(µm3)
Perimeter(µm)
Rpv(nm)Total
Number/µm2

0.00730.00310.01770.0013SPCEChiActC
0.00570.0019

0.378

0.493

0.328

13.471143

9. 365
106.5

9.759
307.5

SEE-Mie, Japan, Nov. 19-21, 2015

Note: SPCE = screen printed carbon electrode,
SPCE-Chi = chitosan modified screen printed
carbon electrode, SPCE-Chi-ActC = activatedcarbon blending chitosan modified screen printed
carbon electrode, Rpv = peak-to-valley

about 0.19 V and 0.07 V, respectively. Similar peakcurrent pattern was also formed by the activatedcarbon blending chitosan modified electrode with
the I pa and I pc about +4e-5 A and -4e-5 A at the E pa
and E pc about 0.17 V and 0.07 V. These I p values
were almost 2-3 times higher with approximately 2times lower in their corresponding E p than that was
yielded from the bare SPCE. The evaluated peakcurrent and potential magnitude has indicated theconsequent changes at the surface of basal SPCE
after covering with the investigated materials. A
higher peak current and a lower peak potential of thetwo modified electrodes could provided better flowof electron transfer and oxidative reaction that
implied a more sensitivity and reactivity. Thus asignificant electrochemical behaviour improvement
could be achieved in the modification of SPCE withchitosan and activated carbon blending components.
The scan rate effect from cyclic voltammetricperformance of each electrode type was asdemonstrated in Fig.3. Table 3 was allocated torepresent the results concluded from this experimenton scan rate effect. Linear regression relationshipcould be constructed from the peak current versus
square root of the scan rate variants. A proper
linearity was produced and the slope magnitudes ofboth modified SPCE were approached to 0.5 withthe regression coefficient around 0.99. The
electrochemical property of these evidences istherefore belonged to diffusion controlled current
and could be used for further study in quantitative
determination.

Fig. 2 Grain size distribution histogram of electrodesurface by AFM analysis: (a) bare screen
printed carbon electrode, (b) chitosan
modified screen printed carbon electrodeand (c) activated carbon blending chitosan
modified screen printed carbon electrode.

Electrochemical characterization
Electrochemical characterization of bothmodified electrodes in comparison with the original
SPCE was defined by cyclic votammetry using theferri-ferro cyanide (Fe(CN)63-/Fe(CN)64- ) response
system indicator. As this performance usually
involves a single electron transfer and produce anideal quasi-reversible outer sphere kinetic behaviourat the electrode surface that can be used toward aquantitative analysis [6]. Comparison among
voltammograms obtained from bare SPCE, chitosan
modified SPCE and activated carbon blending
chitosan modified electrode in 0.05 M phosphatebuffer saline (pH 6.5) containing 0.05 M EDTA plus
0.1 M KCl and 1.0 mM K 3 Fe(CN) 6 at 100 mVs-1
scan rate was as shown in Fig. 3. The voltammetricresponse could be detected in the potential ranged
from −0.6 to + 0.6 V. A reversible process wasappeared regarding a redox couple voltammogramwith the peak current (I p ) of each at initial positive
potential. The current signal responses of
K 3 Fe(CN) 6 were significantly enhanced at bothmodified electrode and hence indicated a prominent
redox peak and peak current magnitude. The anodic(I pa ) and cathodic (I pc ) peak current of chitosan
modified SPCE was seen about +5e-5 A and -5e-5 A
at the anodic (E pa ) and cathodic (E pc ) peak potential

Fig. 2

197

Cyclic voltammograms of (a) bare screen
printed carbon electrode, (b) chitosanmodified screen printed carbon electrodeand (c) activated carbon blending chitosanmodified screen printed carbon electrode in
0.1 M PBE (pH 6.5) containing 1.0 mM[K 3 Fe(CN) 6 ]3−/4− at 100 m∙Vs−1 scan rate.

SEE-Mie, Japan, Nov. 19-21, 2015

Fig. 3 Cyclic voltammograms of (a) bare screen
printed carbon electrode, (b) chitosanmodified screen printed carbon electrodeand (c) activated carbon blending chitosanmodified screen printed carbon electrode in
0.1 M PBE (pH 6.5) containing 1.0 mM[K3Fe(CN)6]3−/4− accounted by curves
from inner to outer corresponding to 25, 50,
100, 150 and 200 m∙Vs−1 scan rates,
respectively. Plots located at the bottom ofeach CV show their corresponding linear
relationship of anodic and cathodic peakcurrent vs. square root of the scan rate.

Table 3 Linear relationship of anodic(Ipa) andcathodic (Ipc) cyclic voltammetric peakcurrent vs. square root of the corresponding
scan rate at 25, 50, 100, 150 and 200m∙Vs−1 among the investigated electrodes.
Equation (y = a+bx)

R2

y = (-0.0217±0.0353) +(0.1981±0.0034)xy = (0.0436±0.0889) +(-0.2202±0.0087)x

0.9988y = (-1.0207±0.4154) +(0.6016±0.0405)xy = (1.2995±0.3442) +(-0.6879±0.0336)x

0.9933y = (-0.6349±0.1154) +(0.451±0.0113)xIpc
y = (0.3236±0.0547) +(-0.4811±0.0053)x
Note: R2 = regression coefficient value

0.9991

Linearregression
relationshipofBare SPCE
Ipa
Ipc
SPCE-Chi
Ipa
Ipc
SPCE-ChiActC
Ipa

0.99380.99640.9998CONCLUSION
In this investigation, modification of screen
printed carbon electrode (SPCE) with chitosan andactivated carbon blending chitosan at the working
carbon area surface was performed. Each modified
SPCE and also its basal bare SPCE was intensely
observed by atomic force microscope (AFM) toevaluate the consequent surface morphologicaldeveloping. The surface roughness was foundincreasing but with much lower peak height andspacing in the chitosan modified SPCE. In case of
the modification using activated carbon blending
chitosan, however, the surface layer became
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SEE-Mie, Japan, Nov. 19-21, 2015smoother altogether with a higher fractal value
which indicated an evenly dispersion of activatedcarbon particle in this surface layer. Similarassumption was noted from the grain profile analysis.
The grain number per area was lesser in chitosan
modified one and their size and shape tend to betapering form in average. While more grain amount
was obtained with the modification by activatedcarbon blending chitosan and the average grain was
irregular nodule shape and much smaller in size thanthose of basal chitosan only. A good correlation
between AFM and electrochemical determination
could be achieved in this study. These topographic
modifications of SPCE were strongly responded toelectrochemistry surface as the voltammetricresponse was obviously improved. Remarkablebetter peak potential and peak current magnitude
from the ferri-ferro cyanide redox activity was
gained in both modified SPCE. The test in scan rate
effect was also showed a diffusion controlled
behavior with considerable high stability andsensitivity which capable for desirable quantitative
inspection. Thus, an easy, simple and inexpensive
fabrication of modified electrode can be presented
for convenient applications in various fields ofphysicochemical and biological analysis.

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carbonization”, J. Of Material Chemistry. A,
Vol.3, Jun. 2015, pp. 15558-15567.
[5] Chang TM, “Coated charcoal haemoperfusion”,
Life Support System”, Vol. 2, Apr-Jun 1984,
pp. 99-106.
[6] Nicholson RS, “Theory and Application of
Cyclic Voltammetry for Measurement ofElectrode Reaction Kinetics”, Analytical
Chemistry, Vol. 37, Apr. 1965, pp. 1351-1355.

ACKNOWLEDGEMENTS
The research work was carried out under the
Biosensor Technology for Sustainable Development
Research Group of Khon Kaen University. The
authors acknowledge the University’s Division of
Research and Technology Transfer Affair for partial
funding through this program.

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Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

EFFECT OF DIETARY PROTEIN INGREDIENTS FROM NONTOXICAGRICULTURAL FIELD ON MEAT QUALITY OF NILE
TILAPIA (OREOCHROMIS NILOTICUS)
Boontarika Thongdonphum1, Kittima Vanichkul1 and Lalita Siriwattananon1
Faculty of Agricultural technology, Rajamangala University of Technology Thanyaburi, Thailand

1

ABSTRACT
Nile Tilapia (Oreochromis niloticus) is one of freshwater fish of economically important in Thailand. This
study was thus aimed to assess the effect of dietary protein ingredients from non-toxic agricultural field on
production quality of O. niloticus. The experiments were set of three treatments including (1) 100 percentage ofrice bran from non-toxic agricultural field, (2) mixing feed (fish meal, rice bran and dried corn grains from nontoxic agricultural field), and (3) commercial feed. Growth rate, survival rate, and Quality parameters of tilapia
meat; including color (L*, a* and b*), texture, and sensorial preference were determined within 120 days after
starting of the experiment. Results indicated that weight growth rate were significantly different (p≤0.05) andshowed the best in mixing feed treatment group (75.36±25.99 g) while average daily growth (ADG) and Feed
conversion ratio (FCR) of tilapia showed the best in treatment 2 with average 1.27±0.12 g/day (p≤0.05) and
1.74±0.42 (p>0.05), respectively. Quality parameters of tilapia meat showed significant different in color andtexture, while sensorial preference tended to be better on treatment 3. The overall results suggested that dietary
protein ingredients from non-toxic agricultural field had effects on meat quality of O. niloticus.
Keywords: Dietary protein ingredients, Non-toxic agricultural field, Meat quality, Nile Tilapia

This study was thus aimed to assess the effect ofplant protein ingredients from non-toxic agricultural
field on the growth and meat quality of tilapia using
three different diets.

INTRODUCTION
Nile tilapia or tilapia (Oreochromis niloticus) is
one of the most important herbivorous fish species
in world aquaculture [1]. They are widely cultured inabout 100 countries in the tropical and subtropicalregion [2]. Tilapia culture is widely distributed andbe the one of economically important fish in
Thailand. Production and consumption of tilapia are
increasing at a rapidly rate globally [3] because they
are easily cultured on the high tolerance to adverse
environmental condition as well as wide variety ofnutrient source from pond algae and bacteria to highquality feedstuffs such as grain, oilseeds andfishmeal [4],[5].
Currently, fish farmers adapt to complete
commercial diets based on plant and animal protein
sources that are expensive for most fish farmers[3],[6]. Then, varieties of feed ingredients are usedin the tilapia dietary including plant protein sourcesuch as rice polish [1], Spirulina flakes [5], andsoybean product [7]. However, fish production is
expected to increase quality in terms of the growth
performance and meat quality. Therefore, the effectof diets from planting organic agriculture as the one
approach to chemical reduction in the culture should
be consideration for non-toxic aquaculture feed
production because of the alternative source ofprotein was developed on basis of their agro-byproduct.

METERIALS AND METHODSFish Source
The fingerlings of Nile Tilapia (Oreochromis
niloticus) were obtained from the Pathumthani
Aquaculture Genetic Research Institute andtransported to the hatchery at Division of Fisheries,
Rajamangala University of Technology Thanyaburi,
Pathum Thani. Similar size (3-5 cm.) of fishes wereacclimatized in plastic tank for two weeks using
clean water.
Experimental Design
The experiment were designed by completely
randomized design (CRD) that comprised of threetreatments including 100 percentage of rice branfrom non-toxic agricultural field (T1), mixing feed
(rice bran, dried corn grains and fish meal from nontoxic agricultural field), and commercial feed (T3).
Then, fish were counted and stocked at density of 20
fishes per cage for 120 days study period. The
fingerlings in nine cages were fed on different diets
according to the treatment (08:30 and 16:00 h) at a200

SEE-Mie, Japan, Nov. 19-21, 2015

rate of 3-4% of their body weight per day. After one
hour of each feeding, uneaten diet and fecal matter
were siphoned out of the tanks.
The proximate chemical composition (protein,lipid, fiber, ash, moisture, and dry matter) in theexperimental diets and tilapia meat were analyzed
using Association of Analytical Chemists [8].
Number of death fish were recorded after start theexperiment. Weight and length data were recordedin two weeks intervals throughout the experiment for
growth assessment. Average daily growth (ADG),
survival rate (SR), and food conversion ratio (FCR)
were calculated by;
ADG = (W e -W s )/t, where W e is the weight at theend of the experiment; W s is the weight at the startof the experiment, and t is the number of days.
SR = ((N e -N s )/N s )x100, where N e is the numberof fish at the end of the experiment; N s is thenumber of fish at the start of the experiment.
FCR = W f /W t , where W f is feed intake, and W t
is the total weight of fish at the end of theexperiment.
Based on the work of Pomeranz and Meloan(1994) [9], color value analysis (L*, a* and b*) wasapplied to analyzed for measuring color and lightusing Konica minolta sensing inc, WF 120).
Hardness value was determined according to texture
profile analysis [10]. Sensory analysis, such as color,
texture, taste and odor was evaluated using nine
point grading hedonic scale (dislike extremely = 1,
dislike very much = 2, dislike moderately = 3,
dislike slightly = 4, neither like nor dislike = 5, likeslightly = 6, like moderately = 7, like very much = 8,
and like extremely = 9) [11]Parameters
Protein
Lipid
Fiber
Ash
Moisture
Dry matter

Growth performance of tilapia reared in eachtreatment are summarized in Table 2. Average
weight and length of tilapia at the end of theexperiment were significantly different (p≤0.05).
The highest average weight and length were on the
mixing feed treatment (T2). Different diets also hadsignificant (p≤0.05) that affected on average daily
growth (ADG), the highest ADG were recorded on
the mixing feed (T2) and the lowest one in those fed
on commercial feed (T3). No significant differencesin survival rate (SR) and food conversion ratio(FCR) were observed between treatments. However,
low food conversion ratio (FCR) value is anindicator of feed utilization efficiency [1], which
tended to be better on the mixing feed (T2), as
shown in Table 2.
Table 1 Growth parameter (mean±SD) of the Nile
Tilapia fed on the three diet treatments
Parameters
T1
W s (g)W e (g)L s (cm)
L e (cm)
ADG(g/day)SR (%)
FCR

Data Analysis
Analysis of variance (ANOVA) was used toconsider growth factor and sensory data in eachtreatment, significance between the means werecompared with the Duncan's new multiple range test
(DMRT) at a probability level 0.05 (p≤0.05)

The composition of experimental diets are shownin Table 1. Protein and lipid were used to mainly
assess in the results. The highest percentage ofprotein (20.0%) was found in the mixing feed (T2),
while protein value of the commercial feed (T3) was
18.2% that lower than mark (should be 35%).
Moreover, ash content in T3 was high whencompared between diet groups. Lipid levels showed
highest (10.0%) in 100% of rice bran from non-toxic
agricultural field (T1).

(%)

of

Experimental diets
T2

T3

1.47±0.30a
47.28±17.10a
4.54±0.26a
13.69±1.80a
0.81±0.14a

1.52±0.44a
75.36±25.99b
4.53±0.34a
15.94±1.76b
1.27±0.12b

1.62±0.51a
41.08±12.04a
4.51±0.42a
12.77±1.31c
0.69±0.04a

65.0±20.0a
2.07±0.25a

70.0±15.0a
1.74±0.42a

78.3±16.1a
2.01±0.28a

Note: weight at the start (W s ) and the end (W e ) of
the experiment, length at the start (L s ) and the end(L e ) of the experiment, average daily growth (ADG),
survival rate (SR), and food conversion ratio (FR).
The mean values in the same row followed by thesame letter superscripts are significantly different(p>0.05).

RESULTS AND DISCUSSIONS

Table 1 Proximate composition
experimental diets

Experimental diets
T2
T3
20.0
18.2
7.5
4.0
7.8
8.0
8.7
11.8
6.4
9.3
93.6
90.7

T1
12.8
10.0
5.3
8.0
10.5
89.5

The results revealed that protein ingredients from
non-toxic agricultural field had effected on O.
niloticus growth. The present study showed that theprotein and lipid levels were close to of othersupplemented diets used to feed tilapia fingerlings[5]. Dietary protein plays an important role in tilapia
growth [12]. The protein requirement for tilapia
growth had been estimated to be between 25 and
40% depending on species, age/size of fish,
ingredient digestibility, and extent on foraging
natural ingredients [3],[4].
Proximate composition in tilapia meat as shown

the

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SEE-Mie, Japan, Nov. 19-21, 2015

in Table 3. Protein percentage content in tilapia meat
was high in commercial feed (T3) followed bymixing feed (T2) and 100% of rice bran from nontoxic agricultural field (T1), respectively. Feedintake of each experimental diets could be attributed
to different the chemical composition levels intilapia meat due to chemical composition such asprotein, lipid, and fiber content in rice bran, driedcorn grains, as well as fish meal used in feed
production are different [1]. Then, the silage
composition of both quality and quantity is directly
related to its source material [13].

different letter superscripts are significantly different(p≤0.05).

Table 5 showed the quality of tilapia meattexture. Results revealed that hardness values had
not significant difference (p>0.05) of both raw andboiled meat among diet groups.
Table 5 Hardness values (kg force) of the Nile
Tilapia meat affected by tilapia raw andboiled meat

Table 3 Proximate composition (%) of the Nile
Tilapia fed on the three diet treatments

Tilapia meat

Parameters

Experimental diets
InitialT1
T2
T3
Protein58.86a60.09a60.83a67.46bLipid
6.29a
27.26b28.86c15.35d
a
b
c
Ash
26.04
11.62
14.46
19.82dabc
Moisture
2.95
2.33
4.49
2.78d
a
b
c
Dry matter 97.05
97.67
95.51
97.22dNote: mean values in the same row followed by thedifferent letter superscripts are significantly different(p≤0.05).

Experimental diets
T1
T2
T3

Raw meatOuter
0.7±0.1a
0.6±0.1a
0.6±0.0abaInner
0.5±0.1
0.4±0.0
0.4±0.0a
Boiled meat
Inner
0.3±0.1a
0.3±0.0a
0.3±0.0a
Note: mean values in the same row followed by thedifferent letter superscripts are significantly different(p≤0.05).
Sensorial preference of tilapia meat quality
showed high score in the commercial feed (T3)
followed by the mixing feed (T2) and 100% of ricebran from non-toxic agricultural field (T1),respectively. However, the results implied that plant
protein ingredients from non-toxic agricultural field
could be replaced in tilapia feed production due to
had not significant difference (p>0.05) among diettreatments. Khan [1] reported that partial
replacement of fish meal by rice polish (up to 20%)and mustard oil cake (up to 22%) would be
economically efficient by reducing on feed
formulation cost about 24% without changing thenutritional quality. Therefore, plant protein
ingredients from non-toxic agricultural field
replacement of fish meal could be changed feed costfor fish farmers and had not effected on the fishconsumers.

Quality parameter in term of color value; lightvalue (L*), red value (a*) and yellow value (b*) are
shown in Table 4. Results implied that the effectexperimental feeds had not significantly different(p>0.05) on L* of both raw and boiled meat. a* ofouter boiled meat had different between dietary
treatments (p≤0.05), while b* of both raw and boiled
meat showed significantly different among groups(p≤0.05).
Table 4 Color values (L* lightness, a* redness andb* yellowness) of Nile tilapia meat affectedby tilapia raw and boiled meat
Tilapia Color
Experimental Diets
meat
value
T1
T2
T3
Raw meatOuter
L*
33.3±4.0a 37.5±5.9a 35.1±6.4aa*-0.5±0.4a -1.5±0.6a -1.3±0.5ab*
1.3±1.6a
7.5±2.0b
3.0±1.2a
b
a
Inner
L*
45.9±0.838.2±2.7 39.7±0.7aabaa*-2.3±1.1
1.6±2.7b -1.6±1.1aab*
1.9±1.5
2.4±1.9
3.9±0.9a
Boiled meat
Outer
L*
28.4±7.8a 28.6±5.5a 30.8±8.8aa*-0.5±0.4a -0.7±0.9b 1.2±0.2bb*-0.4±0.7a 1.6±1.3ab 2.4±1.2b
Inner
L*
67.5±6.8a 66.2±6.6a 58.5±5.2aa*
1.7±0.7a
1.7±1.1a
3.9±1.7aaab*
15.1±2.3
14.4±1.7 18.5±0.6b
Note: mean values in the same row followed by the

Table 6 Sensorial preference scores of fish boiled
meat of the three diet treatments
Sensorial
Experimental diets
preference
T1
T2
T3
Texture6.2±1.4a
6.9±1.2b
8.2±0.7c
Color
5.2±1.4a
6.8±1.4b7.3±1.8baaOdor
3.4±1.8
4.4±2.3
6.3±1.9baaTaste
7.1±1.4
7.3±1.5
7.1±2.5aabOver all6.4±1.4
7.4±1.0
8.1±0.9c
acceptability
Note: mean values in the same row followed by thedifferent letter superscripts are significantly different(p≤0.05).
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SEE-Mie, Japan, Nov. 19-21, 2015

ingredients", J. Aquac Res Development, Vol.
5(3), 2014, pp. 1-4.
[7] Furuya WM, Pezzato LE, Barros MM, Pezzato
AC, Furuya VRB & Miranda EC, "Use of ideal
protein concept for precision formulation ofamino acid levels in fish-meal-free diets forjuvenile Nile tilapia (Oreochromis niloticus L.)"
Aquaculture Research, Vol. 35, 2004, pp. 11101116.
[8] AOAC. "Official methods of analysis", 15th ed.
Wilson Boulevard Arlington, Verginia, USA,
2000. 1298 p.
[9] Pomeranz Y & Meloan CE, "Food analysis:
Theory and practice"3rd ed. Chapman and Hall,New York. 1994.
[10] Garcia ML, Domingoez R, Galvez MD &Selgas MD, "Utilization of cereal and fruit
fibers in low fat dry fermented sausage", Meat
Science, Vol. 60, pp. 227-236.
[11] Chamber E, "The 9-point hedonic scale",
Peryam & Kroll Research Corperation,
Illinois,70 p. accessed : http://www.pkresearch.com/services/media/paperandpublicati
ons/theninepointhedonicscale-papers.pdf (Aug17, 2015)[12] Thongdonphum B, Vanichkul K &Siriwattananon L, " Growth effect of dietary

CONCLUSION
The best growth performance was observed in
the mixing feed in terms of weight, length, ADG,
and FCR. Meat quality parameters implied that plant
protein ingredients from non-toxic agricultural field
could be alternative dietary protein sources in theformulation for tilapia feed production.
ACKNOWLEDGEMENTS

The authors would like to express deep
gratitude to Institute of Research and Development,
Rajamangala University of Technology Thanyaburi
for the financial support of the culture development
of dietary protein ingredients from non-toxic
agricultural field for Nile tilapia (Oreochromis
niloticus) project.
REFERENCES[1] Khan MSK, Siddique MAM & Zamal M,"Replacement of fish meal by plant protein
sources in Nile tilapia (Oreochromis niloticus)
diet: growth performance and utilization",
Iranian J. of Fisheries Sciences, Vol.12(4), May
2013, pp. 864-872.
[2] El-Sayed AFM, "Protein nutrition of farmed
tilapia: searching for unconventional sources",
Oceanography Department, Faculty of Science,
University of Alexandria, Egypt, accessed :http://ag.arizona.edu/oip/ista6/ista6web/pdf/364.
pdf (Aug 16, 2015)[3] Swick RA, "Feed based tilapia culture", ASA
Technical Bulletin, Vol. AQ49, 2001, pp. 1-10.
[4] Mjoun K, Rosentrater KA & Brown ML,"Tilapia: environmental biology and nutritional
requirements", South Dakota Cooperative
Extension Service, South Dakota State
University, Oct. 2010, pp. 1-7. accessed :http://pubstorage.sdstate.edu/AgBio_Publications/articles/fs963-02.pdf (Aug 16, 2015)[5] Sultana N, Noor P, Abdullah ATM, Hasan MR,
Ahmed KM & Naser MN, "Growth
performance and nutrient composition ofjuvenile Nile tilapia (Oreochromis niloticus) fed
Spirulina flakes, rice bran and mustard oilcake", Mal J Nutr, Vol. 18(2), Oct. 2012, pp.
275-282.
[6] Workagegn KB, Ababboa ED, Yimer GT &Amare TA, "Growth perfomance of Nile tilapia(Oreochromis niloticus L.) fed different types ofdiets formulated from varieties of feed

protein ingredients from non-toxic
agricultural fields on Nile tilapia(Oreochromis niloticus)", in Proc. 3rd
Academic Science and Technology Conference,
2015, pp. 382-385.
[13] Arruda LFD, Borghesi R, Brum A, D'arce MR& Oetterer M, "Nutritional aspects of Niletilapia (Oreochromis niloticus) silage", Ciênc.
Tecnol. Aliment., Campinas, Vol. 26(4), 2006,
pp. 749-753.

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Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

ELECTROCHEMICAL STUDY OF ALOE GEL AND EMODIN ON A
SCREEN PRINTED CARBON ELECTRODE
Suta Poosittisak1,2 and Porntip Wongkaew1,3
Biosensing Technology for Sustainable Development Research Group, Khon Kaen University,
Khon Kaen 40002, Thailand; 2Department of Chemistry, Faculty of Science, Khon Kaen University,
Khon Kaen 40002, Thailand, 3Department of Plant Science and Agricultural Resources,
Faculty of Agriculture, Khon Kaen University, Khon Kaen 40002, Thailand.
1

ABSTRACTThe most useful part of natural aloe vera is aloe-gel(AG) and aloe-emodin(AE). AE comprises various
pharmacological effects including, antiviral, antimicrobial and laxative activities, while AG has mainly used asanti- inflammable agent. Some medical activity of these are related to their redox activity. This paper haspresented a simple strategy to carry out direct and sensitive determination of AG and AE based on screen
printed carbon electrode (SPCE).The electrochemistry of AG and AE was investigated at pH 7.0 by cyclic
voltammetry and differential pulse voltammetry. A redox mechanism is comprehensively discussed.
Keywords: Aloe gel, emodin, screen printed electrode, electrochemical redox mechanism

INTRODUCTION
Aloe vera is a medicinal plant of the members of
the Liliaceae family and a significant source of‘aloin’ (4.5 to 25 per cent)[1]. It has been widely
used
in
food
products,
beverages
andpharmaceuticals as well as cosmetics because of its
pharmacological properties such as anti-oxidant,
anti-inflammatory and anti-cancer activities [2–8].
The two basic products of this plant are aloe gel andlatex. Aloe latex (or aloe juice) is the bitter yellow
exudate from the pericyclic tubules in the outer skinof the leaves. The major and active constituents ofaloe latex are hydroxyanthracene derivatives (15–40%) such as the anthraquinone glycosides aloin A
and B [9]. Aloe latex is known for its laxative
properties. Aloe gel is the colourless gel contained in
the inner part of the fresh leaves [10]. The gel
consists primarily of water (>98%) andpolysaccharides (pectins, cellulose, hemicellulose,
glucomannan, acemannan and mannose derivatives).
Acemannan is considered the main functional
component of aloe vera and is composed of a long
chain of acetylated mannose [11-13]

Fig. 1 The structure of aloe-emodin
Because of chemical composition of aloe emodinclassified as anthraquinone derivertive with electroactivity , current investigations of emodin include
spectroscopic method [14], oscillopolarography [15],micellar electrokinetic capillary chromatography[16]. It was discovered that multi-wall carbon
nanotube modified glassy carbon electrode had
better electrocatalytic effect for the redox of emodin
than that of bare glassy carbon electrode [17].
Among
these
analyticaltechniques,theeletrochemical techniques have the advantage ofcelerity, simplicity and high sensitivity. To support
these requirements, screen printed carbon electrode(SPCE) was used to investigate the electrochemical
behavior of extracted aloe emodin and fresh aloe gel.
Therefore a new possible way was provided for theinvestigation of fresh and extracted aloe emodin .

Aloe-emodin (Fig.1), one of the main
bioactive constituents in aloe vera leaves, has a
specific in vitro and in vivo antineuroectodermal
tumor
activity(8)
becauseofthehydroxyanthraquinone presence. In the measurementof the anti-oxidant activity of aloe-emodin, it was
found that the interaction between aloe-emodin and
DNA was concentration dependent [10].

EXPERIMENTALSEADINGSAND

APPARATUS

The three electrodes in one single strip: a carbon
working electrode, a carbon counter electrode and asilver pseudo-reference electrode from Dropsens—
available from Palm Instruments, was used in thisexperiment as a screen-printed electrochemical cell.
A computer-controlled Autolab PGSTAT (302N204

SEE-Mie, Japan, Nov. 19-21, 2015High
performance)withgeneral-purposes
electrochemical software operating system (NOVA
version 10.1.1) from Eco Chemie B.V., The
Netherlands, was used for the electrochemicalmeasurements. The integrated three electrode strips
were connected to the Autolab PGSTAT-302N witha specially adapted electrical connector. The pH
values were determined with a Radiometer pH meter.
Experimental conditions
The measurements were performed by dropping
a 50ul of a known sample from a dry weight ofmethanol extracted aloe emodin and a fresh aloevera sample on the surface of the SPCE. The
electrochemical characterization of solution samples
were investigated by cyclic voltammetric anddifferential pulse voltammetric technique.

Fig.1 The CV comparisons of a bare SPCE in a
PBS buffer solution at pH 7.05 running from 0.60 v
to -1.00 V and 0.60 V to 0.40 V at scan rate 25
mVs-1 and 5 cycle.

Sample preparation
The fresh leaves of aloe vera were washed with
distilled water and were cut into 2″ – 3″ pieces. The
upper green skin of leaves was scratched with asterilized knife. These scratched pieces were cut into
the small pieces were extracted with a known
volume of methanol. Hydroxyanthracene derivatives
were extracted with methanol. Samples weresonicated in an ultrasonic bath for 10 min, filteredthrough 0.2 μm membrane filters. The filtrate wasdried by freezing drying process. The aloe emodin
dry sample was used to prepare the known
concentration for analysis. For the fresh aloe gel
samples were filtered via a 0.2 μm membrane filter
and mixed with a PBS buffer solution before
electrochemical measurement.

Fig. 2. CV of a bare SPCE in fresh aloe gel solution
in PBS buffer solution at pH 7.05 at a scan rate 25
mVs -1 and 5 cycles.
After potential range was given between 0.60 V
and -0.40 V for the voltammetric measurement, CVbehaviors of fresh aloe vera gel in a PBS buffer
solution of pH 7.05 at bare SPCE was studied, theresult is shown in Fig. 2. An anodic peak can be seen
at 0.185V with the peak current of 1.10×10− 6 A. A
cathodic peak can be seen at 0.068 V with the peakcurrent of 1.80×10− 6 A at bare SPCE. It was also
found that the peak currents of the cathodic peakincrease linearly with the square root of scan rate in
the range of 9 to 36 mVs-1 , and the linear
regression could be represented as y = (-0.74 ±
0.121) + (0.295 ± 0.026)x, which indicated that it
was a diffusion controlled process (Fig.3b).

RESULTS AND DISCUSSION
Response characteristics
In cyclic voltammetric measurement, twopotential ranges (0,60 V to -1.00V and 0.60 V to 0.40 V) were assigned to probe electrochemical
processes at the screen printed carbon
electrode(SPCE). A representative CV recorded in a
PBS buffer solution at pH 7.05 is shown in Fig. 1.
Because of electochemical activity of a bare carbon
electrode itself in the negative potential region from
-0.40 V to -1.00 V . The
available working
potential range for the study was the potential
window between 0.60 V to -0.40 V.

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SEE-Mie, Japan, Nov. 19-21, 2015

(a)

(b)

Fig. 4. The effect of different PBS pH 3.05 ,6.04
7.05 8.01 and 9.07 on CV of the same concentration
1056 extracted aloe emodin ppm at scan rate 16
mV/s-1
Electrochemical behavior of extracted aloeemodin and fresh aloe gel
In differential pulse voltammetric study of themethanol extracted aloe vera sample and fresh aloe
gel in a PBS buffer solution at pH 7.05 were
investigated both cathodic and anodic direction from
0.60V to -0.40V. The results showed only one
cathodic peak in methanol extracted sample at 0.290V (Fig. 5) while three cathodic peak of freshaloe gel respectively showed at -0.312V, -0.014V
and 0.087V (Fig.6a). The cathodic peak of aloeemodin should observed at -0.312V which the
reduction potential was different from using bareglassy carbon electrode and multi-wall carbon
nanotube modified glassy carbon electrode [17]. The
anodic peaks of aloe emodin and other oxidative
species were also
observed
in Fig.6b. The
appearance of other cathodic and anodic peak infresh aloe vera sample indicated that fresh aloevera consisted of several redox species.

Fig. 3 The effect of the scan rate on CV of theextracted aloe emodin solution in PBS buffer
solution at pH 7.05 at different scan rate 9, 16, 25
and 36 mVs-1.

Electrochemical behavior of extracted aloeemodin in buffer solution at different pH values
Due to the main bioactive compound of aloevera was aloe emodin which consisted ofanthraquinone derivative s and the redox process ofanthraquinone derivatives was frequently related toprotonparticipation[17].
Thereforetheelectrochemical behavior of extracted aloe emodinin buffer solutions at different pH values werestudied. The relationship between the cathodic andanodic peak currents of the extracted aloe emodin at
SPCE and pH values were shown in Fig. 4. It can beseen that the peak potentials of the cathodic peaks
shifted negatively as pH increased from 3.05 to 9.07
(Fig. 4), indicating that this electrochemical process
involving proton.[17]Fig.5. DPV of a 1056 ppm of extracted aloe gel in a
PBS buffer solution at pH 7.05.

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REFERENCES[1] Rajendran A, Narayanan V, Gnanavel I,
Photochemical and Electrochemical Stabilities
of Aloe Vera Sap Journal of Applied Sciences
Research, Vol.3, 2007, pp. 1871-1878.
[2] Yen GC, Duh PD, Chuang DY, Antioxidant
activity of anthraquinones and anthrone. Food
Chem, Vol 70, 2000, pp.437–441.
[3] Bozzi A, Perrin C, Austin S, Vera FA. Quality
and authenticity of commercial aloe vera gel
powders. Food Chem, Vol.103, 2007, pp. 22–30.
[4] Tian B, Hua YJ, Concentration-dependence ofperoxidant and antioxidant effects of aloin andaloe- emodin on DNA. Food Chem, Vol.91,
2005, pp. 413–418.
[5] Yun Hu, Juan XUu and Qiuhuihu , Evaluationof Antioxidant Potential of Aloe vera(Aloebarbadensis Miller) Extracts J. Agric. Food
Chem. Vol.51, 2003, pp. 7788-7791[6] Park MY, Kwon HJ, Sung MK, Evaluation ofaloin and aloe-emodin as anti-inflammatory
agents in aloe by using murine macrophages.
Biosci Biotechnol Biochem, Vol.73, 2009, pp.
828–832.
[7] Pecere T, Gazzola MV, Mucignat C, Parolin
C, Vecchia
FD, Cavaggioni
A, Basso
G, Diaspro A, Salvato B, Carli M, Palù G,
Aloe-emodin is a new type of anticancer agent
with selective activity against neuroectodermal
tumors. Cancer Res. 2000, Jun,Vol.60 (11),pp.2800-4.
[8] Saccu D, Bogoni P, Procida G, Aloe exudate:characterization by reversed phase HPLC andheadspace GC–MS, J. of Agricultural and Food
Chemistry, Vol.49 (10), 2001 , pp. 4526– 4530.
[9] Reynolds T and Dweck A. C, Aloe vera leaf
gel: a review Update, J.of Ethnopharmacology,
Vol.68 (1-3), 1999, pp. 3–37.
[10] Djeraba A and Quere P, In vivo macrophageactivation in Chickens with Acemannan, acomplex carbohydrate extracted from aloevera.International
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365–372.
[11] Femenia, A., Sanchez, E. S., Simal, S., andRossello, C. Compositionalfeatures ofpolysaccharides from aloe vera
(Aloebarbadensis Miller) plant tissues. Carbohydrate
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[12] Lee, J. K., Lee, M. K., Yun, Y. P., Kim, Y.,
Kim, J. S., Kim, Y. S., et al. Acemannan
purified from aloe vera induces phenotypic andfunctional maturation of immature dendritic(b)

Fig.6 Cathodic differential pulse voltammograme (a)and anodic differential voltammograme (b) of freshaloe vera gel in a PBS buffer solution at pH 7.05 .

CONCLUSION
In this paper, the electrochemical behavior ofaloe emodin extracts was investigated using SPCE
as an active electrode. It could be assumed that thealoe emodin was presented in the extract as well as
in the fresh aloe gel according to an electrochemical
behavior performance at SPCE. Therefore a low cost,easy and convenient detection of aloe emodin was
successfully achieved with this electrochemicalsystem.

ACKNOWLEDGEMENTS

The research work was carried out under the
Biosensor Technology for Sustainable Development
Research Group of Khon Kaen University. The
authors acknowledge the University’s Division of
Research and Technology Transfer Affair for partial
funding through this program.
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species, Acta Pharm. Sinica , Vol.30, 1995, pp.
594–598[16] Zhao-Hui Yin 1, Qiao Xu 1, Yi Tu, Qiu-Ju Zou,
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Electrocatalysis of emodin at multi-wallnanotubes Bioelectrochemistry, Vol. 72 ,2008,
pp. 155–160.

cells. International Immunopharmacology,
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capillarychromatography separation and determinationof Chinese traditional medicine-several rheum

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FirstJapan,
International
Conference
SEE-Mie,
Nov. 19-21,
2015on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

TOTAL PHENOLIC CONTENTS AND ANTIOXIDANT ACTIVITYOF FRESH THAI CURRY
Nuanchai Kotsaeng1 and Muntana Nakornriab2
1

Faculty of Liberal Arts and Science, Kalasin Rajabhat University, Somdech, 46230, Thailand
2

Faculty of Science, Mahasarakham University, Maha Sarakham, 44150, Thailand
ABSTRACTThe objectives of this work were to study the total phenolic contents (TPC) and antioxidant activity ofmethanolic extracts of six fresh Thai curries. The TPC of the fresh Thai curries were found to be in the range of
0.989-1.1132 mg GAE/mg of the extract. Among the curries, the red curry presented the highest amount of TPC.
Antioxidant activity of the extracts was measured by DPPH-radical-scavenging assay, lipid peroxidation
inhibition and metal ion chelating assay. The Thai red curry extract exhibited the highest inhibition of lipid
peroxidation of linoleic acid emulsion (81.41±0.55%) and radical-scavenging activity (IC50 = 0.0476 mg/mL). In
addition, the fresh Thai red curry had the highest metal chelating activity (76.58±0.72%). However, all of the
fresh Thai curries showed similar metal chelating potential activities and there were no significant statisticaldifferences. These results suggest that the fresh Thai curries had interesting antioxidant activities and should be
proposed as potential sources of safe natural antioxidants and preservatives by the curry industry.
Keywords: Antioxidant, Chelating, Fresh Thai curry, Phenolichealthy teeth and gums. Kaffir can be applied to thehair and scalp, and even prevents hair loss. It is also
used as a deodorant. The fresh lime fruits can also be
used if available. Therefore, the objectives of thiswork were to study the total phenolic contents (TPC)and antioxidant activity of methanolic extracts of six
fresh Thai curries.

INTRODUCTION
Thai food has gained popularity, and Thai
curries, such as tom-yum, red curry and green curry,
are important ethnic foods consumed worldwide dueto their tastes, colors and health effects. The major
ingredients of Thai curry include garlic, chili andshallot (red onion). Garlic and onion have generally
been found to be sources of antibacterial [1],antidiabetic, hypocholesterolemic and cancer
preventive agents [2]. Allicin, one of the active
components of freshly crushed or homogenatedgarlic, has a variety of antimicrobial, antifungal,
antiparasitic and antiviral activities [3]. Spices havea lot of carotenoids, which have antimutagenic or
anticarcinogenic properties [4]. Essential oil andflavonoids from shallot are used as flavoring or
seasoning agents. Therapeutic properties include
antioxidant activity, alleviation of stomach pain andas antiheimintic, antidiarrhoeal, expectorant,
antitussive, diuretic and antiflu agents. In addition,other ingredients of Thai curries include galagalroot, lemon grass, kaffir lime leaves, shrimp paste,
and Kaempferia pandurata, which are effective ininhibiting tumors in the digestive tract [5]-[8]. The
essential oil of lemon grass is mainly comprised of
citral, which exhibited a broad antifungal spectrum[9], [10]. While galangal root can be purchased freshor dried, and it resembles a ginger root and is known
as the "defisher" as it reduces the fishy smell offoods. Kaffir lime leaves have antioxidant properties
and contain volatile oil. A digestive aid, Kaffir
leaves cleanse the blood while helping maintain

METHODOLOGY
Fresh Thai curry, 6 types: green curry, tomyum, kaeng-sum, tom-kha, pa-naeng and red curry,
were obtained in 2012 from a department store in
Mahasarakham Province, Thailand. All chemical
reagents used were analytical grade.
Crude Extraction
The Thai curries (25g) were extracted with
80% ethanol (3×100 mL) and 0.5% TFA-80%
ethanol (3×80 mL) for 30 min with intermittent
shaking at room temperature. The extracts werecombined and filtered through a 0.45 µm nylon
membrane filter. The extracts were then slowly
concentrated under reduced pressure, below 40 °C,
on a rotary evaporator to yield the crude antioxidants.
The crude samples were used for the determinationof antioxidant activities.
Antioxidant Activities
Total phenolic compounds

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SEE-Mie, Japan, Nov. 19-21, 2015

The TCP of the crude Thai curry extracts were
determined by a spectrophotometric method using
Folin–Ciocalteu’s phenol reagent (24). The crude
extract in ethanol (0.5 mL) was placed in a test tube
and diluted to 5 mL with a glass of distilled water.
Folin–Ciocalteu’s phenol reagent (5 mL) was added,
and the contents of the test tube were mixed
thoroughly. After 3 min, 5 mL of 10% sodium
carbonate solution was added, and the mixture wasallowed to stand for 1 h with intermittent shaking.
The absorbance of the blue color was measured in a
DU-7500 Spectrophotometer (Beckman Instruments
Inc., Fullerton, CA, USA) at 750 nm. The
concentration of TPC was determined using thegallic acid equation (mg/g extract) obtained from astandard gallic acid calibration curve. This
experiment was carried out three times, and theresults were averaged for the different fractions in
the Thai curries.

Yamaguchi et al. [11]. The crude extract and αtocopherol (5-40 mg/mL) were added to 1.5 mL of
0.1 mM DPPH (2,2-diphenyl-1-picrylhydrazyl) in
ethanol. The mixture was shaken vigorously and wasleft to stand for 20 min at room temperature in thedark. The absorbance was measured in a DU 7400
Spectrophotometer (Beckman Instruments Inc., CA,
USA) at 517 nm. The control reaction contained all
reagents except for the crude samples.
The radical scavenging effect was calculated by thefollowing equation:

Thiocyanate method

Metal ion chelating activity

Antioxidative activity was determined using
the linoleic acid system (24). In a well-stopped
Erlenmeyer flask containing linoleic acid (0.13 mL)in a 0.2 M NaOH-phosphate buffer (10 mL, pH 7),
the crude antioxidants in ethanol (1 mg) from thedifferent fractions of the Thai curries were added,
and the volume increased to 25 mL with a glass of
distilled water. The flasks were incubated at 40 °C
for a two-week period, and the degree of oxidative
activity was measured according to the thiocyanate
method (25). The incubation mixture (0.2 mL) was
reacted with NH4SCN (30%, 0.2 mL), 9.4 mL of
75% EtOH, and 0.2 mL of FeCl2 (2.53×10 -2 g/ 10
mL 3.5 % HCl) solution. The absorbance of the blue
color (peroxide value) was measured in a DU-7500
Spectrophotometer (Beckman Instruments Inc.,
Fullerton, CA, USA) at 500 nm. The control
solution was prepared in a similar manner without
the addition of any antioxidant, while α-tocopherol
and butylated hydroxyanisole (BHA) at 200 µg per
flask were used as a standard for comparison. This
experiment was performed three times, and theresults were averaged for the different fractions in
the Thai curries. The percentage of inhibition oflipid peroxidation was calculated using thefollowing equation:

The chelating of ferrous ions was measured
using the method of Dinis et al. [12]. The extracts(5-25 mg/mL) were reacted with 0.05 mL of 2 mM
FeCl2. The mixture was then added to 0.2 mL of 5mM ferrozine. The control did not contain FeCl2 andferrozine. After which, the reaction was shaken andincubated at room temperature for 10 min. The
absorbance of the red color was measured in a DU7500 Spectrophotometer (Beckman Instruments Inc.,
CA, USA) at 562 nm. This experiment was carriedout three times, and the results were averaged for thedifferent fractions in the Thai curries. The
percentage of metal chelating activity was calculatedby the following equation:

Scavenging effect (%) = [(Ac – As)/Ac] ×100,
Where Ac is the absorbance of the control at 517 nm
and As is the absorbance of the extract/standard at
517nm. This experiment was repeated thrice, and theresults were averaged for the different fractions in
the Thai curries.

% Metal chelating activity =[(Ac – As)/Ac] ×100,

Where Ac is the absorbance of the control at 562 nm
and As is the absorbance of the extract/standard at
562nm. This method was performed three times, andthe results were averaged for the different fractionsin Thai curries. Na2EDTA was used as a positive
control.
RESULTS AND DISCUSSION
Total Phenolic Compounds
TPC was measured by the Folin-Ciocalteu
reagent method using gallic acid as the standard. A
linear calibration curve of gallic acid resulted with acorrelation coefficient of R2 = 0.9990 over theconcentration range 20-120 µg/mL. This linear
equation was used to determine the total phenolic
compounds in the Thai curry extracts. The averageamount of the TPC found in the Thai curry extracts
is shown in Table 1. TPCs of fresh Thai curries werein the range of 0.989 – 1.1132 mg GAE/mg of the

Inhibition (%) = [(Ac – As)/Ac] × 100,
Where Ac is the absorbance of the control solution
and As is the absorbance in the presence of the curry
extracts.
DPPH free radical-scavenging activity
The radical scavenging activity of the crude
extracts was measured using the method of210

SEE-Mie, Japan, Nov. 19-21, 2015

extract. Among the curries, red curry presented thehighest amount of TPC.

scavenging effects of curry extracts might be due tothe hydroxyl groups in the antioxidants of theextracts.

Antioxidant Activities
The antioxidant activity of the extracts wasmeasured by lipid peroxidation inhibition, DPPHradical-scavenging assay and metal ion chelating
assay. The Thai red curry extract exhibited thehighest inhibition of lipid peroxidation of linoleic
acid emulsion (81.41±0.55%) and the tom-kha
extract showed the lowest lipid peroxidation. It issuggested that the antioxidant activity in Thai currycomes from free radicals that promote chain
reactions during the linoleic acid peroxidation
system.
The radical-scavenging activity of each
crude Thai curry extract was measured by using the
DPPH assay. When the DPPH radical was
scavenged by an antioxidant through the donation ofH• to form the reduced DPPH-H, the color changed
from purple to yellow. In this study, the scavenging
activity was amplified with the increased
concentration of all the rice antioxidants in the rangeof 0-40 mg/mL, and it was constant at aconcentration above 15 mg/mL. In the DPPH
radical-scavenging assay, the red curry extract offresh Thai curry showed the highest activity (IC50 =0.0476 mg/mL). The average amounts of the DPPH
assays for the Thai curry extracts were shown in
Table 1. In addition, the fresh Thai red curry had thehighest metal chelating activity (76.58±0.72%), andthe tom-kha extract showed the lowest (IC50 =0.5553 mg/mL). The lower the IC50 value means thehigher the antioxidant activity. In this analysis, thepossible mechanisms suggest that the radical-

Table 1 Total phenolic compounds and radicalscavenging activity in Thai curry extracts
determined using the DPPH assay.
Thai curry
pasteGreen curry
Tom-yum
Kaeng-sum
Tom-khaPa-naeng
Red-curry

Total phenolic content(mg GAE/mg)
0.989
1.092
1.024
0.936
1.111
1.132

IC50
(mg/mL)
0.104
0.067
0.068
1.749
0.053
0.048

The metal chelating activity of the Thai
curry extracts was estimated by the ferrozine assay[12]. Ferrozine is a quantitative formation of acomplex with Fe2+ ions. The results indicated thatthe chelating ability increased with an increased
concentration of all the Thai curry antioxidants in
the range of 0-15 mg/mL. [Fig. 2]. EDTA was used
as a reference chelating agent. At a concentration of
5µg/mL, the fresh red curry variety showed thehighest percentage of metal chelating, which wasmuch lower than that of EDTA at the same
concentration. The metal chelating activity wassignificant since it reduced the concentration of thecatalyzing transition metal in the lipid peroxidation.
The chelating agents, which form σ-bonds with ametal, are effective as secondary antioxidants
because they reduce the redox potential.

Fig 2. Metal chelating activity of Thai curries
extracts estimated by the ferrozine assay.
Fig 1. Thiocyanate method compared with αtocopherol and BHA.

211

SEE-Mie, Japan, Nov. 19-21, 2015[7] Murakami A, Ohigashi H, Koshimizu K,“Possible antitumor promoting properties ofedible Thai food items and some of their active
constituents,” Asia Pacific J. Clinic Nut, Vol. 3,
1994, pp. 185-191.
[8] Trakoontivakorn G, Nakahara K, Shinmoto H,
Takenaka M, Onishi-Kameyama M, Ono H,
Yoshida M, Nagata T, Tsushida T, “Structure
analysis of a novel antimutagenic compound,
4-hydroxypanduratin A and antimutagenic
activity of flavonoids in a Thai apice,fingerrot(Boesenbegia pandurata Schult) againtmutagenic heterocyclic amines,” J. Agri. Food
Chem, Vol. 49, 2001, pp. 3046-3050.
[9] Adegoke, GO, Odesola BA, “Storage of maize
and cowpea and inhibitory of microbial agentsof biodeterioration using the powder andessential oil of lemon grass (Cymbepogon
citralis),” Int. Biodeter. Biodegrad. Vol. 178,
1996, pp. 81-84.
[10] Schaneber BT, Khan IA, “Comparison of
extraction method for marker compounds inessential oil of lemon grass by GC,” J. Agri.
Food Chem, Vol. 50, 2002, pp. 1345-1349..
[11] Yamaguchi T, Takamura H, Matobe T, Terao
J, “HPLC method for evaluation of the free
radical-scavenging activity of food by using
1,1-diphenyl-2-picrylhydrazyl,” Biosci. Biotechnol. Biochem. Vol. 62, 1998, pp. 12011204.
[12] Dinis TCP, Madeira VMC, Almeida LM,“Action of phenolic derivates (acetoamino
phen, salycilate and s-aminosalycilate) as
inhibitors of membrane lipid peroxidation andas peroxyl radical scavengers,” Arch. Biochem.
Biophys. Vol. 315, 1994, pp. 161-169.

CONCLUSION
The results presented in this study showedthat Thai curries possess a relatively strong
antioxidant activity as assessed by all the methods
used. There is also a correlation between thecapacities of total and specific antioxidant and total
phenolic contents of the Thai curry samples, whichindicates that the antioxidant activities of the fresh
Thai curries are largely due to the phenolic group ofcompounds. Therefore, the Thai curries are apotential source of antioxidative phytochemicals anda useful ingredient for nutraceutical or functional
food products.
ACKNOWLEDGEMENTS
The authors wish to thank the Department ofChemistry, Faculty of Science, Mahasarakham
University for partial support for some chemicals.
Financial support from the Faculty of Science andMahasarakham University is acknowledged.
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YW, “Antimicrobial and antioxidation effectsof Thai seasoning, Tom-Yum,” Lebensm. Wiss.
Technol, Vol. 38, 2005, pp. 347-352.
[4] Monsereenusorn Y, Kongsamut S, Pezalla PD,“Capsaicin in literature survey,” CRC Crit. Rev.
Toxicol, Vol. 10, 1982, pp. 321-339.
[5] Murakami A, .Kondo A, Nakamura Y, Ohigashi
H, Koshimizu K, “Possible anti-tumor
promoting properties of edible plants fromThailand and identification of an active
constituent cardomonin (2’,4’ dihydroxy-6’
methoxychalcon) of Boesenbergia pundurata,”
Biosci. Biotechnol. Biochem. Vol. 57, 1993, pp.
1971-1973.
[6] Murakami A, .Kondo A, Nakamura Y, Ohigashi
H, Koshimizu K, “Glyceroglycolipids from
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2779-2783.

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First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

COMPARATIVE STUDY OF MORPHO-HISTOLOGY OF OVARIES OF
WT (HDRR) AND P53 (-/-) OF MEDAKA (ORYZIAS LATIPES)
Alaa El-Din H. Sayeda and Hiroshi Mitanibab Zoology department, Faculty of Science, Assiut University, 71516Assiut, Egypt.
Department of Integrated Biosciences, Graduate School of Frontier Sciences, The University of Tokyo,
Kashiwa, Chiba 277-8562.

ABSTRACTIn the present paper comparative study of morpho-histology of ovaries of both WT (HdrR) and P53 (-/-) of
medaka (Oryzias latipes) has been done. The ovaries of adult are paired and oval-rounded in shape and aresituated ventrolaterally. Histologically the ovaries consist of follicles with various stages of development, such as
primodial follicle, large follicle and growing follicle. Also, the ovaries can be differentiated into outer functional
regions and inner non-functional regions. The histological structure of the ovary in both strains fishes represents
the generalized teleostean structure with some differences in follicles count and distribution. We conclude that,the difference recorded in the present study has an impact on the maturation inside and eggs release from theovaries.
Keywords: Compartive, Ovary, HdrR, P53 (-/-), Oryzias latipes
1-INTRODUCTION:-

can be identified that would be impossible torecognize in non-inbred wild populations (Shima andMitani, 2004).
Histology offers a powerful tool in the study of
reproductive health of fishes. It is routinely used forsex verification, identifying stage of development,
documenting presence of intersex, tumors, parasites
and other abnormalities and quantifying atresia. One
important way histology is commonly used infisheries is the study of fish reproductive tissue.
Although macroscopic evaluation of gonads canprovide important information, the ability to examine
reproductive tissue at the microscopic, or cellular,level gives biologists a powerful tool to understandthe details of fish reproduction. Histology of ovariantissue is commonly used to better understand: (1)size/age at maturity; (2) daily and seasonal pattern of
spawning; (3) spawning location; and, (4) fecundity.
On the other hand, gonadal histology, in conjunction
with hormone and vitellogenin measurements,
morphological and fecundity studies, can provide
insights into the effects of various environmental
stressors on reproductive health. However, muchresearch, both field and laboratory, is needed tounderstand cause and effect for observed changes andto understand the meaning of many of the histologicalobservations made in field studies, in terms ofreproductive success of fish populations (Blazer,
2002). The usefulness and importance of histological
techniques in reproductive studies have been widely
discussed for gonochoristic fish species (AlonsoFernández et al., 2011).
The medaka (Oryzias latipes), a small aquarium
fish that is used widely in ecotoxicological studies, isa unique vertebrate model for investigating the effectsof IR but there is a few articles about the structureand description of the different stages of the ovary in

Although, medaka is an important fish in japan
and recently used as animal model in research, little is
known about the histology structure of the different
strains. From this start point, we begins to do an
investigation for all of the body organs in details withhighlights on the difference between the two mainstrains HdrR and P53 (-/-) of Oryzias latipes. Shimaand Mitani (2004) have been reported that many
reports attest to the power and promise of the medaka
for embryological studies. It is exciting that the
medaka has also come of age as a fully developedmodel system for evolutionary studies, combining
rapidly increasing genomic information with valuable
inbred lines and highly divergent wild populations(Shima and Mitani, 2004).
Recently, many published articles were focusedon medaka as a developmental and genetic model
system (Ishikawa, 2000; Wittbrodt et al., 2002);).
Also, Shima et al., (2003) has been described thecurrent state of medaka genomic analysis (Shima etal., 2003) and medaka genetic mapping was studied(Naruse et al., 2004). The popularity of medaka
among developmental biologists has led to important
insights into vertebrate development (Wittbrodt et al.,2002).
It has been well established that inbred medaka
strains display differences in numerous quantitative
traits, such as body shape, brain morphology,
behavior, reproductive rate, life span andsusceptibility to chemical or radiation-induced
tumorigenesis (Hyodo-Taguchi and Etoh, 1985;
Hyodo-Taguchi and Matsudaira, 1987; Ishikawa,
2000). Therefore, inbred strains provide a powerfultool for genomic analyses since haplotype
polymorphisms underlying complex polygenic traits

213

both WT and P53, so that, we will investigates andexamine the structure and different developmental
stages in comparative study.

established criteria for identifying of follicles (oocyte
developmental stages) were according to (Kurokawa
et al., 2007) to ensure authentic scoring.
2.5. Statistical analysis
The means, standard divisions and ranges were
estimated. One-way analysis of variance was used
to analyze the data using SPSS software (SPSS,
1998) at the 0.05 significance level.
2.6. Ethics statement
All experiments were performed in accordancewith the Japanese laws and university guidelines forthe care of experimental animals according to The
UniversityofTokyo
AnimalExperiment
Enforcement Rule.

2-MATERIALS AND METHODS:2.1. Fish:Sexually mature WT (Hd-rR) and p53 (-/-) adultfemale (3-4 cm) medaka (O. letipes) were studied
during October 2011. The fish were kept at 20 -21 º C
under 14 h light: 10 h dark cycle. They were fed a
powdered diet (Tetra-min, Tetra Werke Co., Mells,
Germany) and brine shrimp (Artemia franciscana)
three times a day.
2.2. Specimen collection:Since most fishes used in this study are sexuallymature, they are often large and hence have large
gonads. One aspect of reproductive studies that needs
standardization is the number, size and location of thepieces fixed for histology. The fish (6 fish per strain)
were dissected and the whole ovary was isolated andused in following process for histological sections
preparations.
2.3. Fixation:Ovaries were fixed in Davidson’s solution
overnight then the fixed gonads were extracted,
dehydrated, embedded in paraffin, serial sectioned at
7 μm from anterior to posterior direction (Oviductconnection) as shown in fig (1), and stained withhematoxylin and eosin for microscopic analysis witha digital camera on digital microscope (Olympus,

3- RESULTS
3.1. Morphology of the Ovary:The histological structure of the ovary in theexamined fishes represents the generalized teleostean
structure. The morpho-histology of the ovary of
Oryzias latipes as described before (Kurokawa et al.,2007; Srivastava, 1966) is a median and unpaired saclike organ and fills up most of the body cavity behindthe posterior edges of the liver. It contains a large
number of egg follicles in different developmental
stages during October 2011 when these experiments
were carried out. The follicles are attached to the thin
but strong muscular ovarian wall (epithelium). The
developing oocytes are similar to those of teleostean
fishes (Marza et al., 1937; Sayed et al., 2012) except
in size. A small oocyte (primodial follicle) becomestransformed into a large egg containing a mass ofyolk (growing follicle). During development the ova
are surrounded by a thick chorion and follicularepithelium which form a protective covering. The
oocytes at the youngest stage are characterized by around nucleus which contains several deeply staining
nucleoli (Fig.2). At this stage the oocyte has a large
nucleus and a small amount of cytoplasm which is
deeply basophilic. In the outer surface of thecytoplasm there is found Balbiani's vitelline body
(Raven, 1961), in the form of a deeply staining oval
body (Fig.2). With the growth of the oocytes thecytoplasm increases in relative volume and nucleus
enlarges. As the oocyte grows, yolk vesicles appear,
the as the formation of the yolk-vesicle proceeds, theoocytes become markedly enlarged and are provided
with a thick follicular layer (large follicle). In
subsequent development, the nucleus shifts to one
side and the fully ripened egg is completely filledwith yolk (growing follicle). Atretie oocytes havebeen observed quite frequently between thedeveloping oocytes (Fig.2).

Japan).

Fig 1:- Digram of the ovary showing the sectioning
direction.

2.4. Developmental stages counting:Slides were selected on the basis of staining
quality, coded, randomized and scored blindly. In
each specimen, serial sections were used for counting
under a 40 x objective and 10 × eyepiece to identify
different developmental stages in separate slides. The

214

Fig. 2: T.S. of the ovary of Oryzias latipes showing the moropho-histology. H&E stain.
18 sections while 22-34 Sections from P53t ovary.
The shape of both strains was rounded and the P53 (/-) ovary showed less thick ovary wall (ovary
epithelium) in comparison with Wt ovary (Fig. 3).
Also, the interstial tissue in P53t between follicles ismore than that of Wt (Fig. 3). No ova-testis in both
Wt and P53t was observed.

3.2. Difference between the Wt (Hd-rR) and p53 (/-) mutant of the ovary:3.2.1. Ovary color, size and shape:The color and the size of the ovary is differs as it
appears white and small in Wt while yellow-white in
P53t. The size was indicated by number of sections
obtained at 7 µ, where the ovary of Wt give about 17-

Fig. 3: T.S. of the ovary of Oryzias latipes showing large number of primary (primodial) follicles in (A) Wt (HdrR) compared with (B) p53 (-/-) mutant. H&E stain.

percentages of total follicles in P53 was little than in
Wt (Chart 1 & Fig. 2). Statistical analysis showedsmall number of the primodial follicles in P53 (-/-)
compared with the number in Wt (Fig. 3).The

3.2.2. Average number and frequency of oogonialstages:Chart 1 and Fig (4 &5) summarizes the frequency
of ovarian follicles in both Wt and P53. The

215

distribution of the follicles in P53t is regular
distributed in whole the cavity of the ovary while incase of Wt, it is look like aggregations of follicles(Fig. 4). Although the results showed large total

number of follicles in Wt, the growing follicles andlarge follicles recoreded high number in P53 (-/-) thanWt (Chart 2& Fig. 5).

Fig. 4: T.S. of the ovary of Oryzias latipes showing clumps distribution of follicles in (A) Wt (Hd-rR) comparedwith regular distribution in (B) p53 (-/-) mutant. H&E stain.

Fig. 5: T.S. of the ovary of Oryzias latipes showing small number of growing follicles in (A) Wt (Hd-rR)
compared with (B) p53 (-/-) mutant. H&E stain.

Chart 1: Quantification of ovarian follicles frequency of the ovary of Oryzias latipes showing the difference
between Wt (Hd-rR) compared with p53 (-/-) mutant.

216

vitellogenisis which induced by estradiol in the liver,then transported vitellogenin via blood to the ovaryfor starting another process called oogenesis (El Sayyad et al., 2013; Wallace and Selman, 1980).
Previous studies have been reported seasonalvariations in gonadosomatic indices in fishes (El Sayyad et al., 2013), While other studies recorded
histological structure changes due to different
reproductive modes of the scorpaenidae (Koya andMuñoz, 2007). From the present study, histologicalvariations of female in the medaka fish, Oryzias
latipes inhabiting both WT (HdrR) and P53 (-/-)
revealed high developmental stage frequency changes.
There was a considerable change in the oocyte
maturation stages. It has been reported changes in thebuilding level morphology and structure of ovarian
oocyte referrals can be index and good in different
stages of maturity in fish species and other valuable
fish species (Tyler and Sumpter, 1996).
Oogenesis and development as indicated from thehistological investigations and assessment of
frequency of different developmental stages appeared
being much more in number in WT (HdrR) than in
P53 (-/-). The developmental structure of ovaries infemale white bream has been studies indicated thedifferent developmental stages inside the ovary(Kopiejewska and Kozłowski, 2007).
Our findings can be concluded as follows (1) The
histological structure of the ovary in the examinedfishes represents the generalized teleostean structure(2) The color and the size of the ovary is differs inboth WT strains and p53 -mutants (3) No ova-testis inboth Wt and P53t was observed (4) Total follicles in
P53 was little than in Wt while small number of theprimodial follicles in P53 (-/-) compared with thenumber in Wt (5) The distribution of the follicles in
P53t is regular distributed in whole the cavity of theovary while in case of Wt, it is look like aggregationsof follicles (6) Although the results showed large
total number of follicles in Wt, the growing follicles
and large follicles recorded high number in P53 (-/-)
than Wt.

4- DISCUSSION AND CONCLUSION
The purpose of this present study was to use ahistological approach to establish the difference
between two strains from WT (HdrR) and P53 (-/-) of
medaka (Oryzias latipes) in the organization of the
gonad histology. Wide studies about structuralchanges in ovarian morphology in fish tissue havedone by different researchers (Alonso-Fernández etal., 2011; Blazer, 2002; Kopiejewska and Kozłowski,2007). Those studies including seasonal changes canbe the study ovarian tissue red mullet Mulets
surmuletus southern coast of the UK (N'Da andDeniel, 1993), reproductive cycle and time of theannual reproductive Sea bass on ovarian morphology
and histology (Guiguen et al., 1993 ), Histology study
and development stages fish ovarian bester sturgeon(Amiri et al., 1996), macroscopic and microscopic
stages of ovarian development in white sturgeon
Acipenser transmuntanus (Doroshov et al., 1997),
effects of ionizing radiation on the ovaries ofJapanese medaka (Srivastava, 1966), comparative
study on ovarian structures in scorpaenids (Koya andMuñoz, 2007) ovarian cycles of Hungarian riverine
fish species (Lefler et al., 2008), and on sparus aurata
ovary (El -Sayyad et al., 2013), ovarian development
and sexual maturity of kutum (Saeed et al., 2010) andovarian development of female white bream(Kopiejewska and Kozłowski, 2007), study the
reproductive biology of hermaphrodite fishes(Alonso-Fernández et al., 2011) and for assessment ofgonadal tissue in wild fishes (Blazer, 2002).
Historically, much less attention has been focused on
gonadal histology of fishes (Blazer, 2002). In thepresent study, differences in the ovaries structure inof ovaries of Wt (HdrR) and P53 (-/-) of medaka (O.
latipes) were reported.
The present study results of histologicalobservation of the ovarian structure anddevelopmental stages quantification are summarizedin (Fig. 2-5 & chart 1). The histological structure of
the ovary in medaka has been described before
morphologically but not numerically, although a lotof studies have been done as comparative study for
different fish species with different reproductivemode indicated many changes inside the ovary (Koyaand Muñoz, 2007). On the other hand, El -Sayyad etal., (2013) reported variations between sea fishes andfarm in different points, including pattern of sex
inversion, gonadosomatic indices and oogenesis byassessment either histological structure or byscanning and transmission electron microscope.
Our results showed normal development of theovarian structure and stages of medaka in both WT(HdrR) and P53 (-/-) of medaka (O. latipes) comparedwith other teloests fishes. The histological structure ofovarian follicles in WT (HdrR) obtained in thisinvestigation, similar to P53 (-/-) fish. During ovariandevelopment of teleosts, oocyte undergoes

Acknowledgments
This research was supported partly by a Grant-inAid for Scientific Research to H.M. (21221003) from
the Ministry of Education, Culture, Sports, Scienceand Technology of Japan
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Blazer, V.S., 2002. Histopathological assessmentof gonadal tissue in wild fishes. Fish Physiology andBiochemistry 26, 85–101.
Doroshov, S.I., Moberg, G.P., Venennam, J.P.,
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El -Sayyad, H.I., Elsayyad, F.I., El -Shershaby,
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Comparative studies on sparus aurata ovary from fish
farm and sea. Egyptian Society of Experimental
Biology (Zoology) 9, 181 – 188.
Guiguen, Y., Cauty, C., Fostier, A., Fuchs, J.,
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Hyodo-Taguchi, Y., Etoh, H., 1985. Tritium
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Yamaguchi, T., Etoh, H. (Eds.), TritiumRadiobiology and Health Phys. National Institute ofRadiological Sciences, Chiba, pp. 207–220.
Hyodo-Taguchi, Y., Matsudaira, H., 1987. Higher
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Ishikawa, Y., 2000. Medakafish as a model
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Kopiejewska, W., Kozłowski, J., 2007.
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Koya, Y., Muñoz, M., 2007. Comparative study
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Lefler, K.K., Hegyi, Á., Baska, F., Gál, J.,
Horváth, Á., Urbányi, B., Szabó, T., 2008.
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218

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

EFFECTS OF TRADITIONAL THAI MASSAGE ON STANDING
BALANCE, MUSCLE FATIGUE, CONCENTRATION, AND FREE
THROW ACCURACY IN BASKETBALL ATHLETESKrittachai Sarakul1, Wichai Eungpinichpong2, Thanarat Sripongngam3
1PhD candidate, Graduate School, KhonKaen University, Thailand;
2Research Center in Back, Neck, Other Joint Pain and Human Performance, KhonKaen University, Thailand;
3Department of Health and Sport Science, Faculty of Education, Mahasarakham University, Thailand

ABSTRACTThe free throw is the single most important shot in the game of basketball. Factors influencing the ability ofthe basketball free throw accuracy consisted of skill, standing balance, muscle fatigue, and concentration.
Massage has been used for reducing muscle fatigue in sports that may affect standing balance, concentration, andfree throw accuracy. However, no research available on these regards. The aim of this study was to determine theeffects of traditional Thai massage (TTM) on standing balance, muscle fatigue, concentration, and basketball
free throw accuracy. Thirty male basketball athletes were randomly allocated into either traditional Thai massage(TTM) group or Control (C) group after which they were swabbed to receive the other one with a 2-week
washed out period. Standing balance, perceived muscle fatigue, concentration, and basketball free throw
accuracy were measured at before and in the next day after receiving either 1-hour session of TTM or rest. The
study found that balance and concentration were significantly increased (p<0.05) only in the TTM group.
Fatigue was significantly decreased (p<0.05) in TTM group while there was significantly increased (p<0.05) inC group. Between-group comparison revealed that standing balance and fatigue were significantly different(p<0.05). However, free throw accuracy was not changed in both within- and between- groups comparison. We
conclude that a 1-hour session TTM could increase standing balance, decrease muscle fatigue, and increase
concentration but could not affect free throw accuracy in basketball athletes.
Keywords: Massage, Balance, Fatigue, Concentration, Accuracy
shooting more accuracy. Fourthly, when releasing
the ball with the fingertips, the ball should roll backand the middle finger will release the ball. At theend, the ball should follow through the fingertips,
not with the palm. More than 80 percent of the free
throw is a missed. So, the most important thing
while shooting free throw is the concentration of thebasketball player, the balance of the body, andmovement control without muscle fatigue.
Sport massage is currently receiving attention
and commonly used because it may help athletes toimprove in many aspects including facilitate
recovery from fatigue, and reduce muscle tightness
and pain resulting from the competition. Recent
studies found that massage may help athletes reduce
lactic acid in the muscles [2]-[3] and fatigue in themuscles (DOMS) [4]-[5]. Massage for athletes also
helps muscles to return to normal condition quickly[3], [6]. Massage for athletes, according to thereports, has also helped reduce psychology [7],tension [8], depression [9], enhance better mood [10],and quality of life [11]. Moreover, massage also
improves the flexibility of the body, and reduces
injuries from hard-working muscles [12].
Traditional Thai massage (TTM) is a deeppressure type of massage that the therapist apply
thumb or palm pressure along meridian lines on the

INTRODUCTION
Basketball is a very popular sport competing inboth national and international competitions
included SEA Games, Asian Games and Olympic
Games.
The free throw in the basketball game is very
important. It may contribute 20 percent of the total
score [1]. The free throw in basketball games isprobably the easiest task because the player canshoot alone without protection from the opponents.
The free throw area is only about 15 feet from theloop, and sophisticated skills are not needed. The
steps of shooting include as follows. Firstly, holding
the ball in the position of “lock and load”. That isholding the ball with the fingertips and using another
hand to hold it and direct the ball and bend the kneeby holding the ball lower than the head. Secondly,eyes targeting and focusing at the loop and using
another hand to reinforce the direction of ball.
Normally, the player is suggested not to shoot withboth hands because if one hand is far away from theball, it is difficult to shoot accurately. Thirdly,
throwing the ball directly to the loop at arm's lengthwith elbow stretching and flicking of the wrist. The
elbow of the hand shooting must be in the same linewith the body so the arm straights up and makes
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SEE-Mie, Japan, Nov. 19-21, 2015

body. It always affects deep the soft tissues (muscles,
tendons, and ligaments) of limbs, neck, and back. It
has been used for hundreds years to treat patientswith chronic soft tissue injuries [13]. TTM has
beneficial effects for both body and mind, for it can
reduce pain in muscles and joints as well as anxiety.
According to a study using TTM in patients withlow back pain, it was found that TTM could reduceback pain perception and substance P in thesubject’s saliva [14]. Udompittayason (2003) [15]found that TTM can reduce the symptoms of stressand headaches. In addition, at the end of beta waveof electroencephalography: (EEG) is reduced whichreflect that TTM may induce mental relaxation as
well as significantly reduces pain in patients with
scapula - thoracic pain [16]. Leelayuwat et al.
(2001) [17] found TTM can increase endurance ofback muscles and significantly reduce back pain inpatients with chronic back pain. Considering theeffects of Thai traditional massage in soccer players,
it was revealed that Thai traditional massage canrelax muscles and decrease pulse rate significantly
after practicing soccer. It was also noted that theplayers receiving massage can recover from fatigue
effectively. It has been known that Thai traditional
massage provides relaxation, recovery from thefatigue after practicing sports and increase of the
durability of the muscles. Therefore, the researchers
believe that Thai traditional massage is useful for
improving the basketball free throw accuracy by
reducing muscle fatigue and increasing efficiency
during the race. Therefore, the objective of thestudy was to explore the effects of TTM on standingbalance, muscle fatigue, concentration, andbasketball free throw accuracy in basketball athletes.

before and in the next day after received a 1-hoursession of TTM or rest.
Procedure and Protocol
The TTM group received moderate pressure
massage on both side of arms, legs, and the bodyalong the points of massage for 1 hour (Fig. 1). The
massage was performed in supine, side lying on theleft, and on the right positions. The participants rest
in C group.
Flamingo balance test was used to test thestanding balance of the body. The participants had tostand with one foot on a test stand (3 cm wide, 30
cm long and 5 cm high wood, and the stable area is
15 cm long and 2 cm wide on either side). Anotherleg must be bent with one hand holding the heel.
One arm stretched out to balance the body. The test
checker stood in front of the participant and theparticipant held the test checker’s arm. After
receiving the signal, the participants released the test
checker’s arm and maintained the balance as long as
possible. The time was stopped when the participant
lose his or her balance.
The muscle fatigue test was tested by visual
analogue scale.
Concentration test was done by using the
program in the mobile phone. The test was done byallowing the participants to identify whether thename of the color matched the color of the alphabets
or not. For example, if the black color was shownwith yellow alphabets, the participant had to choose
the wrong mark (the cross mark), but if blue color
was presented in blue alphabets, the participant had
to choose the correct mark (check mark). There were
100 questions. If the participants answer incorrectly,
the program will immediately stop. The record oftime was used as the measurement of theconcentration and the response of reaction.
The participants were tested with basketball free
throw of 5 sets: and 10 balls per set. So, the total
was 50 balls. This was used to assess basketball free
throw accuracy.

MATERIAL AND METHOD
The current study was a crossover randomized
controlled trial, which was approved by the EthicalCommittee of Khon Kaen University, Thailand(HE582041). Thirty male basketball athletes whose
average aged 19.83±0.80 year old, average weight
67.13±2.92 km, and average height 178.73±3.32 cm.
They were randomly allocated into either traditional
Thai massage (TTM) group or Control (C) group
after which they were swabbed to receive the otherone with a 2-week washed out period. Each of themsigned an informed consent form to participate inthis study. Exclusion criteria consisted of theparticipants receive psychotropic drug, analgesic andanti-inflammatory drugs, moderate to severe ofmuscle or joint pain, impair skin or hypersensitivity
to massage, and the participants who slept at lessthan 6 hours the night before participating. Standingbalance, muscle fatigue, concentration, andbasketball free throw accuracy were measured at

Statistical analysis
The data were presented as mean ± SD. ShapiroWilk test was used to assess normal distribution.
Paired t-test and Wilcoxon Sign Rank-Test wereused to compare the outcome variables between
before and after intervention within-group. Unpaired
t-Test and Mann Whitney U-Test were used tocompare outcome variables between-groups.
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COP by using Force plate or a Wii Fit.
This study demonstrated that TTM could
decrease muscle fatigue which corresponding toMori et al. (2004) [21]. They studied the effect ofmassage on blood flow and muscle fatigue following
isometric exercise in 29 healthy male subjects. The
subjects lay prone on the table and extend their
trunks for 90 seconds (Load I) after that the subjects
received either massage on lumbar region or rest for
5 minutes, then repeated the same load (Load II).
They found that muscle blood volume was higher
after massage than after rest (p < 0.05), skin bloodflow was greater after massage than after rest (p <0.05), and fatigue was lower with massage than withrest (p < 0.01). Leelayuwat et al. (2003) [17] foundthat the subject has longer isometric endurance timeafter a 2-hour Thai massage than after a 2-hour lie
down due to increasing resistance to fatigue of backmuscles.
The current study showed that TTM could
increase concentration may be due to massage
produced mechanical pressure which increased
parasympathetic and decreased sympathetic activity[22]-[24] leading to increase concentration.
Moreover, concentration was associated with delta
activity and previous study found that massage could
increase delta activity. Buttagat et al. (2012) [16]studied a 30-min session of TTM in 40 patients with
scapulocostal syndrome. They found a significantly
increased in relaxation as indicated by increased indelta activity (p < 0.05) and decreased in theta, alpha,and beta activity (p < 0.01).
Although, TTM could increase standing balance,
decrease muscle fatigue and increase concentration
which that is the factors influencing the ability of thebasketball free throw accuracy but such changes
could not affect this accuracy. The accuracy is notchanged much may depend on the skill of the athlete.
The present study focused on the short-term effects
of massage, however we did not know whether longterm or cumulative effects of TTM would affectthese variables or not. Thus, Future studies should
determine whether long-term effects of TTM on
standing balance, muscle fatigue, concentration, andbasketball free throw accuracy.

Statistical significance was set at the p < 0.05.

Fig. 1 The massage point or line is established by
Eungpinichpong [18]
RESULTS
The present study demonstrated that standingbalance was significantly increased only in TTM
group (d = -1.20±1.03, 95 % CI = -1.58, -0.51,
P = 0.001), the time of concentration was
significantly decreased only in TTM group(d = 3.13±4.24, 95 % CI= 1.54, 4.71, P = 0.001),
muscle fatigue was significantly decreased in TTM
group (P = 0.001) (Table 1), and there wassignificantly increased in C group (P = 0.001)(Table 2). Basketball free throw accuracy was not
significantly changed in both groups (Table 1, 2).
When compared the outcomes between TTM andC groups, we found that standing balance andmuscle fatigue were significantly difference (P =0.017). Basketball free throw accuracy andconcentration showed no differences between thegroups comparison (Table 3).
DISCUSSION
The finding of the present study revealed that
TTM could increase standing balance, decrease
muscle fatigue, and increase concentration. Standingbalance was significantly increased only in TTM
group. This was consistent with Sefton et al. (2004)[19] found that a 60-minute massage therapy could
improve both static and dynamic balance in 35 older
persons. Ploypailin (2011) [20] study found thatfoot massage could improve the functional mobility
and balance performance in 29 healthy elderly
female.
We suggested that Flamingo balance test method
may not be suitable because this test cause tired ofstanding rather than sustained loss of balance. Futurestudies should use other methods, such as the path of

CONCLUSION
The present study showed that TTM could
increase standing balance, decrease muscle fatigue,
and increase concentration. However, basketball free
throw accuracy was not changed after a single
session of TTM.
ACKNOWLEDGEMENTS
The authors would like to express my special
thanks to the basketball athletes who participated in
the study.
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Table 3 Comparison between-groups on the standingbalance, muscle fatigue, concentration, andbasketball free throw accuracy.

Table 1 Comparison between before and after on thestanding balance, muscle fatigue, concentration, andbasketball free throw accuracy in TTM group.

outcome

TTM group (n = 30)
beforeafter
mean±SD
mean±SDoutcomeStanding
32.43±3.3429.97±2.33*
balance (min)95%CI
31.19, 33.68
29.10, 30.84
Muscle fatigue 3.73±0.83
5.73±0.94**
95%CI
3.42, 4.04
5.38, 6.09
Concentration
205.53±38.49
210.33±39.41
(ms)
95%CI
191.56, 220.31 195.62, 225.05
Accuracy28.5±3.74
28.40±3.42(times)95%CI27.10, 29.90
27.12, 29.68
Note: TTM = traditional Thai massage, C = Control*Significant difference at p-value <0.05**Significant difference at p-value <0.01Standing
31.23±3.2032.43±3.34**
balance (min)95%CI
30.04, 32.43
31.19, 33.68
Muscle fatigue 4.80±0.81
3.73±0.83**
95%CI
4.50, 5.10
3.42, 4.04
Concentration
209.07±39.53
205.53±38.49**
(ms)
95%CI
194.31, 223.83 191.56, 220.31
Accuracy
28.30±3.54
28.5±3.74(times)95%CI
26.98, 29.62
27.10, 29.90
Note: TTM= traditional Thai massage**Significant difference at p-value <0.01
Table 2 Comparison between before and after on thestanding balance, muscle fatigue, concentration, andbasketball free throw accuracy in control group.

outcomeStandingbalance (min)95%CI
Muscle fatigue
95%CI
Concentration
(ms)
95%CI
Accuracy(times)
95%CI

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C group (n = 30)
beforeafter
mean±SD
mean±SD
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29.97±2.3329.52, 31.68
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After intervention
TTM group
C groupmean±SD
mean±SD

Note: C = Control**Significant difference at p-value <0.01

222

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Engineering

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First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

APPLICATIONS OF CORRELATION RELATED FUNCTIONS IN
SIGNAL AND IMAGE PROCESSING AND PATTERNIDENTIFICATION
Humera Rafique1, Samina Rafique2
Faculty (Department of Mechatronic Engineering), SZAB Institute of Science and Technology, Karachi,
Pakistan;
2
PhD Scholar and Faculty (Department of Electrical Engineering), Bahria University, Islamabad, Pakistan
1

ABSTRACTThis paper presents applications of Correlation functions in pattern identification and signal separation,
specifically and image processing in general. The main focus is on images, specially those carry information in
the form of alphabetic characters. The purpose of this paper is to describe what correlation function is, how thisfunction can perform discrimination among several signals, images and objects within them, and at last acomparison of various techniques will be presented. This work is an intermediate stage work of patternmatching of Urdu handwritten broken characters with correlation and finally with curve fitting techniques.
Keywords: Alphabetic character identification, Auto correlation function (ACF), Correlation, Cross correlation
function (CCF), Correlation coefficient, Image analysis, Pattern identification, Feature extraction.
signal with some other signal. The connection
between signals is often used to determine systemcharacteristics, these signals are related to. [8].
Defining two signals 𝑥𝑥1 (𝑛𝑛) and 𝑥𝑥2 (𝑛𝑛), ∀ 𝑥𝑥1 (𝑛𝑛) =𝑥𝑥2 (𝑛𝑛), then the corresponding sequence is definedas

INTRODUCTION
For a period of four decades, pattern identification
has been used for the classification of objects into
categories, seen by a computing machine [1]. This
sub-field of Image and Signal processing has several
applications in medicine, weather forecasting,forensics, industrial inspection, communication,
geology, agriculture and security. There are anumber of techniques and algorithms to teach acomputing machine by which these are able toidentify objects within images and videos even inreal time. There are several advanced and growing
techniques for this purpose, while this paper
represents a simple, easy and strong thus widelyused technique that can serve the described purpose
independently, as well as can be a part of many
advanced and robust pattern identification
algorithms and techniques, namely Correlation, itsvariants and related algorithms.
Correlation, or Discrete Time Correlation is amathematical operation that is similar to DiscreteTime Convolution apparently. This operationcompares two signals, at a time, by measuring thedegree of similarity of these signals. On the basis of
this measure, further application dependent
information can be obtained. Good, but advanced
examples of applications are radar communication,
under water sound navigation systems (SONAR),
general communication systems, and medical
imaging [2].
The mathematical definition of correlation has
two versions, as the correlation itself has two forms:
Autocorrelation
andCrosscorelation.
Autocorrelation, primarily a comparison of a signal
with its own, while the Crosscorrelation compares a

𝑁𝑁−1ℂ12 (ℓ) = 𝑥𝑥1 (𝑛𝑛)⨂ 𝑥𝑥2 (𝑛𝑛) = � 𝑥𝑥1 (𝑛𝑛) 𝑥𝑥2 (𝑛𝑛 − ℓ)
𝑛𝑛=0

(1)

where, index 𝓵𝓵 = ⋯ , −𝟐𝟐, −𝟏𝟏, 𝟎𝟎, 𝟏𝟏, 𝟐𝟐, … and defined as
the time shift or lag, and subscript ‘12’ represents
the order of correlation, or the direction of shift ofone signal. Reversing that order will not change theresultant, as correlation is a ‘Commutative process’.
Now, defining two signals 𝑥𝑥1 (𝑛𝑛) and 𝑥𝑥2 (𝑛𝑛), ∀𝑥𝑥1 (𝑛𝑛) ≠ 𝑥𝑥2 (𝑛𝑛), then the corresponding sequence isdefined as
𝑁𝑁−1ℂ12 (ℓ) = 𝑥𝑥1 (𝑛𝑛)⨂ 𝑥𝑥2 (𝑛𝑛) = � 𝑥𝑥1 (𝑛𝑛) 𝑥𝑥2 (𝑛𝑛 − ℓ)
𝑛𝑛=0

(2)

where, index 𝓵𝓵 = ⋯ , −𝟐𝟐, −𝟏𝟏, 𝟎𝟎, 𝟏𝟏, 𝟐𝟐, … and defined as
the time shift or lag, and subscript ‘12’ represents
the order of correlation, or the direction of shift ofone signal. Again, ‘commutative property’ is valid
here. Both equations look same, but results will bedifferent because of similarities and dissimilaritiesof two signals being compared.
Process of Correlation
The Correlation is a process that intently
seems like the process of Convolution; a process inwhich one of the signals to be convolved (in fact any
one of them), will be folded, than shifted, and thenmultiplied with the other signal. All products(depends how many samples or elements of one
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SEE-Mie, Japan, Nov. 19-21, 2015

signal in range of the other one, (i.e, one to many)
will be added to deliver elements of the output signal
respectively. This three step process is repeatedmultiple times, (as folding is perfumed once
throughout the process), until the whole signal iscovered. The Correlation applies the same process
onto the signals, without folding. i.e. Shifting,multiplication and Summation. Due to this similarity
of process, many computer programs use alternate
commands for both operations by providing thefolded version of the signal. i.e., 𝑥𝑥1 (−𝑛𝑛).

APPLICATIONSFUNCTIONS IN
PROCESSING

2
0
-2
-4

0.6

0.4

0.2

0

300
200
100
0
-100
-0.5

0.8

0.5

0
samplesFig. 1-2
Periodic signal embedded in random
noise and their composite ACF
2.

OF
CORRELATION
SIGNAL AND AUDIO

Estimation of Power Spectral Density of a
Signal via Autocorrelation

The power spectral density (PSD) is an estimateof amplitude variations of a signal over a range of
frequency. ‘The Fourier transform of the
autocorrelation function of an energy signal is equal
to the energy spectral density of that signal’ [5].

This section will describe a few synthetic signal, andaudio signal processing applications mainly focusingonsignals’
characteristic
detection
andidentification:
1.

ACF of Composite Signal

Composite Signal

4ℱ[ℂ𝑥𝑥𝑥𝑥 (ℓ)] = 𝒫𝒫𝑥𝑥𝑥𝑥 (𝜔𝜔)

Detection and Estimation of Periodic Signals
Concealed in Random Noise(3)

The test signal is a sinusoid with three harmoniccomponents. One power spectral density (PSD) has
been computed by fast Fourier transform (FFT); theright hand side of Eq. (3). The ACF of the signal
then brought to frequency domain via FFT.
Both PSDs of Eq. (3) are found comparable.

Many signals on communication lines suffertransmission impairments and noise interruption
problems. A periodic signal e.g., has been received
at a receiver as noise corrupted signal, can be
identified in random noise by characterizing ACF ofboth signals. Fig.1-1 shows signals and theirrespective ACF plots. As a broad band signal(random noise) possesses narrower correlation peaks,
thus easy to identify [9]. Fig. 1-2. Conclusively, thereceived signal is not ‘just’ noise, but it carries
usable information too, to be extracted.

signal

acf

5
0.8
0.6
0.4
0.2
0
-0.2
-0.4

0

-5
0
x 10

100
4

200

0

PSD via fft

200

400

PSD estimate via acf
10000

8
8000

Pseudo Code flow: Sampling frequency (fs), signal’s frequency (f),time sweep (t), Sinusoid x(n), Random noise rn(n) acf(x), acf(rn), acf(x+rn)
 Plots
100

0.5

50

0
-0.5

0

50
100
samples
Random Noise

-100
-0.5

150

150

2

100

0

50

100

150

0

100

200

300

Fig. 2-1 Multi frequency sinusoid, its ACF andtheir respective PSDs
The Fourier transform relationship of the ACF andthe power spectrum describes their mathematicalequivalency, as they possess the same information.
Though, the power spectrum is more accustomed
and generally easily interpretable. The ACF ispowerful for theoretical work, for determining thenon-whiteness of data or residuals, for detecting
periodic components in data, and for identifying thedominant power law noise type [6].

0

-4

-50
-0.5

150

0
samples
ACF of Random Noise0.50samples

0.5

50

-2

50
100
samples

2000
0

0

4

0

4000

2

-50

Amp

Amp

-1

6000

4

ACF of x[n]1

rxx[n]

x[n]Periodic signal

6

Pseudo Code flow: fs, f1, f2=2f2, f3=3f1, t,
 Three Sinusoids x1, x2, x3, y = x1+x2+x3
 (magni(fft(acf(y)))2, (magni(fft(y)))2, plots

Fig. 1-1
Separate periodic cosine wave andrandom noise, and their respective ACF plots

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SEE-Mie, Japan, Nov. 19-21, 2015

3.

The ACF of a Real Valued Signal is An Even
Function, while CCF is An Odd Function. [2].

CCF
40
20

20

-20
-40

0

0

0

These properties of both functions have been
implemented using a few periodic and aperiodic
signals. Plots in Fig 3-1 and Fig 3-2 can be plottedusing built in commands of any computing software.
i. The ACF is symmetric about the central lag i.e.,an even function:

0.01

-0.01

-20

-0.02
0

0.5

0.4

1

0.5

600

0.6

800

1000 1200
CCF

1000

4
8

2

0
7.5

0

7

-1000

-2
6.5
-4

ℂ11 (−ℓ) = ℂ11 (ℓ)
Sinusoid(4)

ACF of Sinusoid

1

1

0

0.5

0.2

1

0.4

0.6

-2000

0.8

0

1000

2000



Fig. 3-3 Couple of CCF of two (different ) signals(odd function symmetry)

0.5
0

0

4.

-0.5
-1

1

0.5
Tangent

0

40
20
0
-20
-40

500

1500
1000
ACF of Tan

A highly variant ACF time domain plot describes
how fast the signal itself changes w.r.t time and viceversa. Fig 4-1.

0.8
0.6
0.4
0.2
0
-0.2
1500
1000
500
ACF of AM Mod

0.4
0.3
AM Mod0.2

Frequency Detection

Lowest Freuqnecy Sinusoid

ACF 1

1

1
0.5
0
-0.5

1
0.5

0.5
0

0

0

-0.5

-1

-0.5
0.1

0.2

0.3

0.4

0.5

500

1000

1500

Fig. 3-1 Periodic signals and their respective ACF(even function symmetry)
Damped Sinusoid

ACF of Damped Sinu

1

1

0

0

0

0.5
Sinc function

1

-1

1

1

0

0

-1
-10

-5
0
5
Exponential function

10

-1

1

1

0.5

0.5

0

0

0.5

1

0

0.5
1
Lower Freuqnecy Sinusoid

0

-1

-1

0

0

500 1000 1500
ACF of Sinc

2000

50

200

500

100
150
ACF of Exp

1000

1500

1000
ACF 2

1500

0

0.5
1
Higheset Freuqnecy Sinusoid

500

1000
ACF 3

1500

500

1000

1500

1
0.5
0
-0.5
-1

0

0

500
1

0

-1

-1

0

1

0

0.5

1

Three signals (harmonics) and theirFig. 4-1
respective ACFs, showing faster time changes as thesignals go faster (increasing frequency)
5.

Identifying Information Carrying Signal
from Random Noise, with Occurrence inTime Domain

2000

In addition to the identification of noise buried
signal, Correlation can identify the exact localizationof signal in time domain. Two wave audio signals‘car horn’ and ‘train whistle’ are test signals. Fig. 51.

Fig 3-2 Aperiodic signals and their respective ACF(even function symmetry)
As signals in Fig. 3-1 and Fig.3-2 are of low
frequencies, their ACF plots show a border range
over entire lag sweep.
ii. The CCF is symmetric with amplitude reversal
about the central lag i.e., an odd function:

Car horn
1
0
-1

0

0.1

0.3

0.2

0.4
Train Whistle

0.5

0.6

0.7

0.8

1

ℂ12 (−ℓ) = −ℂ21 (ℓ)

0

(5)

-1

0

0.2

0.4

0.8
0.6
Extended Whistle

1

1.2

1.4

0

0.2

0.4

0.6
0.8
Noisy Whistle

1

1.2

1.4

0

0.2

0.4

0.6
0.8
Time (sec)

1

1.2

1.4

1

Note, that possessing even or odd symmetries incorresponding correlation functions, depend on the
degree of similarity between the two signals.

0
-1
2
0
-2

Fig. 5-1 Time series plots of wave files, and trainsound buried in random noise227

SEE-Mie, Japan, Nov. 19-21, 2015

Getting their ‘Welch Spectra’ will not reveal therequired information easily regarding (a) if noisy
signal contains information (Train whistle) sound,and (b) when the information signal joins therandomnoise.
Power/frequency (dB/Hz)

-50
-60

0

2
4
Frequency (kHz)Spectrum Extended Train-40

Power/frequency (dB/Hz)

Power/frequency (dB/Hz)
Power/frequency (dB/Hz)

-30
-40

-50
-60
-70
-80

0

2
4
Frequency (kHz)Fig. 5-2
signals

-40
-50

6.

-60
-70
-80

0

2
4
Frequency (kHz)Spectrum Noisy Train024Frequency (kHz)OF
CORRELATIONIMAGE AND VIDEOThis section will describe a few image processing
and alphabetic character identification applications:Spectrum Train

Spectrum Car-70

APPLICATIONSFUNCTIONS IN
PROCESSING

Alphabetic Character Identification using
Cross-Correlation Maxima

To demonstrate the above the system will follow thealgorithm shown in Fig. 6-1.

-40
-45
-50
-55
-60

Welch Spectra of separate and noisy
Fig. 6-1
Basic Block Diagram of Alphabetic
Identification System

In Fig. 5-1 and 5-2 it is very difficult to get answersof (a) and (b), specially (b). While computing Cross
correlation of two signals with the noisy signal willanswer both. In Fig 5-3, CCF of car horn soundshows minor amplitudes (notice the difference of
amplitude scales, at same scale this plot will show
almost a straight line). The larger values show thepresence (matching) of train whistle sound in noisy
signal, while the position of largest peak from zerothlag (i.e., 90.7 ms) describes the time when the trainsound joins the random noise. Third plot of Fig. 5-1
shows this time delay clearly.

To implement the above block diagram, a seriesof .png images has been created. Fig. 6-2. These
images have been converted into an avi file, each
image as frame [10]. The created video file runthese images one by one with an adjustable timedelay.

CCF Amplitude

CCF car to NoisyTrain

100
0
-100
-200
-1.5

-1

-0.5

0
Time Lag (sec)

0.5

Fig. 6-2
Individual images of three alphabets indifferent order, standard and broken forms

1

CCF Train to NoisyTrain

CCF Amplitude

1000
X: 0.0907
Y: 1029500

Fig. 6-3

0-500

Fig. 5-3

-1

-0.5

0
Time Lag (sec)

0.5

1Individual images run as avi file

Correlation Based Alphabet Identification System
Block Algorithm [3]1.5

CCF of both sounds with Noisy soundPseudo Code flow: x = audioread(car.wav), get fs
 y = audioread(train.wav),
 y1 = zeropad(y,10ms)
 rn = random, z = addmix(rn,y1), plots
 welchspectrum(x,y,y1,z), plots c1 = ccf(x,z), c2 = ccf(y,z), plots
 timedelay = maxi(c2)/fs(Note: fs for the whole system should be the same)

Fig. 6-4

Simplified Block Diagram of Algorithm

Each frame of video contains three alphabetsand reference of target image contains a specific228SEE-Mie, Japan, Nov. 19-21, 2015








alphabet. The target image is compared frame byframe, alphabet by alphabet by computing the 2D
correlation and then its maxima.
The alphabet with highest maxima is thenencircled with a rectangle box as output per frame.
The system has been tested with different fonts. The
system is even able to identify broken characters.

x1 … x7 = images with 3 alphabets eachabc.avi = videomake(x1,x2,…x7)
mov1 = readvideio(abc.avi)
y =2dcorr(frame1,tartgetimage1)
ym = 2dmaxi(y)rect-shape = compare(frame1,ym), output

Table 2 Correlation Maxima Factors of Alphabets
Table 1 Results of 2D Correlation
Algorithm for letter ‘b’

MaximaFrame

Font 1

OutputComments

1

a b c

a b c

Recognized

2

a c b

a c b

Recognized3

c a b*

c a b*

Recognized* Broken alphabet

Alphabet

Matching
Alphabet

Correlation maxima
Factor (Ratios)

a

a

247

b

b

201

c

c

201

7.
Frame 1

Sharpening of Colored Image using
Luminance Processing with 2D Correlation
FilterA high pass image filter can make transitions ofan image more critical making the image sharperinterns. A colored RGB image if converted into
Y’CbCr image so that its luma intensity should be
filtered in the described manner. Fig. 7-1.

Frame 2

Frame 3

Algorithm [3]Frame 5A ‘Y’CbCr’ version of an ‘RGB’ image(bird.jpg) has been made intentionally blurred using
averaging correlation filter of mask size 15×15. The
intensity layer of image has been processing by ahigh pass correlation filter and then converted backto its RGB form. The output images show two levelsof sharpening.

Fig. 6-5
Results of 2D Correlation Maxima
Algorithm for letter ‘b’ in ‘Times New Roman’.
Frame 3 and 5 show broken alphabets recognition*
Frame 1

Frame 2

Frame 5

Frame 8Fig. 7-1 Block Diagram of Luminance Processing
Algorithm

Fig. 6-6
Results of 2D Correlation Maxima
Algorithm for letter ‘c’ in ‘Bookman Old Style’.
Frame 8 shows badly broken alphabet recognition
Pseudo Code flow:229

SEE-Mie, Japan, Nov. 19-21, 2015

Green Heron in my Car 2014

Blurred Version

Blurred Version RGB to YcCbCr

REFERENCES

yp : LumaCr[1] Gose Earl, J. Richard, Steve Jost “Pattern
Recognition and Image Analysis” 2008.

Cb[2] Proakis John G., Manolakis, D. G. “Digital
Signal Processing, principles, Algorithms, andApplications” 2009.
filtered Luma

Sharp

Sharper[3] Mathworks Inc. Online Manuals.
[4] Gonzalez Rafael C., Woods, Richard E. “Digital
Image Processing” 2012.
Fig. 7-2
Results of high pass filtering ofluminance intensity of a colored image
Blurred[5] Corinthios
Michael,“Signals,
Systems,
Transforms and Digital Signal Processing with
MATLAB” 2009.

Sharp[6] Riley W. J., “Use of the Autocorrelation
Function for Frequency Stability Analysis”
2003.
[7] Irvin Tom, “The Autocorrelation - Revision A”
2012.

Sharper[8] Roberts M. J., “Fundamentals of Signals andSystems” 2012.

Fig. 7-3
comparison[9] Adrian-Martinez S., Ardid M., “Acoustic Signal
detection Through the Cross-correlation
Methods in Experiments with Different Signal
to Noise Ratio and Reverberation Conditions”,
Journal of Instrumentation and Detectors, ArVix
Database, 2015

A closer look of results for better

CONCLUSION[10] Credit: Roberson Walter, 'png to avi conversion’This study has successfully described theCorrelation and its related functions along withseveral applications in signal, audio and image
processing. Selected algorithms and implementation
methodologies in the form of pseudo code havedescribed to facilitate the reader for better
understanding.

230

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

DEVELOPMENT OF METHYL, ESTER AND CARBONYLTERMINATED N-SI(111) ELECTRODE FOR PHOTOELECTROCHEMICAL CELL
Toshihito Ohtake and Ken-ichiro Iijima
Faculty of Engineering, Aichi University of Technology, Japan

ABSTRACT
We have remarked photovoltaic power generation, and have produced higher efficiency solar cells byproceeding to the influential investigation. However, those include great problems which take high costs to
produce them by semiconductor fabrication processes as p-n junction and use of transparent conductive indium
oxide etc. Previously, higher open circuit voltage was discovered with n-Si photo-electrochemical cell (PEC)
comparing with familiar p-n junction solar cell, and was able to fabricate them with low costs and ease. But, thecell has a point that the n-Si surface is gradually oxidized by exposing to an electrolyte solution, and then SiO2 isslowly formed as an insulation layer on the surface. Hence, we investigated alkyl terminated n-Si surface by
ATR-FTIR and XPS. Consequently, we confirmed the methyl termination with measuring the Si(111) surface on
the surface by the UV irradiation in PCl5/chlorobenzene solution and immersing them in CH3Li/diethyl ether.
The coverage was estimated at about 63.7 %, and the re-termination of hydrogen was not obtained. Furthermore,
we attempted an immobilization which was applied by hydrosilylation terminated with ester (hydrophobic) or
carbonyl (hydrophilic) group. The hydrosilylation on the hydrogen-terminated Si reacted as the ester terminationin the propiolate/hexan solution. Similarly, the carbonyl group termination was also performed and estimated in
the propiolic-acid/hexan solution, and the Si surface was immobilized by the hydrophobic or hydrophilic
functional groups. The Si surface was hardly oxidized by XPS measurement.
Keywords: Silicon electrode, Alkyl termination, Photo energy conversion, Photo electrochemistry

In this study, termination with ester or carboxy
group was carried out by a hydrosilylation onhydrogen-terminated Si surface. The termination
was estimated by ATR- FTIR and XPS measurement,
simultaneously with evaluation of Si surface
oxidation.

INTRODUCTION
We are faced with problems about energy andglobal environment, and solar energy has been
noticed to solve them. However, there are high costs
to be complicated manufacturing processes or theuse of expensive materials for transparent
conductive oxide including indium etc, theapplication of the solar energy is studied in activity,
which the solar energy conversion developments ofhigh efficiently and low costs are required to spreadthem largely [1], [2]. For example, it is known that ahydrogen generation by a solar water splitting cellwith using n-Si electrode, which is interested withlow costs, but the stability of Si electrode inelectrolytic solution is not so good to form SiO2
layer on the surface by oxidation of Si. Some
researchers have been carried out to solve theproblem by immobilizing the surface with alkyl baseetc. [3]–[11]. For example, the alkyl termination on
the Si surface is investigated toward developmentsof bio sensors for DNA and protein detection by
giving functionalize on the surface [12], furthermore,
the termination is known to make the surface stable
for the oxidation in the solution [13], [14]. In
addition, controls of electrode properties are
expected for the termination by the functionalgroups on Si surface.

EXPERIMENTAL
We carried out the methyl termination with amethod reported by Bansal et al, which wasimmobilization on the surface by two steps alkyl
termination via a chlorination in Scheme 1 [15].
The n-Si(111) surface was exposed by so-called
RCA washing process as HF, H2O, NH3 + H2O2
solution, H2O, HCl + H2O2 solution and H2O2 andthen the surface was terminated hydrogen.

Scheme 1 Hydrogen, chlorine and alkyl basetermination process.

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SEE-Mie, Japan, Nov. 19-21, 2015

in not obtaining the spectra based on hydrogentermination on the n-Si(111) surface. This result
would show that the surface was covered sufficiently
with the methyl bases by this processes, hence there-termination by hydrogen will not happen.
The rough coverage of the methyl termination
was calculated from the peak areas. The result gave
ca. 63.7 %, and it would suppose that the methyl
termination was completed adequately. A coverage
have been reported at about 50 % by alkene (1octene, 1-octadecene, 1-octyne and styrene etc.) on
the n-Si(111) surface [16], hence this coverage ofmethyl termination will be enough. The Si surface
was estimated by the XPS spectrum of Si2p in Fig. 1(B), which showed peak for no oxidation at about
103 eV except a main peak at about 100 eV [17].

Methyl Termination
After the surface was washed by diethyl ether,
the chlorine termination was performed byimmersing the Si(111) to sat. PCl5/chlorobenzene
solution under heating at 100 °C for 1 h irradiating
UV light in flowing Ar gas. Next immersing them inCH3Li/diethyle ether in Ar, and refluxing at 50 °C
for 3 h, and the methyl termination was completed
on the surface. Before the surface was measured by
ART-FTIR, they are washed by diethyl ether, 2propanol and pure water.
Ester Termination
The ester termination directly was made use of
the hydrosilylation on the hydrogen-terminated Si in
Scheme 2. The Si was immersed in 0.1 M methyl
propiolate/hexan solution for 24 h at room
temperature under Ar atmosphere in schlenk flask,
after washed with diethyl ether. Furthermore, theimmersed time was changed from 2 h to 15 h inmethyl propiolate/hexan solution. Carbonyl group
termination on the hydrogen-terminated Si was
performed by the hydrosilylation with anunsaturated carboxylic acid. Similarly, the Si was
immersed in 0.1 M propiolic acid/hexan solution for
24 h. The Si surface was measured by ATR-FTIR
and XPS, and cumulative number was 256 and 64
respectively.

(A)

(B)

Fig. 1 (A) is ATR-FTIR spectra of (a); hydrogentermination and (b): methyl termination on the Si
surface. (B) is XPS spectrum of Si2p for thehydrogen termination.

Scheme 2 Ester termination process by methyl
propiolate/hexan solution and carbonyl termination
by hydrolysis.
RESULTS & DISCUSSION

The ester termination on Si surface wasestimated about C=C, C=O and Si-H stretchingvibration. Fig. 2 (A) shows ATR-FTIR spectra of then-Si(111) surface terminated with methyl propiolateby 24 h immersing time in line (a) and terminatedwith hydrogen by RCA washing in line (b). This
result would show the ester termination by applying
methyl propiolate because peaks of C=O at 1728 and
C=C at 1588 stretching vibration based on the ester
was appeared, and Si-H stretching vibration at 2083
cm-1 was disappeared simultaneously. These results

ATR-FTIR spectrum is shown about thehydrogen and methyl terminated n-Si(111) surface
in Fig. 1 (A). Since we were able to observe peaks of
C-H stretching vibrations based on the methyl baseat 2975 cm-1 (asymmetry) at line (b), the methyl
termination would be performed. Other peaks werealso obtained by detecting the methylene baseidentified C-H stretching vibration at 2930 cm-1
(symmetry).
(asymmetry)
and
2855
cm-1
Furthermore, try of hydrogen re-termination results232

SEE-Mie, Japan, Nov. 19-21, 2015

would conclude that the ester termination by thehydrosilylation progressed instead of the hydrogentermination on Si surface.
Fig. 2 (B) shows XPS spectra of C1s about theester termination which indicated three peaks of C-H,
C-O and O=C-O [18]. These results would confirm
the termination by the ester followed by the ATRFTIR measurements in the same way. Although a
XPS spectrum of Si2p indicated a peak barely atabout 103 eV in Fig. 2 (C), the surface would not beeffected by the oxidation.

(A)

(A)
(B)

(B)
(C)

(C)
Fig. 3 (A) is ATR-FTIR spectra of (a); carboxy
group termination on the Si surface and (b); after
immersing in 0.01 M NaOH and (c); immersing in
2.0 M HCl subsequently. (B) is XPS spectrum of C1sand (C) is Si2p for the carbonyl group termination.
The carbonyl group termination on Si surface
was similarly evaluated at line (a) in Fig. 3 (A). The
ATR-FTIR spectra showed peaks of C=O at 1709
cm-1 and C=C at 1586 stretching vibration based on
the carbonyl group, hence the Si surface would be
immobilized by the carbonyl group. Moreover,spectra of the sample applied in 0.01 M NaOH
solution obtained a peak of C=O based on –COO– at
about 1550 cm-1 instead of decrease in the peak of
C=O based on –COOH at 1709 cm-1 showed in line(b). Subsequently, spectra of the sample applied inFig. 2 (A) is ATR-FTIR spectra of (a); methyl
propiolate termination and (b); hydrogen terminationon the Si surface. (B) is XPS spectrum of C1s and(C) is Si2p for the ester.

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SEE-Mie, Japan, Nov. 19-21, 2015

2.0 M HCl aq. showed the peak of C=O based on –COOH at 1709 cm-1 instead of disappear at the peakbased on –COO– at about 1550 cm-1 in line (c).
Hence, the carbonyl group terminated on the Si
surface will cause acid-base reaction with the NaOH
or HCl solution. Then, a peak of C≡C stretchingvibration at 2119 cm-1 disappeared by the acid-basereaction. However the peak is not clear yet, dimers
formed between the immobilized carbonyl group
and an unreacted propiolic acid might exist on the Si
surface in Scheme 2. Consequently, the peak basedon C≡C at 2119 cm-1 might be appeared by thetermination, and disappeared by acid-base reactions.
XPS spectrum of C1s indicated three peaks of CH, C-O and O=C-O in Fig. 3 (B) [18]. These results
would confirm the termination by carbonyl group
followed by the ATR-FTIR measurements. A
spectrum was obtained slightly at about 103 eV in
Fig. 3 (C), which will be caused by immersing in the
propiolic acid/hexan solution. The peak for the
carbonyl group termination was larger than that of
the ester termination. This result might show adifference of hydrophobic or hydrophilic functionalgroups. These terminated Si would be applied as thefunctional electrodes.

[4] Inford M. R., Fenter P., Eisenberger P. M. andChidsey C. E. D., “Alkyl Monolayers on Silicon
Prepared from 1-Alkenes and HydrogenTerminated Silicon”, J. Am. Chem. Soc., Vol.
117, March 1995, pp. 3145-3155.
[5] Bansal A., Li X. L., Lauermann I., Lewis N. S.,
Yi S. I. and Weinberg W. H., “Alkylation of Si
Surfaces
Using
a
Two-Step
Halogenation/Grignard Route”, J. Am. Chem.
Soc., Vol. 118, July 1996, pp. 7225-7226.
[6] Buriak J. M., “Organometallic chemistry on
silicon surfaces: formation of functionalmonolayers bound through Si–C bonds”, Chem.
Commun. 1999 Issue 12, pp. 1051-1060.
[7] Buriak J. M., “Organometallic Chemistry on
Silicon and Germanium Surfaces”, Chem. Rev.,
Vol. 102, March 2002, pp. 1271-1308.
[8] Wayner D. D. M. and Wolkow R. A., “Organic
modification of hydrogen terminated siliconsurfaces”, J. Chem. Soc., Perkin Trans. 2, Nov.
2002, pp. 23-24.
[9] Inford M. R., Fenter P., Eisenberger P. M. andChidsey C. E. D., “Alkyl Monolayers on Silicon
Prepared from 1-Alkenes and HydrogenTerminated Silicon”, J. Am. Chem. Soc., Vol.
117 March 1995, pp. 3145-3155.
[10] Buriak J. M., “Organometallic chemistry on
silicon surfaces: formation of functionalmonolayers bound through Si–C bonds”, Chem.
Commun., Issue 12 1999, pp. 1051-1060.
[11] Buriak J. M. “Organometallic Chemistry on
Silicon and Germanium Surfaces”, Chem. Rev.,
Vol. 102, May 2002, pp. 1271-1308.
[12] Strother T., Cai W., Zhao X. S., Hamers R. J.
and
Smith
L.
M.,
“Synthesis
andCharacterization of DNA-Modified Silicon(111) Surfaces”, J. Am. Chem. Soc., Vol. 122,Jan. 2000, pp. 1205-1209.
[13] Bansal A. and Lewis N. S., “Stabilization of Si
Photoanodes in Aqueous Electrolytes throughSurface Alkylation”, J. Phys. Chem. B, Vol. 102,
May 1998, pp. 4058-4060.
[14] Royea W. J., Juang A. and Lewis N. S.,“Preparation of air-stable, low recombination
velocity Si(111) surfaces through alkyl
termination”, Appl. Phys. Lett., Vol. 77, No. 13
2000, pp. 1988-1990.
[15] Okubo T., Tsuchiya H., Sadakata M., Yasuda T.
and Tanaka K., “An organic functional group
introduced to Si(111) via silicon-carbon bond: aliquid-phase approach”, Appl. Surf. Sci., Vol
171, No. 3-4, 2001, pp. 252-256.
[16] Cicero R. L., Linford M. R. and Chidsey C. E.
D., “Photoreactivity of Unsaturated Compoundswith Hydrogen-Terminated Sillicon(111)”,Langmuir, Vol. 16, Feb. 2000, pp. 5688-5695.
[17] Danner J. B. and Vohs, J. M., “Surface
Reactions during the Growth of SiO2 Thin

CONCLUSION
By measuring the Si(111) surface by ATR-FTIR,
we confirmed the methyl termination on the surface
by the UV irradiation in PCl5/chlorobenzene
solution and immersing them in CH3Li/diethyl ether
in Ar, and refluxing at 50 °C for 3 h. Furthermore
the coverage was estimated at about 63.7 %.
Similarly, the carbonyl group termination was also
performed and estimated in the propiolic acid/hexan
solution, and the Si surface was immobilized by thehydrophobic or hydrophilic functional groups. It will
be necessary to form more pure Si surface since theSi surface was hardly oxidized by XPS measurement.
ACKNOWLEDGEMENT
This work was supported by JSPS KAKENHI
Grant Number 15K05602.
REFERENCES[1] Chopra K. L., Paulson P. D. and Dutta V.,“Thin-film solar cells: an overview”, Prog.
Photovolt. Vol. 12, March 2004, pp. 69-92.
[2] Goetzberger A., Hebling C. and Schock H. W.,“Photovoltaic materials, history, status andoutlook”, Mater. Sci. Eng. R, Vol. 40, Jan. 2003,
pp. 1-46.
[3] Linford M. R. and Chidsey C. E. D., “Alkyl
monolayers covalently bonded to siliconsurfaces”, J. Am. Chem. Soc., Vol. 115, Dec.
1993, pp. 12631-12632.
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Films on Si(100) Using Tetraethoxysilane”,
Langmuir, Vol. 10, Sep. 1994, pp. 3116-3121.
[18] Vallant T., Brunner H., Kattner J., Mayer U.,
Hoffmann H., Leitner T., Friedbacher G.,
Schügerl G., Svagera R. and Ebel M.,“Monolayer-Controlled Deposition of Silicon
Oxide Films on Gold, Silicon, and Mica

Substrates by Room-Temperature Adsorption
and Oxidation of Alkylsiloxane Monolayers”, J.
Phys. Chem. B, Vol. 104, May 2000, pp. 53095317.

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Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

EFFECT OF ADSORPTION CONDITION ON THERMAL STABILITYOF PROTEINS ADSORBED ONTO BIOMASS CHARCOAL POWDER
Hidetaka Noritomi1, Shunichi Kurihara1, Nobuyuki Endo2, Satoru Kato1 and Katsumi Uchiyama1
Department of Applied Chemistry, Tokyo Metropolitan University, Japan; 2 EEN Co., Ltd., Japan

1

ABSTRACT
Authors have found out that bamboo charcoal powder (BCP), which is prepared from bamboo wastes bypyrolysis at low temperatures, is very useful as a carrier for the thermal stabilization of proteins. Hen egg whitelysozyme (HEWL) and α-chymotrypsin (CT) were effectively adsorbed onto BCP. The thermal stability of BCPadsorbed HEWL was strongly dependent upon the adsorption conditions such as solution pH, ionic strength, andtemperature. Moreover, Writers have revealed the heat-resistant mechanism on the basis of the structure of
HEWL. Likewise, the thermal stability of BCP-adsorbed CT could be enhanced by selecting the adsorption
condition.
Keywords: Biomass Charcoal Powder, Protein, Adsorption, Thermal Stability, Hen Egg White Lysozyme, αChymotrypsinout that proteins are effectively adsorbed onto
biomass charcoal powders, and adsorbed proteins
exhibit the enhanced storage stability and theexcellent thermal stability, compared to those of freeproteins [11]-[15].
In the present work, researches haveinvestigated the thermal stability and structure ofproteins adsorbed onto bamboo charcoal powder(BCP) under various adsorption conditions such asionic strength, solution pH, and temperature in orderto address how the adsorption conditions affect thethermal stability of BCP-adsorbed proteins.

INTRODUCTION
The utilization of biomass to energies andfunctional materials is one of the most important
challenges to establish a recycling society [1]-[4].
However, plant biomass wastes have not sufficiently
been recycled yet, although a large number of plantbiomass wastes have been discharged in the world.
Moreover, the development in the high value-addedfunction of plant biomass wastes has been desired.
On the other hand, proteins are biomolecules ofgreat importance in the fields of biotechnology, finechemistry, pharmacy, biosensor, and biofuel cell,since they exhibit their outstanding biologicalactivities under mild conditions [5]-[7]. However,most of proteins are immediately denatured andinactivated by heat due to the disruption of weakinteractions including ionic bonds, hydrogen bonds,
and hydrophobic interactions, which are prime
determinants of protein tertiary structures [8].
Adsorption of proteins onto various water-insoluble
carriers has attracted continuous attention as thesimplest and most economical method of stabilizing
proteins [9], [10]. Moreover, the performances ofadsorbed proteins such as activity, specificity, andstability are markedly dependent upon the physicaland chemical surface properties of carriers.
Accordingly, it is possible to derive the desired
performances of proteins by selecting a suitable
carrier. However, there have been few reports about
the relation between the performances of adsorbed
proteins and the adsorption conditions.
In order to investigate the valuable function ofplant biomass wastes, authors have so far studied theinteraction of proteins with biomass charcoal
powders derived from plant biomass wastes bypyrolysis at low temperatures. Writers have found

MATERIALS AND METHODS
Materials
Lysozyme from hen egg white (EC 3.2.1.17,46400 units/mg solid, MW=14300, pI=11), αchymotrypsin from bovine pancreas (EC 3.4.21.1,
52 units/mg solid, MW=25000), and Micrococcus
lysodeikticus (ATCC No. 4698) were purchasedfrom Sigma-Aldrich Co. (St. Louis, USA). pNitrophenyl acetate was obtained from Wako Pure
Chemical Industries, Ltd. (Osaka, Japan).
Preparation of BCP
Under nitrogen atmosphere, bamboo wastes
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 (BCP) was obtained by grinding
the resultant bamboo charcoal with jet mill (100AS,
Fuji Sangyo Co. Ltd., Japan).

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SEE-Mie, Japan, Nov. 19-21, 2015

treatment. The remaining activity was obtained by
Eq. (1).

Adsorption of Proteins onto BCP
As a typical procedure, 0.01 M phosphatebuffer solution at pH 7 containing 500 μM hen egg
white lysozyme (HEWL) and 3 g/L BCP wasincubated at 25 ℃ and 120 rpm for 24 hr [11]. After
adsorption, the mixture was filtrated with amembrane filter (pore size: 0.1 μm, Millipore Co.
Ltd., USA). The amount of HEWL adsorbed on
BCP was calculated by subtracting the amount of
HEWL included in the supernatant liquid after
adsorption from the amount of HEWL in its aqueous
solution before adsorption. The amount of HEWL
was measured at 280 nm by UV/vis
spectrophotometer (UV-1800, Shimadzu Co. Ltd.,
Japan).
Similarly, the adsorption of α-chymotrypsin(CT) onto BCP was carried out by using 300 μM CT
instead of 500 μM HEWL [12].

Remaining activity (%) =Activity after heat treatment
X 100

Activity before heat treatment(1)

Measurements of Circular Dichroism (CD),Fourier
Transform
Infrared(FTIR)
Spectroscopies, and ζ-Potential
CD measurements of HEWL were carried out
using a Jasco spectropolarimeter model J-820. The
CD spectra were run on the HEWL solutions of 0.1
mg/mL in a quartz cell with 1.0 cm path length at
an appropriate temperature.
FTIR measurements of native and BCPadsorbed HEWL were carried out using a Jasco
FT/IR spectrometer model FT/IR-4100. A KBrpellet containing 0.5 mg of native or BCP-adsorbed
HEWL powder per 100 mg of KBr was prepared,
and the measurements were performed using 512
scans under 4.0 cm-1 resolution.
The ζ potentials for HEWL were measured
by massively parallel-phase analysis light

Measurement of Activity of BCP-Adsorbed
Proteins
The activity of HEWL was determined using
Micrococcus lysodeikticus as a substrate [13]. Three
hundred and fifty μL of 0.01 M phosphate buffer
solution at pH 7.0 of BCP-adsorbed HEWL wasadded to 21 mL of 0.01 M phosphate buffer solution
at pH 7.0 containing 200 mg/L Micrococcus
lysodeikticus, and the mixture was incubated bystirring at 25 ℃. The absorbance of the mixture wasperiodically measured at 450 nm by UV/vis
spectrophotometer (UV-1800, Shimadzu Co. Ltd.).
The activity of CT was determined using pnitrophenyl acetate as a substrate [15]. Four mL of
0.01 M phosphate buffer solution at pH 7.5 of BCPadsorbed CT was added to 16 mL of 0.01 M
phosphate buffer solution at pH 7.5 containing 750
μM p-nitrophenyl acetate, and the mixture wasincubated at 25 ℃ and 120 rpm. The absorbance ofthe mixture was periodically measured at 400 nm by
UV/vis spectrophotometer.

scattering (Möbiu ζ , WYATT Technology Co.
Ltd.), while those for BCP were measured byelectrophoretic light scattering (ELS-Z2, OTSUKA
Electronics Co. Ltd.).
RESULTS AND DISCUSSION
Effect of Ionic Strength of Adsorption Mediumon Thermal Stability of BCP-Adsorbed HEWL
In order to investigate the relation between thethermal stability of BCP-adsorbed proteins and theadsorption condition, researches employed hen egg
white lysozyme (HEWL) as a model protein, since itis well investigated regarding its structure, functions,and properties [16].
Researches have previously reported that theamount of proteins adsorbed onto BCP is strongly
dependent upon the ionic strength of adsorption
medium [11], [12]. So as to estimate the influence ofionic strength of adsorption medium on the thermal
stability of BCP-adsorbed HEWL, authors havecarried out the adsorption of HEWL onto BCP at pH
7 and different KCl concentrations. Figure 1 shows
the relationship between the KCl concentration ofadsorption medium and the remaining activity of
BCP-adsorbed HEWL. The remaining activity of
BCP-adsorbed HEWL decreased with an increase in
KCl concentration. From the results of CP/MAS 13CNMR and X-ray photoelectron spectroscopy (XPS),
acidic functional groups such as phenols, carbonylgroups, and carboxyl groups were detected in BCP[11]. On the other hand, Figure 2 shows the ζpotentials of BCP and HEWL against the solution

Heat Treatment of BCP-Adsorbed Proteins
A requisite amount of BCP-adsorbed HEWL
was dispersed in 0.01 M phosphate buffer solution at
pH 7.0, the mixture was incubated in thermostatedsilicone oil bath at 90 ℃ for 30 min, and then wascooled at 25 ℃ for 30 min. On the other hand, arequisite amount of BCP-adsorbed CT was dispersed
in 0.01 M phosphate buffer solution at pH 7.5, themixture was incubated in thermostated water bath at
45 ℃ for 10 min, and then was cooled at 25 ℃ for
60 min.
In order to assess the thermal stability of BCPadsorbed proteins, the activities of BCP-adsorbed
proteins were measured before and after heat237

SEE-Mie, Japan, Nov. 19-21, 2015

pH. As shown in Fig. 2, the ζ potential of BCP
exhibited a negative value at pH 7, while the ζpotential of HEWL exhibited a positive value at pH
7. Accordingly, it is suggested that at higher ionicstrength, the electrostatic attraction between HEWL
and BCP decreases with a concomitant increase in
the electrostatic screening effect when HEWL isadsorbed onto BCP.
Writers have measured the FTIR spectra ofnative and BCP-adsorbed HEWL to elucidate theinfluence of adsorption on the secondary structure of
HEWL. Figure 3 shows the FTIR spectra of native
HEWL and HEWL adsorbed onto BCP with orwithout KCl of adsorption medium. The mostsensitive spectral region to protein secondary
structural components is amide I (1700 – 1600 cm-1),
which is due almost entirely to the C=O stretch
vibrations of the peptide linkages [17]. As seen in
Fig. 3, the spectral pattern of BCP-adsorbed HEWL
exhibited a specific shape of secondary structures,
similar to native HEWL. Thus, the secondary

Fig. 3 (A) FTIR spectrum of free HEWL. (B)FTIR spectrum of HEWL adsorbed onto BCP
without KCl. (C) FTIR spectrum of HEWL
adsorbed onto BCP at 0.1 M KCl.
structure of HEWL was kept to some extent after theadsorption with or without KBr. In order to evaluate
the change in the secondary structure of BCPadsorbed HEWL, authors have assessed the ratio of
the absorbance at 1681 cm-1 to the absorbance at1647 cm-1 (ABS1681/ABS1647), since the band locatedat ca. 1681cm-1 is assigned to intramolecular β-sheet,and the band located at ca. 1647 cm-1 is assigned toα-helix [17]. The ABS1681/ABS1647 ratio at 0.1 M
KCl (0.66) was similar to that without KCl (0.69)
although the ABS1681/ABS1647 ratio of BCP-adsorbed
HEWL was different from that of native HEWL
(0.88). These results indicate that the change in theremaining activity of BCP-adsorbed HEWL results
not from the structural change of BCP-adsorbed
HEWL but from the change in the electrostatic
attraction between BCP and HEWL due to theelectrostatic screening effect. In other words, when
the structures of HEWL adsorbed onto BCP under
different conditions are similar, the thermal stabilityof BCP-adsorbed HEWL is more efficiently
enhanced by the stronger electrostatic attraction
between HEWL and BCP.

Fig. 1 Effect of KCl concentration of adsorption
medium on the remaining activity of BCPadsorbed HEWL after the heat treatment at
90 ℃ for 30 min.

Effect of pH of Adsorption Medium on Thermal
Stability of BCP-adsorbed HEWL
In general, the activity and stability of proteinsin an aqueous solution are influenced by the solution
pH [5]. Figure 4 shows the relation between thesolution pH of adsorption medium and the remaining
activity of HEWL adsorbed onto BCP. The
remaining activity of BCP-adsorbed HEWL wasmarkedly dependent upon the pH of adsorption
medium, and exhibited the maximum at pH 5. The
electrostatic force between HEWL and BCP at pH 5
is smaller than that in the range from pH 7 to 9 dueto ζ potentials of BCP and HEWL, as shown in Fig.

Fig. 2 Relationship of ζ-potentials of HEWL
and BCP with solution pH.

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upon the secondary structure of proteins [18], [19].
Especially, the mean residue ellipticity at 215 nm is
assigned to β-sheet, and the mean residue ellipticity
at 222 nm is assigned to α-helix. The constancy inthe mean residue ellipticities at 215 and 222 nm at
different pH indicates that the β-sheet and α-helix
contents of HEWL are kept constant at different pH.
Likewise, the CD spectrum of HEWL in the nearUV region did not almost change with the solution
pH. The CD spectra in the near-UV (250-350 nm)
correspond upon the local asymmetric environmentof aromatic amino acid residues [20], [21]. The
mean residue ellipticities at 283 and 289 nm areassigned to tryptophan and tyrosine residues, and themean residue ellipticity at 294 nm is assigned totryptophan. Accordingly, the result of CD spectra in
the near-UV suggests that the tertiary structure of
HEWL is not influenced by the solution pH in thepresent work.
Figure 6 shows the FTIR spectra of native
HEWL and HEWL adsorbed onto BCP at different
pH. The spectral pattern of BCP-adsorbed HEWL
was influenced by the pH of adsorption medium.
The ABS1681/ABS1647 ratio at pH 5 (0.86), where theremaining activity showed the maximum value, wassimilar to that of native HEWL (0.88). Likewise, theABS1681/ABS1647 ratio at pH 4 (0.92) was near that

Fig. 4 Effect of pH of adsorption medium on theremaining activity of BCP-adsorbed HEWL
after the heat treatment at 90 ℃ for 30 min.
2. In this case, the remaining activity of BCPadsorbed HEWL was not correlated with theelectrostatic force between HEWL and BCP.
Writers have measured the CD spectra of
HEWL at different pH to investigate the influence ofsolution pH on the conformation of HEWL, since a
protein is a polyelectrolyte. Figure 5 shows the CD
spectra of free HEWL in the far- and near-UV
regions dissolved in aqueous solutions at different
pH. In the far-UV region, the CD spectrum of
HEWL was independent upon the solution pH. The
CD spectra in the far-UV (200-250 nm) correspond

Fig. 6 (A) FTIR spectrum of free HEWL.
(B) FTIR spectrum of HEWL adsorbed onto
BCP at pH 4. (C) FTIR spectrum of HEWL
adsorbed onto BCP at pH 5. (D) FTIR
spectrum of HEWL adsorbed onto BCP at
pH 7. (E) FTIR spectrum of HEWL
adsorbed onto BCP at pH 9.

Fig. 5 (A) CD spectra of HEWL dissolved inbuffer solutions at different pH in far-UV region.
(B) CD spectra of HEWL dissolved in buffer
solutions at different pH in near-UV region.
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SEE-Mie, Japan, Nov. 19-21, 2015

of native HEWL. On the other hand, theABS1681/ABS1647 ratios at pH 7 (0.69) and 9 (0.61),
where the electrostatic force between HEWL and
BCP was high due to ζ potentials of BCP and
HEWL, were different from that of native HEWL.
From these results, authors have summarized about
the effect of solution pH of adsorption medium on
the thermal stability of BCP-adsorbed HEWL as
follows. When HEWL was adsorbed onto BCP at
pH 4, the structure of BCP-adsorbed HEWL wasnearly the native structure of HEWL, but theelectrostatic force between HEWL and BCP was not
sufficient for the thermal stability. When HEWL
was adsorbed onto BCP at pH 5, the native structureof HEWL was kept, and the electrostatic force
between HEWL and BCP was strong enough to help
retain the structure of HEWL at high temperatures.
When HEWL was adsorbed onto BCP at pH 7 and 9,
the structure of HEWL was partially destroyed since
the electrostatic force was too strong to keep thenative structure of HEWL, and the thermal stabilityof BCP-adsorbed HEWL dropped.

Fig. 7 Effect of temperature of adsorption
medium on the remaining activity of BCPadsorbed HEWL after the heat treatment at
90 ℃ for 30 min.
Effect of Adsorption Condition on Thermal
Stability of BCP-Adsorbed CT
In order to assess the generality on the effect ofadsorption condition on the thermal stability of
BCP-adsorbed proteins, the researches employedbovine pancreas α-chymotrypsin (CT) as anothermodel protein, since it is well investigated regarding
its structure, functions, and properties [23].
The remaining activity of CT adsorbed onto
BCP at pH 5 and 15 ℃ (65%) was 1.2 times greaterthan that at pH 7 and 25 ℃ (55%). The result
indicates that the selection of adsorption condition isremarkably effective in enhancing the thermal
stability of BCP-adsorbed CT, similar to the case of
BCP-adsorbed HEWL.

Effect of Temperature of Adsorption Medium on
Thermal Stability of BCP-Adsorbed HEWL
The activity and stability of proteins tend todepend upon the temperature [5]. Furthermore, thewriters have found out that the temperature
markedly affects the amount of proteins adsorbed
onto BCP [11], [12].
In order to estimate the dependence of thethermal stability of BCP-adsorbed HEWL on thetemperature of adsorption medium, the researches
have examined the adsorption of HEWL onto BCP
at pH 7 and different temperatures. Figure 7 shows
the relationship between the temperature ofadsorption medium and the remaining activity of
BCP-adsorbed HEWL. The remaining activity of
BCP-adsorbed HEWL decreased with increasing thetemperature of adsorption medium. On the other
hand, the CD spectrum of HEWL remained almost
unchanged with the temperature both in the far- andnear-UV regions, indicating that the conformation of
HEWL is not influenced by heat in the present
temperature range. Moreover, the FTIR spectral
patterns and the ABS1681/ABS1647 ratios of BCPadsorbed HEWL at 5, 25, and 50 ℃ were similar,
indicating that the secondary structure of BCPadsorbed HEWL is not dependent upon thetemperature of adsorption medium. It has beenreported that the orientation of protein molecules
onto the solid surface is influenced by thetemperature [22]. It is suggested that the orientationof HEWL adsorbed onto BCP at lower temperature
is more beneficial to the thermal stability of BCPadsorbed HEWL.

CONCLUSION
The authors have demonstrated that the thermal
stability of BCP-adsorbed proteins varies
accordingly to the history of adsorption. The thermal
stability of BCP-adsorbed HEWL increased with adecrease in the ionic strength of adsorption medium.
The thermal stability and structure of BCP-adsorbed
HEWL were strongly dependent upon the pH ofadsorption medium, and the maximum remaining
activity was obtained at pH 5, where the structure of
BCP-adsorbed HEWL was kept native. The thermal
stability of BCP-adsorbed HEWL increased withdecreasing the temperature of adsorption medium.
Likewise, the thermal stability of BCP-adsorbed CT
was enhanced by selecting the adsorption condition.
These results indicate that BCP-adsorbed proteins
exhibit the excellent thermal stability when thenative structure of proteins is kept after theadsorption, and the adsorption force is strong
enough to help retain its structure against the heatstress. Accordingly, the enhancement in the thermal
stabilization of proteins by selecting the adsorption

240

SEE-Mie, Japan, Nov. 19-21, 2015

condition would be encouraging for the preparationof immobilized enzyme, biosensor, and biofuel cell.

[12] Noritomi H, Hishinuma K, Kurihara S,
Nishigami J, Takemoto T, Endo N, Kato S,“Adsorption of α-chymotrypsin on plantbiomass charcoal”, J. Surface Eng. Materials
Adv. Technol., Vol. 3, 2013, pp. 269-274.
[13] Noritomi H, Kai R, Iwai D, Tanaka H, Kamiya
R, Tanaka M, Muneki K, Kato S, “Increase inthermal stability of proteins adsorbed on
biomass charcoal powder prepared from plantbiomass wastes”, J. Biomedical Sci. Eng., Vol.
4, 2011, pp. 692-698.
[14] Noritomi H, Ishiyama R, Kai R, Iwai D,
Tanaka M, Kato S, “Immobilization oflysozyme on biomass charcoal powder derived
from plant biomass wastes”, J. Biomaterials
Nanobiotechnol., Vol 3, 2012, pp. 446-451.
[15] Noritomi H, Kurihara S, Endo N, Kato S,“Heat-resistant properties of α-chymotrypsin
adsorbed onto biomass charcoal powder”, J.
Biomaterials Nanobiotechnol., Vol. 5, 2014, pp.
179-185.
[16] Jollès P, Lysozymes: Model Enzymes in
Biochemistry and Biology 1st ed. Birkhäuser
Verlag, 1996.
[17] Surewicz WK, Mantsch HH, “New insight into
protein secondary structure from resolutionenhanced infrared spectra”, Biochim. Biophys.
Acta, Vol. 952, 1988, pp. 115-130.
[18] Chen YH, Yang JT, Martinez HM,“Determination of the secondary structures ofproteins by circular dichroism and opticalrotatory dispersion”, Biochemistry, Vol. 11,
1972, pp. 4120-4131.
[19] Venyaminov SY, Yang JT, “Determination ofproteinsecondarystructure”,
Circular
Dichroism and the Conformational Analysis of
Biomolecules, Fasman Ed. Plenum Press, 1996,
pp. 69-107.
[20] Ikeda K, Hamaguchi K, “The binding of Nacetylglucosamine to lysozyme: Studies on
circular dichroism”, J. Biochem., Vol. 66, 1969,
pp. 513-520.
[21] Woody RW, Dunker AK, “Aromatic andcysteine side-chain circular dichroism inproteins”, Circular Dichroism and the
Conformational Analysis of Biomolecules,
Fasman Ed. Plenum Press, 1996, pp. 109-157.
[22] Cheng X, Canavan HE, Graham DJ, Castner
DG, Ratner BD, ”Temperature dependent
activity and structure of adsorbed proteins on
plasma polymerized N-isopropyl acrylamide”,
Biointerphases, Vol. 1, 2006, pp.61-72.
[23] Kumar A, Venkatesu P, “Overview of thestability of α-chymotrypsin in different solvent
media, Chem. Rev., Vol. 112, 2012, pp.42834307.

ACKNOWLEDGEMENTS
This work was supported by a Grant-in-Aid for
Scientific Research from Japan Society for the
Promotion of Science (C) (No. 24561013).
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241

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

CONSTRUCTION OF RAINFALL AND WATER-STAGE
REALTIONSHIP FOR INUNDATION FORECAST AND EARLYWARNING IN TYPHOON EVENT
Huei-Tau Ouyang 1 and Yi-Chun Chen2
Associate Professor, National Yilan University, Taiwan; 2 First River Management Office, WRA, Taiwan

1

ABSTRACTIn Taiwan, people often suffer severe typhoon attacks during summer time each year. Heavy rainfalls
accompanied with these typhoons often cause serious inundation disasters in some areas. In order to effectively
monitor the inundation situation during typhoon attacks, water-stage gauges were set up in a flood prone area in
Yilan County. The surveillance data is transmitted back in real time basis during the period of typhoon attack.
The system has proven to be very effective in acquiring the real time on-site inundation situation during typhoon
attacks. Furthermore, in order to effectively carry out in-advanced disaster prevention actions, it is essential forthe system to be able to predict future inundation situation on-site for the next few hours. For that, models basedon ARX and ARMAX that are capable of simulating the rainfall and water-level relationships for the target area
were constructed, using data of typhoon events collected in the past few years. The incorporation of thesemodels into the system has shown great benefits in disaster prevention and rescue works during typhoon attacks.

Keywords: Typhoon, Inundation, ARX, ARMAX, model prediction

INTRODUCTION
Yilan County, located in northeastern Taiwan
with classical subtropical monsoon weather, isnotorious for its rainy climate. The area has inaverage over 200 rainy days each year with annual
rainfall higher than 2500mm [1]. In spring it isalways having little rains which sometimes lasts forover months. The situation is worse in typhoonseason during July through September. Statistic datashows that more than 80% of typhoons attacking
Taiwan each year hits eastern coast first [2], andYilan is often within the list of typhoon attacking
areas. During the period of typhoon attacks, therainfall intensities pouring down to some areas canreach more than hundreds of millimeters per hourand last for several hours. Heavy rainfall in thesurrounding mountains soon gathers into floods
hammering down to the downstream area, where theelevation is almost at sea level. The flood in thearea is difficult to catharsis due to the low-lying
elevation. Plus, the drainage system of the area isheavily subjected to tidal influence of the sea. As aresult, these downstream areas often suffer severe
inundations which not only cause serious damages inproperties but also threaten the life of the local
residence. Among which, the Xinnan area (Fig. 1) is
the worst one, where the averaged elevation of theterrain is under 2 meters while the high tide cansometimes reach around 1.8m [3].

Fig. 1 Xinnan area in Yilan County
To mitigate the situation, the Early Warning
System for Typhoon Inundation (EWSTI) in Xinnan
area was structured in 2011 [3]. The system consistsof four water-stage gauges consistently transmitting
on-site water level data in a 10-minute frequency
during the period of typhoon attack. The spatial
distribution of these water-stage gauges is as shownin Fig. 1. These data is fed into EWSTI which isbased on a Geographic Information System (GIS).
The extent of the flooding area and the depth
distribution of the inundation are then estimated byutilizing the local digital elevation model (DEM).
These data provides valuable information for theauthorities to acquire the on-site inundation situationin the area during typhoon attack in real time basis.
In order to take actions prior to the emerging ofsevere inundation to prevent any devastating disasterfrom happening, an import function of the system is242

SEE-Mie, Japan, Nov. 19-21, 2015

being capable of forecasting the future variation of
the on-site water-stages for the next few hours, suchthat precautions and actions can be made in advanceto mitigate damages of any kind that might occur.
For that, data records consist of event-based rainfall
and water-stages collected after the operation of thesystem from 2011 were analyzed [4]. The goal is tofind suitable models that can properly represent therelationship between the rainfall and the water-stage
distribution in the area.
Theory of System Identification [5] wasemployed to construct models for each of the gauges
in the system. By incorporating the rainfall forecast
data of the QPESUMS (Quantitative Precipitation
Estimation and Segregation Using Multiple Sensor)
transmitted from the Central Weather Bureau in
Taiwan, the system is able to predict the variation of
the water-stages at each of the sites with 3 hours oflead time. The results are reported in this paper.
The paper is arranged as follows. Following abrief description of the Early Warning System for
Typhoon Inundation in Xinnan area, construction of
the models representing the rainfall and water-stage
relationships for each of the gauge stations based ontheory of System Identification were detailed. The
performance of the models were evaluated based ona number of indexes. In the end, the optimal modelfor each of the water-stage stations were identified
by examining the performance indices.
THE EARLY WARNING SYSTEMTYPHOON INUNDATION (EWSTI)

227

Songda2011/5/27

83

353

Saola

2012/7/31

63

429

45

55

Usagi

2013/9/19

69

59

0

6

5

Saola (10 min)
Zhongnanxin
Xinnan
10
Sijie
Meifu

4

3

15

Rainfall (mm)Water Level (m)

5

2

FOR
20

1

0

2012/08/01

2012/08/02

2012/08/03

Date

Fig.

3

Water-stage hydrographs andhyetograph for typhoon Saolarainfall

These data not only provides valuable on-site
information to monitor the inundation situation in
Xinnan area but also can be used as a data base inconstructing models for the relationship between
rainfall and water-stages.
THE RAINFALL WATER-STAGE MODELS
An essential function of EWSTI is the ability toforecast the future inundation situation in the area
for the next few hours, so that precautions andactions can be taken before the emerging of severe
inundations to mitigate the possible damages. This
inundation forecasting function relies on a numberof models that can simulate the relationship between
the rainfall and the water-stages of the area in event
basis. On considerations in the requirement of fastactions and responses for disaster mitigation, it is
crucial for the system to provide reasonable forecast
as fast as possible. For that, black box types ofTable 1 Typhoon data collected by EWSTIAttacking Duration Total rainfall
Typhoon
(mm)
date
(hrs)
91

2013/820

Fig. 2 Sijie water-stage gauge

In Xinnan area, the EWSTI has been constructed
and functioning since 2011 to provide on-site
inundation information during typhoon attacks.
EWSTI comprising four radio-transmitted waterstage gauges located as shown in Fig. 1, and a datainterface to receive rainfall observation and forecast
data transmitted from QPESUMS provided by theCentral Weather Bureau. Fig. 2 shows the photo
view of the Sijie water-stage gauge in the system.
After construction, EWSTI has collected five
typhoon events over the years. Table 1 lists thedetails of these typhoon events. The water-stagehydrographs recorded by the system and the rainfall
hyetograph transmitted from the QPESUMS
collected during typhoon Saola are as shown in Fig.
3.

Nanmadol 2011/8/27

Trami

243

SEE-Mie, Japan, Nov. 19-21, 2015

figures represent the orders of 𝒚𝒚(𝒕𝒕) , 𝒖𝒖(𝒕𝒕) , andresponse delay of 𝒖𝒖(𝒕𝒕), respectively, and the third
figure denotes the order of 𝒆𝒆(𝒕𝒕).

models were employed into the system due to theirability to provide fast predictions [6]. As a firststage of model development, the ARX (AutoRegressive eXogenous) and ARMAX (AutoRegressive Moving Average eXogenous) models
which are types of linear black box models wereincorporated into the system.
The ARX model was originated from the AutoRegressive Model (AR) in time series analysis
proposed by Yule [7] which using the past data to
predict the future value. The AR model was
extended to ARX model during 1970s with othervariables incorporated into the model which has thefollowing form (namely “model structure” in theoryof system identification).

Table 2 Model structures for the rainfall and waterstage relationship
Site

Model
structure𝒚𝒚(𝒕𝒕) + 𝒂𝒂𝟏𝟏 𝒚𝒚(𝒕𝒕 − 𝟏𝟏) + ⋯ + 𝒂𝒂𝒏𝒏𝒂𝒂 𝒚𝒚(𝒕𝒕 − 𝒏𝒏𝒂𝒂 ) =𝒃𝒃𝟏𝟏 𝒖𝒖(𝒕𝒕 − 𝒏𝒏𝒌𝒌 ) + ⋯ + 𝒃𝒃𝒏𝒏𝒃𝒃 𝒖𝒖(𝒕𝒕 − 𝒏𝒏𝒃𝒃 − 𝒏𝒏𝒌𝒌 + 𝟏𝟏) + 𝒆𝒆(𝒕𝒕)(1)XinnanZhong-nanxin

Sijie

Meifu

amx3290arx110arx440amx1240

amx5790arx120amx4790 amx1340

amx8380

arx130amx4890 amx1350

amx9290arx140amx4990 amx1440

amx9770

arx170amx7790 amx1450

MODEL PERFORMANCE EVALUATION
The performance of each of the models wererevaluated by using four indices described in thefollowing.

where 𝒏𝒏𝒂𝒂 is the order of past data; 𝒏𝒏𝒃𝒃 is the order ofthe exogenous inputs 𝒖𝒖(𝒕𝒕) ; 𝒃𝒃𝟏𝟏 through 𝒃𝒃𝒏𝒏𝒃𝒃 are
adjustable parameters for 𝒖𝒖(𝒕𝒕); and 𝒏𝒏𝒌𝒌 is the delayof 𝒖𝒖(𝒕𝒕) which represents the number of samples
before 𝒖𝒖(𝒕𝒕) affects the output 𝒚𝒚(𝒕𝒕).
ARMAX model is another types of linear black
box model which is an extension of the AutoRegressive Moving Average (ARMA) model.
ARMA model was first proposed by Box and
Jenkins in 1970 which is a combination of the AR
model and the MA (Moving Average) model
proposed by Slutsky [8].
By incorporating
exogenous inputs 𝒖𝒖(𝒕𝒕) into the model, the model
structure of ARMAX is as follows.

(1) Efficiency Coefficient (CE)
CE was proposed by Nash and Sutcliffe [9] toassess the predictive ability of a hydrological model,
which is defined as:∑𝒏𝒏 [𝒚𝒚(𝒕𝒕)−𝒚𝒚(𝒕𝒕)]𝟐𝟐𝒆𝒆𝒆𝒆𝒆𝒆𝒐𝒐𝒐𝒐𝒐𝒐
𝐂𝐂𝐂𝐂 = 𝟏𝟏 − ∑𝒕𝒕=𝟏𝟏
𝒏𝒏 [𝒚𝒚(𝒕𝒕)−𝒚𝒚
]𝟐𝟐
�

(3)

𝒕𝒕=𝟏𝟏

𝒐𝒐𝒐𝒐𝒐𝒐𝒐𝒐𝒐𝒐𝒐𝒐where 𝐲𝐲𝒐𝒐𝒐𝒐𝒐𝒐 and 𝐲𝐲𝒆𝒆𝒆𝒆𝒆𝒆 represent the observed and�𝒐𝒐𝒐𝒐𝒐𝒐 isestimated water-stages, respectively; 𝒚𝒚
averaged water-stage observation; 𝒏𝒏 is the numberof data. CE quantifies the goodness of fit between
the observed and estimated hydrographs of thewater-stages. Value of CE closer to 1 indicates a
better fit of the model.

𝐲𝐲(𝐭𝐭) + 𝒂𝒂𝟏𝟏 𝒚𝒚(𝒕𝒕 − 𝟏𝟏) + ⋯ + 𝒂𝒂𝒏𝒏𝒂𝒂 𝒚𝒚(𝒕𝒕 − 𝒏𝒏𝒂𝒂 ) =𝒃𝒃𝟏𝟏 𝒖𝒖(𝒕𝒕 − 𝒏𝒏𝒌𝒌 ) + ⋯ + 𝒃𝒃𝒏𝒏𝒃𝒃 𝒖𝒖(𝒕𝒕 − 𝒏𝒏𝒃𝒃 − 𝒏𝒏𝒌𝒌 + 𝟏𝟏) +𝒄𝒄𝟏𝟏 𝒆𝒆(𝒕𝒕 − 𝟏𝟏) + ⋯ + 𝒄𝒄𝒏𝒏𝒄𝒄 𝒆𝒆(𝒕𝒕 − 𝒏𝒏𝒄𝒄 ) + 𝒆𝒆(𝒕𝒕)(2)where 𝒏𝒏𝒂𝒂 , 𝒏𝒏𝒃𝒃 , and 𝒏𝒏𝒄𝒄 are orders of 𝒚𝒚(𝒕𝒕), 𝒖𝒖(𝒕𝒕), and𝒆𝒆(𝒕𝒕), respectively; and 𝒂𝒂𝟏𝟏 through 𝒂𝒂𝒏𝒏𝒂𝒂 , 𝒃𝒃𝟏𝟏 through𝒃𝒃𝒏𝒏𝒃𝒃 , and 𝒄𝒄𝟏𝟏 through 𝒄𝒄𝒏𝒏𝒄𝒄 are adjustable parameters
for 𝒚𝒚(𝒕𝒕), 𝒖𝒖(𝒕𝒕), and 𝒆𝒆(𝒕𝒕), respectively.
After preliminary studies, several models basedon the ARX and ARMAX for each of the waterstage gauges were proposed to simulate the rainfall
and water-stage relationship. In these models, therainfall data provided by QPESUMS was used as theexogenous input 𝒖𝒖(𝒕𝒕), and the water-stage for eachof the gauges is 𝒚𝒚(𝒕𝒕) . Table 2 lists the model
structures examined for each of water-stage gauges,
where arx and amx denote the ARX and ARMAX
models, respectively. In ARX models, the first
figure denotes the order of water-stage 𝒚𝒚(𝒕𝒕) , thesecond figure is the order of rainfall 𝒖𝒖(𝒕𝒕), and thethird figure indicates the response delay of rainfall.
In ARMAX models, the first, second, and fourth(2) Root Mean Square Error (RMSE), which reads:𝒏𝒏∑ 𝒕𝒕 (𝒚𝒚𝒐𝒐𝒐𝒐𝒐𝒐 (𝒕𝒕)−𝒚𝒚𝒆𝒆𝒆𝒆𝒆𝒆 (𝒕𝒕))𝟐𝟐

𝐑𝐑𝐑𝐑𝐑𝐑𝐑𝐑 = � 𝒕𝒕=𝟏𝟏(4)𝒏𝒏

RMSE represents the mean error between theobserved and estimated hydrographs. A bettermodel is indicated by a smaller value of RMSE.
(3) Error of peak water-stage (ESP), which is asfollows.
𝒚𝒚𝒑𝒑,𝒆𝒆𝒆𝒆𝒆𝒆 −𝒚𝒚𝒑𝒑,𝒐𝒐𝒐𝒐𝒐𝒐
𝐄𝐄𝐄𝐄𝐄𝐄 =× 𝟏𝟏𝟏𝟏𝟏𝟏%
𝒚𝒚𝒑𝒑,𝒐𝒐𝒐𝒐𝒐𝒐(5)
where 𝐲𝐲𝒑𝒑,𝒐𝒐𝒐𝒐𝒐𝒐 and 𝐲𝐲𝒑𝒑,𝒆𝒆𝒆𝒆𝒆𝒆 denote the observed andestimated peak water-stages, respectively. ESP
quantifies the error between the observed peak244

SEE-Mie, Japan, Nov. 19-21, 2015

water-stage and the model estimation. Positive ESP
indicates an over estimate of the model, while
negative ESP means under estimation. A better fit isindicated by a smaller absolute value of ESP.

For Meifu station, it is seen in Table 6 that, withall the models having the same CE, amx1350
exhibits the lowest RMSE and ESP indicating themodels has good performance in both the overall
event simulations and peak water-stage predictions.
Figure 4 shows the predicted water-stagehydrograph for 3 hours of lead time simulated bymodel arx440 and the measured data at Sijie station
for typhoon Saola. As shown in the figure, theagreement between the prediction and the data isfavorable. The model prediction not only presents
close fit to the measure data throughout the event,but also shows good predictions both on the peakwater-stage and the arriving time.

(4) Error of the time for the peak to arrive (ETP),
which is defined as
𝐄𝐄𝐄𝐄𝐄𝐄 = 𝑻𝑻𝒑𝒑,𝒆𝒆𝒆𝒆𝒆𝒆 − 𝑻𝑻𝒑𝒑,𝒐𝒐𝒐𝒐𝒐𝒐(6)
where 𝑻𝑻𝑯𝑯𝑷𝑷,𝒆𝒆𝒆𝒆𝒆𝒆 and 𝑻𝑻𝑯𝑯𝑷𝑷,𝒐𝒐𝒐𝒐𝒐𝒐 denote the time at which
the observed and estimated peak water-stages
emerge.
A positive ETP indicates an early
prediction of the peak stage which is, in the early
warming point of view, much welcome than anegative ETP signifying a late prediction.

Table 3 Averaged performance of the models for
Xinnan station
RMSE
CE
ESP (%) ETP (hr)(m)

RESULTS AND DISCUSSION
The typhoon data of Songda and Usagi were
employed to calibrate the rainfall water-stage
models listed in Table 2, and the other three eventsin Table 1 were utilized for model verifications.
Table 3 through Table 6 lists the averaged
performance of the four stations. As seen, theaveraged CE of the proposed models are all higher
than 0.9, signifying good prediction abilities.
For Xinnan station, Table 3 shows that there arethree models having the highest CE of 0.978, which
are amx8380, amx9290, and amx9770. Upon which,amx9770 has slightly lower RMSE of 0.047 than theother two. Hence, in terms of overall simulation
performance for typhoon event, amx9770 is the
optimal one for Xinnan station. However, indisaster mitigation point of view, the peak of waterstage and the time of arriving of the peak would be
the major concern. In observing ESP and ETP, it isseen that amx 5790 has the lowest values and is the
optimal model in terms of peak water-stage
predictions.
Examinations in Table 4 shows that model
arx130, arx140, and arx170 perform equally well interms of overall event simulations for Zhongnanxin
station, as indicated by the equal values on CE and
RMSE. Upon which, arx170 also has the lowest
ESP among all the models and is therefore theoptimal model for peak water-stage predictions.
Although arx170 has ETP higher than the othermodels, however, positive value of ETP represents
early prediction on peak arrival which is somehow
favored in our early warning system.
For Sijie station, Table 5 shows that modelarx440 has the highest CE and the lowest RMSE
than the others, indicating its superiority in overall
event simulations. The model also has the lowest
ESP showing good performance in peak water-stage
prediction. Although its ETP is little higher than theothers, which however is favored in EWSTI.

amx3290

0.977

0.048

2.196

1.1

amx5790

0.953

0.065

1.979

1

amx8380

0.978

0.048

2.324

1

amx9290

0.978

0.048

2.283

1.1

amx9770

0.978

0.047

2.34

1

Table 4 Averaged performance of the models for
Zhongnanxin station
RMSE
CE
ESP (%) ETP (hr)(m)
arx110

0.922

0.051

1.838

1

arx120

0.925

0.05

1.425

0.9

arx130

0.926

0.049

1.197

1.1

arx140

0.926

0.049

1.034

1.4

arx170

0.926

0.049

0.983

1.4

Table 5 Averaged performance of the models forSijie station
RMSE
CE
ESP (%) ETP (hr)(m)
arx440

0.965

0.042

0.733

0.4

amx4790

0.95

0.053

1.357

0.3

amx4890

0.95

0.053

1.385

0.3

amx4990

0.95

0.053

1.376

0.3

amx7790

0.95

0.053

1.328

0.3

Table 6 Averaged performance of the models for
Meifu station
RMSE
CE
ESP (%) ETP (hr)
(m)

245

SEE-Mie, Japan, Nov. 19-21, 2015

amx1240

0.964

0.057

2.476

1.8

amx1340

0.964

0.056

2.461

1.9

amx1350

0.964

0.049

2.417

1.9

amx1440

0.964

0.056

2.494

1.9

amx1450

0.964

0.056

2.467

1.9

models into EWSTI, the system can now not only
provide real time on-site inundation situation during
typhoon attack, but also issue warnings in advanceon severe catastrophes such that corresponding
actions can be taken in prior.
ACKNOWLEDGEMENTS
This research is supported by the Ministry of
Science and Technology in Taiwan under grant No.
104-2625-M-197-001. Support from the Water
Resources Agency in Taiwan is also acknowledged.
REFERENCES[1] Website of Central Weather Bureau, Taiwan,
http://www.cwb.gov.tw[2] Website of Water Resources Agency, Taiwan,
http://www.wra.gov.tw[3] Ouyang HT, Hsu HM, Construction of selfrecording water level monitoring stations andflood damage assessment system, Project reportof First River Management Office, WRA, 2011.
[4] Ouyang HT, Hsu HM, Chen SJ, Early Warning
System for Typhoon Inundation System(EWSTI) for Xinnan area in Yilan County,
Project report of First River Management Office,
WRA, 2014.
[5] Lennart Ljung L, System Identification —Theory For the User, 2nd ed, PTR Prentice Hall,
Upper Saddle River, N.J., 1999.
[6] Karlsson M, Yakowitz B, “Rainfall-runoff
forecasting methods, old and new”, Stochastic
Hydrology and Hydraulics, Vol. 1(4), 1987, pp
303-318.
[7] Yule GU “On a Method of Investigating
Periodicities in Disturbed Series, with Special
Reference to Wolfer's Sunspot Numbers”,
Philosophical Transactions of the Royal
Society of London, Ser. A, Vol. 226, 1927, pp.
267–298.
[8] Slutsky, E. “The summation of random causes
as the source of cyclic processes”, Voprosy
Koniunktury, Vol. 3, 1927, pp. 34-64. (English
translation in Econometrika Vol. 5, pp. 105146.)

Figure 4 Comparison of predicted water-stagehydrograph with 3-hr leads and measured
data for typhoon Saola (Sijie station)
CONCLUSION
A number of models based on ARX and
ARMAX capable of representing the relationshipbetween rainfall and water-stages of typhoon eventswere examined and tested. These models were
specifically designed for the Early Warning System
of Typhoon Inundation (EWSTI) for the Xinnan areain Taiwan, with the purpose of damage control andmitigation prior to the emerge of any disaster. The
results show good performance of their abilities bothin overall typhoon event simulations and peak waterstage predictions. The comparison of the model
prediction with three-hours of lead time to themeasured data presents promising fit throughout theevent and good predictions on both the peak waterstage and the arriving time. By incorporating these246

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

FLOOD ANALYSIS IN LANGAT RIVER BASIN USING STOCHATICMODELYuk Feng Huang1, Majid Mirzaei 2
Universiti Tunku Abdul Rahman, Faculty of Engineering and Science, Malaysia
2
Universiti Tunku Abdul Rahman, Faculty of Engineering and Science, Malaysia

1

ABSTRACTThis study analyzed the annual maximum stage readings of four rivers in Langat River Basin for flood
forecasting using Autoregressive Integrated Moving-average (ARIMA) model. Model identification was done byvisual inspection on the Autocorrelation Function (ACF) and Partial Autocorrelation Function (PACF). The
model parameters were computed using the Maximum Likelihood (ML) method. In model verification, thechosen criterion for model parsimony was the Akaike Information Criteria Corrected (AICC) and the diagnostic
checks include residuals’ independence, homoscedasticity and normal distribution. The best ARIMA models forthe Dengkil, Kg. Lui and Kg. Rinching series were (1,1,0), (1,1,0) and (1,1,1) respectively, with their AICC
values of 133.736, 55.348 and 42.292. Homoscedasticity was confirmed with the Breusch-Pagan test giving pvalues of 0.145, 0.195 and 0.747 for the Dengkil, Kg. Lui and Kg. Rinching models respectively. Forecast series
up to a lead time of eight years were generated using the accepted ARIMA models. Model accuracy was checkedby comparing the synthetic series with the original series. Results show that the ARIMA models for the rivers
and the forecast series were adequate. In conclusion, the Box-Jenkins approach to ARIMA modelling was foundto be appropriate and adequate for the rivers. The flood forecast up to a lead time of eight years for the threemodels exhibit a straight line with near constant streamflow values showing that the forecast values were similar
to the last recorded observation.
Keywords: Flood Analysis, ARIMA, Box-Jenkins Approach, Langat River Basin
INTRODUCTION
Floods have huge environmental and economic
impact. According to a study conducted by KTA
Tenaga in 2002, the total flood affected area in
Malaysia in 2000 was about 9.04% of the total landarea in Malaysia. The population in flood affectedareas in 2000 was 22% of the total population at thattime and the Annual Average Damage estimated was
RM 915 million. On the other hand, the design ofhydraulic structures such as dams and reservoirs also
depends on the design flood of the particular river.
An inaccurate design flood can lead to inefficiencyof those hydraulic structures.
The study area is the Langat River Basin whichspans two states in Malaysia, namely Selangor andNegeri Sembilan. The Langat River Basin is shownin Fig. 1. It has a catchment area of approximately
2,348 km2. The Langat River is the main stream
while other major tributaries include the Semenyih
River, the Labu River and the Beranang River. Twodams are located at the upper region of the river
basin; the Semenyih dam and the Langat dam. The
Semenyih dam has a catchment area of 56.7 km2
while the Langat dam has a catchment area of
41.1km2.

Fig. 1: The Langat River Basin
The objectives of this study are to develop
stochastic ARIMA models for the study rivers using
Box-Jenkins approach and to forecast future annual
maximum streamflow values in the study rivers
using the developed ARIMA models.
ARIMA MODEL
The ARIMA modelling is actually an approachthat has the flexibility to fit a model which isadapted from the data structure itself. With the helpof the computed autocorrelation function and partial
autocorrelation function, the time series’ stochastic
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SEE-Mie, Japan, Nov. 19-21, 2015

nature can be modelled and vital information such as
trend, periodic components, random components andserial correlation can be obtained. The Box-Jenkins
approach to ARIMA modelling is an iterative modelbuilding process where the best models have to be
determined through trial and error. However, withthe advent of computers and statistical software
packages, this iterative process can be simplified.
Commonly used software packages include
Statgraphics, Minitab and Statistica.
The ARIMA model has three main components,
namely Autoregressive (AR), Integrated (I) andMoving-Average (MA). The AR component
represents the autocorrelation between current andpast observations while the MA component
describes the autocorrelation structure of error. The
integrated component represents the level ofdifferencing required to transform a non-stationary
series into a stationary series [1]. A non-seasonal
ARIMA model is usually denoted by (p,d,q).The
order of the AR component is denoted by p, theorder of differencing is denoted by dand q is theorder of the MA component.
Throughout the years researchers have used the
ARIMA model for different scientific and technicalapplications. [2] described the random component of
streamflow time series by examining the stochastic
structure of the flow data for the Upper Delaware
River. Forecasting monthly rainfall data using
various ARIMA models was done by [3], whereas[4] carried out streamflow prediction on a medium
sized basin in Mississippi. The ARIMA model wasapplied to monthly data from Kelkit Stream
watershed by [5]. [6] reviewed the performance of
two stochastic models (Thomas-Fiering and
ARIMA) on Yesilirmak River, Turkey.
There have been a lot of reviews on theperformance of the ARIMA model. [7] argued that
the ARIMA model is only suitable for short term
forecasting. The ARIMA model needs a long input
series to produce forecasts that are more accurate.
Therefore, the ARIMA model may not work well for
short input series. [8] showed that the performanceof ARIMA is satisfactory in forecasting either alinear or non-linear interval series. It is also a good
forecasting alternative to inter-valued time series.

macroeconomics. One of the popular tests for unit
root is the Augmented Dickey-Fuller (ADF) test.
This test is based on estimates from an augmented
autoregression. One of the main issues in the ADF
test is the choice of lag length k.
KPSS Test
Another well known test for stationarity ineconometrics is the Kwiatkowski-Phillips-SchmidtShin (KPSS) test. It tests for the null hypothesis ofstationarity as opposed to the ADF test which tests
for the null hypothesis of non-stationarity. One of
the important arguments against the use of tests
withstationarity as the null hypothesis is that it isvery difficult to control their size when the process
is stationary andextremely autoregressive [9].
Mann-Kendall Trend Test
The Mann-Kendall trend test is commonly used
to test the presence of trend in a time series. It is nota parametric test so the data do not have to benormally distributed and it has low sensitivity tosudden changes due to non-homogeneous time series.
The Mann-Kendall S Statistic shows the behaviourof a trend. A positive S indicates an upward trend
while a downward trend is indicated by a negative S.
Another statistic obtained from the test is the
Kendall’s tau, which measures the strength of thedependence between two variables. A positive valueof Kendall’s tau shows that the variables’ ranks
increase together while a negative value shows thatas one variable’s rank increases, the other variable’s
rank decrease.
Independence
The basic assumption is that the residuals of an
ARIMA model are white noise. A white noise series
have uncorrelated random shock with zero mean andconstant variance. If the residuals are independent, itmeans that there is no more information that could
be extracted from the series. One of the ways todetermine the independence is to visually inspect thecorrelogram of the residuals. If the correlogramshows values that are close to zero, the residuals areuncorrelated and independent.

Stationarity

Homoscedasticity

The Box-Jenkins approach is a stationary timeseries approach. If a time series is non-stationary,differencing is required to make it stationary before
the Box-Jenkins approach can be carried out. There
are many ways to determine non-stationarity. The
common tests used include unit root and trend tests.

Homoscedasticity is the term used to define thatthe variance of the disturbance term in eachobservation is constant. If the residuals arehomoscedastic, their variances are stable. The
probability of the disturbance terms reaching a given
positive or negative value will be the same in all
observations, which means that they have the samedispersion.

ADF Test
The testing for unit root’s presence in a timeseries is a normal starting point of applied work in

Forecasting248

SEE-Mie, Japan, Nov. 19-21, 2015

The ACF and PACF were then analysed todetermine behaviour and stationarity of the series. If
all the ACF and PACF values are insignificant andfall within the confidence band, it indicates that theobservations are independent. In such a case the timeseries is a white noise process and no modelling
could be performed.

Forecasting can be categorized into short-term
forecasting and long-term forecasting. Short-term
forecasting can predict values that are a few time
periods (a few years) into the future. Long-term
forecasting on the other hand, can predict values fortime periods that extend far beyond that. In terms ofapplications, long-term forecasts are used forstrategic planning while short-term forecasts areused for project developments as well as operation
management. Statistical methods are good for shortterm forecasting because the historical data normallyexhibit inertia and do not show drastic changes.
Short-term forecasting is based on identifying,modelling and extrapolating the patterns found in thedata.

Stationarity Tests
Unit root tests such as the Augmented DickeyFuller (ADF) test and the Kwiatkowski-PhillipsSchmidt-Shin (KPSS) test were carried out to test
the presence of a unit root while the Mann-Kendall
trend test was performed to check for the presence ofa trend.The presence of a unit root or a trend should
indicate non-stationarity of the series. The
significance level used was 5%. If the series is nonstationary, differencing is required to transform it
into a stationary series. On the other hand, if theseries is stationary, the series is modelled as an
ARMA process instead, which requires nodifferencing.

METHODOLOGY
The general ARIMA (p,d,q) model is:
𝑼𝑼𝒕𝒕 = 𝝓𝝓𝟏𝟏 𝑼𝑼𝒕𝒕−𝟏𝟏 + 𝝓𝝓𝟐𝟐 𝑼𝑼𝒕𝒕−𝟐𝟐 +. . . + 𝝓𝝓𝒑𝒑 𝑼𝑼𝒕𝒕−𝒑𝒑 + 𝜺𝜺𝒕𝒕
− 𝜽𝜽𝟏𝟏 𝜺𝜺𝒕𝒕−𝟏𝟏 − 𝜽𝜽𝟐𝟐 𝜺𝜺𝒕𝒕−𝟐𝟐 −. . . −𝜽𝜽𝒒𝒒 𝜺𝜺𝒕𝒕−𝒒𝒒(1)(2)
𝑼𝑼𝒕𝒕 = 𝑿𝑿𝒕𝒕 − 𝑿𝑿𝒕𝒕−𝒅𝒅
𝝓𝝓𝒑𝒑 = autoregressive parameter
𝜺𝜺𝒕𝒕 = residual𝜽𝜽𝒒𝒒 = moving-average parameter
X = dependent variable
U = d-th difference of the dependent variable.

Differencing
The series was initially differenced once (d = 1)
and the ACF and PACF of the differenced series
were plotted and analysed. If the ACF and PACF
decay rapidly then it indicates stationarity isachieved. Another indicator is the standard deviationof the differenced series. The optimum differenced
series should have the lowest standard deviation.
The differenced series was then differenced again (d= 2) to check for under-differencing or overdifferencing. Similarly, the ACF and PACF wereplotted and analysed. The lag 1 ACF and PACF ofan over-differenced series will be lower thannegative 0.5. If the standard deviation of the current
series is lower than that of the previous series, thenthe current series has the optimum order ofdifferencing. It is noteworthy that some researchers
argue that the effect of over-differencing is muchless serious than the effect of under-differencing.

Plotting the Series and Its ACF and PACF
The main tools used for identification of model werethe visual displays of the series, which included the
autocorrelation function (ACF) and the partial
correlation function (PACF).Using the annual
maximum stage readings as the input time series, theautocovariancefunction ( 𝒄𝒄𝒌𝒌 ), the autocorrelation
coefficients ( 𝒓𝒓𝒌𝒌 ) and the partial correlation
coefficients (𝝓𝝓𝒌𝒌 (𝒌𝒌)) were calculated and the series
with its ACF and PACF were plotted using
XLSTAT. The number of lagsk should fall between
N/4 and N, therefore the chosen number of lags inthis study was sufficient.
𝒄𝒄𝒌𝒌 =𝑵𝑵−𝒌𝒌

𝟏𝟏�) (𝒙𝒙𝒕𝒕+𝒌𝒌 − 𝒙𝒙�),�(𝒙𝒙𝒕𝒕 − 𝒙𝒙
𝑵𝑵
𝒕𝒕=𝟏𝟏

𝒓𝒓𝒌𝒌 =

Identifying p and q

𝟎𝟎 ≤ 𝒌𝒌 ≤ 𝑵𝑵�) (𝒙𝒙𝒕𝒕+𝒌𝒌 − 𝒙𝒙�)𝒄𝒄𝒌𝒌 ∑𝑵𝑵−𝒌𝒌
𝒕𝒕=𝟏𝟏 (𝒙𝒙𝒕𝒕 − 𝒙𝒙
=
𝑵𝑵
𝟐𝟐
𝒄𝒄𝟎𝟎
∑𝒕𝒕=𝟏𝟏(𝒙𝒙𝒕𝒕 − 𝒙𝒙
�)
𝒌𝒌

𝒌𝒌

𝒋𝒋=𝟏𝟏

𝒋𝒋=𝟏𝟏

Having identified the optimum order ofdifferencing (d), the next step was to identify theorder of the autoregressive and moving-average
parameters. The ACF (symbolized as 𝝆𝝆𝒌𝒌 ) and the
PACF for the optimum differenced series wereanalysed to determine the p and q.

(3)

(4)

� 𝒌𝒌+𝟏𝟏 (𝒌𝒌 + 𝟏𝟏) = �𝒓𝒓𝒌𝒌+𝟏𝟏 − � 𝝓𝝓
� 𝒌𝒌 (𝒋𝒋)𝒓𝒓𝒌𝒌+𝟏𝟏−𝒋𝒋 � / �𝟏𝟏 − � 𝝓𝝓
� 𝒌𝒌 (𝒋𝒋)𝒓𝒓𝒋𝒋 �
𝝓𝝓Choosing the Best ARIMA Model(5a)� 𝒌𝒌 (𝒋𝒋) − 𝝓𝝓
� 𝒌𝒌+𝟏𝟏 (𝒌𝒌 + 𝟏𝟏)𝝓𝝓� 𝒌𝒌 (𝒌𝒌 − 𝒋𝒋 + 𝟏𝟏)
� 𝒌𝒌+𝟏𝟏 (𝒋𝒋) = 𝝓𝝓𝝓𝝓(5b)The previous step gave an indication of the orderof p and q that should be fitted in the model.
However, it was recommended to try a few different
249

SEE-Mie, Japan, Nov. 19-21, 2015

Partialautocorrelation

values of p and q to get the best model while
preserving the parsimony of the parameters. To test
for the parsimony of parameters, the corrected
Akaike Information Criteria (AICC) was used. The
model with the minimum AICC was selected as thebest model. The XLSTAT software can find the bestmodel based on the AICC values calculated for arange of p and q. In this study the maximum p
selected was 3 and the maximum q selected was also
3. The model with the minimum AICC was thensubjected to diagnostic checks.

0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17

Lag

Table 1: Results of White Noise Tests
Test
Box-Pierce
Ljung-Box
McLeod-Li

The best model that passed the diagnostic
checking will then have its synthetic series
compared to the original data series. This
determined the degree of resemblance between thesynthetic series and the original data series. If thepattern of the synthetic series appears similar to thepattern of the original series, then the fitted model isa good model. The final step was to generate aforecast of future values. The ARIMA model can
predict future values as well as its confidence
interval using the calculated model parameters. In
this study the chosen number of forecasted values
was eight, which means that the values were
forecasted for the next eight years after the last
observation.

Value
12.47715.52515.445p-value
0.408
0.214
0.218

Remarks
White noise
White noise
White noise

Stationarity Tests
Stationarity tests were carried out for theremaining three series to confirm the initialpresumption that they were non-stationary. The
results for the ADF test, KPSS test and MannKendall trend test are presented in Table 2.
Table 2: Results of Stationarity Tests
ADF
test

KPSS
test

p-valuep-value

MannKendall
trend test
p-value

Dengkil

0.350

0.001

0.438

Kg. Lui

0.138

0.005

0.072

Kg.
Rinching

0.411

0.030

<0.0001

StationRESULTS AND DISCUSSION
The ACF and PACF for the Dengkil station arepresented in Fig. 2 and Fig. 3, respectively.

Remarks
Nonstationary
Nonstationary
Nonstationary

The tests confirmed that all the data series were
non-stationary. The Augmented Dickey-Fuller test
and the KPSS test showed that all three series had
unit roots. The Mann-Kendall test also detected atrend in the Kg. Rinching series. A series that haseither a unit root or a trend was considered as nonstationary and therefore required differencing.

Autocorrelogram (Dengkil)
Autocorrelation

0-0.5

The ACF plots for the Dengkil series, the Kg. Lui
series and the Kg. Rinching series exhibited slow
decay, indicating the possibility of non-stationarity.
The ACF plot for the Kajang series indicated that theseries may be white noise because its values were
not significant. Further white noise tests (Box-Pierce
test and Ljung-Box test) were applied to the Kajang
series and they showed that the series was indeed awhite noise series. Table 1 shows the results of thewhite noise tests. Therefore, no further modelling
was done onto the Kajang series.

Series Comparison and Forecasting

1
0.5

-1

0.5

Fig. 3: PACF of Dengkil Series

After the best initial model was determined, thenext step was running the diagnostic checks. Its
purpose was to verify the proposed model’s validity.
Before any checking was done onto the residuals,
the values of the estimated ARIMA parameters firsthave to be in an interval computed using the Hessianstandard errors. If the values are out of that interval,then they are not significant and the ARIMA model
should not be used.

-0.5

Partial autocorrelogram (Dengkil)-1

Diagnostic Checks

01

0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17

Lag

Differencing the Series
The series were differenced once and twice toobtain the optimum d. The standard deviations of theoriginal and differenced series are shown in Table 3.

Fig. 2: ACF of Dengkil Series

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SEE-Mie, Japan, Nov. 19-21, 2015

Table 3: Standard Deviations of Original Series andDifferenced Series
Dengkil
1.035
0.903
1.521

Kg. Lui
0.597
0.490
0.858

Dengkil3

Kg. Rinching
0.658
0.481
0.829

Standardized
residuals

Order, d0
1
2

The ACF and PACF of the once differenced (d =1) series decayed rapidly compared to the ACF and
PACF of the original series. Comparing the standard
deviations of the series, the minimum standard
deviations were obtained from the series with d = 1.
The results also showed that the first lags of thetwice differenced (d = 2) series were lower than -0.5,
indicating
over-differencing.
Therefore,
theoptimum level of differencing for the three series
was one and the d value used in the ARIMA model
would be one.

1
-1 0

20

-3

40

60

Observations

Fig. 4: Distribution of Standardized Residuals
The residuals were homoscedastic which meantthat they had constant variances. It was important
for the residuals to be homoscedastic because it
determined whether the model’s ability to predictvariable values was consistent. A model withheteroscedastic residuals cannot give results that are
trustworthy andtransformation of the data is required.
The third criterion for diagnostic checking was the
distribution of the residuals. The residuals were
subjected to normality tests and histograms werealso plotted to give a visual representation of theirdistributions. The results of normality tests arepresented in Table 6, while the histograms areshown in Fig. 5.

ARIMA Modelling and Diagnostic Checking
The AICC for ARIMA models were computedwith p starting from one to three and q starting fromzero to three. The models tested were (1,1,0), (1,1,1),(1,1,2), (1,1,3), (2,1,0), (2,1,1), (2,1,2), (2,1,3),(3,1,0), (3,1,1), (3,1,2) and (3,1,3). For each station,
the model having the minimum AICC was chosen as
the best model. The best models along with theirestimated parameter values are tabulated in Table 4.
The results showed that the preliminary models
determined from the ACF and PACF of thedifferenced series were indeed the best models

Table 6: Results of Normality Tests
StationDengkil
Kg. Lui
Kg.
Rinching

Shapiro-Wilk
test
p-value
0.017
0.140

AndersonDarling test
p-value
0.012
0.066

Jarque-Bera
test
p-value
0.007
0.064

0.315

0.223

0.331

Table 4: Best ARIMA Models
Dengkil(1,1,0)133.736
0.672-0.395-0.023Kg. Lui(1,1,0)55.3480.169-0.532
0.044

Kg. Rinching(1,1,1)42.2920.137
0.241-1.000-0.047

Histograms (Dengkil)
Density

Best model
AICC
MSE
AR(1)
MA(1)
Constant

0.2
-3

-1

1

3

Standardized residuals

Fig. 5: Histograms of Residuals
Both the normality tests and histograms showedthat the Kg. Lui series and the Kg. Rinching series
had normally distributed residuals. The Dengkil
series however, failed the normality tests but its
histograms showed that it was very close to a normal
distribution, which was good enough. The normalityof residuals’ distribution was important to produce asatisfactory confidence interval for the forecast.

Table 5: Results of Breusch-Pagan Test
p-value
0.145
0.195
0.747

0.4
0

The Hessian standard errors were calculated andall the estimated parameters successfully fell within
the significance interval. The RACF and RPACF forthe best ARIMA models were plotted. The RACF
and RPACF for all the three series fell within theconfidence interval. They were not significant andthis showed that the residuals were independent,
therefore satisfying the first residual criterion. The
next requirement was residuals’ homoscedasticity
and Table 5 shows the results of Breusch-Pagan test.
Fig. 4 shows the distribution of the standardized
residuals for the Dengkil series.

StationDengkil
Kg. Lui
Kg. Rinching

0.6

Comparison of Series and Forecasting

Remarks
Homoscedastic
Homoscedastic
Homoscedastic

The synthetic series generated by the ARIMA
models were compared to the original series to251

SEE-Mie, Japan, Nov. 19-21, 2015

check for model accuracy. Forecast series were also
generated for a lead time of eight years with 95%
confidence intervals. Fig. 6 shows the original series,
the synthetic series and the forecast series for thethree stations.

other three series, Dengkil, Kg. Lui and Kg.
Rinching series were (1,1,0), (1,1,0) and (1,1,1)
respectively. The ARIMA model is suitable for shortterm forecasting because the ARMA family models
can model short term persistence very well.
In conclusion, the Box-Jenkins approach for
ARIMA modelling was found to be appropriate andadequate for the rivers under study in Langat River
Basin. The flood forecast up to a lead time of eight
years for the three models exhibited a straight linewith near constant streamflow values showing thatthe forecast values were similar to the last recorded
observation.

ARIMA (Dengkil)
10

Stage

8
6
4
2

0

20

40

60

REFERENCES

50[1] Hasmida, H., 2009. Water quality trend at theupper part of Johor River in relationto rainfall
andrunoffpattern.UniversitiTeknologi
Malaysia.
[2] Ahlert, R.C. and Mehta, B.M., 1981.Stochastic
analysis and transfer functions for flows of theUpper Delaware River.Ecological Modeling, 14,
pp. 59 − 78
[3] Fernando, D.A.K. and Jayawardena, A.W.,
1994.Generation and forecasting ofmonsoon

Time step

ARIMA (Kg. Lui)

Stage

79.5
78.5
77.5
76.5
75.5

0

10

20

30

40

60

th

Time step

rainfall data.Proceeedings on the20 WEDC
Conference on Affordable Water Supply andSanitation.Colombo, Sri Lanka, pp. 310 − 313[4] Hsu, K.L., Gupta, H.V. and Sorooshian, S.,
1995.Artificial neural network modeling of therainfall-runoff process, Water Resources
Research, 31, pp. 2517 − 2530
[5] Yurekli, K., Kurunc, A. and Ozturk, F.,
2005.Application of linear stochastic models tomonthly flow data of KelkitStream.EcologicalModelling, 183, pp. 67 − 75
[6] Kurunc, A., Yurekli, K. and Cevik, O., 2005.
Performance of two stochastic approaches forforecasting water quality and streamflow datafrom Yeşilιrmak River, Turkey.Environmental
Modelling & Software, 20, pp. 1195 − 1200
[7] Tang, Z., de Almeida, C. and Fishwick, P.A.,
1991. Time series forecasting using neuralnetworksvs.
Box-Jenkins
methodology.Simulation, 57 (5), pp. 303 − 310[8] Maia, A.L.S., de Carvalho, F.D.A.T. andLudermir, T.B., 2008. Forecasting models forinterval-valued time series.Neurocomputing, 71,
pp. 3344 − 3352
[9] Hobijn, B. and Franses, P.H.B.F., 1997.
Asymptotically perfect and relativeconvergenceof productivity.Econometric Institute Report no.
9725/A. ErasmusUniversity Rotterdam

ARIMA (Kg. Rinching)

Stage

24
23
22
21

0

10

20

30

40

50

Time stepStage
ARIMA (Stage)
Prediction
Lower bound (95%)
Upper bound (95%)

Fig. 6: Original, Synthetic and Forecast Series
CONCLUSION
Statistical modelling was successfully performed
onto the study rivers using the autoregressive
integrated moving-average (ARIMA) method.
Forecast series were also generated by the models togive sequences of future stage and streamflow
values. One of the series, the Kajang series, could
not be modelled because it was a white noise series
and no dependence existed between its successive
streamflow values. The best ARIMA models for the252First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

SHEAR STRENGTHENING WITH CFRP SHEETS APPLIED IN
REINFORCED CONCRETE FLAT PLATES WITH OPENINGS
Nazar K. Oukaili1, and Thaar S. Al-Gasham2
College of Engineering, University of Baghdad, Iraq; 2College of Engineering, University of Wasit, Iraq

1

ABSTRACT
Experimental and analytical investigations were undertaken to evaluate the punching shear capacity ofinterior slab-column connections for panels with openings, strengthened using (CFRP) sheets. Sixteen simply
supported reinforced concrete flat plates with (1000×1000×70) mm dimensions loaded through a central column
where fifteen of them had various arrangements of the openings around the column. These specimens weredivided into five groups using two different CFRP strengthening schemes. In scheme I, the CFRP sheets wereapplied around the column and opening in one layer of width equal to the opening width. In scheme II, the CFRP
sheets were applied in two layers with widths equal to half of the opening width considering the same crosssectional area used in scheme I. Due to the presence of the openings, the unstrengthen specimens showed adecrease in punching shear capacity between 11.43% and 29.25% with respect to the control solid slab. Test
results clearly demonstrated that using CFRP leads to significant improvements of the stiffness and shear
capacity of slab-column connections. Depending on the CFRP strengthening scheme used, the punching shear
capacity was increased by 5.1% to 60.6%.
Using ANSYS program, an analytical model was developed to predict the punching shear capacity of thespecimens strengthened with CFRP sheets. It is found that, the analytical results are satisfactorily correlated withexperimental data where the maximum difference in ultimate load was around (16%).
Keywords: Flat Plate, Opening, Punching, Shear Strengthening, CFRP Sheets(900×900mm) perimeter on the bottom of the slab.
All specimens were reinforced by one bottom layerof (6mm) diameter steel bars, with average yieldstrength of 598 MPa, spaced (75mm) c/c in eachdirection and arranged to give an average effective
depth (dav) of (54mm). All column stubs were
reinforced with four (12mm) diameter longitudinal
steel bars of 648 MPa yield strength and two (6mm)
diameter transverse steel ties.
The openings were not bordered withreinforcement as is used and requested by code
design specifications. This condition was imposed inorder to find out which is the quantum whenbordering is passed over and the cut in slab is madeon site without accounting the possible loss ofstrength in the control perimeter. The reinforcement
details of the specimens are shown in Figure (1).

INTRODUCTION
In a particular situation, it is often necessary tocreate openings in existing slabs to allow electrical,
water or air conditioning duct to go through floors.
These openings, located next to column for practicaland aesthetic reasons, reduce the punching shear
capacity of the connection. In such case, the slab
must be strengthened.
FRP sheets are used to repair and strengthen
reinforced concrete members especially beams andcolumns. Many reinforced concrete beams havebeen tested and have demonstrated the feasibility
and efficiency of this technology to improve theflexural stiffness and strength as well as seismic
response [1]. On the other hand, experimental
studies of the effectiveness of FRP sheets inincreasing the shear capacity of flat plates are very
limited, especially for reinforced concrete flat plateswith openings. The tests reported in this work
partially fill this void.
TEST SPECIMENS
The slab specimens have dimensions of(1000×1000×70mm) with top column stub
(150×150mm) extending out (200mm) from thecenter of the slab. Fifteen specimens were designed
to have opening with different sizes and positions.
All specimens were simply supported on the

Fig.

253

1

Test specimen dimensions
reinforcement layout.

andSEE-Mie, Japan, Nov. 19-21, 2015

The test specimens are divided into three series.
Series I includes six unstrengthened control
specimens, five of them having openings whereas
the remaining specimen is without opening. Series II
includes five specimens having openings andstrengthened with CFRP using scheme I, Figure (2).
Series III includes five specimens having openings
and strengthened with CFRP using scheme II, Figure(3). All openings are with square configuration withthe sides, of length l, parallel to the sides of thecolumn. Three sizes of openings were used:(100×100mm) with l/c= 0.67; (150×150mm) with
l/c=1; and (225×225) with l/c=1.5, where c is thelength of the side of the column. The amount of
CFRP used in both schemes was approximately thesame in order to evaluate the effect of thearrangement of CFRP strips on strengthening
efficiency of the concrete slab-column connection
against punching shear failure.

Fig. 3Fig. 2

Specimens of scheme II

To avoid bond failure of the CFRP sheets, inboth schemes, the sheets were extended along thefull dimensions of the slab and additional strips of
CFRP sheets were applied in one layer with width
equal to the half size of the opening. The additional
strips located as close as possible to the column faceand either warped around the openings, in case of
the openings located directly next to the column, or
extended along the full dimensions of the slab incase of the openings located at a distance of (70mm)
from the column face. To resist the vertical inclined
shear cracks that may develop in some of the sidesof the opening (nearest sides to the column face),
additional CFRP sheets with one layer and length of(170mm) were warped around sides of the opening.
The CFRP consisted of Sika Wrap Hex-230C
flexible sheets. The manufacturer’s data sheet statedthat the design thickness of the fabric is 0.13 mm,
the modulus of elasticity is 238 GPa, the tensile
strength is 4300 MPa, and the ultimate tensile strain
is 1.8%.
The concrete mixes were designed to achieve atarget concrete compression strength fc’ of 30 MPa.
Ordinary Portland cement was used along with
washed sand and graded crushed gravel having
aggregates of 10 mm. The proportions by weight of
cement: sand: gravel were 1.00:1.77:2.22 withwater/cement ratio of 0.55.

Specimens of scheme I

In scheme I, the CFRP flexible unidirectional
sheets were cut into strips with width equal to the
opening size l. The strips were applied in one layer
to the tension face of the slab around the opening
and the column in two orthogonal directions, parallelto the directions of internal reinforcement. Sameprocedure of scheme I was followed in scheme II but
the CFRP strips were applied in two layers withwidth equal to the half size (0.5 l) of the opening.

254

SEE-Mie, Japan, Nov. 19-21, 2015

The specimen designation can be explained asfollows. The first letter indicates the size of the
opening, where C equals to the column stub size
(150×150mm), S smaller than the column stub size
(100×100mm), and L larger than the column stubsize (225×225mm). The second letter indicates the
position of the opening around the column, where F
indicates that the opening positioned in front of thecolumn stub and C indicates that the opening
positioned at the corner of the column stub. The
third letter indicates the ratio of the distance of the
opening from the column face D divided by the slab
thickness h, where D/h equals either 0 or 1. The lastletters denote to strengthening scheme of CFRP
sheets, where SI indicated that the specimen
strengthened using scheme I and SII mean that thestrengthening performed using scheme II. In case ofa solid slab (without opening and CFRP
strengthening), the designation (XXX) is used.

which corresponds 2.86 to 3.54 d, where d is theeffective depth of the slab.
Initiation of flexural cracks on the tension face of thespecimens strengthened with CFRP started at a load
range of about (23.3% to 40%) of the ultimate
punching capacity of the specimens. Due to thepresence of CFRP sheets, cracking directly adjacentto the column could not be observed during the test.
However, diagonal cracks were observed in between
the CFRP sheets. As the load increased, morediagonal cracks developed and extended toward theslab edges and corners. Finally, the diagonal cracks
were linked together and the slab failed in punching
shear failure mode which was sudden and brittle.
Fine cracks were also seen around the column on thecompression side of the slab after failure.
The distance at which the shear cracks propagatedaway from the face of the column was generally thesame as that of the control specimens and was not
influenced by the area of CFRP sheets used. Also, it
is clear that the extent and width of diagonal cracks
were more pronounced for specimens strengthened
using scheme II in comparison with thosestrengthened using scheme I.
It is worth mentioning that, none of the CFRP
specimens experienced bond failure between the
CFRP sheets and the concrete surface on the tension
side of the slab. However, CFRP sheets at failureload detached transversally near the shear crack as aresult of the transverse movement of concrete on
either side of the crack when punching failure
occurred and because the sheets have virtually little
resistance in the transverse, out-of plane, direction.
Figures (4 and 5) show typical crack patterns for
specimens CF0, CF0-SI, and CF0-SII, respectively.

TEST PROCEDURE AND RESULTS
Flat plate specimens were placed inside the testing
frame and loaded centrally through the column stubwith monotonically increasing load until failure. The
load was applied slowly with increment of (3.5 kN)using a hydraulic jack of (1000 kN) capacity. At
each loading stage, the magnitude of the appliedload, deflection of the slab at five locations, and first
crack width were measured. At the end of each test,
the angle at which the shear cracks propagated awayfrom the column face was measured and the crack
pattern and mode of failure for each specimen were
carefully
examined.
General Behavior and Crack Patterns
The six unstrengthened specimens failed in a brittle
sudden punching mode. Under loading, the first
cracks (flexural) occurred at a load range of about(21.1% to 28.6%) of the ultimate punching capacityof the specimens. The cracks first started withdiagonal cracks running from the corners of thecolumn stub toward the slab edges on the tension
side. As the load was increased, circumferential
cracks occurred at a location farther away from thecolumn stub and developed gradually over the entire
slab. At load of (54.9% to 63%) of the specimens
failure load, the flexural cracks reached all the way
out to the edges of the slabs. The formation of
inclined shear cracks was visible inside the openings
during testing of interior slab-column connections.
These cracks developed at approximately (40-80%)of the failure load at an angle of approximately (2653) degrees. The inclined shear cracks usuallycontinued from flexural cracks. Very often theseflexural cracks first developed at the corner of the
opening. On average, the shear failure cone ranged
from 154 to 191mm from the face of the column

Fig. 4 Cracks pattern of CF0

Fig. 5 Cracks pattern of CF0-SI and CF0-SII
255

SEE-Mie, Japan, Nov. 19-21, 2015

normalized ultimate loads, slabs SF0-SI and SF0-SII,
with 100×100mm openings directly adjacent to thecolumn face, have 19.5% and 5.1% increase in thepunching load over the control slab SF0,respectively. Specimens CF0-SI and CF0-SII whichhave 150×150mm openings just adjacent to thecolumn stub edge, achieve the greatest increases in
the normalized ultimate load, these are 60.6% and42.1% over the control slab, respectively. In
specimens with the largest front face openings,
significant increases in the normalized ultimate load
carrying capacity are observed as 59.3% and 34.5%
for specimens LF0-SI and LF0-SII, respectively, incomparison with specimen LF0. In slabs CC0-SI and
CC0-SII with corner face openings, the normalized
ultimate loads are 21.9% and 30.2% larger than thatof specimen CC0, respectively. Specimens CF1-SI
and CF1-SII, with the openings located at 70mm
away from the column stub, show increase in thenormalized punching shear load which are 18.8%
and 41.9% over the control specimen, respectively.

First Cracking and Ultimate Loads Results
In order to compare the test results of specimens
with different compressive strength, the measured
load of each specimen is normalized to the concrete
compressive strength of the control Specimen XXX,
(35.69 MPa). The normalized load is obtained bymultiplying the measured load by (35.69/fc’)1/2,
where fc’ is the cylinder concrete compressive
strength of the individual specimen in (MPa). A
summary of test results showing the normalized
cracking and ultimate loads of the specimens ispresented in Table (1).
The test results clearly show that providing CFRP
strips increase the cracking strength and results inconsiderable improvement in the ultimate strength
capacity. The corresponding increases depend on thearrangement of CFRP sheets around the opening andcolumn.
Since it was not possible to visually observe first
cracking on the underside of the strengthened
specimens, the point where the load-deflection
response deviated from the initial elastic response
could be accepted as the point of first cracking. In
general, it can be seen that the increase of the first
cracking loads for specimens strengthened using
scheme I are greater than those for specimens
strengthened using scheme II. With regard to theGroup

Table 1 Cracking and ultimate loads of test
specimens

I

II

III

IV

V

Specimen
designation
SF0
SF0-SI
SF0-SII
CF0
CF0-SI
CF0-SII
LF0
LF0-SI
LF0-SIICCO
CCO-SI
CCO-SII
CF1
CF1-SI
CF1-SII

Experimental load,
(kN)
First
Ultimatecracking
loads, Pu
load, Pcr
25.41
90.76
36.31
116.18
25.41
87.13
21.78
79.87
39.94
127.0732.67
112.55
14.52
68.98
43.57
108.92
32.67
90.76
25.41
90.76
36.31
112.5525.41
108.92
25.41
88.95
39.94
105.2836.31
116.18

Normalized load,
(kN)
First
Ultimatecracking
loads, Pnu
load, Pncr
24.93
89.02
33.24
106.36
27.30
93.60
22.28
81.68
41.23
131.1933.71
116.10
15.14
71.92
45.82
114.56
34.83
96.75
25.21
90.03
35.42
109.8027.35
117.22
25.13
87.95
39.64
104.5039.00
124.80256

Increase offirstcracking
load, %

Increaseofultimateload, %

0.0
33.3
9.5
0.0
85.1
51.3
0.0
202.6
130.0
0.0
40.5
8.5
0.0
57.8
55.2

0.0
19.5
5.1
0.0
60.6
42.1
0.0
59.3
34.5
0.0
21.9
30.2
0.0
18.8
41.9

SEE-Mie, Japan, Nov. 19-21, 2015

Load-defection response
Figure (6) shows the applied normalized load
versus central deflection responses of the various
specimens in test groups I to V, respectively. The
load-deflection response of the specimens consistedof a stiff pre-cracking stage, followed by anonlinearly elastic stage until punching shear failure
occurred in a sudden manner, leading to a sharp drop
in load resistance. The load-deflection responses ofidentical specimens for each group are convergent in
the pre-cracking stage, while the post-cracking
responses appear to be different. From these figures,
it can be seen that the overall post-cracking stiffnessof the CFRP strengthened specimens are
considerably greater than the control specimens.
These increases in the stiffness may be due toabsorbing the stresses by existence of CFRP sheetsnear the column edges.

Group IV

Group VGroup I
Fig. 6 Load deflection responses for experimental
specimens
FINITE ELEMENT IDEALIZATION OF TESTFLAT PLATESThe flat plates have been modelled using
different element types. In order to place thereinforcement mesh in its real location as in theexperimental case, the 70 mm thickness of thespecimens was divided into four layers, the three
upper layers had an equal thickness (18mm), and thelowest layer was 16mm thick. Each layer was
subdivided into square SOLID65 elements with a 25
mm side length. The column stub was divided into
288 cubic SOLID65 elements with a 25mm side
length. The mesh of the concrete and steel plate forthe solid specimen is shown Figure (7).
LINK8 elements were used to model the slab andcolumn reinforcement. For specimens strengthened
with CFRP, SHELL41 elements were used to model
the CFRP sheets. Concrete and CFRP sheets
elements are sharing the same nodes along thesurface of interaction in between both materials.
Perfect bond is assumed to occur between CFRP
sheets and concrete. Displacement boundary
conditions were used for modeling end supports ofslabs. To ensure that the model behave in the same
way as the experimental slabs, boundary conditions
need to be applied at points that are used to support
specimens in experimental tests. Since the flat
plates were simply supported along all four edges,
all nodes along the supporting line of the slab were
fixed against translation in y-direction. Finally, theGroup IIGroup III

257

SEE-Mie, Japan, Nov. 19-21, 2015

central force applied through the column stub wasconverted to uniformly distributed load on the
projection area of the steel plate elements to prevent
stress concentration problems.

Fig. 8 Comparison of predicted and experimental
load-deflection curves for specimens ofgroup I

Fig. 7 Finite elements modelling
Figure (8) shows load-deflection curves of the flat
plates of the present finite element analysis andexperimental data for group I. According to thisfigure, it can be observed that the present finite
element model performs satisfactorily and it predicts
the real behavior of the flat plates.
The results of the finite element analysis of theinvestigated slabs in terms of ultimate load arecompared against the experimental measurement andlisted in Table (2). It should be mentioned that, theratio of the predicted to the experimental ultimate
load ranges from 0.86 to 1.16 with an average and astandard deviation of 0.99 and 0.09, respectively.

258

SEE-Mie, Japan, Nov. 19-21, 2015

Table 2 Comparison between the experimental andpredicted ultimate load
Pexp, Pansys,
kN
kN
XXX
101.65 108.30
SF0
89.02
90.75
I
SF0-SI
106.36 117.66
SF0-SII 93.60
108.90
CF0
81.68
88.44
II
CF0-SI
131.19 112.53
CF0-SII 116.10 112.53
LF0
71.92
67.02
III
LF0-SI
114.56 98.92
LF0-SII 96.75
84.06
CC0
90.03
83.49
IV
CC0-SI109.80 112.53
CC0-SII 117.22 108.90
CF1
87.95
87.12
V
CF1-SI
104.50 112.53
CF1-SII 124.80 127.05
Average value (Pansys/Pexp)
Standard deviation

Group

Specimenultimate load between theanalytical data was only 16%.

Pansys/Pexp

experimental

and

REFERNCES

1.07
1.02
1.11
1.16
1.08
0.86
0.97
0.93
0.86
0.87
0.93
1.02
0.93
0.99
1.08
1.02
0.99
0.09

[1] Soudki K., “Rehabilitation of bridges andstructures by FRP laminates-Canadian perspective”.
ICCRI workshop, 1999.
[2] Tan K., and Zhao H., “Strengthening of openings
in one-way reinforced-concrete slabs using carbon
fiber-reinforced polymer systems", Journal of
Composites for construction ,ASCE, 2004,Vol. 8,
No. 5, pp. 393-402.
[3] K. Soudki, A. El-Sayed and T. Vanzwol.
Strengthening of concrete slab-column connections
using cfrp strips, Journal of King Saud UniversityEngineering Sciences, 2012, Vol.24, Issue 1,
January, pp. 25-33.

CONCLUSIONSThe conclusions, based on the experimental results
and finite elements analysis, are summarized asfollows:1. The presence of CFRP strips increased theflexural stiffness of slabs, delayed the initiation of
cracks, restricted the extensive crack opening, andhence, increased the punching shear capacity.
Depending on opening size and location as well as
the CFRP strengthening scheme used, the increase in
two-way shear resistance varied between 5.1% and60.6%. Accordingly, all strengthened specimens
failed in punching shear mode. No de-bonding of the
CFRP sheets was observed.
2. The strengthened specimens exhibited much
stiffer responses and lower deflections than thecorresponding control specimens.
3. For specimens with front face openings, the
CFRP strengthening scheme I was more effective inincreasing the punching shear strength than CFRP
strengthening scheme II. This situation inverted forother specimens where the openings wereconstructed either away from column or adjacent to
its corner.
4. The general behavior of the finite element models
represented by the load-deflection curves at thecenter of the slabs showed good agreement with theexperimental data. However, the finite element
models showed slightly stiffer than the test results inboth the linear and nonlinear ranges. The effects ofbond-slip, (between the concrete and steel
reinforcing), and micro-cracks occurring in theactual flat plates were excluded in the finite element
models, contributing to the higher stiffness of thefinite element models. The maximum difference in259

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

A TIME-INDEPENDENT FINITE DIFFERENCE ANALYSIS OF FLOWINDUCED CYLINDER VIBRATION
Chih-Chun Chu and Bang-Fuh Chen
Department of Marine Environment and Engineering, National Sun Yat-sen University, Kaohsiung, Taiwan.

ABSTRACTThe flow induced cylinder vibration or earthquake-induced cylinder motion are moving in an arbitrary direction
with time. The phenomenon of flow across cylinder is highly nonlinear and a linear-superposition of flow pattern
across separated oscillating direction of cylinder motion is not valid to obtain the flow pattern across a cylinder
oscillating in multiple directions. A time-independent finite difference scheme is developed to simulate the viscous
flow across an arbitrary moving circular cylinder and we call this a complete two-dimensional flow-cylinderinteraction. That is, the cylinder is simultaneously oscillating in x- and y- directions. The time-dependent domain
and meshes associated with the moving cylinder are mapped to a fixed computational domain and meshes which
are time independent. The numerical results are validated by several bench mark studies. Several examples are
introduced including flow across steam-wise, transverse oscillating cylinder and flow across rotating cylinder andflow across arbitrary moving cylinder. The forces acting on cylinder are compared with those predicted by
Morison’s formula and the Morison’s formula can not describe the complex interaction phenomenon between
cross flow and oscillating circular cylinder. And the completed 2D computational fluid dynamic analysis should
be made to obtain the correct hydrodynamic force acting on the cylinder.
Keywords: viscous flow, 2D cylinder interaction, finite-difference methodmodels. The numerical simulation of flow withsimple circular geometry is still a very big challenge
because its flow separation, abruptly varied velocity
and vorticity development along the impulsive
oscillating cylinder.
Extensive numerical simulations have beenreported in the literature. As early as 1958, Payne
reported a numerical method to study the flow past acircular cylinder for Re = 40 to 100. After then,various numerical methods were developed to solve
the problems for higher Reynolds number. A brief
review of numerical methods was made by Li et al.
(2004). In both numerical and theoretical studies, theflow is commonly described by the incompressible
Navier–Stokes equations.
In the present study, a novel finite difference
scheme is developed to simulate the viscous flow
across an arbitrary moving circular cylinder and wecall this a complete 2D (two-dimensional) flowcylinder interaction. The time-dependent flow region
is mapped onto a fixed domain, and the boundary
conditions are transformed, as the forcing functions,in the Navier-Stokes equations (Hung 1981). Also,
refined meshes near the moving cylinder are required;
they are stretched to regular meshes in thecomputational domain. The implicit finite difference
approximation and higher order upwind scheme areused in solving stream function and vorticity transport
equation and corresponding diffusive terms. The
numerical scheme is firstly validated by many
comparisons with existing numerical studies and flow

INTRODUCTION
In marine engineering, offshore structures often
encounter waves, currents and earthquake excitations.
The fluid-structure interaction is a topic of primaryinterest in research and design. One of the basic
studies is flow across a moving cylinder. During
earthquake excitations, the relative velocity between
the cross flow (current) and a moving cylinder(induced by ground motion) could be very large andthe flow might be turbulent.
In the 20th century, the earliest study of flow
around circular cylinder was reported by Blasius in
1908 with a boundary layer theory for a second ordertime series solution. The first experimental study was
made by Prandtl in 1925. Viscous flows across acircular cylinder have drawn significant attention
during the last several decades. Collins & Dennis(1973a & b) obtained a higher order boundary layer
solution. These two studies provided a good
description for the development of vorticity and flow
patterns with the drag force. Bouard and Coutanceau(1980) reported a much more detailed flow
visualization for various Reynolds numbers, (Re =2aVo/η, in which Vo = the velocity of the cross flow, η
the kinematic viscosity of fluid and a the radius of thecylinder) and discussed the mechanism of the socalled phenomena α and β. These numerical results
and experiments have provided valuable benchmark
data sets for validations of computational fluid
dynamics (CFD) algorithms as well as theoretical260

SEE-Mie, Japan, Nov. 19-21, 2015

visualizations reported by Phuoc Loc & Bouard(1985) for Re = 3000 and 9500 for a simpler case ofa stationary cylinder (KC = 0). For cross flow withoscillating cylinder, the flow is controlled by theKeulegan-Carpenter number. The flow around thecylinder is analyzed along with vortices, and thegeneration, transport and decay of the vorticity.
Several examples are introduced including flow
across steam-wise oscillating cylinder, flow acrosstransverse oscillating cylinder, flow across rotating
cylinder and flow across arbitrary moving cylinder.

Since the oscillating cylinder surface is varying
with time, the first of the following equations is used
to remove the dependence of b2 on time (Hung 1981).
( r ′ − a ) / [b2 (φ , t ) − a ]r * =(4)Φ =φ / π
Also shown in the definition sketch, b2 is the distance
between outer boundary and the instant center of themoving circular cylinder and can be shown andexpressed asb2 (φ , t ) = −δ x cos φ(5)2
2 2 1/ 2+ {ar − [δ x (t ) sin φ ] }BASIC EQUATIONS

in which δ x (t ) is displacement of the oscillating
cylinder and ar is distance between the outerboundary and the fixed origin. The cylinder face ismapped onto r* = 0 and the outer boundary onto r* =1. And the second transformation would map φ ontoa region Φ = 0 and 2. Thus, the time-dependent
boundary of the moving cylinder is transformed to a
fixed computational domain of a rectangular region.
Because of the transient boundary layer development,
fine grids in the radial direction are required aroundthe cylinder. The coordinates r* is furthertransformed so that the layer nears the cylinder will
be stretched to produce finer grid meshes Δr* near thecylinder face. This requirement is accomplished byusing the following transformation:

In this study, the cross flow is moving with aconstant speed V0 and the cylinder is stream-wise
oscillating. The two-dimensional flow can be
described by the vorticity ( ω ) transport equation and
the Poisson equation of the stream function, ψ , in thepolar coordinate ( r , θ ) system:
∂ω
∂t

−

1

(

∂ ∂ω

r ∂θ ∂r−∂ω ∂ψ
∂θ ∂r

)=
η∇ ω
2

(1)

1 ∂
1 ∂ψ
∂ψ
2
(2)
[
( r
)+ 2
]=
∇ψ =
−ω
2
r ∂rr ∂θ∂r
The definition sketch of the problem is shown in
Fig. 1, where a is the radius of the cylinder, ar is the
distance between the outer boundary and the origin of
the polar coordinate system. According to the resultsof Ta Phuoc Loc & Bouar (1985), ar greater then 2.5a
is appropriate for Re =3000 to 9500, if the cylinder isfixed. However, as Re increases and the cylinder is inmotion, the larger ar would be needed. r ′ is the radial
distance measured from the instant center of moving
cylinder and φ is the angle between r ′ and horizontal
direction. The corresponding flow velocity in r ′ andθ directions are defined as u and v and can becalculated through the definitions of velocity andstream function;∂ψ1 ∂ψ
, v= −
(3)
u=
∂r
r ∂θ
2

R = β1 + ( r − γ 1 ) e***

k1 r ( r −1)(6)

where γ 1 and k1 are the coefficients used to control
the radial grid sizes. When k1 = 0, the grid is notstretched. The grid size will be more stretched as k1
increases. The grid size will is only stretched in single
side with γ 1 = 1 and fine meshes are on the cylinder
face. Among those parameters, the following
relationship can be given(7)r cos θ= δ x + r ′ cos ϕin which δx is the corresponding horizontal
displacements of the cylinder in stream-wise
direction. The relationship between θ and φ can beshown and written as
a r b2−1 r sin θ(if r cos θ − δ x ≥ 0)
ϕ sin
=
φ
r′
(8)
δ
U (t ) = v
θ
−1 r sin θ
ϕ =π − sin(if r cos θ − δ x < 0)
δr′
The dimensionless variables are defined asouter boundaryvθ
t ⋅ v0
vr
r
U
, V
, r =
, T
,
=
=
=
Fig. 1 The definition of sketch of the problem (please
v0
v0
a
a
(9)
re-plot these figures)p − poψω ⋅ a
=
Ψ
=
=
,ω
, P
2
COORDINATE TRANSFORMATION AND
v0 ⋅ av0
ρ ⋅ v0
GOVERNING EQUATIONS
where po is the pressure of the outer boundary.
0

y

x

261

SEE-Mie, Japan, Nov. 19-21, 2015

compared with the reported numerical results andexperimental measurements. Fig. 3 compares thephenomenon α (Re = 3000) obtained by the present
numerical study with those reported by Phuoc Loc &Bouard (1985) and Fig. 5 compares the corresponding
results of phenomenon β (Re = 9500) of both studies.
As shown in those two figures, a good accordance isfound between experimental and present numericalresults. The good agreements of the comparison
demonstrate the accuracy of the proposed novel
numerical scheme.

NUMERICAL METHOD
The onset potential flow is obtained by solving Eq.
(2) for irrotational flow ( ω = 0 ). The results are used
to compute the vorticities on the boundary, whichlead to the calculation of vorticity on the cylinderwhen the non-slipping boundary condition isconsidered. Its values result in the simulation ofvorticity transport by Eq. (1) or its finite-difference
expression in the computational domain, i.e., Eq. (18).
In the two-dimensional analysis, the fluid flow issolved in a rectangular mesh network in thetransformed domain (R-Φ). The finite difference
method is used in the analysis and central differenceis used in both space and time derivatives. The
original mesh network and correspondingtransformed (R-Φ) domain are shown in Fig. 2.

(a)Streamline at T = 5
2.00

1.50

Fig. 2 The concept of coordinate transformation andgrid stretching

1.00

0.50

The numerical procedures are based on the CrankNicolson method. Since two equations are coupled,
iteration is needed to achieve acceptable convergencecondition. Secondly, calculate velocity fields andintegrate the momentum equation to obtain thepressure on the cylinder surface. Then, the drag andlift forces can be calculated by integrating thepressure along the cylinder surface. The staggered
grid C-type system, which is used in the present
analysis.
As mentioned earlier, all the time derivative terms
are approximated by central time-difference
expression. However, for each time step, the explicit
method is used at the first iteration to obtain a precondition. The Crank-Nicolson method is, thereafter,
used to solve the time dependent terms at each time
step and the Gauss-Seidel method is used to solve thesystems of linear equations.

0.00
-1.50

-1.00
-0.50
0.00
0.50
1.00
1.50
2.00
2.50
3.00(b)Fig. 3 The comparison of streamline pattern, Re =3000, at T = 5: (a) visualization by Phuoc
Loc & Bouard (1985) (b) present numericalresults(a)
Streamline at T = 2
2.00

1.50

RESULTS AND DISCUSSIONS
1.00

Before presenting the numerical results obtainedby the developed numerical model, a bench mark test
is performed to validate the accuracy of the numerical
scheme used in this study.

0.50

0.00
-1.50

-1.00
-0.50
0.00
0.50
1.00
1.50
2.00
2.50
3.00(b)Fig. 4 The comparison of streamline pattern, Re =9500, at T = 2: (a) visualization by Phuoc
Loc & Bouard (1985) (b) present numericalresults

5.1 Bench mark tests (flow past a fixed circularcylinder, Re = 3000 and 9500)
In this section, the developed finite difference
scheme is firstly applied to study the flow across afixed circular cylinder and the calculated results are

5.2 Flow around oscillating circular cylinder (Re =100, KC = 5)
262

SEE-Mie, Japan, Nov. 19-21, 2015

cylinder and the fluid is initially at rest. In the present
section, a uniform flow past a stream-wise oscillating
circular cylinder is studied. That is, the interaction
between cross flow and the oscillating cylinder isstudied. Fig. 7 displays the vorticity isolines of
uniform flow past a stream-wise oscillating cylinder(named case A). At the beginning of each cycle, thecylinder is moving in westward direction with thesame speed of the uniform cross flow and the cylinder
is experienced with a Reynolds number = 200. At thisinstant, the positive vorticity occurs at the right upper
part of the cylinder, from θ = 0 to 65 o. For the case of
oscillating cylinder in a rest fluid (case B), the vortex
shape around the cylinder face is about the same asthat of the case A but the positive vortex occurs from
θ = 0 to 55o. At 0.25 cycles later, the cylinder moves
to its most westward point and the Re reduces to 100,
the uniform flow prevent the development of positive
vortex whereas, at the same time, the positive vortex
covers the entire upper part of the cylinder. After then,the cylinder switches moving direction to eastward
direction, the cross flow restricts the evolution of thepositive vortex and the shape and strength of thepositive vortex of case A are, therefore, smaller thanthose of case B. At the mid of the cycle, the cylinder
moves back to its starting point and the Re becomes
0, the positive vortex still constrained by the uniform
flow and a clear kink can be seen in Fig. 7(c). Afterthen, a strong negative vortex occurs and force
positive vortex leave the cylinder surface and it willshed away by the aid of the uniform cross flow in thelater cycles.

The flow induced by an oscillating cylinder iscomplex and the corresponding vortex development
is varied with different conditions of cylinder motion.
In 1999, Tatsuno and Bearman (1990) proposed aflows regimes based on various combination of Re
and KC numbers. In this section, the present
numerical model is used to simulate a flow condition
corresponding to regime A. The cylinder is forced tomove in east-west (stream-wise) direction in a rest
fluid field and the results are examined for Re = 100
and KC = 5. Fig. 5 plots the vorticity isolines atdifferent stages of a typical oscillating cycle. The
stable and symmetric vortex shedding are found andstagnation points at the front and back of the cylinder
are invariant.
3.00

3.00

3.00

Vorticity at t/T = 19

Vorticity at t/T = 19.25

Vorticity at t/T = 19.125

2.00

2.00

2.00

1.00

1.00

1.00

0.00

0.00

0.00

-1.00

-1.00

-1.00

-2.00

-3.00
-4.00

-2.00

-2.00

-3.00

-2.00

-1.00

0.00

1.00

2.00

3.00

3.00

-3.00
4.00 -4.00

-3.00

-2.00

-1.00

0.00

1.00

2.00

3.00

-3.00
4.00 -4.00

1.00

1.00

1.00

0.00

0.00

0.00

-1.00

-1.00

-1.00

-2.00

-1.00

0.00

1.00

2.00

3.00

-3.00
4.00 -4.00

-3.00

-2.00

-1.00

0.00

1.00

2.00

3.00

3.00

-3.00
4.00 -4.00

1.00

1.00

1.00

0.00

0.00

0.00

-1.00

-1.00

-1.00

-2.00

-2.00

-1.00

0.00

1.00

2.00

3.00

-3.00
4.00 -4.00

2.00

3.00

4.00

-2.00

-1.00

0.00

1.00

2.00

3.00

4.00

2.00

3.00

4.00

Vorticity at t/T = 20
2.00

-3.00

-3.00

Vorticity at t/T = 19.875
2.00

-3.00
-4.00

1.00

3.00

Vorticity at t/T = 19.75
2.00

-2.00

0.00

-2.00

-2.00

-2.00

3.00

-1.00

Vorticity at t/T = 19.625
2.00

-3.00

-2.00

Vorticity at t/T = 19.5
2.00

-3.00
-4.00

-3.00

3.00

3.00

Vorticity at t/T = 19.375
2.00

-2.00

-3.00

-2.00

-1.00

0.00

1.00

2.00

3.00

-3.00
4.00 -4.00

-3.00

-2.00

-1.00

0.00

1.00

Fig. 5 The vorticity isolines of flow around a streamwise oscillating cylinder (Re = 100, KC = 5)

4.00

4.00

Vorticity at t / T = 1 cycle
2.00

Fig. 6 depicts the inline force acting on thecylinder and the dominant contribution to the total
force is pressure force. Also shown in the figure are
the calculated results (symbols) of Dutch (1998) andthe agreements are very good.

(a)

-4.00

-4.00
0.00

2.00

4.00

6.00

8.00 10.00 12.00 14.00 16.00 18.00 20.00

Vorticity at t / T = 1.5 cycle
2.00

(c)

0.00

2.00

4.00

6.00

8.00 10.00 12.00 14.00 16.00 18.00 20.00

Vorticity at t / T = 1.75 cycle
2.00

(d)

0.00

0.00

-2.00

-2.00

-4.00

-4.00
-4.00 -2.00-4.00 -2.00

4.00

4.00

Time history of In-line force of cylinder for Re = 100 and KC = 5

(b)

-2.00

-2.00

-4.00 -2.00

Vorticity at t / T = 1.25 cycle
2.00
0.00

0.00

0.00

2.00

4.00

6.00

8.00 10.00 12.00 14.00 16.00 18.00 20.00-4.00 -2.00

0.00

2.00

4.00

6.00

8.00 10.00 12.00 14.00 16.00 18.00 20.00

4
4.00

4.00

Vorticity at t / T = 3 cycle

3

in-line force (dimensionless)

2.00

(e)

Vorticity at t / T = 4 cycle
2.00

(f)

2
0.00

0.00

1

-2.00

-2.00

0

-4.00
-4.00 -2.00

-1

-3

7.25

7.50

7.75

8.00

8.25

8.50

cycle

8.75

9.00

9.25

9.50

9.75

2.00

4.00

6.00

8.00 10.00 12.00 14.00 16.00 18.00 20.00-4.00 -2.00

0.00

2.00

4.00

6.00

8.00 10.00 12.00 14.00 16.00 18.00 20.00

Fig. 7 The vorticity isolines of flow around a streamwise oscillating cylinder in an uniform flow
field. (Re = 100, KC = 5)

-2

-4
7.00

-4.00
0.00

10.00

( t / T)

shear part of 1998 (Dutsch and so on)pressure part of 1998 (Dutsch and so on)
total force of 1998 (Dutsch and so on)

shear part of this studypressure part of this study
total force of this study

Fig. 8 plots the drag forces of cases A and B acting
on the cylinder versus time. The equivalent Reynolds
number of case A is from Re = 200 to 0 and that ofcase B is from 100 to -100. The vortex distributions
at the leeward side of the cylinder of both cases areabout the same. Since the uniform cross flow restricts
the evolution of vorticity at the windward side of thecylinder and the positive drag forces of both cases areabout the same but the negative forces of case A issmaller than those of case B. Also shown in the figure
are the results evaluated by an empirical formulaFig. 6 The comparison of the inline force acting on
cylinder for Re = 100 and KC = 5; line:
present numerical results, symbol: theresults of Dutsch et al. (1998)
5.3 Flow past a stream-wise oscillating circularcylinder (Re = 100, KC = 5)
In the previous section, the flow mechanism isgenerated by a stream-wise oscillating circular263

SEE-Mie, Japan, Nov. 19-21, 2015

given by Morrison’s equation. As depicted in the
figure, the Morrison’s equation can accurately predictthe drag force acting on the cylinder face of the caseB, whereas it underestimates the drag force of thecase A during the first and fourth stages of each cycle.
Fig. 9 The comparison of streamline patterns; Re =500, F = 0.89 and ymax/D = 0.25; left: theresults of Blackburn and Henderson (1999)
and right: the present study(a)Time sreies of Cd and Cl at F=0.89, Re=500, ymax/D=0.25
2.5
2.0
1.5
1.0

Cd , Cl

0.5

(b)

0.0
-0.5
-1.0
-1.5

Cd (1999-JFM)-2.0

Cl (1999-JFM)
this study: Cd-2.5

this study: Cl

-3.0
0

1

2

3

4

5

6

7

8

9

10

11

12

13

14

15

16

17

18

19

20

tU/D (1999-JFM paper.by H. M. Blackburn and R. D. Hemderson .vs. this study)

Fig. 10 The comparison of the drag and lift forces
acting on cylinder for Re = 500, F = 0.89 andymax/D = 0.25; line: present numerical results,
symbol: the results of Blackburn andHenderson (1999)

Fig. 8 The comparison of the calculated results withthose predicted by Morison equation; (a) Re= 100, KC = 5 without cross flow; (b) withcross flow

CONCLUSIONS
5.4 Flow past a transverse oscillating circularcylinder (Re = 500, ymax / D = 0.25)

A time-independent finite difference method isdeveloped to solve for uniform cross flow past amoving circular cylinder. The numerical simulations
presented in this study include (1) oscillating flow
past a motionless circular cylinder; and uniform flow(2) past a motionless circular cylinder; (3) past a
stream-wise oscillating circular cylinder; (4) past atransversal oscillating circular cylinder; (5) past arotating circular cylinder and (6) past a moving
cylinder in simultaneously stream-wise andtransverse directions. We have reached the following
conclusions:(i) The developed numerical model is validated byextensive numerical comparisons of the results
obtained by this study with those reported in theliteratures and the agreement of the numericalcomparison is very good.
(ii) In the study of oscillating flow past a
motionless circular cylinder with Re = 100 and
KC = 5, the cylinder is experienced with avarious Reynolds number from +100 to -100
and the positive and negative vorticity withequal strength are always periodically occurredin the upper and lower part of the cylinder.
Besides, the wake structure at both sides of thecylinder is also periodically presented. In thiscase, the Morison’s equation can correctlypredict the CD and CL acting on cylinder.
(iii) In the case of uniform flow past a stream-wise
oscillating circular cylinder, the cylinder is

In this section, the uniform flow passing atransverse oscillating circular cylinder is studied andthe results are simulated for Re = 500 and ymax / D =0.25, the frequency ratio F = 0.89, where F = fo / fV
(fo = forced oscillating frequency and fV = natural
shedding frequency). Different numerical models
generate different natural shedding frequencies. The
natural shedding frequency used in Blackburn andHenderson (1999) is fV = 0.228, whereas, the natural
shedding frequency obtained by our model is fV =0.22 (close to Lu and Sato (1996)). The natural
shedding frequency fV = 0.22 is, therefore, used in thisstudy. Fig. 9 shows the vorticity contours aroundcylinder and a clear Kármán-street shedding is
obtained in this study. The comparison of the results
obtained by present numerical model with those ofBlackburn and Henderson (1999) is also shown in the
figure and only minor disagreement is found and it
might be due to the different natural shedding
frequencies used in both studies. Fig. 10 depicts thetime-series of Cd and Cl and the comparison between
present results and those of Blackburn and Henderson,
1999 and the agreement is also very good. The good
agreements of the numerical comparison imply theaccuracy of the proposed numerical model.

264

SEE-Mie, Japan, Nov. 19-21, 2015

experienced with a various Reynolds number
from +200 to 0. The uniform flow constraint theevolution of the wake structure at the windwardside whereas the size and strength of the wakeat the leeward side of the cylinder notably
increases and the positive vortex will shedaway at the end of each cycle. In this case, theMorison’s equation underestimates the CD and
CL acting on cylinder.
(iv) In the case of uniform flow past a rotating
circular cylinder, the combined effects of theuniform flow and rotating cylinder will help the
shedding of the vortex from the cylinder.
(v) In the case of completed 2D fluid-structureinteraction, the uniform flow past asimultaneous stream-wise and transversal
oscillating cylinder is studied. The complicatedvortex formation is found and the combined
effects of uniform flow, movement of thecylinder and the rotating vortices determine theevolution of the wake at both leeside andwindward sides of the cylinder. The wakestructures are periodically repeated every twocycles.
(vi) The Morison’s formula can not describe thecomplex interaction phenomenon between
cross flow and oscillating circular cylinder.
And the completed 2D computational fluid
dynamic analysis should be made to obtain thecorrect hydrodynamic force acting on thecylinder.

[6] Hung, T.K, “Forcing Functions in Navier-Stokes
Equations”, Eng. Mech. Div., Vol. 107, No. EM3,
1981, pp. 643-648.
[7] Lu, XY & Sato, J, “A numerical study of flow
past a rotationally oscillating circular cylinder”,
J. Fluid Struct., Vol. 10, 1996, pp. 829-849.
[8] Prandtl, W, “The magnus effect andwindpowered ships”, Naturwissenschaften, Vol.
13, 1925, pp. 93-108.
[9] Ta Phuoc Loc & Bouard, R, “Numerical solutionof the early stage of the unsteady viscous flow
around a circular cylinder：a comparison withexperimental visualization and measurement”, J.
Fluid Mech., Vol. 160, 1985, pp. 93-117.
[10] Tatsuno, M & Bearman, PW, “A visual study ofthe flow around an oscillating circular cylinder at
low Keulegan-Carpenter numbers and low
Stokes numbers”, J. Fluid Mech., Vol. 211, 1990,
pp. 157-182.
[11] Li, Y, Shock, R, Zhang, R & Chen, H,“Numerical study past an impulsively started
cylinder by the lattice-Boltzmann method”, J.
Fluid Mech., Vol. 519, 2004, pp. 273-300.

ACKNOWLEDGEMENTS
The study is supported by National Science
Council under a grant NSC 97-2221-E-110-087.
REFERENCES[1] Blackburn, HM & Henderson, RD, “A study of
two –dimensional flow past an oscillating
cylinder”, J. Fluid Mech, Vol. 385, 1999, pp.
255-286.
[2] Bouard, R & Coutanceau, M, “The early stage ofdevelopment of the wake behind an impulsively
started cylinder for 40<Re<104”, J. Fluid Mech,
Vol. 101, 1980, pp. 583-607.
[3] Collins, WM & Dennis, SCR, “The initial flow
past an impulsively started circular cylinder”, Q.
J. Mech. Appl. Math., Vol. 26, 1973a, pp. 53-75.
[4] Collins, WM & Dennis, SCR., “Flow past an
impulsively started circular cylinder”, J. Fluid
Mech., Vol. 60, 1973b, pp. 105-127.
[5] Dutsch, H, Durst, F, Becker, S & Lienhart, H,“Low-Reynolds-number flow around an
oscillating circular cylinder at low KeuleganCarpenter numbers”, J. Fluid Mech., Vol. 360,
1998, pp. 249-271.

265

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

RELATIONSHIP BETWEEN BORDERLAND AND THE
PEDESTRIAN IMAGE

1

Tetsuya YANOBE1, Kazunari TANAKA2 and Shin YOSHIKAWA3Engineering, Osaka Institute of Technology, Japan; 2,3 Osaka Institute of Technology, Japan

ABSTRACTThe boundary of the internal space and outside space is clearly classified in many Japanese cities, however,the space such as the borderland existing in a boundary area is ambiguous. This research’s object is tounderstand the relationship between the ambiguous space and the outside space. As a result, I will be able toanalyze spatial image and understand the possibility that a new borderland exists.
Keywords: Inside space, Public Space, Borderland, Pedestrian
INTRODUCTION
Japanese historical streets and European andAmerican streets catch internal space and outside
space as something homogeneous, The relationshipbetween the outside space and the internal space isfixed, and the design is made. There is a sense of
security in the internal space compared with theoutside space, A boundary is on the other side of theinternal space and outside space clearly. There isalso a boundary in the outside space in the respective
area around buildings and blocks in many Japanesecities. Therefore a unified town isn’t formed.
On the other hand, because the internal space andoutside space are being separated, it’s confronted
with each space, and there is a way of thinking
which can work on a problem. How should you
design a Japanese city today to grow as a unified
town? I can think the ambiguous space where thereach such as the borderland and the role aren’t also
clear exists in a boundary part of the internal spaceand outside space. The Japanese find a boundarysuch as a like a veranda to be beautiful, and prefers
ambiguous space and so to make such ambiguous
space intervene between a city, must have a good
influence on the city.

Fig.1

PURPOSE OF RESEARCH
In this study, I will clarify the existence of thedomain that it is hard to catch in the city space. And
it is intended to find a clue to bring it up as a townwith the unities. Therefore, in the space where it isthought that some domains exist, I will clarify thedomain that it is had to arrest by clarifying therelationship between the pedestrian image,
psychological structure and the space component.
METHOD OF RESEARCH
The method of research I used is a Semantic
Differential Method. And I identified what kind of
influence a borderland has on a pedestrian.
Furthermore, I identified the overall structure of the
public space by measuring the space component.
Using this data, I weigh the physical quantity against
quantity of psychology.
TARGET AREA
There are components such as a sidewalk, pillars,colors and trees for example. The characteristic
varies regarding the space component for each target
area. Therefore, in consideration of various spaceelements, it is necessary to choose the target area.
Thus, I chose the a former settlement of Kobe-shi,
Hyogo and examined the characteristics of this area.

Public Space
Fig.2
266

The Former Foreign Settlement of Kobe

SEE-Mie, Japan, Nov. 19-21, 2015

As a result of the SD method, of each target space,
I was able to confirm a remarkable characteristic. In
Kobe Daimaru, as for the In particularly, Hommachi
garden city has fewer components than other target
areas, and an influence on the is result that the colors
are unified for the tiles on the ground. I understoodthat borderland and outside space are strong in aconnection of the space. As a result, I understoodthat the connection of the space is influence by thephysical element.
I performed a correlation analysis, and a factor
analysis using the data of the SD method. As a resultof the factor analysis, I was able to extract threecommon factors in the preliminary investigation（Comfort factor, Activity factor, Daily life factor）.
And I was able to extract three common factors in
the main research（Comfort factor, Activity factor,
Refreshing factor ） . Furthermore, I calculated afactor score to confirm how a subject felt heavinessfor each factor from the result of the factor analysis.
Fig.6 is the factor score graph in the main research.
The subjects was felt to be strong in activity in thepilotis, and it followed that it was felt to be strong in
comfort on the sidewalk as a result of theinvestigation.

ANALYSIS
I divide between a quantity of psychology
analysis and physical quantity analysis in this study.
I performed preliminary investigation and thisinvestigation by the SD method. Using a correlation
analysis, I confirmed the relationship with thevariable interval and performed a factor analysis.
And I established the influence that a borderland
gives to people based on this results. Then, I
confirmed the space component in the target area, I
understood a chief ingredient analysis forunderstanding the space characteristic. Moreover, I
confirmed the relationship of the quantity ofpsychology and physical quantity and planed thecreation of new space using three dimensional CG.
Finally, I examined a walkers action, to inspect
the relationship of the quantity of psychology andthe physical quantity.
QUANTITY OF PSYCHOLOGY ANALYSIS
I understood to confirm the psychologicalstructure in the different spaces by the quantity ofpsychology analysis. I obtained answers using anevaluation with five phases of things that a subject
felt for plural photographs by the SD method. Afterthat I made profiles as a result of the SD method.
Fig.5 is the profile result of Kobe Daimaru.

Fig.3

Outside walk

Fig.4

1.200
1.000
0.800
0.600
0.400
0.200
0.000
-0.200-0.400-0.600-0.800-1.000-1.200Borderland

2

3

activity factor

Borderland

Borderland（cafe）

1

Fig.6

fresh
rich

4

5

6

7

8

comfortable factor

9

10

11

12

refreshing factor

Factor Score Graph

Furthermore, I established whether a causal model
fits for real data. Using a covariance structure
analysis, I made a causal model and confirmed aconformity degree. As a result of the covariancestructure analysis, I was able to confirm that theconformity degree of the causal model was good.

opening
beautifulannoying
dirty
livelycalm
warm
complexlight
loudpleasant
common
happy

-1

-0.5

0

Fig.5

Profile

0.5

1

Fig.7

267

Causal ModelSEE-Mie, Japan, Nov. 19-21, 2015

QUANTITY OF PHYSICAL ANALYSISI was able to hypothesize that the feeling about
space depended on the components as a result of
quantity of psychology analysis. Thus, incomparison with the result provided by thisinvestigation, I examined a component of each target
space to inspect the hypothesis. Furthermore, I foundthe new index of the component by performing chief
ingredient analysis.
I identified 13 space components （ sidewalk
width, car width, pilotis width, the height of thepillar, building height, width between the pillar,building width, floor level, number of roadside trees,
emission decrement value, the number of the street
lights and billboards ）. After that I performed acorrelation analysis and chief ingredient analysis. As
a result, I was able to extract three factors.

COMPARATIVE REVIEW
I extracted a comfort factor, an activity factor, adaily life factor as a result of the preliminary
investigation. In addition, I extracted the activity
factor, the refreshing factor, and the comfort factor
as a result of this investigation. The factor propertiesof the refresh factor resembles the daily life factor. I
found that the possible nature of the refresh factor（ daily factor ） captured the impression of theplace of the street.

Fig.11

ActivityFig.13

Fig.8

Building Maturity Degree

Fig.9

Natural Light RelationshipFig.10

Fig.12

ComfortRefreshingIn addition, I found that I could explain spacecomponents by 3axes in which are the building
maturity degree, a natural light relationship, andtraffic buffering as a result of the physical quantity
analysis.
I performed a multiple regression analysis toconfirm these relationships. As a results, I found thatthe refresh factor is strongly related with a buildings
maturity degree, a natural light relationship, andtraffic buffering. Therefore, it is important to extracta borderland without distinguishing pilotis which itis easy to consider as a borderland and sidewalk.
Regardless of the kind of the space, it is the 3axes
provided by the physical quantity analysis that affectthe refresh factor.
Figure-14 expresses the borderland of the cityusing the score of refresh factor.

Traffic Buffering

Fig.14268

Modeling Of The Factor Score Graph

SEE-Mie, Japan, Nov. 19-21, 2015

Therefore I paid my attention to pedestrian speed. At
first I established pedestrian speed at the position of
the interval for one second. I gave information of thepedestrian speed to a point and performed a kernel
density estimate. Fig17 expresses the density valueof point. Fig.18 expresses pedestrian speed.

INSPECTION
As a conventional results, I found that a refreshing
factor is strongly related with a building maturity
degree, a natural light relationship, a traffic
buffering. In particular, the refreshing factor are
related with a natural light relationship. I paid my
attention to a pedestrian action to inspect this result.
I investigated target space in Kobe Daimaru which
was the highest in the refreshing factor score. I shotmovie with a video camera about the investigation
method horizontally from two spots that I showed on
the map.

Fig.170

Fig.15

Density value

Fig.18Pedestrian Speed

It followed that I knew the space that Pedestrian
walked at low speed or high speed from a result of
Fig.18 clearly on the sidewalk of Kobe Daimaru. I
think that it is caused by the shadow and trees. I
confirmed that the speed of the pedestrian tends tochange in tree neighborhood.
As a result, on the sidewalk of Kobe Daimaru, Iestablished that pedestrian speed changed under the
influence of a tree.

100m

Photography Position

I plotted a point from the result of the animation
every one second and made a pedestrian trace.
Fig.16 expresses the pedestrian trace of twenty
person walking towards the north side.
The roadside tree was located in the center of the
sidewalk, and walked with the roadside tree as aborder.
I established the characteristic of the pedestrian
action using this trace. The indexes of the pedestrian
action include speed, density and a progress angle.

CONCLUSION
I established what refresh factor strongly
influenced together in the sidewalk and the pilotis inconclusion. Therefore, I found that the refresh factor
is strongly related with a buildings maturity degree,a natural light relationship, and traffic buffering. In
particular, the refreshing factor are related with anatural light relationship. Moreover, as a result of
having paid its attention to pedestrian speed in
inspection, pedestrian speed changed near a roadsidetree. Because a natural light relationship was avariable about the trees, I was able to inspect that therefresh factor and a natural light relationship wereclose.
I define the new borderland by thinking about apedestrian action as future development deeply.
REFERENCES

0

Fig.16[1] Ashihara Y, “Aesthetics of the cityscape”.
[2] Kurokawa K, “Thought and technique of thecity planning”.
[3] Space study subcommittee, “Space education
celebration for a building, city planning”
Inoueshoin, pp.145-155.
[4] Space study subcommittee, “Investigation,
analysis method for a building, city planning”
Inoueshoin,pp.65-70

５m

Pedestrian Trace269

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

DEVELOPMENT OF ACOUSTICAL SIMULATION MODEL FOR
MUFFLER

1,2,3

Wei-Hong Tan1, T.S. Khor2, N.H. Zunaidi3
Mechanical Engineering Programme, School of Mechatronic Engineering, Universiti Malaysia Perlis
Malaysia.

ABSTRACT
Mufflers have been widely used to reduce the noise level emitted from various vehicles. The simple and highaccuracy simulation model for muffler is highly requested by designers in evaluation stage of preliminary design.
In this paper, the simulation model was developed by using SysNoise application in LMS Virtual Lab. The basic
geometry of simple expansion chamber muffler was proposed for simulation and evaluation in terms oftransmission loss (TL). The developed model via simulation had been verified by comparing the predicted TL of
simple expansion chamber muffler with the experimental data in literature. It can be observed that simulation
results have good agreement with the experimental data from literature. In addition, simulation-based muffler
analysis also was conducted for parametrical studies in order to enhance the TL of muffler. As a conclusion, thecomputational acoustic model based on Finite Element Method (FEM) was successfully developed for predictionof TL on mufflers.
Keywords: Muffler, Transmission Loss (TL), Acoustical Simulation, Finite Element Method (FEM)[2,3]. Selection this type muffler will depend upon
the noise source and environmental factors.

INTRODUCTION
Muffler is one of the components used to reduce
the noise from a system containing a noise source
connecting to a tube. For example, combustion
engines, compressors, and air-conditioning system.
For modern vehicles, generally it is installed in the
tail section of the exhaust pipe part, to suppress thenoise generated by engine exhaust emissions in
reducing the exhaust and intake system noise. A lotof researches were done on designing these mufflingsystems. The traditional “build & test” procedure isconsidered time consuming and expensive, and it
can be assisted by acoustical simulation models at
the preliminary stage. By this, the initial
performance of the designed muffling system can bepredicted. In general, muffler can be defined by two
types, which are reactive and dissipative [1].

Transmission loss (TL) of muffler is considered
an important parameter for the designing works. In
the past few decades, a lot of research works havebeen conducted to present this work. Normally, theTL of muffler obtained by using two-load method,
three-point method [4], and four-pole method [5].
TL is considered the discrepancy in the sound power
between the incident wave entering and thetransmitted wave exiting the muffler when the
muffler termination is anechoic [6].
In this study, acoustic performance of the muffler
is simulated and analyzed. Normally, a muffler or asilencer is used to reduce the noise emitted by theexhaust due to the internal combustion engine. By
having the acoustical simulation modeling of the
muffler, it will help to identify the TL of muffler inthe early stage of design. The acoustical simulation
result of the muffler will allow manufacturers tounderstand the function and the traits of a muffler
before manufacturing it.

Reactive muffler is composed by several
chambers with different volumes and shapes
connected together with tubes, and it can reflect thesound energy back to the source, they are virtuallysound filters and very useful for the noise either
there is a hot, dirty or high-speed gas flow. Reactive
muffler also can be made inexpensively andmaintenance free. However, dissipative muffler uses
acoustic absorbing material to absorb the acoustic
energy and turn it into heat. These type mufflers
suitable for the source produces noise in a broadfrequency band and effective for high frequencies
270

SEE-Mie, Japan, Nov. 19-21, 2015

𝑆𝑆

where 𝑚𝑚 = 𝑐𝑐 , Sc is the area of cross-section central

THEORETICAL DEVELOPMENT

𝑆𝑆𝑖𝑖chamber, and Si is the area of cross-section inlet pipe,
k is wave number and l is the length of central
chamber.

Two-load Method
Two-load method is one of the popular
approaches to be used for calculating thetransmission loss (TL) of muffler. For the two-load
method [7], when the loads are very similar, the TL
result will become unstable. Normally, two loads
situation can be achieved by two different length
tubes or a single tube with and without absorbing
material as shown in Fig. 1.

METHODOLOGYLMS Virtual.Lab Acoustic
In this study, the software of LMS Virtual.Lab
Acoustic will be used to build the FEM model ofmuffler, acoustical simulation, and the calculation of
muffler TL. The software is considered user friendly
as the simulation model easy to be built or designed.
By using this software, the acoustical simulation
model of muffler was developed and theperformance of muffler can be analyzed before
carrying out the prototyping
Acoustical Simulation Procedures
In LMS Virtual.Lab software, the CAD model ofmuffler is drawn and meshed. Then the meshedmuffler model is imported into the acoustic
harmonic FEM module of the software forsimulation. For the acoustical simulation, theacoustic properties were defined. In this simulation,
340m/s is speed of sound and 1.225kg/m3 for massdensity.

Fig. 1 Two-load method [6,8]The two load method is based on the transfer
matrix approach [8]. This method is used four-poleequation to obtain the TL of muffler, so the formulaealmost similar with four-pole method and it easier tobe used compare with four-pole method.

A=(p1/p2)| v2=0, v1=1

(2)

There are two boundary conditions are appliedon the model. The boundary conditions are imposedat the inlet and outlet. The normal velocity with theharmonic amplitude 1 m/s is applied to the inlet, andacoustic impedance, 𝜌𝜌𝜌𝜌=416.5 kg/m²s is defined tothe outlet for creating the anechoic termination. In
order to determine the TL of simulated muffler,
input and output point (I/O point) are defined at the
inlet and outlet.

B=(p1/v2)| p2=0, v1=1

(3)

RESULT AND DISCUSSION

C=(v1/p2)| v2=0, v1=1

(4)

D=(v1/v2)| p2=0, v1=1

(5)

𝒑𝒑𝟏𝟏
𝑨𝑨
�𝒗𝒗 � = �𝑪𝑪
𝟏𝟏

𝑩𝑩 𝒑𝒑𝟐𝟐� � �
𝑫𝑫 𝒗𝒗𝟐𝟐(1)

Where: p1= sound pressure at the inlet, p2= soundpressure at the outlet, v1= particle velocities at the
inlet, v2= particle velocities at the outlet.

There are five muffler configurations wereanalyzed using the acoustical simulation method.
The configurations include simple expansion
chamber muffler, double expansion chamber muffler,
simple elliptic expansion chamber, simple elliptic
expansion chamber with extended tube at the inlet oroutlet muffler, and expansion chamber withperforated tube muffler. The acoustical simulation
results and discussions were presented in thefollowing section.

Finally, the transmission loss can be obtained as theformula below [9],𝟏𝟏TL = 20� �𝑨𝑨 +
𝟐𝟐

𝑩𝑩

𝝆𝝆𝝆𝝆

+ 𝑪𝑪𝑪𝑪𝑪𝑪 + 𝑫𝑫��(6)

ρ = air density, c = speed of soundFor a simple expansion chamber muffler, thetheoretical TL can be calculated by Eq. 7 [10, 11]
using the 1-dimensional plane-wave approach,𝟏𝟏

Simple Expansion Chamber Muffler
Figure 2 shows the geometry of the modeledmuffler and isometric view for the simulation
analysis.

𝟏𝟏 𝟐𝟐

𝑻𝑻𝑻𝑻 = 𝟏𝟏𝟏𝟏 𝐥𝐥𝐥𝐥𝐥𝐥 𝟏𝟏𝟏𝟏 �𝟏𝟏 + �𝒎𝒎 − � 𝐬𝐬𝐬𝐬𝐬𝐬𝟐𝟐 𝒌𝒌𝒌𝒌� (7)
𝟒𝟒

𝒎𝒎

271

SEE-Mie, Japan, Nov. 19-21, 2015

Double Expansion Chamber Muffler
The dimension and isometric view of double
expansion chamber muffler for the acousticalsimulation analysis are shown in Fig. 4.

Fig. 2 All dimensions in millimeter (mm) andisometric view
Figure 3 shows finite element method (FEM)
result compared with analytical result andexperimental measurement of Z. Tao et al., 2003 [6].
50-3000 Hz frequency range was chose in thesimulation. In the comparison, it is apparent that theanalytical result deviates from the experimental
measurement and FEM result for the frequency
range 500-3000 Hz. On the other hand, FEM results
show good agreement with experimental result for
the frequency range 0-2500 Hz. Frequency 2500 Hz
and above, the result deviates from each other, it ismost probably caused by insufficient anechoic
termination [6]. Based on the observation in Fig. 3,
the FEM is considered more accurate than analyticalmethod compared with experimental measurementof Z. Tao et al., 2003 [6] as the correlation
coefficient is 0.94.

Fig. 4 All dimension in millimeter (mm) andisometric view
Figure 5 shows FEM result compared with BEM
and experimental measurement result obtained in the
study of Z. Tao et al., 2003 [6]. Based on Fig. 5,
FEM analysis shows the similar TL trend with theexperimental measurement for the frequency range
50-950 Hz. Frequency range 950-1200 Hz and 18002150 Hz, the TL curve of FEM and BEM deviate
from each other’s. Although the FEM results aredifferent with the experimental measurements, thedata still can be accepted since the correlation
coefficient is 0.86.
120

20Transmission Loss (dB)

Transmission Loss(dB)

25

15
10
5
0

0

Frequency (Hz)
FEM

80
60
40
20
0

500 1000 1500 2000 2500 3000

Analytical

100

Z. Tao et al., 2003 [6]0BEM [6]

Fig. 3 Transmission loss of simple expansion
muffler obtained by analytical, FEM andexperimental measurement of Z. Tao et al., 2003 [6]500 1000 1500 2000 2500 3000
Frequency (Hz)FEM

Z. Tao et al., 2003 [6]Fig. 5 Transmission loss of double expansion
muffler obtained by BEM [6], FEM andExperimental measurement of Z. Tao et al., 2003 [6]272SEE-Mie, Japan, Nov. 19-21, 2015

Simple Elliptic Expansion Chamber Muffler
Fig. 7 Transmission loss of simple elliptic expansion
chamber obtained by FEM and experimental
measurement of R. Jordan et al., 2005 [12]Figure 6 shows the geometry of a simple elliptic
expansion chamber and isometric view. The
dimension unit for the geometry is in millimeter(mm).

Simple Elliptic
Extended Tube

Expansion

Chamberwith

Figure 8 is another type of simple elliptic
expansion chamber muffler attached with theextended tube at the inlet. The unit for the dimensionof the chamber is in millimeter (mm).

Fig. 6 Geometry of a simple elliptic expansion
chamber muffler and isometric view
Figure 7 shows the comparison between theexperimental measurements [12] and the FEM
numerical TL results. There is 50-3000 Hz
frequency range was selected for the simulation
analysis. Based on Fig. 7, it is showed that the TL
curve is good agreement with each other’s for the
first loop to last loop, where the maximum
differences of 5 dB only. The highest peak TL for
FEM drops at 2400 Hz with TL of 28 dB. However,
the highest peak of experimental measurement drops
at 2600 Hz, which the TL is 32 dB. The correction
coefficient between FEM results and experimental
measurement for the frequency range 50-2000 Hz is
0.68.

Fig. 8 Muffler attached with the extended tube at the
inlet and isometric view
The comparisons between the values of TL
obtained from experimental measurement [12] andFEM are shown in Fig. 9. There is 50-3000 Hz
frequency range was selected for the simulation
analysis. Based on Fig. 9, the first three peaks of the
TL are very similar with each other for thefrequency range 50-2000 Hz. The highest peak TL
for FEM and experimental measurement drop at
1200 Hz with TL 71 dB and 40 dB respectively. The
frequency 2000 Hz and above, no significant TL wasobserved. There is 0.76 of correlation coefficient
betweenFEM
resultsandexperimental
measurements for the frequency range 50-2000 Hz.

Transmission Loss (dB)

35
30
25
20
15
10
5
0

0

500 1000 1500 2000 2500 3000
FEM

Frequency (Hz)R. Jordan et al., 2005 [12]

273

80
70
60
50
40
30
20
10
0

25

Transmission Loss (dB)

Transmission Loss (dB)

SEE-Mie, Japan, Nov. 19-21, 2015

0

15
10
5
0
-5

500 1000 1500 2000 2500 3000

FEM

20

0

600

1200

1800

2400

3000

3600

Frequency (Hz)FEM

Frequency (Hz)R. Jordan et al., 2005 [12]Sullivan et al., 1978 [13]Fig. 11 FEM result compare with experimental resultof Sullivan and Crocker [13]Fig. 9 Transmission loss of chambers with extended
tube obtained by FEM and Experimental
measurement of R. Jordan et al., 2005 [12]Parametric Study on Simple Expansion Chamber
Muffler

Muffler with Perforated WallIn this section, the basic design simple expansion
chamber muffler was selected and used forparametric study. Fig. 12 depicts the geometricalparameters of the muffler and Table 1 lists 4
geometrical dimensions for 4 designs of muffler.
The diameter, length of inlet and outlet tubes areremain constant for the parametric study. For thechamber, the length is unchanged and the diameter ischanged to 75 mm, 125 mm, 175 mm and 225 mm
accordingly.

Figure 10 shows the model dimension was
selected for acoustical simulation analysis and theresults will be compared with the experimental resultof Sullivan and Crocker [13]. The diameter
perforations on the perforated wall are 0.00249m
and 0.00081m for the wall thickness. The porosity ofthe perforated wall is 3.8%.

Perforated
wall

Fig. 10 Model dimension [14]Figure 11 shows the FEM results compared withexperimental results [13]. There is 10-3600 Hz
frequency range was selected for this simulation. By
referring to Fig. 11, the TL of muffler withperforated wall has a good agreement with Sullivan
and Croker’s results [13]. The relatively highcorrection coefficient of 0.89 in this comparison.

Fig. 12 Dimension and isometric view
Table 1 Length and Diameter for different design
type of muffler

274

Design Type

1

2

3

4

Length (mm)

200

200

200

200

Diameter (mm)

75

125

175

225

SEE-Mie, Japan, Nov. 19-21, 2015

Transmission Loss (dB)Figure 13 shows the simulation result by using
the built model FEM. 0-3000 Hz frequency range
was chose in this simulation. Based on Fig. 13, it isobserved that the bigger diameter of the chamber
will produce higher TL for the frequency range 01750 Hz. For the frequency 1750 Hz and above, theTL curve obtained from design type 3 and design
type 4 are deviating with each other. However, theTL curve of design type 1 and 2 are similar for thefrequency range 0-3000Hz.
50
45
40
35
30
25
20
15
10
5
0

0

REFERENCES[1] Kumar. S, “Linear Acoustic Modeling andTesting of Exhaust Mufflers”, M.S. thesis,
Royal Institute of Technology, Stockholm,
Sweden, 2007.
[2] Beraek L.L, Noise and vibration control. New
York: McGraw-Hill, 1971.
[3] F. Cui, Y. Wang, R. C. Cai, “Improving muffler
performance using simulation-based design”, in
INTER-NOISE and NOISE-CON Congress andConference Proceedings, 2014, pp. 1190-1194.
[4] T.W. Wu and G. C. Wan, “Muffler Performance
Studies Using a Direct Mixed-Body Boundary
Element Method and a Three-Point Method for
Evaluating Transmission Loss”, J. of Vibration
and Acoustics, Vol. 118, Jul.1996, pp. 479-484.
[5] T.W. Wu and P. Zhang, “Boundary Element
Analysis of Mufflers With an Imposed Method
for Deriving the Four-Pole Parameters”, J. of
Sound and Vibration, Vol. 217, June. 1998,
pp.767-779.
[6] Z. Tao and A.F. Seybert, “A review of current
techniques for measuring muffler transmissionloss”,SAE International, in Noise & Vibration
Conference & Exhibition, Traverse City, 2003.
[7] Lung, T.Y, Doige, A.G, “A Time-Averaging
Transient Testing Method for Acoustic
Properties of Piping Systems and Mufflers”, J.
of Acoustical Society of America, Vol. 73,
Mach. 1983, pp. 867-876.
[8] M.B. Jadhav and A. P. Bhattu, “Validation of
the Experimental Setup for the Determination ofTransmission Loss of Known Reactive Muffler
Model by Using Finite Element Method”,
International J. of Engineering and Innovative
Technology , Vol. 2, July. 2012.
[9] S. Bilawchuk, K.R. Fyfe, “Comparison andimplementation of the various numericalmethods used for calculating transmission loss
in silencer systems”, Applied Acoustics, Vol. 64,
Feb. 2003, pp. 903-916.
[10] Bell LH, Industrial noise control. New York:
Marcel Dekker, 1994.
[11] Bhattacharya. P, Panua. R, Bose P. K, Ghosh B,“Design of Reactive Muffler for Study on the
Noise Level and Performance of a Two
Cylinder Four Stroke 16 H.P Diesel Engine”,
Noise Worldwide, Vol. 39, Sept. 2008, pp 24-27.
[12] S. N.Y. Gerges, R. Jordan, F. A. Thieme, J. L.
Bento Coelho, J. P. Arenas. “Muffler Modelingby Transfer Matrix Method and Experimental
Verification”, J. of the Brazilian Society of
Mechanical Sciences and Engineering, Vol. 27,
Apr. 2005.
[13] Sullivan, J.W. and Crocker, M.J, “Analysis ofConcentric-TubeResonator
HavingUnpartitioned Cavities”, J. of the AcousticalSociety of America, Vol. 64, 1978, pp. 207-215.
[14] S. Jeon, D. Kim, C. Hong, W. Jeong, “ Acoustic
Performance of Industrial Muffler with CAE
Modeling and Simulation”, International J. of
Naval Architecture and Ocean Egineering,
Vol.6, Dec. 2014, pp. 935-946.

500 1000 1500 2000 2500 3000
Frequency (Hz)Type 1
Type 3

Type 2Type 4

Fig. 13 Transmission loss of different design of the
muffler
CONCLUSION
In this study, the results of FEM simulation foreach of the muffler are good agreement with theexperimental measurement results. Especially, theresults of TL for simple expansion chamber muffler,double expansion chamber muffler and chamberwith perforated tube muffler almost similar
compared with the experimental measurement
results, which give the correlation coefficient in
between 0.76 to 0.94. This proves the FEM
acoustical simulation model of muffler is developed
successfully and validated, and the FEM model
analysis on the muffler can be used to predict the TL
of muffler in the early stage of design before
prototyping.
ACKNOWLEDGMENT
This paper is done with the financial support
from Universiti Malaysia Perlis (UniMAP) Incentive
Grant (No Project: 9007-00252). Technical Support
from USM TheVibration Lab also is greatly
acknowledged.

275

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

EXPERIENCES WITH GEOCELL REINFORCED EARTHWORK INTERMS OF DEFORMATION RESISTANCE

1,2

Vlastimil Chebeň1, Ľubomír Pepucha2
Faculty of Civil Engineering, University of Žilina, Slovakia

ABSTRACTOver past 30 years, production, use, research and development of geosynthetics turned to a leading segmentof world´s construction materials industry. Increase of its popularity can be linked to its main advantages:
versatility, natural material reduction and recovered plastics substance resulting in lower CO2 footprint. A
specific category of geosynthetics are geocells, the three-dimensional honeycombed cellular structures, used forsoil improvement and reinforcement. Practical study of solving foundation engineering problem is presented
using geocell reinforced subbase. Deposits of highly compressible soft soil consisting of clay were present at
subgrade of pavement and floor area of newly built production facility. Improvement techniques such as soil
replacement, lime stabilization and other could be an option if high ground water table did not occur. Geocell
reinforced earthwork of 600 mm thickness has to meet project´s ULS and SLS requirements. A full scale PLT
field tests on staged earthwork were carried out to research deformation characteristics and its performance on
soft subgrade with E≈5 MPa. After construction, series of control measurements were collected to verify conceptof hardening effect of geocell reinforced structure over 3 year period, that confirmed more than 30 % increase inearthwork´s deformation resistance. Please use this document as a template.
Keywords: Geocells, Earthwork, Plate Load test, Deformation Modulus

of deformation modulus of subgrade and its changeover time.
In many ways efficient geotechnical design
cannot be carried out without reliable in situ testing[3], especially in areas of artificial deposits, organic
deposits or soft soil in place of foundation, or in theplace of old mining activity, or undergroundmovements. There is another important design
strategy that should be taken into account by
geotechnical engineers – design limits andappropriate use of new calculation methodology.

INTRODUCTION
Over the past three decades geosynthetic
products has been utilized in geotechnicalengineering to improve building methods, designand costs of construction. At present, in Slovakia
from variety of geosynthetic materials were adopted
predominantly geogrids and geotextiles used in
highway, railroad engineering and embankment
construction. These two dimensional reinforcement
elements are challenged with three dimensional
geosynthetic products known as geocell. The geocell
is a geosynthetic product with a three dimensional
cellular network in honeycomb configuration madefrom thin polymeric strips. Despite the extensive
research and successful field applications over pastten years, geocell applications are still not widelyused in comparison with traditional methods likepiling, soil replacement, lime stabilization or
geogrid/ geotextile reinforcement. It is probably due
to the lack of design procedures and dominantmarket position of traditional producers ofgeosynthetics. Therefore, in summer 2012 wascarried out full-scale field tests on a site where
testing was performed on geocell reinforced andunreinforced gravel mattress. Investigation was
focused on reinforcing effect expressed by increase

PRINCIPLE OF GEOCELL
REINFORCEMENT MECHANISM
Numerous field trials and full-scale laboratory
investigations have illustrated that geosynthetics
used to reinforce unpaved roads on soft subgrade
facilitate compaction, improve the bearing capacity
extend the service life, reduce the necessary fillthickness, diminish deformations. The combinationof geosynthetic reinforcement and fill help to spreadthe concentrated vertical loads and to inhibit large
deformations and local failures. Three modes ofaction can be distinguished [10], [11].

276SEE-Mie, Japan, Nov. 19-21, 2015

Lateral confinement effectAs shown on Figure 1, due to the threedimensional structure the geocell can provide lateralconfinement to soil particles within cells. The
concept of lateral confinement by cellular structures
dates back to 1970s. The United States Army Corpsof Engineers developed this idea for providing
lateral confinement to improve the bearing capacityof poorly-graded sand. It was observed that the soil
developed cohesive strength resulting from theconfinement by the geocell, and the magnitude of
the cohesive strength varied with the properties of
the geocell. In [7] is suggested a simple
methodology for estimating the magnitude of theapparent cohesive strength. A geocell consists ofthree-dimensional cells that contain, confine andreinforce a variety of filled materials within its cells
that completely arrest the lateral spreading andincrease the shear strength of filled materials.
Moreover, interfacial resistance, which result fromthe interaction between the geocell reinforcement
and the soil below and above the reinforcement, asshown in Figure 1, increase the lateral confinement
and lower lateral strain, that result in an increase in
the modulus of the mattress and improving verticalstress distribution on the subgrade which is called“vertical stress dispersion effect” below, andreducing the vertical pressure on the top of thesubgrade correspondingly.

Fig. 1

Fig. 2Concept of geocell lateral confinement

Membrane effectRegarding the membrane effect, it is inevitable todescribe the concept of membrane, that is twodimensional flexible element different fromsurrounding environment in which it is embedded
while not separating it in two distinct layers. Since
the membrane bears primarily tension component
from imposed loads that result in wider planar stress
distribution, the term tension membrane effect isadopted and is referred to the tension developed in
the curved geocell-reinforced mattress resisting thevertical load [5]. The loads from the embankment
deform the geocell reinforcement thus generate afurther tension force (Figure 3). The verticalcomponent of the tension force in the reinforcement
is helpful to reduce the pressure on the subgrade soil.
Then the vertical deformation of the soft subgrade is
reduced and the bearing capacity of the subgrade
soil is enhanced as well. As the depth of the ruts
increases the deformed shape of the geocell
reinforcement, the reinforcement can provide afurther tension force due to this membrane effect.
Another approach state, that due to the thickness ofthe geocell, the geocell-reinforced mattress more
likely provides a beam or plate effect rather than amembrane effect. The confinement of the geocell
increases the stiffness of the reinforced base thus
having a wider area of stress distribution.

Concept of geocell lateral confinement

Vertical confinement – stress dispersion effectThe geocell provides the vertical confinement in
two ways: the friction between the infill material andthe geocell wall and the geocell-reinforced base acts
as a mattress to restrain the soil from moving
upward outside the loading area. As mentioned
above, the horizontal geocell-reinforced mattressbehaves as an immediate working platform that
redistributes the footing load per unit area over a
wider area, as shown on Figure 2. This refers toherein as “stress dispersion effect”. As a result, thesoil-pressure onto the soft subgrade soil surface issmaller than that onto the subgrade soil in theabsence of geocell.

Fig. 3

Concept of membrane effect

FULL SCALE FIELD TESTING
Field testing was carried out in two stages: aseries of testing during construction process andafter construction, during operation. First tests were
performed in 2012, when a new production andwarehouse shop for growing industrial company
were built near Ružomberok, Slovakia. The other in2014 and 2015, to explore the influence of277

SEE-Mie, Japan, Nov. 19-21, 2015

consolidation on hardening effect of geocell
reinforced earthwork originating in properties ofpolymeric materials that often have nonlinear andtime-dependent stress-strain relationships [10]. Tests
were conducted with circular plate load tester (PLT)of 357 mm diameter, revealing the deformation
modulus of subgrade Ev,2 from second loadingunloading loop. In 2015 testing series, besides PLT,
a light weight deflectometer LWD based on fallingweight inducing very short dynamic impuls on thebase plate was employed to enrich the data set.
Site geology
Geological survey of the proposed area resulteddifficult foundation conditions comprising highwater table and compressible high plastic subgradesoils. This fact would have led to dramatic rise of
construction costs in very beginning of the project. It
was required to employ value engineering withreasonable options. Several methods were taken into
account, e.g. lime stabilization, soil replacement,
reinforced soil and considered all pros and cons.
High water table and possibly even higher than
expected and lack of suitable soil discarded lime
stabilization and soil replacement. Finally,
competition of reinforced soil techniques succeeded
geocell method due to guaranteed overall
performance based on possibility of use a fairquality infill material from nearby quarry andpossibility of decreasing the thickness ofembankment what resulted in reasonable costs.

Fig. 4a Test field 1 – Unreinforced embankment

Construction stage field tests and material
properties

Fig. 4b Test field 2 –embankment

Geocell reinforced

Because of lack of trustworthy calculation
methods and required saving literally every inch of
construction, two testing fields were built at the site.
Test field 1 (Figure 4a) was unreinforced made up
from granular material, test field 2 (Figure 4b) was
reinforced with geocell system at the base. Subgrade
soil was formed by soft-stiff high plastic clay ofYoung modulus 4 MPa resulting Ev,2=7MPa. Claylayer was underlain by sand-gravel soil with slightpressure water table stable in depth of 1,2 m below
ground level, thus 0,5 m from foundation base level.
Tests
were
conducted
byfollowing
methodology: embankments of 750 mm final height
were built as staged construction by 200 – 300 mm
compaction steps.
Quality of compaction was controlled by PLT
using a 357 mm diameter circle plate to determine
the deformability and load-bearing capacity resulting
in deformation modulus Ev,2. Initial plate load test
was performed on subgrade soil and every
construction step thereafter. The value of Ev,2 thatwas taken into account was at the top ofembankment.

Material of geocells was HDPE formed in stripsof height 200 mm with wall perforation and celldimension 210x260 mm. Material properties should
conform [8], [9] shown in Table 1. Infill material
was poorly graded gravel of maximum particle size
63 mm.
Table 1 Geocell material properties
Tensilestress[kN]

15

Tensilestress ofjoints and
seams
[kN]
22

Tensile strengthfor joints by
wide-width strip
method[kN]
21Ductility[%]

60

It must be noted that infill material was
considerably inhomogeneous, without smooth soil
grading curve predominantly containing sand (0,062 mm) over gravel particles (2-63 mm) probably
caused by its calcareous origin.
278

SEE-Mie, Japan, Nov. 19-21, 2015

Initial mean Ev,2 of original subsoil was 8,5 MPa
what yields 4,5 MPa Young´s module withmaximum plate settlement 16,49 mm as shown intables 2 and 3. This corresponds to soft-stiff
consistency. Designed Ev,2 value for floor subgrade
was 80 MPa that was comfortably achieved with 750
mm high embankment.

RESULTS
The main advantage of geocell reinforced
earthwork is due to the soil being confined by thewalls of membranes. Tension in the membranes of
the geocells gives rise to a compression stress in thesoil that is resulting in an increased strength andstiffness behaviour of the composite. Anotheradvantage is increasing stiffness of the composite
due to properties of polymeric materials what will belater discussed.
Presented results were measured at building andoperation (after construction) stage. Data for 750
mm high embankment come from building stage ofembankmentin2012,
whereascontrolmeasurements were taken in 2014 and 2015 on 600
mm high embankment. This was possible due tounpaved road as can be seen on Fig. 5.

Table 2 Settlement in mm at various embankment
height/loading steps on field 1 unreinforced
Plateloading
(kPa)

0

50

100

200

300

0
0
0

1,65
0,81
0,29

3,68
2,15
0,85

8,19
5,6
2,29

15,65
9,88
3,93

Height
(mm)
0
200
450

Table 3 Settlement in mm at various embankment
height/loading steps on field 2 - reinforced

Plateloading(kPa)
Height
(mm)
0
450
700

0

50

100

200

300

0
0
0

0,91
0,25
0,15

2,46
0,63
0,35

8,08
1,46
0,96

16,49
2,36
1,54

Fig.5

Testing the geocell reinforced embankment
succeeded and was found reasonable as soil
improvement technique.
Concerning unreinforced gravel mattress, it isevident that Ev,2 increase is not that persuasive.
Quality of infill material strongly correlates with its
deformation properties therefore the fact that grainsize, shape, diagenesis, porosity etc. should be taken
into account.
If the embankment was made solely with gravel,
the required value of Ev,2 would have been reached
at least by 1000 mm height, that was practically
impossible to build and measure with given
instrumentation.
Other set of tests were performed during major
construction works as compaction control followed
by stage of operation, when additional tests were
performed on existing unpaved surface to reveal
almost 3 years period. These testing places wereselected carefully meeting condition of never
imposed loading over the time.

View on the unpaved
measurements were taken

area,

where

Despite this fact, collected data are of the same
origin and structure.
Effect of time shows Figure 6, where rise of
deformation modulus Ev,2 by 25% can be observed
between years 2012 and 2014 and another 5% from2014 till 2015. It must be noted that test points had
never been loaded by traffic or any other loads.
120
100

R² = 0.8531

80
60
40
2011

Measured data
2012

2013

2014

2015

2016

Fig.6 Increase of deformation modulus Ev,2 fromloading tests over 3 year time period279

SEE-Mie, Japan, Nov. 19-21, 2015

160
140

Unreinforced
Geocell reinforced 2012

R² = 0.9471

120

Geocel reinforced 2014
R² = 0.9937
R² = 0.9808

Ev,2 [MPa]100

Geocel reinforced 2015

R² = 0.8957

Dynamic plate load test
(LWD)2015

80
60
40
20
0
0

200

400

600
800
1000
Embankment thickness [mm]

1200

1400

Fig. 7 Improvement effect using geocell reinforcement
unreinforced and the geogrid reinforced soils. Thisconclusion is based both on numerical model andexperimental studies [3].
Employing geocell give effect primarily in theembankment height reduction and limiting the
excavation volumes resulting in saving of granularmaterials and the amount of unsuitable material for
removal and deposition.
This results in costeffective and ecological profit, whereas use of
geotechnically inappropriate material e.g. tailings,
poor quality granular soil etc. can find its applicationin geocell fill. Additional benefits come fromhardening effect of geocells over the time, thatproved testing in 3 year time span on 600 mm thickembankment resulting in adding 30 % to original
deformation modulus Ev,2.

Figure 7 shows deformation modulus Ev,2 during
construction and operation stage after 3 year time
period. Enhancement of earthwork with geocell
mattress can be seen evidently in increase ofstructure stiffness expressed by Ev,2 withsimultaneous decrease of its height.
Important fact is that embankment had been
exposed for a certain time to climate and geologicalfactors that should deteriorate deformation
properties as a result of gradual degradation process.
One of the climate factors that have substantial
influence on earthwork condition is frost depth
which in the discussed region of Northern Slovakia
is about 800 – 1000 mm. As structure height is 600
mm with fine soils in subgrade, there should failprevention of subgrade freezing and clay soil mustgot frozen over 3 winter periods. Nevertheless, noneof this reflected in quality of earthwork.

ACKNOWLEDGEMENTS
The research is supported by European regional
development fund and Slovak state budget by the
project “Research centre of University of Zilina”,
ITMS 26220220183.

CONCLUSION
Using geocell reinforcement in the base ofearthwork in form of mattress confirmed the benefitof reinforcement and improved both bearing
capacity and deformation resistance, thus reduction
in settlement of the construction. Performed fieldtests showed about 30-40% increase in deformation
modulus Ev,2 over gravel-built structure what yields
an advantage of geocells. It is also in good
agreement with some latest researches on the topic
that suggest geocells distribute the load laterally andto a relatively shallow depth as compared to

REFERENCES[1] Adam CH., Adam D., Kopf F., Paulmichl I.,“Computational validation of static and dynamic
plate load testing”, Acta Geotechnica, Volume 4,
Berlin, 2009.
[2] Decký, M. - Drusa, M. - Pepucha, Ľ. - Zgútová,
K.,“EarthStructuresofTransport
Constructions”, Pearson Education Limited 2013,
280

SEE-Mie, Japan, Nov. 19-21, 2015

Edinburg Gate, Harlow, Essex CM20 2JE.
Edited by Martin Decký, p. 180, ISBN 978-178399-925-5[3] Hegde A., Sitharam T.G., “3-Dimensional
numerical modelling of geocell reinforced sandbeds”, Geotextiles and Geomembranes, Volume
43, pp 171-181, 2015.
[4] Mužík M., “Meshless solution of the slope
stability”, SGEM 2013 Conference Proceedings,
ISBN 978-954-91818-8-3 / ISSN 1314-2704,
June 16-22, 2013, Vol. 2, 249 - 256 pp. DOI:
10.5593/SGEM2013/BA1.V2/S02.033.
[5] Nelson D.R., Tsvi P. ”Statistical mechanics ofmembranes and surfaces”, World Scientific
Publishing, Singapore, 2004, ISBN 981- 238-760[6] Pokharel S.K., Han J., Leshchinsky D., Parsons
R.L., Halahmi I., “Investigation of factors
influencing behavior of single geocell-reinforced
bases under static loading”, Geotextiles andGeomembranes, Volume 28, Issue 6, December
2010.
[7] Rajagopal K., Krishnaswamy N.R., Latha G.,“Behavior of sand confined with single andmultiple
geocells”
Geotextiles
andGeomembranes, Volume 17, Issue 3, pp 171-184
June, 1999.
[8] STN EN ISO 10319 Geosyntetika. Ťahová
skúška pevnosti širokej vzorky.
[9] STN EN ISO 10321 Geosyntetika. Ťahová
skúška pevnosti spojov/švov metódou Strip naširokých vzorkách.
[10]
Wesseloo J., “The Strength and Stiffness ofGeocell Support Packs”, Doctoral thesis,
University of Pretoria, August 2004[11] Zhang L., Zhao M., Zou X., Zhao H.,“Deformation analysis of geocell reinforcement
using Winkler model”, Geotextiles andGeomembranes, Volume 36, Issue 6, July 2009.
[12] Zhang L., Zhao M., Shi C., Zhao H., “ Bearing
capacityofgeocell
reinforcementin
embankment engineering”, Geotextiles andGeomembranes, Volume 28, Issue 5, October
2010.

281

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

EFFECT OF REINFORCEMENT ON IMPROVE SURFACEPAVEMENT FOR WEAK SUBGRADE CONDITIONS
Saad F. Ibrahim, Namir G. Ahmed and Dhuha E. Mohammed
Dep. of Highway & Transp. Eng. / University of Al- Mustansiriya
ABSTRACT
A pavement structure consists of several layers for the primary purpose of transmitting and distributing
traffic loads to the subgrade. Rutting is one form of pavement distresses that may influence the performance ofroad pavements. Soft subgrade soils are distinguished by their low undrianed shear strength and highcompressibility. The effect of geogrid and steel mesh to improve the performance pavement is experimentallyinvestigated and evaluated. To compare the experimental and analytical outputs, three dimensions finite element
throughout models using ABAQUS ver.6.12.3 software are developed to simulate and analyze the relations
between the cycling load and deformation of the suggested pavement modes. Based on the results and thelimitation of this study it is concluded that, using geogrid and steel mesh in pavement layers leads to increases inload carrying capacity and decrease the permanent deformation in surface pavement for (1000) cycles load by(27.3%) and (18.3%) respectively, as compared with unreinforced model. The results of ABAQUS program arevery close to results of laboratory tests.

Keywords:

Soft

subgrade,

Geogrid,

Steel

mesh,

AbaqusmodelsINTRODUCTION
In recent years, the reinforcement of roadpavements has increased quickly for improvement
construction and performance. In pavement
systems, the term reinforcement refers to the abilityof an interlayer to better distribute the applied load
over a larger area and to compensate for the lack oftensile strength within structural materials. As withany reinforcement applications, the interlayer
should be stiffer than the material to bestrengthened [1]. In such pavement applications,reinforcements involving either (1) subgrade andgranular layers or (2) HMA layers and overlays
have achieved particular success. Fig. 1 illustrates anumber of potential geosynthetic applications in alayered pavement system to improve its
performance [2]. Subgrade stabilization refers tosituations where geosynthetics are placed on weak
subgrade prior to the placement of an aggregate
layer. Reinforcement placed within asphalt layers
are used to reduce fatigue, thermal and reflective
cracking, control rutting.

Fig. 1 Potential applications of geosynthetics in alayered pavement system.

STUDY OBJECTIVE
1.
Investigating, evaluating experimentally theeffect of geosynthetics to improve the performanceof pavement.
2. Developing a three dimensions finite element
throughout using ABAQUS ver.6.12.3 software tosimulate and analyze the relations between thecycling load and deformation of the proposed
pavementmodes;
rawmaterial
model,
geosynthetics model.
282

SEE-Mie, Japan, Nov. 19-21, 2015

EXPERIMENTAL WORK
Materials Properties

Table 2 Physical Properties of Asphalt Cement

Soil
A brown lean clayey soil is brought from adepth of 5m from the site of abridge in the sportcity within Al-Basrah city. Standard tests are
performed to determine the physical and chemical
properties of the soil, details are given in Table 1.

Test

Result

Unit

Penetration(25°C,100g,5sec)
ASTM D 548

1/10mmSCRB
Specifications
40 – 50

Ductility (25°C,
5 cm/min).
ASTM D 113

166

Cm

≥ 100

Flash point(cleave land
open cup)
ASTM D 92
Ductility ofresidue

252

°C

≥ 232

151

Cm

> 25

Table 1 Physical and Chemical Properties of
Natural Clayey Soil Used
Property
Liquid limit%(LL)
Plastic limit%(PL)
Plasticity index%(PI)
Liquidity index%(LI)
Specific gravity(Gs)
Total solublesalt%
SO3 content%
Organic matter
O.M%
Gypsumcontent%
pH
Classification(USCS)

Value
47

Standard
ASTM D4318

23

ASTM D4318

24
Aggregate

0.48
2.7

ASTM D854

The (crushed) aggregate used in this work isbrought from Al-Nibaee quarry. The physicalproperties of the aggregate (coarse and fine) are
shown in Table 3.

B.S.1377:1990

Table 3 Physical Properties of Nibaee Aggregates

6.13
0.6
1.09
1.17
8.34
CL

SubbaseThe subbase is brought from Al_Nibaee/
quarry, north of Baghdad, this type of subbase iscommonly used as a granular layer in flexible
pavement section.
Base
Base layer consists of weighting aggregate andfiller according to the State Corporation for Roads& Bridges in Iraq [3].
Asphalt cement

Property

CoarseAggregate

Fine aggregate

Bulk Specific
Gravity(ASTM C127
and C128)
Apparent
specific
Gravity(ASTM C127
and C128).
Percent water
absorption(ASTM C127
and C128)
Percent wear
(Los- Angeles
Abrasion)(ASTM C131)

2.672

2.633

2.601

2.431

0.45

0.531

20.10

-

Geogrid reinforcement

The asphalt cement used in this study is of (40-50)
penetration grade, and brought from Daurah
Refinery. Table 2 shows the physical properties ofAsphalt Cement.

The geogrid material used in this study is Pars
Mesh Polymer (PMP) Type SQ12 manufactured by
the Iranian company Pars Mesh Polymer.

283

SEE-Mie, Japan, Nov. 19-21, 2015

deformation and loading cycles for the asphalt
surface layer. It is clearly noticed that, thepermanent deformation increases with the increasein the number of cycle load.
The permanent deformation is recorded at 1600
cycle load and compared with the raw material
model. The geogrid and steel mesh decreases thepermanent deformation in surface pavement for(1000) cycles load by (27.3%) and (18.3%)
respectively.

Steel wire netting
Steel wire reinforcement consists of a double
twist, hexagonal shape, galvanized wire netting.
Preparation of Model Test
Natural subgrade soil is mixed with quantity ofwater to get the desired consistency. After that, thesoil is placed in a steel container (600*600*700)
mm in five layer. After that, the geogrid layer isplaced on the surface of the subgrade soft soil (incase of the subbase reinforced model) and folded in90ْ against the long side of the steel container toobtain necessary anchorage and slight pretensioning, as well as to prevent shifting of thegeogrids out of position, [4]. Then, the constructionof the subbase and base layers begins.
Preparation of asphalt layer consists of mixing
aggregate, filler and asphalt according to thegradation of [3]. To prepare the slab reinforcementasphalt pavement, the same procedure to prepare of
the ordinary slab asphalt pavement is followed andthe reinforcement is embedded at the bottom of thebinder layer which matches what wasrecommended by [5].

Permanent Deformation(mm)

ASPHALT SURFACE LAYERS
raw materials

geogrid01000

steel mesh

40
30
20
10
0
500

1500

2000

No. fo Cycles
Fig. 3 Permanent Deformations versus the
Number of Cycle for Asphalt Concrete Layers

Experimental Setup
To study and investigate the optimal way to
improve the strength of pavement layers over weak
subgrade; an experimental setup is designed andassembled to achieve this goal as shown in Fig. 2.

FINITE ELEMENT MODELING
Pavement Layers Modeling based on ABAQUS
Model geometry
Three-dimensional continuum solid elements areoften selected to simulate the problem inconsideration. The model consists of a 130 mm ofasphalt surface layer (wearing and binder) placedon 150 mm of subbase and 150 mm base over 200
mm of sub-grade soil.
Material Characteristics
The most important aspect of Finite Element
Analyses is the simulation of the material
characteristics. The material properties forpavement layers are summarized in Table 4.

Table 4 Material Properties (Input Data)
Fig. 2 Experimental Test Container and Loading
SystemResults of Experimental WorkThe data obtained from the experimental work
is permanent deformation as shown in following
figures.
Fig. 3 show the relation between permanent

Density(Kg/m³)Young’s
Modulus(MPa)

Poisson’s
Ratio
( )

1922

2413

0.35

Layer

Wearing284

SEE-Mie, Japan, Nov. 19-21, 2015

layer
Binderlayer
Base layer
Subbaselayer
Subgrade
layer

1734

2375

0.35

2141
2200

241
110

0.4
0.4

982

8

0.45

the bottom surface of the subgrade and sides oflayers is assumed to be fixed, Fig. 6 shows theboundary conditions used in the analysis

Element type and mesh size
The pavement structure is meshed using an 8-nodecontinuum linear brick reduced integration element(C3D8R element). The total number of element is12096 and the mesh convergence study is executed
to find this optimum number of element. All layers
are simulated with the same shape to preserve thecontinuity of nodes between consecutive layers.
Fig. 4 shows meshing of total model.

Fig. 6 Boundary Conditions for Model
ABAQUS Program’s Output
Rutting is simulated as a vertical displacement in
the ABAQUS model analysis. The magnitude ofthe displacement U beneath the center of the load at1000 cycles load is shown in Fig. 7, 8 and 9.

Fig. 4 3D Finite Element Mesh Model
Loading and boundary condition
The F.E is then run simulating a dynamic load,
modeled as a pressure load applying at the same
location of the pavement, as shown in Fig. 5 . The
load applied in the ABAQUS is 280 Kg (2.8 KN).

Fig. 7 Vertical Displacement for the Model with
Raw Materials

Fig. 8 Vertical Displacement for the Model with
Geogrid
Fig. 5 Loading Applied in ABAQUS Program
The boundary conditions have a significant
influence in predicting the response of the model,
285

SEE-Mie, Japan, Nov. 19-21, 2015

Experimental

ABAQUS (elastic)

Permanent Deformation
(mm)

40
30
20
10
0
0 200 400 600 800 10001200140016001800
No.of Cycles

Fig. 9 Vertical Displacement for the Model with
Steel Mesh

Fig. 12 Comparison between Experimental
Results and ABAQUS for Steel Mesh Model

Fig. 10, 11 and 12 show the comparison between
vertical displacements (rutting) obtained byexperimental work and ABAQUS results at
different number of cycle load. It can be seen that
there is no significant difference appears between
experimental and ABAQUS results.

Permanent Deformation
(mm)

40

Experimantal

CONCLUSIONS
1. It is found that, using geogrid, is more practicaland suitable to improve weak subgrade against
permanent deformation as compare with steel meshmode. It shows a typical increase in the ability tosupport repeated and dynamic loads transmitted
from the pavement structure.
2.
ABAQUSE program was successful insimulation pavement structure models, so
ABAQUS program can use in analysis of paved
road.

ABAQUS (elastic)

30
20
10

REFERENCES

0
0 200 400 600 800 10001200140016001800[1]. Rigo, J. M. (1993). “General introduction,
main conclusions of 1989 conference on reflective
cracking in pavements, and future prospects.”
Proc., 2nd International RILEM Conference –Reflective Cracking in Pavements, E & FN Spon,
Liege, Belgium, 3-20

No. of cycles
Fig. 10 Comparison between Experimental Resultand ABAQUS for Raw Materials Model
Experimental

ABAQUS (elastic)[2]. Christopher, B.R. (2010)
Roadway and Pavement Systems”

Permament Deformation
(mm)

30

“Geogrids in25[3]. Iraqi General Specification for Roads andBridges, (2003): “Standard Specification for Roads
and Bridges", the state Corporation for Road andBridges, Revised Edition.

20
15
10
5

[4]. Tang X., Chehab G.R. and Palomino A.M.
(2008).”Accelerated
Testingof
GeogridReinforced Subgrade in Flexible Pavements.”
ASCE, Conference Proceeding Paper, pp. 10491055.

00 200 400 600 800 10001200140016001800
No.of Cycles

Fig. 11 Comparison between Experimental
Results and ABAQUS for Geogrid Model[5]. Jassem, N.H. (2012), “Experimental
Investigation and Analytical Modeling ofReinforced Flexible Pavement” AL-Mustansiriya
University College of Engineering Highway andTransportation Engineering Department MSc
Thesis.
286

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

TREATMENT OF SLUDGE FROM A WASTEWATER TREATMENT
Catherine N. Mulligan1, Mehdi Sharifi-Nistanak1
Dept. Bldg, Civil and Environ. Eng., Concordia University, Montreal, Quebec , Canada

1

ABSTRACT
Preventing wastage of resources is an important priority for sustainability. Sludge from a wastewater
treatment plant (WWTP) is such a resource that it often wasted. It is a source of nutrients and organic materials
that can be used as a fertilizer. At a waste water treatment plant in Montreal, the sludge is currently incinerated
and sent for disposal. Alternatives to the practice are thus desirable. Elevated concentrations of cadmium, copper,
cobalt and selenium are found in the sludge and therefore a treatment process is required before use as a fertilizer
according to the Province of Quebec regulations. Leaching was selected as there is potential for heavy metal
removal. However, nutrient loss must be minimized to preserve its use as a fertilizer. To meet these goals, a newleaching agent (K2HPO4) is proposed, and investigated for heavy metal removal efficiency on the sludge. A
correlation of heavy metal removal and preserved nutrient concentration with time and pH was found. Removal
efficiencies of cadmium, copper, cobalt and selenium of 80%, 44%, 70% and 93%, respectively were determined.
In addition, concentrations of nitrogen, phosphorus and potassium of 17%, 17% and 25%, respectively, resulted
in the treated sludge. In conclusion, the use of dipotassium phosphate is an effective leaching method to remove
heavy metals and simultaneously increase the primary macro nutrients at an acceptable cost.
Keywords: Heavy metals, Nutrients, WWTP, Sludge, Leaching

As heavy metals are found in the influent flow
to the Montreal WWTP, the resulting ashes containheavy metals. Therefore disposing of the ash canhave harmful effects on the Montreal environment.
Also the useful resources of the nutrient content of
the sludge have been wasted up to now. An
alternative solution must be proposed for thisproblem to remedy the existing procedures. Insteadof disposing of the ashes in the landfill, it is possible
to use the sludge as a fertilizer in an agriculture field.
However, heavy metal removal is a necessity prior
to use as a fertilizer while the nutrient content must
be conserved.
High concentrations of pathogens andchemicals in the sludge can be harmful forenvironment and living organisms so that reducing
the dangerous contents to below acceptable levels
before returning the sludge contents to theenvironment or reuse is necessary. Common
methods for sludge treatment are aerobic or
anaerobic
digestion,
alkalinestabilization,
composting, and incineration [1]. Each method
produces different products.
Among the various treatment methods,
leaching was selected for evaluation. This method is
simple and does not require any expensive orcomplex facilities. The leaching method is usuallyeffective for heavy metals but nutrients can also be
removed. In this research an attempt is made toremove this disadvantage and convert the sludge ofMontreal WWTP to a fertilizer by a leaching method.
The general objective of this research was todevelop a method for conversion of the sludge to a

INTRODUCTION
Sludge is produced as the results of thewastewater treatment process, dewatered anddisposed of in landfills. Disposal of sludge has
many disadvantages but is utilized due to its
simplicity. However sustainability concerns,
resource depletion and increased sludge production
due to population growth, require better solutions tothis problem.
New cost effective methods for treating andrecycling of sludge must be employed to prevent
resources wastage and damaging the environment.
High concentrations of different nutrients andorganic materials enable use of sludge as a fertilizer
in agriculture fields. Chemical fertilizers can easilyleach through the soil where they are no longer
available for plant usage. This problem can besolved by humus in the soil which is stable organic
matter in the soil that can preserve nutrients forplants. Using sludge as a fertilizer can increaseorganic matter. In comparison to chemical fertilizers,
using sludge as fertilizer can add various nutrients tothe soil, and enhance soil fertility, while preserving
nutrients in the root area.
One of the largest wastewater treatment plant(WWTP) in the world is located in Montreal (Jean-R.
Marcotte). This WWTP produces a large volume ofsludge daily, sending their sludge to landfill for
disposal. To decrease the volume of sludge and tocontrol biological pollution, incineration facilities
were built at the plant and its bottom and fly ashes
are disposed of instead of the raw sludge.
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pH adjustment). The adjusted pH was 1, 2 or 3. One
gram of dewatered sludge was added to 50 ml
leachate in a 50 ml tube. The samples were shaken at
150 rpm. Different reaction times on the shaker on ahorizontal shaker were used for the various
experiments (1, 2 or 4 hours). At the end of theexperiment, the samples were centrifuged at 3000
RPM for 15 minutes. The leachate was thendecanted from the sludge and then analyzed. The
leaching experiments were performed in triplicate.
The final result was the average of these threeexperiments.

high quality fertilizer. The specific objectives wereto evaluate the effects of the proposed leachant on
the sludge, and determine the correlation between
pH and reaction time with treated sludge
concentrations of heavy metals and nutrients.
MATERIALS AND METHODS
Materials
Chemicals
Dipotassium phosphate, 70% (K2HPO4), nitricacid (70%, trace metal), hydrogen peroxide (30%):and hydrochloric acid (70%, trace metal)) werepurchased from Fisher Scientific Co.

Heavy Metal Analysis
All heavy metal analysis was done by ICP-MS(Agilent Technology 7700 X ICP-MS). All samples
were digested by the EPA 3050B method. For
digestion, 1 gram of dewatered sludge (cake) was
separated, 10 ml of 1:1 HNO3 and water were added,
and then heated to 95o C by a hot plate for 15 min.
After cooling the sample, 5 ml HNO3 were added
and heated for 2 hours. After cooling the sample, 2
ml of deionized (DI) water and 3 ml H2O2 wereadded. The solution was heated while adding 1 ml
H2O2 until the general appearance of sample isunchanged. The final step of the digestion was toheat the sample with a hotplate for two hours. Aftercooling and diluting with DI water 100 times, thesample was filtered with a 0.7 micrometer filter
paper. All the samples were diluted 500 times by 2%
HNO3 and 1% HCl. To obtain a final concentration
should be less than 200 ppb. The concentrations of
all analyzed samples were calculated based on thecalibration curve. In this case, five calibration
samples with 0.1, 1, 10, 100 and 300µg/L wereprepared.

Sludge samples
The samples were obtained from Montreal
Jean.R.Marcotte WWTP. After pumping the water,
the pre-treatment is started with screening units toremove large solids and continued with grit removal
to be sure that nothing can disturb the treatment
process. The main treatment unit in this WWTP is
primary treatment, a coagulant, ferric chloride oralum, is added before the screening units. Also an
additional flocculation aid, a long string polymer, isadded after grit chamber units. Coagulation andflocculation occur in the primary clarifiers. The total
solid in the primary sludge is around 3%. Thissludge is sent to be homogenized, conditioned anddewatered. Also there are mechanical traversing
bridges to remove the scum from the surface of thewater. The treated water is discharged to the regionalriver. There are four reservoirs after the primary
clarifier to help managing the sludge treatment.
Sludge is pumped from these reservoirs to ahomogenization unit. Polymer is added before
dewatering to increase efficiency of filter presses.
After producing cake, it is sent to incineration andthe ash is sent for disposal.
Samplings were done in August and November
2012 and February and May 2013. The samples
were obtained from the primary sludge after
dewatering and before sending the cake to theincinerator. Also the samples were kept in plastic
containers inside the refrigerator at 4 oC .

Nutrient Analysis
Persulfate digestion was used before nitrogen
analysis based on the Hach instructions It has beendeveloped for soil and fresh water [2]. The sample
and persulfate powder were added to the HR total
nitrogen hydroxide digestion vial and after 30
seconds of mixing it was heated to 105oC for 30
minutes by the Hach Digital Reactor Block 200.
Nitrogen concentrations in the samples were read by
the DR2800 product of Hach Company, a portable
spectrophotometer. The digested sample was cooled
before nitrogen analysis.
The nitrogen analysis was also followed basedon the Hach instructions. It included adding two
different powders (A and B) to the digested sample
and taking 2 ml from the produced solution for
mixing with a new solution called C. At the end
nitrogen analysis results were shown by the DR
2800 Hach device.

Experimental Methods
The experiments were divided into two parts,
one for determining initial concentrations ofelements, and the other one for leaching experiments
to determine final concentrations at different pHs
and reaction times.
Leaching solutions (pH 1, 2 and 3) wereprepared with 1 M di-potassium phosphate(K2HPO4) solution, deionized water and HNO3 (for288

SEE-Mie, Japan, Nov. 19-21, 2015

Analysis for all nutrients except for nitrogen
was done by ICP-MS. As the nutrient concentration
range was higher than the heavy metals, more
dilution was required with the same dilution solution.
A 50000 times dilution was used for calcium,magnesium and iron and 1000000 times dilution forpotassium and phosphorus.

Cu
Se
Cd

Average Removal (%)

The initial concentrations of heavy metals of
the untreated sludge were determined based on anaverage of 28 samples. Seven samples were taken
each three month period over seven consecutive
days. The samplings were done in February, May,
August and November. The average concentrations
were compared to the C1 and C2 levels according to
the Guide for Recycling of Residual Materials for
Fertilizers [3].
As it can be seen in Table 1, by comparison
between Quebec regulations and the average
concentrations in 2014, heavy metals can be divided
into two groups. The first group includes As, Cr, Ni,
Pb, Zn, Co, and Cu and Se can pass both regulations
without any treatment. The second group includes
Hg, Mo and Cd that can pass C2 so and thus the
prepared sludge is acceptable but improving thequality of sludge is needed to decrease theirconcentration to the C1 limit.
The concentrations of the various heavy metals
in historical data were provided by the WWTP and
therefore a comparison was made between thosevalues in 2007, 2011 and 2014. The concentrationof Cd increased from 9 in 2007 to 16.7 in 2011 andnow has decreased to 3.9. Therefore at one time it
could not even pass C2 guidelines. Cobalt levels
increased from 19 in 2007 to 72 mg/kg in 2011
where it could not pass the C1 level but now it can.
Selenium on the other hand has decreased from 2007
(9 mg/kg) to 8.1 mg/kg in 2011 to current levels.
Therefore it seems to be no longer problematic.
Copper has also decreased over the years (from 477
to 468 to 146 mg/kg in 2007, 2011 and 2014,
respectively).
Therefore Cd can be defined as the major
problem for use of the sludge as a fertilizer. As
currently copper and cobalt are below C1 levels,
they can be classified as non-problems currently. Se
is currently very close to C1 levels so it can beclassified as potential problematic. However all four
heavy metals were followed during the leaching tests

100
80
60
40
20
0

0

1

2

3

Time(h)
pH 1

pH 2

pH 3

C1

pH 1 (Acid Only)

pH 2 (Acid Only)

pH 3 (Acid Only)

Table 1 Comparison of metal sludge contents(mg/kg dry basis) to Quebec guidelines [3]
C1
64

1000
14
10

To decrease metal concentrations in the sludge,
leaching tests were performed to ensure theproduced sludge will reach an acceptable cadmium
removal for passing C1 Quebec regulations. In
addition a decrease in copper, cobalt and selenium
contents were desirable while preserving or
increasing the nutrient concentrations of the sludge.
pH and time were the two important factors
evaluated.
Figure 1 shows the average removal percentage
for cadmium at different pHs over a 4 hour time
period. Only a short time period is required as mostof the removal occurred in the first hour. Also there
is an indirect correlation between removal
percentage and pH as decreasing the pH increased
the removal percentage. Moreover the removal
percentage by this method for cadmium reached its
maximum removal percentage, around 80%, Also
the difference between using a salt and using onlyacid is shown in Fig. 1. The salt and acidcombination is much more effective than the salt
alone. The experiments also show that an acceptable
removal at pH 3 is possible to pass the C1 regulation
after four hours reaction at pH 1.
Similar trends were obtained for all three othermetals (graphs not shown). pH 1 with the salt gave
maximal results. Only copper showed a lesssignificant difference between the results at pH 1
and pH 3. Table 2 shows the final content for all
metals after leaching with the salt and pH 1. It canbe seen that substantial removal is obtained for all 4
metals.

Initial Content of Heavy Metals in Sludge

Concentration
15.7

400
2
3

Leaching Test Results for Heavy Metals

RESULTS AND DISCUSSION

Elements
Co

145.9
1.25
3.9

Fig. 1 Cadmium removal under various conditions

C2
150
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SEE-Mie, Japan, Nov. 19-21, 2015

Table 2 Heavy metal removal from sludge after
treatment (pH 1 & time of 4 h)
Heavy
Metal
Cd

Final content after
leaching (mg/kg)
0.8% Removal

Co

4.9

69.9

Cu

81.4

44.2

Se

0.02

98.4

content. However at pH 3, the maximum content
was reached at four hours.
pH 3Concentration(%)

20

In addition to removing harmful heavy metals
from the sludge, it is important to preserve or
increase the existing nutrients. As the mostimportant nutrients are nitrogen, phosphorus andpotassium, these were chosen for monitoring during
the treatment method. The selected acid and salt
were also chosen because three of these elements arepresent in their composition. The effect of thisleaching method on the concentration of six different
nutrients was this investigated.
From Table 3, it can be seen that there is alarge difference between primary macro nutrients in
the initial and final macro nutrient contents.
Potassium exchange is the main mechanism forheavy metal removal and the increase of potassiumin the final product.

Table 3 Comparison of primary macronutrients
before and after treatment

N
P
K

1.36
0.00
0.63

17.07

10

1.36
0

1

2

3

4

Time(h)Nutrient Content of the Sludge

Initial sludge
2014(mg/kg)

pH 1

30

79.5

0

Primary Macro
Nutrients

pH 2

Treated sludge(pH 1 & Time= 4 h)(mg/kg)
17.07
17.57
25.20

Figure 3 shows the effect of pH during theleaching test on the nitrogen content the method
increases the nitrogen concentration in the sludge.
The increae in nitrogen is due to the use of nitricacid for adjusting pH during the experiments. Also it
is seen that the initial amount of nitrogen is 1.36%
and the highest amount is reached at pH 1 and pH 2
which is more than 17%. Also at these pH, after one
hour there was no significant increase in the nitrogen

Fig. 3 Nitrogen contents after leaching at various
pH

Although phosphorus had the lowest
concentration of the nutrients, a significant
enhancement was obtained by this method. A 17%
concentration after 2 hours was achieved at pH 1 or
2. Therefore decreasing the pH to less than two was
not necessary. The same trends as for nitrogen wereobtained. A pH of 3 gave inferior results.
The increase of phosphorus during theexperiment is likely the result of producing salts
with low solubility salts such as magnesium
phosphate, calcium phosphate and sodium phosphate
Corresponding solubilities of these salts are 0.002,
0.02 and 121 g/L respectively [4].
Other nutrients including magnesium, calcium
and iron were also monitored. All three showed adecrease in contents. Magnesium showed thesmallest decrease. A pH of 3 showed the lowest
decrease (data not shown). Decreasing the pH to 1
further increased the leaching of magnesium. It takes
more time for higher pH solutions to reach the
maximum. For example it takes one hour when pH 1
and two hours when pH 2 and more than two hours
at pH 3. The maximum loss of magnesium is also
around 52% which occurs at pH 1 after four hours
reaction time.
Although calcium loss (78%) was moresignificant than magnesium, the same trends were
found. For pH 1, the maximum occurred at 1 hourfor pH 2 it was 2 hours (35%) and for pH 3, 4 hours.
Therefore decreasing the reaction time andFigure4-1: Remains
Phosphorus
Concentration
increasing
the pH canhelp to retain
more calciumininSludge after Leac
the produced sludge.
Maximum iron removal was 68% at pH 1 and 1
hour. Slightly less removal was achieved after 2hours at pH 2 (50%). At pH 3, 4 hours wasnecessary to achieve the same level of removal. It is
important to mention that iron is a micro nutrientand plants use this element in very low
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SEE-Mie, Japan, Nov. 19-21, 2015

concentration. Higher iron concentrations in the soil
can be toxic for plants although this limit isdependent on the type of plant.
Overall, the treated sludge with acid and salt is
lower in heavy metal contents with enhanced
nutrient contents. Optimization of the pH andleaching can lead to an optimized product.

micro nutrient with high concentration in sludge(iron) were studied.
The most frequent leachant for heavy metal
removal is usually acid or base alone. Here adissolved salt at low pH was proposed as theleachant. The main factor for removal was found tobe the salt instead of the acid or base as the main
mechanism is ion exchange not acid extraction.
The leaching experiment for the sludge was
performed with dipotassium phosphate (K2HPO4)
and nitric acid (HNO3) as leachant. The effect of pH
and reaction time on removal efficiency wasevaluated.
The maximal metal removal was at pH 1 with 4hours of leaching (93% selenium, 80% cadmium,
70% cobalt and 44% copper). Although copper did
not show any correlation with pH but all heavy
metals of them have direct correlation with reaction
time. Most of the removal occurred in the first hour.
In contrast to other reviewed papers which show
removal at very low pHs. An acceptable removal
could be achieved at pH 3 in this study. Therefore
this method is effective and fast for heavy metal
removal and safer for employees because of lessacid usage.
As all three primary macro nutrients (nitrogen,phosphorus and potassium) are involved in removal
process the concentrations of these three are higher
than expected after the experiments. Although there
is loss of the other nutrients during this method but
as they will be used in low concentration by plants,
still the results are acceptable.
Macroprimary nutrient concentration has direct
and indirect correlations with time and pH but there
is a maximum capacity for sludge which can bereached after 2 hours and with pH 2. Therefore
increasing the time or decreasing pH is not effective
after that point.
Non primary macro nutrient concentrations
decreased with this method. But it can be seen thatthey are highly dependent on pH. Leachate withhigher pH needs more time to decrease theconcentration. Also it shows that after four hours inany pHs there are approximately the same results
which means the maximum available amount ofthese elements in all pHs are equal but different
times were required to reach that point at different
pHs.

Table 4 Comparison of the other nutrients in theinitial and treated sludge
Nutrients

Initial sludge
(%)

Mg
Ca
Fe

0.23
0.23
1.58

Treated sludge(pH 1 & Time = 4
h
(%)
0.11
0.05
0.51

Mechanism of Leaching
The main mechanism in this method is using a
potassium leaching solution for removing heavy
metals from the sludge by ion exchange ofpotassium with the heavy metal ions into theleachate solution. Therefore the treated sludge has
potassium instead of heavy metals. The existence of
the ion exchange process between potassium andseveral heavy metals cations was studied and shownby Sparks [5] in soil previously and this researchshows a new application for that.
Potassium is an important nutrient for plant too
during the removal of heavy metals the fertility ofsludge is increased by adding potassium to it. On
other hand the quality of sludge is increased by two
ways at the same time, first by removal of harmful
heavy metals and second, by adding a useful nutrient.
CONCLUSIONSThe objective of the research was to develop analternative treatment for WWTP sludge to enable its
use as a fertilizer due to its nutrient. The produced
sludge needs to pass Quebec regulations forapproval for agricultural usage. The removal ofheavy metals with concentrations higher than the C1
regulation was required from the sludge in addition
to preservation of nutrient concentration was anadditional objective for high quality sludge.
Cadmium, copper, cobalt and selenium levels
were higher than the C1 regulation. Three of theseheavy metals passed the C2 regulations which areless strict than C1. As cadmium cannot pass the C2level, it is in the major problem group while theothers only cannot pass C1 so they are in the minor
problem group.
The primary macro nutrients (nitrogen,phosphorus and potassium) and two secondary
macro nutrients (magnesium and calcium) and one

ACKNOWLEDGEMENTS
The authors would like to acknowledge thefinancial support of Concordia University and theassistance of the employees at the WWTP during
sampling.

REFERENCES

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[1]
EPA, 2004. Primer for Municipal
Wastewater Treatment System. [Online]
Availableat:
http://water.epa.gov/aboutow/owm/upload/2005_08_19_primer.pdf [Accessed 04 03 2014].
[2]
Cabrera ML. & Beare MH“Alkaline persulfate oxidation for determining
total nitrogen in microbial biomass extracts”.
Soil Science Society, Vol. 57, 1993, pp. 10071012.
[3]
MINISTÈREDU
DÉVELOPPEMENTDURABLE,DE
L’ENVIRONNEMENT ET DES PARCS(MDDEP), Guide sur le recyclage des matères

résiduelles fertilisantes : Critères de référence etnormes réglementaires , Québec, ministère duDéveloppement durable, de l’Environnement etdes Parcs, 2012. ISBN 978-2-550-64355-5, 170p.
[4]
Zumdahl SS. & Zumdahl SA,
Chemistry. 6th ed. Boston: Houghton Mifflin,
2003.
[5]
Sparks, D. L, Kinetics of Soil
Chemical Processes. New York: Academic
Sparks, 1989.

292

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

ANALYZING THE STRUCTURE OF MONTMORILLONITE CAUSEDBY CALCINATION USING SYNCHROTRON X-RAY POWDERDIFFRACTION (SR-XRD) AND CHANGES IN ADSORPTION OF
CAFFEINE
Kenichiro Yamamoto1, Takashi Shiono1, Yasuto Matsui2 and Minoru Yoneda2
Research Laboratories for Beverage Technologies, Kirin Company, Limited, Japan; 2Department ofEnvironmental Engineering, Kyoto University Graduate School of Engineering, Japan

1

ABSTRACT
Montmorillonite is widely used as a natural adsorbent. It is generally considered that the adsorption
properties of montmorillonite are largely due to its characteristic layer structure. The structure ofmontmorillonite changes under different temperature conditions. In this study, changes in the structure ofmontmorillonite with temperature are analyzed using Synchrotron X-Ray Powder Diffraction (SR-XRD).
Observations are made on how montmorillonite with a modified structure is affected by the adsorption ofnonionic organic compounds in a water system. The object of this study is to elucidate the mechanism by whichmontmorillonite adsorbs nonionic organic compounds. It is confirmed that, without calcination treatment,
adsorption of caffeine on montmorillonite changes its layer structure. Calcination treatment at above 573 K
causes irreversible dehydration in the structure of montmorillonite. Samples of montmorillonite calcined at 673
K and 873 K show a reduction in the amount of caffeine adsorbed. In addition, calcination treatment ofmontmorillonite at 673 K and 873 K causes less intercalation into the layers. These results show that adsorptionof caffeine on montmorillonite without calcination treatment occurs with the intercalation of caffeine between
layers of montmorillonite. On the other hand, montmorillonite calcined at 873 K is confirmed to adsorb
approximately 20 % of caffeine compared to untreated montmorillonite. It suggested the possibility of theadsorption of caffeine even on the surfaces and end faces of layers of montmorillonite.
Keywords: Montmorillonite, Synchrotron X-Ray Powder Diffraction (SR-XRD), Calcination, Adsorption,
Caffeine,

causes each layer to take on a negative charge. To
cover for the negative charge, cations are retained
between the layers. In water, the adsorption of watermolecules between the layers causes the material toswell, and the interlayer distance varies [3], [4].
Montmorillonite that is swollen in water readily
exchanges cations that are present in the solution
with those ones retained between the layers [5]. For
this reason, the material is often used as a cationexchanger in a water system. On the one hand,nonionic organic compounds are thought to beadsorbed at different sites depending on factors suchas the polarity of the chemical compound [6], [7]. A
chemical compound that can get into the layers is
believed to be adsorbed by its intercalation between
the layers [8], [9]. Because of the very large surface
area between the layers, the adsorption capacity isextremely high. On the other hand, a chemicalcompound that cannot get into the layers is thought
to react with and be adsorbed on the surfaces andend faces of the layers [10].
In this study, montmorillonite is calcined toremove water molecules from its structure andchange the distance between layers. The structuralchange caused by calcination is determined and

INTRODUCTION
Montmorillonite is a clay mineral and is aprincipal component of bentonite, which is mined
naturally. This material is low cost and highly stable,
and has been used in a wide range of fields. Due tothe swelling property, plasticity, and adsorptionfunction of the material, it is used as a soil
amendment and a binder for agricultural chemicals
in the agricultural sector. In the civil engineering
field, it is used, for example, as a wall-building
agent and lubricity agent, and as a water
impermeable material for waste disposal. It also haspractical applications in various areas other thanagriculture and civil engineering, such as asolidification material for animal excrement [1].
Montmorillonite is a plate crystal with athickness of about 1 nm, and it consists oftetrahedral silicate and octahedral alumina [2].
Several plate crystals are stacked to form a layer
structure. The plate crystal has a three-layer
structure consisting of the central layer of Al(OH)6and both outer layers of Si4O6(OH)4. Partial
isomorphous substitution of Al by Mg and Fe takes
place in the central layer. Isomorphous substitution
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SEE-Mie, Japan, Nov. 19-21, 2015

analyzed with Synchrotron X-Ray Powder
Diffraction (SR-XRD). In addition, calcinedmontmorillonite is suspended in caffeine solutions toquantify variations in the adsorption of caffeine. To
examine the hypothesis that the layer structure ofmontmorillonite may play a key role in theadsorption of caffeine, changes caused bycalcination in the structure and the adsorption ofcaffeine are observed.

Qeq K Lamg  Qmax  C eq
1  K Lang  C eq

(1)

Table 1 HPLC-UV/Vis condition for analysis ofcaffeine.
ColumnMobile phase

MATERIALS AND METHODS
Calcination Treatment of Montmorillonite andAdsorption Test of Caffeine

Step gradient

Samplesofcommerciallyavailablemontmorillonite(fromMizusawa
Industrial
Chemicals, Ltd.) of 20 g each were placed in a heatresistant crucible and calcined at 373 K, 473 K, 573
K, 673 K, or 873 K for two hours. Then, the samples
of calcined montmorillonite were cooled at room
temperature for one hour.
Caffeine (from Wako Pure Chemical Industries,Ltd.) was dissolved in ultrapure water and theconcentration was adjusted to 400 mg/L to prepare acaffeine solution. Montmorillonite of 4.0 g wasadded to the caffeine solution of 400 mL and wassuspended. The montmorillonite kept in contact withthe caffeine solution for 60 minutes. The suspension
was centrifuged (3000 rpm, 10 minutes) and theprecipitated clay mineral was dried in an oven
(EYELA) at 378 K overnight. The dried clay
mineral was ground into a powder with a mortar toprepare a sample for analysis.
Adsorption of caffeine was tested using caffeine
solutions with concentrations adjusted from 10 to5000 mg/L. Montmorillonite of 4.0 g was added tothe caffeine solution of 400 mL and was suspended.
The montmorillonite kept in contact with thecaffeine solution for 60 minutes. The suspension
was centrifuged (3000 rpm, 10 minutes) to obtainthe supernatant solution. The supernatant solution
was filtered through a membrane filter (0.45 um,
PTFE). The concentration of caffeine in the filtrate
was measured using HPLC-UV/Vis. The
measurement conditions of HPLC are shown in
Table 1. Adsorption of caffeine per unit weight wascalculated.
Based on the results of the caffeine adsorption
test, Langmuir adsorption isotherm was obtained.
The concentration of caffeine in the filtrate was used
as an equilibrium concentration Qeq. Based on theconcentration of caffeine in a supernatant solution,
adsorption per weight of montmorillonite Ceq was
calculated. In addition, using the Langmuiradsorption isotherm equation as in Eq. (1), themaximum adsorption capacities (Qmax) and theequilibrium constants (KLang) were calculated.

Flow rate
Detector
Column temp.

Shodex Asahipak ODP-50 2D(2.0mmI.D. x 150mm)
A: 0.1% formic acid
B: 100%MeOH/Acetonitrile= 50/50
A/B = 0 to 10min : 90/10,
10 to 15min : 10/90,
after 10min : 90/10
1 mL/minUV (275nm)
40 ºC

Synchrotron X-Ray Powder Diffraction (SRXRD)
The
diffraction
patterns
ofcalcinedmontmorillonite were obtained using a large
synchrotron radiation facility (SPring-8 BL19B2,
Japan Synchrotron Radiation Research Institute:
JASRI). A large Debye-Scherrer camera (286.48
mm in diameter, Rigaku Corporation) was mounted
on the rear hatch and an imaging plate (0.01 °,BAS2500, FUJIFILM Corporation) was used for
detection. The X-ray source was derived from thesynchrotron radiation and a monochromatic X-ray
beam with a wavelength of about 1 Å is used. The
beam size was 0.3 (H) mm x 3 (W) mm. A
measurement samples were filled in a glass capillarywith a diameter of 0.3 mm. The exposure time formeasurement was 5 minutes for each sample.
Quantitative Analysis of Exchangeable Cation
Ammonium chloride (from Wako Pure Chemical
Industries, Ltd.) was dissolved in ultrapure waterand the concentration was adjusted to 1.0 mol/L to
prepare an ionic solution. Calcined montmorillonite
was added to the ionic solution to prepare a 1 wt%
solution, and then was suspended. The solution andmontmorillonite were kept in contact with each otherfor 60 minutes. The suspension was centrifuged(3000 rpm, 10 minutes) to obtain the supernatantsolution. The supernatant solution was filteredthrough a membrane filter (0.45 um, PTFE). The
filtrate was analyzed for Na, K, Ca, and Mg ions by
ICP-AES.
RESULTS AND DISCUSSIONThe SR-XRD patterns of montmorillonite after
calcination treatment are shown in Fig. 1. The
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samples of montmorillonite with calcination
treatment at 373 K and 473 K show no change in
diffraction peaks, which indicates their basal
distances. The change of basal distance indicates thechange of interlayer distance in the layer structure.
Samples of montmorillonite with calcination
treatment at 373 K and 473 K show no change ofinterlayer distance. These results suggest that, during
calcination, water such as adsorbed water andinterlayer water was partially removed. Then, watermolecules in the atmosphere rehydrated whencooled to normal temperature after calcination.
Rehydration during the cooling process is
considered to have led to the same interlayer
distance as that of the montmorillonite before
calcination. Montmorillonite with calcination
treatment at 573 K showed no diffraction peakindicating the basal distance. This result indicatesthat dehydration within the structure ofmontmorillonite with calcination treatment at 573 K
was to be an irreversible change. It is considered thatmontmorillonite calcined at 573 K was dehydrated
within the structure, and it is considered to be an
irreversible change. In other words, the structure ofmontmorillonite calcined at 573 K, after dehydration
during calcination, cannot return to the structure
before calcination. For montmorillonite samples
calcined at 673 K and 873 K, a diffraction peak,which had not been present with the montmorillonite
before calcination, was identified at about 6.1 º.
These results mean that calcination treatment at 673
K and 873 K appreciably changed the structure ofmontmorillonite compared to that before calcination.
Basal distances were calculated based on thediffraction peaks shown in Fig. 1 (Table 2). For Catype montmorillonite, three basal distances (twowater phases: 1.5 nm, one water phase: 1.17 nm, nowater phase: 1.03 nm) depending on water
absorption condition were reported [11]. Basal
distances of montmorillonite samples calcined at
373 K and 473 K were similar to the reported valuesof two water phases. This is because, after
calcination and subsequent cooling, montmorillonite
adsorbed atmospheric water molecules, which
rehydrated to the level of two water phases. In
addition, samples of montmorillonite calcined at 673
K and 873 K had basal distances approaching 1.03
nm. The calcination treatment at 673 K and 873 K
caused irreversible structural changes, which does
not allow rehydration and results in amontmorillonite structure with no water phase. For
montmorillonite calcined at 573 K, no diffraction
peak indicating a basal distance was identified.
There are several reports on the calcination ofmontmorillonite. First, for montmorillonite after
calcination treatment, water molecules that are not
involved in the montmorillonite structure, such as
adsorbed water and interlayer water, are removed. It
is reported that this dehydration is reversible, andFig. 1SR-XRD pattern of montmorillonite
calcined at (a) 373 K, (b) 473 K, (c) 573 K,(d) 673 K, and (e) 873 K.

Table 2 Basal distances with montmorillonite after
calcination treatment.

373 K
473 K
573 K
673 K
873 K

basal distance
(nm)
1.54
1.51
n.d.
0.94
0.95

rehydration takes place with calcined smectite when
it is cooled after calcination [12]. Besides, it isreported that montmorillonite calcined at a hightemperature above 773 K results in the removal ofwater molecules involved in the montmorillonite
structure, and dehydration due to calcination above
773 K is irreversible [13]. We observed anirreversible structural change caused by calcination
treatment above 573 K. Based on the results shownin Fig. 1, montmorillonite calcined below 473 K
showed rehydration when cooled after calcination
treatment, while montmorillonite calcined above 573
K showed no rehydration after being cooled.
295

SEE-Mie, Japan, Nov. 19-21, 2015

Fig. 2 and Table 3 show the cation exchange
capacity of calcined montmorillonite samples. The
cation exchange capacity (CEC) is calculated bysumming the products of the amounts of
exchangeable cations multiplied by the electriccharge for each ion. The amounts of Ca and Mg ions,which are exchangeable cations, decreased withmontmorillonite calcined above 573 K compared tothat calcined at 373 K. Ca ions decreased by 70 %with calcination at 573 K, 78 % at 673 K, and 84 %at 873 K compared to montmorillonite calcined at
373 K. Cation exchange is less likely to occur inmontmorillonite samples with calcination treatment
at 573 K, 673 K, and 873 K. This is because lessrehydration tends to occur with treatment. The
cation exchange with montmorillonite in a water
system occurs when cations such as Ca or Mg ion
retained between the layers of montmorillonite areexchanged with water molecules, or other cations
present in the solution [5]. Therefore, it isconsidered that montmorillonite samples calcined at
573 K, 673 K, and 873 K had no exchange of watermolecules for cations between the layers and did nottake in water molecules between the layers. This
result shows, based on Fig. 1, that rehydration within
the structure of calcined montmorillonite at 573 K,
673 K, and 873 K were prevented.

The SR-XRD patterns of montmorillonite after acaffeine adsorption test are shown in Fig. 3. The
region from about 2 to 10 ° where diffraction peaks,
indicating reflection corresponding to the basal
distance in the structure (basal reflection), ismagnified. Montmorillonite without adsorbed
caffeine was confirmed to have a diffraction peak at
3.69 ° indicating its basal distance. On the other
hand, a diffraction peak at 3.75 ° was identified with
its strength decreased to 85 % for montmorillonite
having adsorbed caffeine. According to the changeof diffraction peak, it is probable that caffeine
molecules are intercalated between the layers ofmontmorillonite.

Fig. 3Fig. 2

Fig. 4 shows the results when measuring theamount of adsorbed caffeine on montmorillonite
with calcination treatment. Fig. 4 plots test results
for the adsorption of caffeine on montmorillonite.
The horizontal axis shows the equilibrium
concentration (mmol/L) after adsorption equilibrium
is reached, and the vertical axis shows the amount ofadsorbed caffeine (mmol/g) at adsorption
equilibrium. The maximum adsorption capacities(Qmax) were also determined from the adsorption
isotherm equation (Eq. 2) based on the adsorption
test of caffeine. The maximum adsorption capacities
are shown in Fig. 5. The maximum adsorption
capacity was 0.51 mmol/g for the samples ofmontmorillonite calcined at 473 K and 573 K. It is
1.08 times higher than the adsorption capacity ofmontmorillonite calcined at 373 K. The maximum
adsorption capacity of montmorillonite calcined at
673 K was 0.33 mmol/g, and that of montmorillonite
calcined at 873 K was 0.09 mmol/g. These reduced
maximum adsorption capacities occur because theintercalation of caffeine between the layers ofmontmorillonite is less likely due to the structuralchanges in montmorillonite as shown in Fig. 1. It isconsidered that the montmorillonite samples

The amount of cations eluted frommontmorillonite after calcination treatment.

Table 3 Cationexchange
capacityofmontmorillonite after calcination treatment.
temperature ofcalcination treatment
(K)
373
473
573
673
873

The SR-XRD pattern of montmorillonite
after caffeine adsorption treatment.

cation exchange
capacity(meq/100 g)
54.9
45.6
25.4
17.7
7.8
296

SEE-Mie, Japan, Nov. 19-21, 2015

calcined at 673 K and 873 K had a reduced
adsorption capacity for caffeine because caffeine
molecules are no longer intercalated between thelayers. It is indicated that the adsorption of caffeineon the samples of montmorillonite calcined at 673 K
and 873 K were occurred on the surfaces and end
faces of adsorbent. In addition, according to theresults shown in Table 3 and Fig. 5, no correlation
was found between cation exchange capacity (CEC)and amount of adsorbed caffeine at all calcination
temperatures (R=0.54). Based on this result, it isprobable that the adsorption of caffeine onmontmorillonite does not involve electrostaticadsorption to which cation exchange capacity makes
a contribution.

CONCLUSION
The measurement results show the following:
Montmorillonite with calcination treatment
above 573 K shows irreversible dehydration inits structure. Two types of analysis—structure
analysis with SR-XRD and quantitativeevaluation of exchangeable cations—were
performed, and both support this conclusion.
2. Because the montmorillonite samples that had
been calcined at 673 K and 873 K indicated a
reduction in the amount of caffeine adsorbed,
adsorption of caffeine on montmorillonite
without a calcination treatment is shown to
involve intercalation between the layers ofmontmorillonite.
3. Montmorillonite calcined at 673 K and 873 K is
confirmed to adsorb caffeine. Therefore,
regarding the adsorption phenomenon ofcaffeine on montmorillonite, the possibility ofadsorption even on the surfaces and end faces oflayers of montmorillonite is suggested, as wellas intercalation into the layers.

1.

ACKNOWLEDGEMENTS

Fig. 4We are gratefully acknowledged to Mr. Shiota(Kyoto University), and Mr. Deuchi (Kirin Co.,
Ltd.) for their great deal of discussions andsuggestions. We would like to thank the many staffs
of the SPring-8. Technical assistance of JASRI stuff
working at BL19B2 is also acknowledged.

Adsorption isotherms of caffeine onmontmorillonite with calcination treatment.

REFERENCES

Fig. 5[1] Handbook of Clays and Clay Minerals, The
Clay Science Society of Japan, Japan (2009) p.
11-20[2] F. Bergaya, B.K.G. Theng, G. Lagaly ed.,Handbook of Clay Science, Elsevier Science,
Amsterdam (2006).
[3] I. Ravina and P. F. Low, Clays and Clay
Minerals (1977) 25, p. 201-204[4] J. W. Odom and P. F. Low, Clays and Clay
Minerals (1978) 26, p. 345-351[5] D. L. Sparks, Environmental Soil Chemistry(2nd ed.), Academic Press, Amsterdam (2003) p.
352[6] B.K.G. Theng, The Chemistry of Clay-Organic
Reactions, John Wiley & Sons, New York(1974)[7] T. Okada, J. Oguchi, K. Yamamoto, T. Shiono,
M. Fujita, and T. Iiyama, Langmuir (2015) 31(1), p. 180-187[8] G. Lagaly, Solid State Ionics (1986) 22, p. 4351
[9] G. W. Brindley, Clay Minerals (1965) 5, p. 91

Maximum adsorption capacity determinedfrom the adsorption isotherm.

In the future, the effects of water molecules on
structural changes of montmorillonite during
calcination treatment need to be observed. The
structure of montmorillonite in water and in a wet
state should be analyzed accurately, and thereversibility/irreversibility of its dehydration andrehydration should be observed and quantified.
297

SEE-Mie, Japan, Nov. 19-21, 2015

Identification (G. W. Brindley and G. Brown,eds), Mineralogical Soc., London (1980) p. 249303[13] M. Kawano and K. Tomita, Clays and Clay
Minerals (1991) 39, p. 174-183[10] T. Okada, M. Ogawa, Bull. Chem. Soc. Jpn.
(2004) 77, p. 1165-1170[11] H. J. Bray, S. A. T. Redfern, and S. M. Clark,
Mineralogical Magazine (1998) 62, p. 647-656[12] D. M. C. MacEwan and M. J. Wilson, Crystal
Structures of Clay Minerals and their X-ray298

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

EVALUATION OF THE LONG-TERM POLLUTION REMOVALPERFORMANCE OF ESTABLISHED BIORETENTION CELLS
Terry Lucke1 and Peter Nichols1
Stormwater Research Group, University of the Sunshine Coast, Queensland, Australia

1

ABSTRACTOver the last two decades bioretention (biofiltration) systems have been commonly constructed in urban
areas to manage stormwater runoff by moderating peak flows and reducing downstream pollution loads.
Bioretention systems are generally soil-plant based systems which typically include a filter medium above adrainage layer. They are often either lined with a geofabric to support infiltration, or with an impermeable
membrane to prevent infiltration and/or to allow stormwater harvesting and reuse. Bioretention systems are
known to treat a range of stormwater pollutants through physical, chemical and biological processes such asmechanical filtering, sedimentation, adsorption, and plant and microbial uptake. However, the long-term
pollution removal performance, particularly of heavy metals, remains largely unknown. It is generally acceptedthat the filter media used in bioretention systems has a finite life span, after which time it should be replaced.
However, there is only very limited information available on when this should occur, or how to assess this. It isalso recognised that contaminated filter media may require regulated disposal. This study presents results from aseries of controlled field experiments conducted over two years which evaluated the pollution removal
performance of a series of 10 year old bioretention systems located in an industrial estate in Australia.
Keywords: Stormwater Pollution, Bioretention Systems, Heavy Metals, Filter Media

biological processes. These include sedimentation,
filtration, adsorption, and plant and microbial uptake[8]. Despite a number of previous studies on theperformance of bioretention systems, themechanisms through which pollutants are removed
or treated are yet to be fully understood [8]. There
have also been few studies on the long-term
performance of bioretention systems regarding
heavy metals [11].
Clogging of bioretention systems over time anddepth and sizing of the filter media [11] have been
seen as the cause of heavy metal accumulation or
breakthrough [6], [12]. Heavy metal breakthroughmay occur even faster in sub-tropical locations (suchas Brisbane) that experience higher rainfall
intensities. It has also been suggested that if the filter
media
needs
replacement
duringregularmaintenance of these systems, it may need to beclassified as contaminated waste due to the build-up
of pollutants over time and necessitating special
disposal procedures [11].
Laboratory scale studies have been the
predominant form of analysis of many previous
studies investigating the performance of bioretention
systems [6] - [8], [11], [12]. Field-based studies havereported varied results, particularly regarding
soluble forms of nitrogen and phosphorous, andareas subject to high contaminant loading such asfuel stations or waste recycling sites [1].
This paper presents the pollution removal
performance results of a series of field-based

INTRODUCTION
The increase of impervious surfaces that comeswith urban development has caused both the volumeof stormwater runoff, and the amount of pollution
flowing downstream to rise, often causing
environmental harm [1], [2]. Consequently,
stormwater management in urban areas has becomea priority for those responsible for planning andconstruction of new developments, and maintenanceof existing stormwater infrastructure [3].
Bioretention (biofiltration) systems have beenused widely over the past 20 years to manage
stormwater in urban areas, they reducing peak flows
and downstream pollution loads [4] – [6]. The
flexibility in their design helps with easy retrofitting
into existing urban areas [7] raising their popularity.
They also contribute to a range of other benefits
beyond stormwater quality and quality functions,
including aesthetic and social benefits [8], [9]. Smallbioretention systems are often incorporated into
existing roadways in place of a traditional grassstreet verge [3].
Bioretention systems are generally soil-plant
based systems that typically consist of a filter
medium (usually sandy), underlain by a gravel
drainage layer [1], [8]. Bioretention systems may belined with geofabric to allow infiltration, or include
an impermeable liner to assist in stormwater capture
and reuse [10]. Bioretention systems treat
stormwater via a range of chemical, physical, and299

SEE-Mie, Japan, Nov. 19-21, 2015

experiments undertaken on five, 10-year old streetside bioretention systems. The bioretention basins,
located on the Sunshine Coast in Australia, were
subjected to a series of simulated rainfall eventsusing synthetic stormwater. Four different synthetic
stormwater pollutant concentrations were used in the
study. Tests were undertaken to determine the levelsof contaminant and heavy metals build-up that
occurred in the filter media over the 10 year
operational life of the bioretention systems.

A purpose built metal spout was attached to the wallof the pit to collect outflows and direct them throughthe measurement equipment installed in the pits.

METHODOLOGY

Fig. 2

Plans of the bioretention basins evaluated in
the study.

Fig. 3

Section “B” view of bioretention system.

Site Description
The bioretention systems evaluated in this study
were installed in 2005 to treat stormwater roadrunoff from a mixed commercial and industrial
catchment of approximately 0.6 ha in area. There are
five individual bioretention basins located directly
adjacent to the roadway, which runs centrally
through the catchment (Figure 1). The bioretention
basins were designed to have an operational
hydraulic conductivity of 180 mm/h and achieve therecommended regulatory pollution reduction
objectives of 80% of Total Suspended Solids (TSS),
60% of Total Phosphorous (TP), and 45% of Total
Nitrogen (TN) [13] (ANZECC, 2000).

Fig. 1

Sampling Equipment and Testing
Owing to the different existing pit locations, it
was only possible to effectively evaluate three of thefive bioretention basins. The three identically-sizedbasins were fitted with flow monitoring and water
sampling equipment including 50 mm diameter flow
meters (Octave Ultrasonic Water Meter DN50) tomeasure flowrates. An ISCO GLS auto-sampler wasused to collect outflow samples in each pit.
Sampling equipment also included a Datataker(DT80) datalogger, battery pack and battery charger.
In order to reduce the potential variability anddifficulty in monitoring pollution removal
performance during natural rainfall events,
simulated rainfall runoff techniques were used inthis study. Using a purpose-built stormwater
simulation test rig (Figure 4), each bioretention
basin was subjected to the equivalent runoff inflow
rate that would be generated from a 54.8 m2
roadway catchment emanating from a 30 minuteduration, two year average recurrence interval (ARI)
rainfall intensity event (Figure 5) at the test location
based on procedures outlined in Australian Rainfall
and Runoff [14]. Two 1,000 litre tanks withadjustable outlet control were used to simulate theinflow volumes (total inflow volume = 2,000 L). In
order to replicate typical stormwater pollution loads
found in urban runoff, the synthetic stormwater wasdosed with contaminants using a similar
methodology to that used by [15] and [16].

One of the bioretention basins evaluated in
the study.

Figures 2 and 3 show the design and constructionplans of the bioretention basins. The design
comprised an impermeable plastic liner, a 200 mm
gravel drainage layer base surrounding a 100 mm
diameter, perforated drainage pipe. A 100 mm thicksand transition layer was laid above the gravel baseand a 900 mm sandy-loam filter media was included
above the sand (Figure 3). An indigenous plant
species Lomandra longifolia (Matt Rush) was
planted into the filter media at a typical spacing of
one plant per square metre. Outflow pipes from thebioretention systems were diverted through thenearest downstream drainage gulley within thestandard underground stormwater drainage system.
300

SEE-Mie, Japan, Nov. 19-21, 2015

Table 2 Particle size distribution (PSD) of Sibelco
60G synthetic sediment used during testingFig. 4

Fig. 5

Particle
size (µm)
<250
<150
<106
<75
<45
<20
<10
<2
<1

Stormwater supply rig used to simulate test
inflow rates used in the study% finer
99
94.1
86.2
65
60
33.7
19.1
5.9
5.1

Concentration Reduction Efficiency (CRE) was
calculated for each simulated event as the percentage
reduction in concentration with respect to inflow
concentration for each pollutant (TSS, TN, and TP).
Average CRE was calculated as shown in Eq. (1)below. Total pollutant loads and Event Mean
Concentrations (EMCs) were determined for eachtest flow event, and efficiency ratios (ER) calculatedusing Eq. (2).

Rainfall intensities and equivalent test
inflow rates used in the study to simulate
the roadway runoff volumes from a twoyear, 30 minute storm event.

Avg.CRE =Four different pollution concentrations were
tested on each of the three bioretention basins (Table1). The four concentrations tested were: A) no
pollution; B) typical Australian urban pollutant loads(TSS 150 mg/L; N 2.6 mg/L, and; P 0.35 mg/L) [17]- [19]; C) double the typical pollution loads, and; D)five times the typical pollution loads. The higher
pollution loads were included to help identify any
trends that may otherwise be difficult to measure.
Silica sediment (Sibelco 60G, Table 2), phosphorus(KH2PO4) and nitrogen (KNO3) was added to2,000L of municipal water to produce the simulated
pollutant concentrations [20], [21].

ER = (EMC inf low − EMCoutlfow )

EMC inf lownumberofevents∑ 

EMC inf low − EMCoutflow
EMC inf low

(1)

(2)

Soil Testing
The study site land use was classified ascommercial/industrial, and subject to high traffic
volumes over the last decade. It was therefore
anticipated that the bioretention filter media would
contain significant heavy metal and hydrocarbon
pollution loads. In order to evaluate the pollution
build-up in the filter media, soil core samples of
500 mm depth were taken at three different locations
in all five bioretention basins (Figure 6). Each of thecore samples was separated into three distinctive
sub-sample depths (0 – 50 mm, 50 – 100 mm and
100 – 500 mm) and these were sent to a soil testinglaboratory for pollutant analysis. The sub-samples
were analysed to determine their concentrationlevels across the entire range of measurable heavy
metal and hydrocarbon pollutants.

Table 1 Pollution concentrations used in study (A Nil pollution; B - typical Australianpollutant loads; C – 2 X typical loads; D – 5
X typical loads).
Test
TSS
TP
TN
StormwaterA0002,000 L14.4 g2,000 LB
300 g 8.79 g
17.6
g
C
600 g
28.8 g2,000 L
D
1,500 g 44.0 g
72.2 g2,000 L
Note: Synthetic additives include: TSS- 60G Silica;
TP- KH2PO4; TN- KNO3

301

SEE-Mie, Japan, Nov. 19-21, 2015

RESULTS
Nutrient Pollution Removal Performance
Pollution removal performance as measured byevent mean concentrations (EMC) for the three
regulated pollutants varied significantly between
inflow and outflow for TSS (p<0.03*) and TP(p<0.01*) but not for TN (p<0.18) across pollution
dosage concentration treatments (Table 4).
Fig. 6

Soil core sampling

Table 4 Student t-test results of bioretention basin
nutrient pollution removal performanceacross basins

Sub-sample pollutant concentrations werecompared with health investigation levels (HIL) for
soil contaminants contained within the AustralianGovernment regulation National Environment
Protection Measure [22]. Levels specified under
Recreational Land Classification (C) were applicableas the basins were located on public open space as
defined by this legislation, and exceedances havebeen noted.
Sample collection and testing was undertaken inaccordance with test methods specified in Standard
Methods for the Examination of water andWastewater (APHA, 2005) [23]. Sample collection,
storage and transport complied with AS/NZS
5667.1:1998 [24]. Heavy metals and hydrocarbons
were extracted using standards methods (Table 3).
The results presented in this study focused on thefour main heavy metals recognised as being
particularly harmful to aquatic ecosystems, namely:
chromium (Cr), lead (Pb), copper (Cu), and zinc(Zn) [25].

Pollution
concentrationdose
TSS (p)Nil<0.05*
Single<0.72
Double<0.03*
X5<0.001*
Note: * significant

Percentage Moisture

TP (p)
0.43<0.17<0.001*<0.05*

Bioretention basin pollution removal results for
Tests A-C were highly variable (Figure 7). Tests D,with five times the standard pollution concentrations,were the only tests that demonstrated significant
pollution reduction performance by the bioretention
basins for all three pollutants (Figure 7). During test
A (Nil concentrations) results showed that the basins
exported both TSS and TN, while TP was found toshow a modest pollution removal performance(26.8%). This was not anticipated and may havebeen due to possible equipment contamination fromprevious tests. Although every effort was made towash remnant contaminants from the supply tanks
between tests, we found it practically impossible toachieve in the field. Therefore, it was accepted thatsome of the inflow samples may have contained
trace amounts of pollutants from previous tests. The
measured trace contaminant concentrations however,were found to be very small for all pollutants
measured. Similar issues have been found inprevious studies involving synthetic stormwater(particularly involving sediment), where delivery of
the polluted water is difficult during testing [11].

Table 3 Test descriptions and methods used duringlaboratory analysis of soil
Test
Total Recoverable
Hydrocarbons (1999
NEPM Fractions)
Total Recoverable
Hydrocarbons - 2013
NEPM Fractions
BTEX (Benzene,
Toluene, and Xylenes)
Polycyclic Aromatic
Hydrocarbons
MetalsTN (p)
<0.11
<0.75
<0.73
<0.01*

MethodTRH C6-C36 - LTMORG-2010
TRH C6-C40 - LTMORG-2010
TRH C6-C40 - LTMORG-2010
USEPA 8270 PAHUSEPA 6010/6020
Heavy Metals &USEPA 7470/71
Mercury
LTM-GEN-7080
Moisture302

SEE-Mie, Japan, Nov. 19-21, 2015

context, the highest risk to human health from BaPs
is through inhalation of contaminated air, and foodconsumption. Although, soil and drinking water canbe sources of BaPs during normal daily activities[27]. The risks to human health from PaHs contained
within the bioretention basin soil are very low. The
risk may be higher during activities that involve soil
disturbance, including maintenance (weeding etc.),
or soil filter media replacement.

150
100
50

% CRE

0
-50
-100

TSS

TN

TP

-150
-200
-250
-300
A

B

C

D

Nil Dose

Single Dose

Double Dosex 5 Dose

DISCUSSION AND CONCLUSION

Pollutant Dosage Concentration

Fig. 7

Although highly variable between basins and tests,
as the pollution concentrations of the simulated
stormwater tests were increased, the ER
performance of the bioretention basins was also
found to increase. Basins were also found to export
pollutants during tests where no pollutants wereadded to the simulated inflow water. Depending on
the precise filter media used in the basin design,bioretention basins have previously been known tobe occasional exporters of pollution, particularly
particulate-bound phosphorous [18]. This study
found that bioretention basins reduced TP loads inall tests, although the removal performance wasfound to be most effective during the higher
pollution concentration tests, C and D.
Because the land was commercial/industrial, andsubjected to large numbers of daily vehicle and truck
movements over the last ten years, it was anticipatedthat the bioretention filter media would containsignificant hydrocarbon and heavy metal pollution
loads [12], [28]. However, results from soil coresamples in this study found only minimal quantitiesof these pollutants in the filter media. This was not
anticipated. One possible explanation may be thathydrocarbons and heavy metals were not capturedby the bioretention basins during high intensity
rainfall events (high flow bypass), and diverted
directly to the conventional piped network. Although
the basins were originally designed with a hydraulicconductivity of 180 mm/h, this may have reduced
over time due to clogging leading to regular bypass
conditions in the basins. If so, a higher level ofmaintenance may be required to ensure effectivehydrologic design performance over the longer term
to maintain effective overall pollution removal
performance. Further research would be required toconfirm this.
Another possible reason for the absence ofaccumulated pollutants in the filter media may bethat pollutants trapped during one storm event arethen washed through the filter media during
subsequent rainfall events. This has been reported asa possible explanation during previous studies [18].
The study results clearly demonstrated that

Bioretention pollution removal performance(CRE).

Heavy Metal and Hydrocarbon Pollution
Removal Performance
Heavy metal and polycyclic aromatic hydrocarbon(PAH) pollution concentration levels in the soil coresamples were found to be within acceptable limits
for all pollutants analysed. Heavy metal pollution
levels were found to be highest in the upper
0-50 mm soil layers of the basins. Although trace
amounts of several heavy metals (most prominently
Mn and Zn) were found in most of the basins, allheavy metal levels found in the soil were either
below detectable limits, or within acceptable limits
based on legislated health-based investigation levels(Table 5).

Table 5 Comparison of Bioretention Basin PAH soil
content with typical global levels
Location

TypicalConcentration
Range (mg/kg)
0.01-0.1
0.05-0.1

Description

Ref.

Rural soil
Forest soil

[26]
[26]

0.6-3.0

Urban soil

[26]

Worldwide
14.6-99.6
Europe2.02

Australia

1.2-4.8

UK roadsidesoil
UK urbansoil
Bioretention
basins

[26]
[27]
This
study

While remaining within acceptable limits in four ofthe bioretention basins, the carcinogenic BaP(Benzo(a)pyrene) was found to be higher(4.8 mg/kg) in the upper layer (0-50 mm) of the fifthbasin. However, these BaP levels are comparablewith similar urban and roadside locations throughout
the world (Table 5). To place the relative risk into
303

SEE-Mie, Japan, Nov. 19-21, 2015

pollutants were exported during pollutant-free tests(A) and this may add support to this hypothesis.
Further work is required to examine this in moredetail.
Analysis of the filter media used in thebioretention systems found that all pollutants were
either below detectable limits, or within acceptable
limits based on legislated health-based investigationlevels after 10 years in operation. The filter media
was not be classified as contaminated and would not
require special disposal at this stage.
The results show the large degree of variability inthe performance of individual bioretention basins.
The authors suggest this variability may be due to anumber of reasons, including the slightly different
construction techniques used for each basin, and thevariability of pollution loads and stormwater inflow
volumes experienced between basins due to different
environmental conditions.
While this study has added to the existingknowledge about the long-term pollution removal
and stormwater reduction performance of street-sidebioretention basins, more work is required in orderto fully understand the potential stormwater
management benefits of these systems.

403-408.
DOI:10.1061/(ASCE)07339372(2008)134:5(403)[6] Le Coustumer, S., Fletcher, T.D., Deletic, A.,
Barraud, S., & Poelsma, P. “The influence ofdesign parameters on clogging of stormwater
biofilters: a large-scale column study.” Water
Research, 2012, 46(20): 6743-6752.
[7] Bratieres, K., Fletcher, T.D., Deletic, A., &Zinger, Y. “Nutrient and sediment removal bystormwater biofilters: A large-scale design
optimisation study.” Water Research. 2008, 42,3930-3940. DOI: 10.1016/j.watres.2008.06.009[8] Deletic, A., McCarthy, D., Chandresena, G., Li,
Y., Hatt, B., Payne, E., Zhang, K., Henry, R.,
Kolotelo, P., Randjelovic, A., Meng, Z.,
Glaister, B., Pham, P., & Ellerton, J. “Biofilters
and wetlands for stormwater treatment andharvesting”. Melbourne: Cooperative ResearchCentre for Water Sensitive Cities, Monash
University, October, 2014, pp. 67.
[9] Mullaney, J., Lucke, T., & Trueman, S.J. “A
review of benefits and challenges in growing
street trees in paved urban environments.”
Landscape and Urban Planning, 2015, 134: 157166.
[10] FAWB “Adoption Guidelines for Stormwater
Bioretention Systems. Faculty for Advancing
Water Biofiltration.” Monash University. June
2009.
[11] Hatt, B.E., Steinel, A., Deletic, A., & Fletcher,
T.D. “Retention of heavy metals by stormwater
filtration systems: Breakthrough analysis. Water
Science & Technology, 2011, 64: 1913-1919.
[12] Hatt, B.E., Fletcher, T.D., & Deletic, A.
“Pollutant removal performance of field-scale
stormwater bioretention systems. Water Science& Technology, 2009, 59(8): 1567-1576. DOI:
10.2166/wst.2009.173[13] ANZECC and ARMCANZ “Australian and
New Zealand guidelines for fresh and marine
waters. National Water Quality Management
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[14] Pilgrim, D.H., (Ed). “Australian Rainfall &Runoff – A Guide to Flood Estimation”,
Institution of Engineers, Australia, Barton, ACT,
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[15] Lloyd, S.D. “Water Sensitive Urban Design in
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ACKNOWLEDGEMENTS
The project was jointly funded by the
Sunshine Coast Council, the University of theSunshine Coast and the Australian Research Council(Linkage Project Grant-LP120200678). The authors
would like to thank Liam Owen, Tim Stabler andMatthew Johnson, and the technical staff and the
University of the Sunshine Coast for their assistanceduring the study.
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Practices: A Review of Current 17 Research andRecommendations for Future Directions.”
Water Air Soil Pollution, 2007, 186: 351-363.
[2] Lucke, T., & Beecham, S. “Field investigationof clogging in a permeable pavement system.” J.
Build. Res. Inf. 2011, 39(6): 603–615.
[3] Nichols, P.W.B., White, R., & Lucke, T. “Do
sediment type and test durations affect results oflaboratory-based, accelerated testing studies ofpermeable pavement clogging?” Sci.Tot.Env.
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[4] Davis, A. “Field Performance of Bioretention:
Hydrology Impacts.” Journal of Hydrologic
Engineering 2008, 13(2), 90-95. DOI:
10.1061/(ASCE)1084-0699(2008)13:2(90)[5] Hunt, W., Smith, J., Jadlocki, S., Hathaway, J.,& Eubanks, P. “Pollutant Removal and Peak
Flow Mitigation by a Bioretention Cell in Urban
Charlotte, N.C.” J. of Env. Eng. 2008, 134(5):304SEE-Mie, Japan, Nov. 19-21, 2015

Hydrology 2006, 317(3): 261-275.
[17] Duncan, H. “Urban stormwater quality: astatistical overview” Clayton Victoria: CRC for
Catchment Hydrology, 1999.
[18] Hatt, B.E., Fletcher, T.D., Deletic, A.
“Hydraulic and pollutant removal performanceof stormwater filters under variable wetting anddrying regimes.” Water Science & Technology,
2007, 56(12): 11-19.
[19] Liu, J., Sample, D., Bell, C., & Guan, Y.
“Review and Research Needs of Bioretention
Used for the Treatment of Urban Stormwater.”
Water, 2014, 6(4): 1069-1099.
[20] Ansaf, K.M.M., Lucke, T., & Boogaard, F.
“Preliminary investigation into the pollution
reduction performance of swales used in astormwater treatment train. Water Sci. & Tech.,2014, 69 (5): 1014-1020.
[21] Lucke, T., Mohamed, M.A.K., Tindale, N.
“Pollutant Removal and Hydraulic Reduction
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[22] AustralianGovernment“National
Environmental Protection (Assessment of Site
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First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

THE DETERMINATION OF IRRIGATION WATER STORAGE
FOR CORN IN THE DRY SEASONS IN CHAU PHU DISTRICT,AN GIANG PROVINCE, VIETNAM
N.V. Tuyen1, P.V.Toan1, N.H.Chiem1, L.A.Tuan2, V.P.D.Tri1
College of Environment and Natural Resources, Can Tho University, Viet Nam; 2Delta Research and Global
Observation Network (DRAGON) Institute, Can Tho University

1

ABSTRACT

Drought is one of considerable issues for agriculture cultivation in the Vietnamese Mekong Delta during theannual dry seasons. Aiming to ensure water requirement for corn cultivation, a study on water storage during
annual flooding seasons for irrigation in semi-dyke area the dry season was carried out in Chau Phu District, An
Giang Province, Viet Nam. In this study, field experiments were conducted to: (1) determine designed
parameters of water storage pond by a water balance model and the AquaCrop model; (2) propose a suitablemodel for storing irrigation water to Spring-Winter corn cropping. Results showed that with the 0.24 m3 per day
average precipitation, 1.87 m3 per day surface water evaporation, 4.12 m3 per day seepage from pond, water
demand for corn was 8.30 m3 per day. Simulated AquaCrop model has gained 5.10 ton per hectare on corn yieldas similar to the actual yield.
Keywords: Water Storage in Pond, Water Balance Equation, AquaCrop Model, Irrigation Demand.
cultivation 12. In Viet Nam, there were difference
studies about water-storage to supply water fordifferent purposes such as: agriculture, industry andothers, but almost of the studies based on naturalland feature such as lakes, swamps and forests tostore water 10.

INTRODUCTION

In the upstream provinces of Vietnamese
Mekong Delta (VMD), natural land is deeply
submerged in the flood season, but the land becomesdry and local residents suffer water shortage during
the dry season 5. The hydropower dam contructionin the upstream countries having affected to water
regime of the Mekong River downstream countries
7. Laos and Cambodia are seeking to increase the
31.000 km2 irrigated area for crop production 4that may lead to reduce water supply in the dry
season result negative impacts to agriculture
production of the VMD 11. Many countries haveplans on water storage to remain cultivation andadapt to water shortage which are affected by thedecreasing of water flow from upstream and thesaline intrusion in the coastal of the delta in term oftime and space 6. In Cambodia, farmers live in theback swamps around the Tonle Sap. These farmers
retained floodwater in bunded areas and then used it
to supply paddies cultivated on the swamps
during the dry season 3. In the Northest ofRajasthan in India, approximately 10.000
constructions were built to store ground water for
irrigation of 14.000 ha gains and vegetables 8. In
the semi-arid regions in Africa, a reservoir system
was built to harvest rainwater to supply water forCorn is the third important plant in the world
after wheat and rice. All parts of corn plants
including seed, the stems and leaves can be used asfood for human, livestock or for producing ethanol,
source of materials for biofuel processing 13. In
agricultural production in the study area (Chau Phu
district, An Giang province, Viet Nam), corn is thesecond cereal product after rice 1, contributing
partly to people's livelihoods and food security. In
this study, corn was selected to determine thevolume of water storage in pond and on-farm in dry
season.
MATAERIALS AND METHODS
The study was implemented at a semi-dyke
protected field in the Vinh Thanh Trung Commune,
Chau Phu Distrist, An Giang Province (Fig.1) during
the period of January, 2012 to December, 2014.

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SEE-Mie, Japan, Nov. 19-21, 2015

Fig. 1 Location map of the study site
selected for research. Life-cycle of the crop was 90 –95 days and the planting density was 9 plants per m2.
The designed size of the pond was 2m x 20m x 50m(depth x width x length).

The total of study area was 0.4 hectare, where
the water pond area was 0.1 hectare, over 0.3 hectareof remainning area was used for corn cultivation aspresented in Fig.2. Corn variety of NK7328 wasFig. 2 Diagram for setting up experiement
deducting the amount of evaporation (E) andpercolation (P). These are shown on the Fig. 3.

Application of Water Balance Model in Pond

Water balance equation for the system asfollows:
Eq. (1)
H = H1 + H2 (m)O = H1.A1=E.A1+Ir.A + P.A2 - R.A1 (m3) Eq. (2)Where:- O: Overflowing water, m3.
- H: height of water column in the pond after theflood measured by data-logger, m.
- H1: height of storage water column for
irrigation, m- H2: height of remaining water in the pond after
crop, m- A: corn cultivation area, m2- A1: pond surface area, m2- A2: area of bottom and surrounding pond, m2

Fig. 3 Survey diagram for water balance
The altitude of the pond edge built was at thealtitude of the semi-dyke so that the pond could
stored water from run-off due to flooding and rain
(R). Water in the pond was determined by the waterbalance equation to irrigate (Ir) corn per day after
307

SEE-Mie, Japan, Nov. 19-21, 2015(P) was 4.12 m3 per day. The average irrigation (Ir)volume was 8.30 m3 per day (Fig. 4).

- R: rainfall measured by automatic rain gauge,m- E: evaporation directly measured by A
evaporation pan, m- Ir: water irrigation measured through the flow
meter, m- P: percolation caculated from Eq. (3):Simulation of Water Storage Ablity for Corn
Weather data

P.A2 = H1.A1 + R.A1 - Ir.A - E.A1 (m3) Eq. (3)Weather data at study area during the study
period (from 1st January, 2013 to 31st March, 2013)
are shown in Fig. 5, including highest and lowest air
temperature Tmax (○C), Tmin (○C), reference
evapotranspiration (ETO) and rainfall (R).

- W = H1.A1 (m3): volume of water for irrigation.

The Aquacrop Model

The inputs of the model included soil data(texture, wilting point, field capacity, saturated
moisture, permeability coefficient) was collected
and analyzed from Laboratory of Soil Science
Department, Can Tho University, Viet Nam. Climate
data consisting of air temperature, precipitation,
evaporation were collected by equipments locatednear pond. Other climate data such as wind speed,
sunshine hours, the concentration of CO2 werecollected at The Hydro-Meteorological station in
Chau Doc (20km far from the study site), the biophysiscal characteristics plant data consisting of
canopy cover, depth of roots, yield, crop production
schedule were directly collected in the field. The
output consisted of water demand and yield
generated by AquaCrop software version 3.1+. The
model was operated at a daily time step.

Fig. 5 Air temerature, rainfall and reference
evaportranspiration (ETo)Air temperature at the study area ranged from
20.6○C to 36.6○C. The average sunshine hours was
2,279 hours per year. The average wind speed waswith 4.9 ± 1.42 m/s. The average humidity was
76.1% 1. Fig. 6 shows the parameters of humidity,
sunshine hours and wind speed.

RESULTS AND DISCUSSIONS
Design Parameters of a Water Storage Pond

Fig. 6 Average humidity, wind speed and sunshine
hours
Fig. 4 Variation of evaporation, irrigation, rainfall
and percolation during the experiments

Soil data at study site

Corn was cultivated in dry season, so rainfall
was recorded as little as 15.6 mm per day at the endof crop. The average evaporation (E) from pond was
1.87 m3 per day. The average value of percolation

The soil at the study site was characterized withheavy clay, low organic matter, good water retention
and slow saturation. Its physical characteristics areshown in Table 1.
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SEE-Mie, Japan, Nov. 19-21, 2015

showed in Table 2 were combined for calibration sothat there was a similar yield between reality andsimulated results. The parameters were calibrated
based on the reference value range for corn, otherparameters were fixed with default values proposedin the model 9.

Simulated yield for corn in the Spring –Wintercropping season in the year 2013
Beside soil physical characteristics in Table 1
used as inputs of model, parameters of the corn

Table 1 Physical soil characteristics at the study site in year 2013

Layer

Depth
(cm)

Clay
(%)

Silty
(%)

Sand
(%)

Texture

OM
(%)

PWP
(%)

FC
(%)

SAT
(%)

1.31

EC
(ms/
cm)
1.40

1

0-10

39.10

55.20

5.70

2
3

10-20
20-30

44.10
43.20

49.20
50.20

6.70
6.60

Silty clay
loam
Silty clay
Silty clay

24.22

40.82

48.70

1.10
0.95

2.00
2.40

24.60
19.19

38.06
29.66

43.22
36.26

Notes: OM: Organic matter; PWP: Permanent wilting point; FC: Field capacity; SAT: Saturation.
Table 2 Calibrated parameters of corn
Parameters

Unit

Reference value

Calibrated

WP

g/m3

33.7

33.7

HIo

%

48-52

48

CCo

Plant/ha

50.000-100.000

90.000CCx%

65-99%

80%(Source: 2)The calibrated parameters in Table 2 were highsensitive and they directly impacted on the simulated
results. Real water demand of corn used as the inputof model was shown in Fig. 7.

Simulated water demand of Corn in the SpringWinter cropping season in the year 2014.
In order to operate the model for simulatingwater demand of corn in the Spring – Wintercropping season in the year 2014, the input
parameters of the AquaCrop model were determined
as follows:- Climate data: air temperature, rainfall, windspeed, evaporation, sunshine hour, and CO2
concentration were fixed as 2013.
- Soil data: a new soil sampling batch was
conducted in the first season of year 2014 . Resultsof physical soil characteristics were shown in Table
3.
- Crop data: cultivation time of corn was fromJanuary to March 2014.
- Calibrated parameters of model: the basic
parameters (WP, HIO, CCO, CCX) were values used
for the model in the year 2013. Irrigation water was
adjusted so as to corn yield gained 6.2 ton per

Fig. 7 Reality irrigation of corn in the Spring –Winter cropping season in the year 2013.
Simulated yield of corn in the Spring-Wintercropping season in the year 2013 with irrigationwater presented in Fig. 7 was 5.10 ton per hectare.
This simulated yield was similar to the actual
harvesting yield (5.23 ton per hectare).
309

SEE-Mie, Japan, Nov. 19-21, 2015hectare. The simulated results of water demand wereshown in Fig. 8.
Table 3 Physical soil characteristics at study site in the year 2014
Layer

Depth
(cm)

Clay
(%)

Silty
(%)

Sand
(%)

Texture

OM
(%)

PWP
(%)

FC
(%)

SAT
(%)

1.58

EC
(ms/
cm)
1.58

1

0-10

39.46

57.11

3.44

2
3

10-20
20-30

46.84
44.79

49.80
51.68

3.37
3.53

Silty clay
loam
Silty clay
Silty clay

28.61

49.36

48.87

1.51
1.46

1.61
1.62

30.72
30.72

47.70
46.47

49.93
52.10

Notes: OM: Organic matter; PWP: Permanent wilting point; FC: Field capacity; SAT: Saturation
authors thank the JIRCAS organization for theirfinancial support during research time . The researchis one of the component of project on technicaldevelopment for agriculture in the Mekong delta
adapting to climate change.
REFERENCES
1 An Giang Statistical Office. Statistical yearbookof An Giang. At HCM City statistical printing
company limited. 2013.
2 FAO. Aquacrop. Rome, Italy. 2011.
3 Fox J, and Ledgerwood J. Dry-season floodrecession rice in the Mekong Delta: Twothousand years of sustainable agriculture. Asian
Perspect. 38, 1999, pp. 37–50.
4 ICEM. MRC SEA for hydropower on the
Mekongmainstream.
Fisheries
baseline
assessment working paper. (International center
environmental managemaent, HaNoi). 2010.
5 Khem S, Goto A, and Mizutani M.
Determination of the potential land for securing
double-rice cropping in the Cambodian Mekong
Delta, based on a sub-area based modeling offlood inundation. Paddy Water Environ. 6 (3),2008: pp. 285–298.
6 Lu XX, and Siew RY. Water discharge andsediment flux changes over the past decades inthe Lower Mekong River: possible impacts of
the Chinese dams. Hydrol. Earth Syst. Sci. 10(2),2006, pp. 181–195.
7 Osborn M. The MeKong river under threat.
Lowy institute for international policy 2009.
8 Panigrahi B, Panda S, and Mull R. Simulation ofwater harvesting potential in rainfed ricelands
using water balance model. Agric. Sci. 6, 2011,
pp. 165–182.
9 Saadati Z, Pirmoradian N, and Rezaei M.
Calibration and valuation of aquacrop model inrice growth simulation under different irrigation
managements. CID 21st Int. Congr. Irrig.
Drainage. 2011, pp. 589 – 600.

Fig. 8 Simulation results of irrigation demand forcorn in the Spring-Winter cropping season in
the year 2014.
CONCLUSIONS
Designed parameters of the reservoir were
determined by a proper combination between waterbalance equation and the AquaCrop model. The
AquaCrop model simulated crop yield and water
demand of corn in different irrigation conditions. In
addition, the study recommended a water storage
physical model for irrigating corn in Spring -Wintercropping season in the year 2014. The study results
also contributed data for finding water demand ofcorn. In this study, the experiment time was relative
short (03 months), only one crops and one kind ofcorn. Further experiment should be conducted forother plants such as: seasame, chilli and green soy...
and longer crop as well. Such experiments could bescientific background for proposing suitable watersaving plants and high crop yields under climatechange.

ACKNOWLEDGEMENTS

The authors highly appriciate to colleagues fortheir help and contribution in this study. Besides, the310

SEE-Mie, Japan, Nov. 19-21, 2015

10Son NT. Water balance for Kien Giang riverbasis by IQQM model. J. Nat. Sci. Tech. . Ha
Noi Natl. Univ. 25 (3), 2009, pp. 499–507.
11Sunada K. Study on Asian River Basin. CREST
Asian River Basins Water policy study team.
2009.
12Traore S and Wang YM. On-farm rainwater
reservoir system optimal sizing for increasing
rainfed production in the semiarid region of

Africa. African J. Agric. Res. 6(20), 2011, pp.
4711–4720.
13Wagger MG and Cassel DK. Corn yield andwater use effiency as affected by tillage andIrrigation. Soil Sci. Soc. Ameriacan 5, 1993, pp.
229–234.

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Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

NUMERICAL SOLUTION OF SOIL - FOUNDATION INTERACTION
1,2,3

Radim Cajka1, Jana Labudkova2, Petr Mynarcik3
Faculty of Civil Engineering, VSB - Technical University Ostrava, Department of Structures, Ludvika
Podeste 1875/17, 708 33 Ostrava – Poruba, Czech Republic

ABSTRACT
Several experimental measurements of reinforced concrete slab – subsoil interaction are compared withnumerical analysis of shallow foundation by means of FEM. At the Faculty of Civil Engineering VSB –Technical University of Ostrava testing device was constructed so that the phenomena of soil – foundationinteraction could be experimentally investigated and compared with numerical models. Results of experimentalloading test are compared with soil – foundation interaction analysis based on finite element method (FEM). The
purpose of this paper is to compare resulting deformation of the slab, subsidence of the subsoil, bending
moments and contact stress calculated by different software based on FEM. Currently there are several software
that, can deal with the interaction of foundations and subsoil.
Keywords: Foundation Structure, Experimental Measurement, Soil – Structure Interaction, Interaction Models,
FEM Calculation.
The test sample of experimental loading test was
post-tensioned concrete slab [5]. Post-tensioned
concrete
slab
had
the
dimensions
2000x2000x150mm. Concrete class C35/45 wasused. Slab was post-tensioned by six threaded
prestressing bars. The bars were from steel Y 1050
and their diameter was 18 mm. Each rod wastensioned by force of 100kN.
These are simple foundation conditions from ageological point of view. The 300 mm layer of clay
soil was removed before loading test of posttensioned concrete slab. The footing bottom wasfilled with gravel fraction 0-4 mm to the edge of thesurrounding terrain. The original subsoil composedof loess loam with consistency class F4 and withlayer 5m remained under a new gravel bed.
Deformation characteristics thus composed subsoil
were determined by geotechnical testing. Subsoil has
been described by following characteristics Poisson coefficient µ = 0.35, modulus ofdeformability E def 2 = 33.86MPa.
Post-tensioned concrete slab model was loadedin the middle of the slab by pressure exerted by thehydraulic press during the experimental loading test.
The dimensions of the loaded area were 200x200mm.
Loading was carried out in parts, 75kN / 30min. The
slab failed during the 7th cycle during this method ofloading. The maximum level of load was 525 kN.
The first significant cracks were detected after the
4th loading cycle. These cracks were located in thevicinity of the middle anchors of prestressing bars.
The model of post-tensioned concrete foundationslab was violated by punching shear. Punching shearof slabs is discussed in detail [1].

INTRODUCTION
Analysis of the subsoil-structure interaction is
influenced by physical and non-linear behaviour ofthe structure, by the interaction of the upper
structure and foundation structure and by selectingof interaction model. Insufficient theoretical basicsof the investigated issue and the absence of an
appropriate calculation tools still hinder tounambiguous
solutionofsubsoil-structureinteraction. Analysis of this interaction task is also
made more difficult by lower accuracy of input data.
Lower accuracy of input data is associated with adescription of the subsoil properties and subsoil
behaviour. Subsoil is made up of heterogeneousparticles. Uncertainties of description of subsoil
behaviour are also associated with the complexity todescribe the geological profile in detail. Using a
combination of experimental measurements,
laboratory tests and testing in-situ, modelling andnumerical methods is optimal to obtain reliable
results of interaction tasks. Such experimental
measurements are performed in the Czech Republic
and in the world, in past and also in present.
THE SPATIAL NUMERICAL MODEL
Interaction model of prestressed concrete
foundation slab with the subsoil was solved using
3D numerical modelling in ANSYS 15.0. Input dataof solved task were taken from experimental
measurements ongoing during the loading test
carried out with the experimental equipment. The
experimental equipment is described in [15].
Another experimental loading tests and their results
are also described in [2, 3, 6, 7, 8, 11, 19].

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THE SPATIAL NUMERICAL MODEL OF
INHOMOGENEOUS HALF-SPACE
3D subsoil model can be created as a half-space,ie. body bounded from above by plane. Half-spacecan be modelled discretely or as a continuum. The
simplest idealization of the elastic half-space ishomogeneous and isotropic body. Soil isheterogeneous material and its properties aredifferent from idealization linear elastic, isotropic
and homogeneous substance. Therefore, thecalculated values of the settlement do not correspondwith the real values - measured in real buildings orduring the experiments [9, 10, 17, 18, 20].
Inhomogeneous half-space was used for the analysisof the interaction of loaded post-tensioned concreteslab with the subsoil. In inhomogeneous half-space
the concentration of vertical stress is different thaninhomogeneous
half-space.
Modulusofdeformability varies continuously with depth. Usingof inhomogeneous half-space is also described in
papers [12, 13, 14]. The author of paper [14]establishes an equation for shifts in inhomogeneous
half-space outside the loaded area in the context of
shifts within the loaded area.
The computational model was created using theelement SHELL 181 (2D) for slab and using theelement SOLID 45 (3D) for the subsoil model. The
slab thickness, which was 150 mm, was added to the2D element SHELL 181. Assignment of specified
material properties to the modelled slab and subsoil
followed. Material No. 1 was marked concrete withmodulus of elasticity E = 34.0GPa and the Poissoncoefficient µ = 0.2. The subsoil model was divided
into 30 layers. Inhomogeneity of the subsoil was
taken into consideration with an increasing modulus
of deformability E def,2 . Material No. 2-31 wasmarked soil with the changing modulus ofdeformability E def,2 and the Poisson coefficientµ = 0.35. Self weight of soil massif and concreteslab was neglected. Thickness of one layer in subsoil
model was 0.2 m. The value of modulus ofdeformability began on the surface of the subsoil
model E def,2 = 33.86MPa and its value gradually
increased with the deeper layers (Fig. 1) of theformula (1):

Edef = E0 z m Fig. 1

µ=

1
1
−2=
− 2 = 0.857
0.35µ

Fig. 1

Inhomogeneous half-space, modulus ofdeformability increases with depth

Volumes of the individual layers had different
properties according to the table in Fig. 1. 3D finite
elements of mesh of subsoil model had dimensions
0.2x0.2x0.2m. 2D finite elements of mesh of slab
model had dimensions 0.1x0.1m. Both finiteelement meshes were regular.
The load was applied to the nodes in the loaded
area with size 200x200mm. The load value wasapproximately 525kN at the moment of sample
failure. This value was also implemented in the
numerical model. Prestressing was placed in quartersof all sides of slab model. Force in prestressedreinforcement was 100kN as well as during theexperiment (Fig. 2).

(1)

(2)

where
E 0 - modulus of deformability on the upper surfaceof subsoil modelz - z - coordinate (depth)m - coefficient addicted on Poisson ratio µ

Fig. 2313

Prestressing forces introduced into the slabmodelSEE-Mie, Japan, Nov. 19-21, 2015

Creation of mutual contact and definition of thecontact area is necessary for the transmission of load
effects from the foundation slab to the subsoil.
Contact was made using a contact pair TARGE170
and CONTA173. The influence of friction between
the slab and the subsoil on the contact area wasneglected. Friction coefficient equalled zero. After
creating a contact, it is necessary to verify that thenormals of both contact surfaces directed against
each other (Fig. 3).

Fig. 3

Contact area made using contact pair
TARGE170 and CONTA173
Fig. 5

Horizontal nodes shifts in external walls of the
subsoil model (No. 2, 3, 4, 5 in Fig. 4) and verticalnodes shifts in the lower base of the subsoil model(No. 6 in Fig. 4) were hindered by boundary
conditions. No boundary conditions hindered thenodes shifts in the upper level of the subsoil model,
which represented the terrain (Fig. 4 marked no. 1).

Fig. 4

The resulting vertical deformations [m]Fig. 6 shows the horizontal deformations of the
subsoil model. The course and shape of thedeformed model is symmetric (in direction of thecoordinate axes x and y) and for presentation of
results was chosen only the state of horizontal
deformations in direction of the y-axis, thedeformation v. Horizontal deformations in directionof the x-axis have the same course, but rotated about900. Deformations in the y-direction are totallysymmetrical to the beginning of coordinate systemsituated in the centre of the slab. Horizontal
deformations in y-direction toward the slab centre
have the same value but the opposite sign, which isevident in Fig. 6. The deformation in the horizontal
direction, x and also y, are affected by the inserted
prestress. This is modelled in the level of theprestressed slab model. Fig. 6 shows the locations of
the prestressed reinforcement, for clarity in directionof the y-axis. These locations are marked by crosssections A-A, B-B and C-C.

Boundary conditions in the walls of the
subsoil model

Subsoil model with dimensions 6.0x6.0x6.0m
and with the aforementioned boundary conditions
was made on the basis of parametric study [9, 17,18], and on the basis of the influence mentioned
parameters of the 3D model to the total deformation.
Numerical modelling of the subsoil-structureinteraction is also described in [4, 16].
The resulting stress and deformations of the
post-tensioned concrete slab
The resulting deformations of the post-tensioned
concrete slab modelFig. 5 shows the total vertical deformations of
the subsoil model. As expected, the maximum
vertical deformation is in the centre of the slab andits value is 4.24 mm. Course and shape of thedeformed model is symmetric, thus can also checkthe accuracy of insertion of symmetrical load, andespecially of symmetric prestressing of theslab.

Fig. 6314

The resulting horizontal deformations [m]SEE-Mie, Japan, Nov. 19-21, 2015

Horizontal deformations are depicted on thefollowing Fig. 7 in sectional views A-A, B-B, C-C.
Influence of the introduced prestressing force to thedeformation in the mid-plane of the slab is shown in
Fig. 7. Sections shown in the Fig. 7 are conducted in
the placement of the prestressing reinforcement.
This influence is the greatest under the prestressing
reinforcement anchors and gradually fades towards
the centre of the slab. Deformations in they-direction are totally symmetrical to the beginningof the coordinate system, which is situated in thecentre of the slab. Horizontal deformations in
y-direction lead to the slab centre and they have thesame value but the opposite sign, which is also
visible in Fig. 7.

Comparison of horizontal deformations in the y-axis
direction in the section A-A with inserted horizontal
prestressing forces is shown in the Fig. 8 (above)
and without inserted horizontal prestressing forces isshown in the Fig. 8 (below) - this is almost zero.

Fig. 8Comparison of horizontal deformations ofprestressing concrete slab and plain
concrete slab [m]The resulting stress of the post-tensioned concreteslab
The vertical component of stress σ z in the subsoil
is plotted in Fig. 9. Red areas show the greatest
tensile stress in the location of the settlement troughof the subsoil, with values from 650 to 7817.73Pa.
Yellow areas show smaller tensile stresses in thesubsoil, with values of 0 to 650Pa.

Fig. 7

Horizontal deformations in sectional views
A-A, B-B, C-C, [m]Horizontal deformations in direction of y-axis in
the section A-A are larger than horizontal
deformations in sections B-B and C-C. Thereby theassumption was confirmed that a horizontal
deformation caused by introduced prestressing
forces along the y-axis in the sectional view A-A
conducted through the centre of the slab isinfluenced by forces introduced in the quarter ofsides of the slab in sections B-B and C-C. According
to the same assumption the horizontal deformationsin the sections B-B and C-C are smaller and also
symmetrical, which corresponds to the symmetricload and symmetric geometry of the task.
Horizontal deformations in the task without theinserted horizontal prestressing forces were also
observed. This observation served mainly to thecheck of the numerical model and to the monitoringof the influence of introduced prestressing forces.

Fig. 9The vertical component of stress σ z [Pa]Horizontal component of stress σ y is depicted on
the following Fig. 10 in sectional views A-A, B-B,
315

SEE-Mie, Japan, Nov. 19-21, 2015

C-C. Influence of the introduced prestressing force
to the stress σ y in the mid-plane of the slab is shownin Fig. 10. Sections shown in the Fig. 10 are
conducted in the placement of the prestressing
reinforcement. Stress σ y gradually increases toward
the centre of the slab model due to vertical load
applied at the centre of the slab. Introduced forces inthe y-axis direction (and the x-axis direction) lead tothe middle of the slab. They have the same value of
50kN and the influence under anchor also evident
from Fig. 10. Course of stress σ y depicted in Fig. 10
is the result of vertical loads and also introduced
horizontal forces acting simultaneously.

only values are different in comparison with thesection A-A. The course of total horizontal
component of stress σ y is the sum of two partial loadcases of forces acting in the direction of y-axis (ΣF y )and the z-axis (ΣF z ).

Fig. 11 Horizontal component of stress σ y in thesection A-A

CONCLUSION
Fig. 10 Horizontal component of stress σ y insectional views A-A, B-B, C-C, [Pa]

Numerical analysis of the interaction ofprestressed concrete slab and subsoil was carried out
using an inhomogeneous half-space in which thevalue of the modulus of deformability increases withdepth, and can be relatively well capture soil
behavior. Modulus of deformability increases with
subsoil depth. Experimental value of deflection in
the middle of slab measured during test was 17.8mm.
Result from numerical model was 4.24mm.
Nevertheless value 17.8mm was determined forcracked concrete. Deflection in the middle ofconcrete slab was about 5mm during the first crack
initiation. It is only 18% difference between
numerical and tested values. The numerical model
also reflected the effects of prestressing and theinfluence of prestressing on deformation and stress.
While monitoring the effect of prestressing and its
consideration in the numerical model, the emphasis
was mainly on components of stress and strain in theplane of the modelled slab. However, theprestressing increases the rigidity of the element andthus has an influence during the transfer of thevertical load components. In consequence of theincrease of rigidity due to the prestressing, smaller
vertical deflections of the slab than in the case ofprestressed slabs were calculated.

Horizontal component of stress σ y in direction of
y-axis in the section A-A is larger than horizontal
stress σ y in sections B-B and C-C. Thereby theassumption was confirmed that σ y caused byintroduced prestressing forces along the y-axis in thesectional view A-A conducted through the centre of
the slab is influenced by forces introduced in thequarter of sides of the slab in sections B-B and C-C.
According to the same assumption the horizontal
component of stress σ y in the sections B-B and C-C
are smaller and also symmetrical, which corresponds
to the symmetric load and symmetric geometry of
the task.
As already mentioned, stress σ y plotted in Fig.
10 is influenced by a vertical load applied
perpendicularly to the mid-plane of the slab (causedby hydraulic press) and horizontal loads in a level ofthe mid-plane of the slab (caused introduced forcescharacterizing the prestressing).
Fig. 11 shows course of the stress σ y for bothload cases. Course of the stress σ y is plotted in thesection A-A. Nevertheless, the principle of theinfluence of horizontal and vertical acting forces is
the same even in the case of sections B-B and C-C,
316

SEE-Mie, Japan, Nov. 19-21, 2015

EN 1992-1-1, Prague, 15 March 2010, ISBN
978-80-01-04581-7, WOS: 000324078100017.
[11] M. Janulikova, R. Cajka, P. Mateckova, V.
Buchta, “Laboratory Testing of Asphalt Belts
Rheological Properties Exposed to Shear
Loads”, Transactions of the VŠB - Technical
University of Ostrava, Civil Engineering Series,
vol. XII, iss. 2, pp. 59–66 (8 p), ISSN (Online)
1804-4824, ISSN (Print) 1213-1962.
[12] K. Zhou , W. W. Chen, L. M. Keer, X. Ai, K.
Sawamiphakdi, P. Glaws, Q. J. Wang, “Multiple
3D inhomogeneous inclusions in a half space
under contact loading”, Mechanics of Materials,
Vol. 43, Issue 8, Pages 444–457, 2011.
[13] V. I. Fabrikant, T. S. Sankar, „On contact
problems in an inhomogeneous half-space“,International Journal of Solids and Structures,
Volume 20, Issue 2, Pages 159–166, 1984.
[14] K. Zhou, W. W. Chen, L. M. Keer, X. Ai, K.
Sawamiphakdi, P. Glaws, Q. J. Wang, „Multiple
3D inhomogeneous inclusions in a half space
under contact loading“, Mechanics of Materials,
Vol- 43, Issue 8, pp.444–457, 2011.
[15] R. Cajka, V. Krivy, D. Sekanina, “Design andDevelopment of a Testing Device forExperimental Measurements of Foundation
Slabs on the Subsoil”, Transactions of the VŠB– Technical University of Ostrava, Civil
Engineering Series, vol. XI, iss. 1, pp. 1-6,
ISSN 1804-4824, ISBN 978-80-248-2332-4.
[16] R. Cajka, “Analytical derivation of friction
parameters for FEM calculation of the state ofstress in foundation structures on undermined
territories”, Acta Montanistica Slovaca, vol. 18,
iss. 4, pp. 254-261 (8 p), ISSN: 13351788, 2013.
[17] R. Cajka, J. Labudkova, „Dependence of
deformation of a plate on the subsoil in relation
to the parameters of the 3D model“,International Journal of Mechanics, Volume 8,
Pages 208-215, 2014, ISSN: 1998-4448.
[18] J. Labudkova, R. Cajka, “Comparsion of
Measured Displacement of the Plate inInteraction with the Subsoil and the Results of
3D Numerical Model”, Advanced Material
Research, vol. 1020, pp. 204-209 (6 p), Trans
Tech Publications, Switzerland, ISSN (Online)
1662-8985, ISSN (Print) 1022-6680, 2014.
[19] Cajka, K. Burkovic, V. Buchta, R. Fojtik,“Experimental soil - Concrete plate interaction
test and numerical models”, Key Engineering
Materials, vol. 577-578, pp. 33-36 (4 p), Trans
Tech Publications, Switzerland, 2014.
[20] Bin Tian, Rui Li, Yang Zhong, “Integral
transform solutions to the bending problems ofmoderately thick rectangular plates with alledges free resting on elastic foundations“,Applied Mathematical Modelling, Vol. 39, Issue
1, 2015, pp. 128–136.

ACKNOWLEDGEMENTS
The works were supported from sources for theconceptual development of research, development
and innovations for 2015 at the VSB-Technical
University of Ostrava.
REFERENCES[1] R. Halvonik, J., Fillo, “The Maximum Punching
Shear Resistance of Flat Slabs, Procedia
Engineering”, vol.: 65, 2013, pp 376-381,
ISSN 1877 - 7058,[2] M. Aboutalebi, A. Alani, J. Rizzuto, D. Beckett,“Structural behaviour and deformation patterns
in loaded plain concrete ground-supported
slabs”. Structural Concrete. 2014, vol. 15,
issue. 1, pp. 81-93. ISSN 1464-4177.
[3] T. Clément, A.P. Ramos, M.F. Ruiz, A. Muttoni,“Influence of prestressing on the punchingstrength of post-tensioned slabs”, Engineering
Structure, vol. 72, pp. 56-69 (14 p), ISSN:
0141-0296, 2014[4] K. Frydrysek, R. Janco, H. Gondek, “Solutionsof Beams, Frames and 3D Structures on Elastic
Foundation Using FEM”, International Journalof Mechanics, Issue 4, Vol. 7, p. 362-369, 2013.
[5] P. Mynarcik, “The Subsidence Analysis ofExperimental Post-tensioned Concrete SlabModel in the Course of the Static Load Test”,
Applied Mechanics and Materials, vol. 744 –
746, pp. 1556-1559 (4 p), Trans Tech
Publications, Switzerland, 2015.
[6] A. Alani, M. Aboutalebi, “Analysis of thesubgrade stiffness effect on the behaviour ofground-supported concrete slabs” Structural
Concrete, Issue 13, Volume 2, pages 102-108,
DOI: 10.1002/suco.201100043, 2012.
[7] R. Cajka, R. Fojtik, “Development of
Temperature and Stress during Foundation SlabConcreting of National Supercomputer Centre
IT4”, Procedia Engineering, vol. 65, 2013, pp.
230-235 (6 p), ISSN 1877-7058,[8] R. Cajka, K. Burkovic, V. Buchta, “Foundation
Slab in Interaction with Subsoil”, Advanced
Materials Research, Vols. 838-841, pp. 375-380,
Trans Tech Publications, Switzerland, 2014.
[9] R. Cajka, J. Labudkova, „Influence ofparameters of a 3D numerical model on
deformation arising in interaction of afoundation structure and subsoil“, 1stInternational Conference on High-Performance
Concrete
Structures
andMaterials(COSTMA '13), Budapest, Hungary, 2013.
[10] R. Cajka, P. Mateckova, ”Comparison of
calculating methods and consequent carrying
capacities of pre-stressed precast concrete roof
purlin”, in proceedings of First International
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First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

ALTERNATIVE AGGREGATES FOR CONCRETE
Daniela Ionescu1, Joe Petrolito1 Bandita Mainali1, Jemily Sweet1 and David Robinson1
1
Engineering Department, La Trobe University, Bendigo, Australia

ABSTRACTThe construction industry uses large quantities of raw materials, such as aggregates and crushed rocks, andthis significantly depletes the sources of natural aggregates. Due to the environmental impacts associated with
opening new quarries, the use of secondary materials, such as recycled aggregate, is being considered more oftenby the building industry. Also, preliminary tests on recycled aggregates have shown that recycled masonry has asimilar specific gravity as scoria and relatively good strength, therefore crushed masonry can be used to replacenatural aggregates for concrete production. This paper reports on continuing research at La Trobe University on
the use of recycled aggregates in the production of low weight concrete. The effects of partial or total
replacement of normal-weight aggregates with recycled low weight aggregates on the strength and elastic
properties of concrete, and the partial replacement of water with superplasticisers were investigated. The
apparent volume of permeable voids was also determined to provide an indication of the durability of theconcrete. It was found that concrete mixes produced with recycled aggregates generated comparable results tomixes produced with scoria with lower production cost.
Keywords: Construction and demolition waste, Crushed brick, Recycled Aggregates, Recycled Masonry,
Superplasticiser.

lightweight structural concrete. However, scoria has
not been widely studied for this use as it is mainly
used for landscaping.
Using alternative aggregates, such as recycled
masonry and scoria, in concrete can somewhat
compromise the durability of concrete and may also
produce a low strength, unworkable concrete.
Recycled aggregates have a higher water absorption
than natural aggregates due to a larger amount offines, which in turn reduces the overall strength of
concrete. Additionally, it has been reported by many
researchers that the workability of recycled
aggregate concrete is lower than traditional concrete,especially when the replacement is greater than fifty
percent [4, 6, 7, 9]. A common technique to improve
the workability and mechanical properties ofconcrete is to incorporate a water-reducing
admixture to the mix. The effects of high-range
water reducers or superplasticisers on concrete has
been widely researched [10]. Superplasticisers canachieve a 20% reduction in water content bydispersing cement grains through the modification of
the electrical charges on the cement surface [10].
The reduction of the water content due to the use of
superplasticisers with the same cement content
results in a workable and strong concrete.
This paper discusses the results of a continuing
study at La Trobe University into the use of crushed
bricks from a local supplier (All Stone Quarry) as apartial or total aggregate replacement for the
production of concrete. The effects of partial
replacement of water with superplasticiser are also
reported in the paper. All Stone Quarries (ASQ) is

INTRODUCTION
Concrete forms the basis of modern life and it
will continue to be a preferred construction material
due to its versatility, mechanical properties andeconomic feasibility. Concrete can be designed forspecific purposes by altering the proportions andmaterials of its constituents [1]. In the last decade orso, the use of recycled aggregates has becomecommon practice to conserve natural resources,
reduce solid waste to landfills and minimize
environmental impacts [2]-[4].
However, the production of concrete is anenergy-intensive process [3], and it accounts for 5%of man-made carbon dioxide emissions worldwide[5]. This is due to the use of cement, which
consumes approximately 4 GJ of energy for eachtonne produced, and the extraction of raw materials(sand, gravel, crushed rock), of which 10 to 11
billion tonnes per year are used globally [6]. New
techniques are being investigated to reduce theenergy needed to produce concrete as a result of
these environmental concerns. The use of recycledmaterials in place of natural aggregates is a simple
and effective way to make concrete a moresustainable construction option [3, 7].
Although not a recycled material, but rather anaturally occurring one, scoria presents itself as
another ideal alternative aggregate for concrete.
Scoria is a crimson, versicular igneous rock withvisible air pockets that produces a lightweightmaterial [8]. Additionally, it has a high strength toweight ratio that makes it a useful constituent in
318

SEE-Mie, Japan, Nov. 19-21, 2015

located in Eaglehawk, Central Victoria. Each year,
ASQ receives approximately 37,000 tonnes ofmasonry debris from local demolition operations, ofwhich brick rubble is about 17,000 tonne, with theremainder being concrete debris. From the brickrubble received, ASQ produces about 40 % coarse(20 mm) crushed brick aggregates and 60% finecrushed brick (finer that 14 mm). Coarse aggregatesare currently used for drainage purposes, whereas
broader gradation aggregates are mainly used for
driveways. ASQ is considering using crushed bricks
for concrete production to increase its efficiency.

The particle size distribution (PSD) curves of the
supplied materials were compared with the grading
specifications and the ideal gradations for aggregatesfor concrete production [16, 17]. The suppliedmaterials were also compared with the local
materials currently used for concrete production. It
was observed that the coarse and fine fractions
combine best if Gradation 2 is used as the target
gradation.
Hymix Quarry in Axedale (HQA) is one theprincipal suppliers of coarse and fine aggregate forthe production of concrete in Bendigo. Crushedbasalt (B-CA) and blended washed river sand
(BWRS-FA) were used to produce the control
normal-weight concrete specimens. The PSD of
BWRS-FA fits closely to the coarser boundary of
the specifications for natural sands (see Figure 1(a)).
The gradation of the combined aggregates (coarse
and fine) is shown in Figure 1(b).
Low weight concrete was produced by replacing
normal-weight aggregates with light-weight natural(scoria) and recycled (brick) aggregates supplied by
ASQ. Recycled brick was available in two
representative samples. One sample was coarsegrained brick with a maximum nominal size of 20
mm (Br-CA) and containing few particles smaller
than 6.7 mm. The second sample was classified as afine aggregate with a maximum nominal size of 14mm (Br-FA) as shown in Figure 1(a). When
fractions coarser than 4.75 mm were separated, thePSD of fine brick fits within the boundaries set for
manufactured sand and the dust (grains < 0.075 mm)content was less than 4%. The PSD of the combinedcoarse and fine brick aggregates is shown in Figure1(b).
Scoria was supplied as separated coarse fractions
with maximum nominal sizes of 28 mm and 14 mm,
respectively. Scoria fractions were blended to obtainthe coarser aggregate mix (Sc-CA), which in turnwas mixed with blended washed river sand (BWRSFA) as shown in Figure 1(b). Furthermore, toprovide comparisons, coarse brick was used as areplacement for crushed basalt and was combinedwith blended washed sand (Br-CA + BWRS-FA in
Figure 1(b). Crushed basalt was combined withrecycled fine brick (B-CA + Br-FA in Figure 1(b)).
Figure 1(b) shows that the PSD of the combinedcoarse and fine aggregates fits relatively close to thetarget Gradation 2 for 20 mm used in the mix design.
Fines (grains < 0.425 mm) in finer aggregates fromthe two sources were tested for any clay content.
The summary of the consistency tests [15] and clay
and silt contend [18] is presented in Table 1. It was
found that the finer fractions classify as nonplastic/low plasticity silts [12]. In addition, thephysical properties of both coarse and fineaggregates were determined and they aresummarized in Table 2. As expected, both scoria andrecycled brick showed significantly higher water

MATERIALS REQUIREMENTS
Aggregates play a vital role in the properties ofconcrete since they occupy about 75% of theconcrete volume. Neville [11] reviewed theproperties of aggregates that highly affect the
behaviour of both fresh and hard concrete, namely
strength, hardness, toughness, durability, porosity,
volume change, grains shape and texture, chemical
reactivity and relative density. Past research into thepossible uses of crushed masonry has suggested thatcrushed brick has most of the required properties,
and hence it may be used as a partial or total
replacement for naturally occurring aggregates to
produce low weight concrete [12].
Equal amounts of pull-out failure and fracturingof the coarse aggregates on the shear surface
indicate a good concrete mix [11]. Hence,
aggregates that have angular grains with a roughsurface texture and a broad gradation produce aminimum void space in the concrete matrix.
Proportions of flaky and elongated particles should
be limited to avoid potential fracture planes in theconcrete. Furthermore, aggregates with high water
absorption should be avoided to ensure a quality
concrete [11, 13].
EXPERIMENTAL PROGRAMMEThe physical characteristics of the suppliedmaterials were determined in accordance with
relevant Australian Standards (primarily [14-16]) to
provide a reasonable indication of their mechanicalproperties. The governing factors were thecompliance with current specifications and theeconomic feasibility of obtaining the optimum
material.
Concrete Aggregate
Considering the economic aspects, it was
decided that the recycled crushed brick aggregates
would be used as supplied with no additional
crushing, sieving or washing. ASQ supplied coarse
aggregates in separated fractions and fine aggregatesin a blended state.
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SEE-Mie, Japan, Nov. 19-21, 2015

Br-FA

19
16
3
1
7
Note: wL = liquid limit, wP = plastic limit,
PI = plasticity index, LS = linear shrinkage,
SC = silt content.
Table 2 Physical properties of aggregates usedabsorption when compared with the currently-used
aggregates. The water absorption for scoria is morethan seven times that of basalt.
The water absorption for coarse recycled brick isMaterial
MC (%)WA (%) ρp-SSD (t/m3)
B-CA
1.2
2.23
2.72
Sc-CA
6.7
17.7
1.85
Br-CA
2.2
7.0
2.20
BWRS-FA
0.1
0.6
2.61
Br-FA
2.4
4.6
2.44
Note: MC = moisture content, WA = water
absorption, ρp-SSD = particle density in saturated
surface dry condition.
more than four times that of basalt. In addition, thefine recycled brick has a water absorption that ismore than seven times that of blended washed riversand. Scoria and recycled brick are 20% to 30%
lighter than basalt and blended washed river sand,resulting in a reduced dead load for a concrete
structure.

(a)Concrete Strength
Five concrete mixes were produced with the
supplied materials as follows:• HQA coarse basalt and blended washed riversand (B-CA + BWRS-FA)• ASQ coarse scoria and HQA blended washedriver sand (Sc-CA + BWRS-FA)• ASQ coarse recycled brick and HQA blended
washed river sand (Br-CA + BWRS-FA)• ASQ coarse and fine recycled brick (Br-CA +Br-FA)• HSQ coarse basalt and ASQ fine recycled brick(B-CA + Br-FA).
The quantities for the concrete mixes were basedon a nominal characteristic compressive strength of
32 MPa. A 50-mm slump was use [19] and theaggregates were used in the air-dried condition.
Table 3 presents the quantities of materials used foreach mix designed in accordance with AustralianStandards [14]. It should be mentioned that theaddition of 2 L/m3 of superplasticiser enabled a
reduction of water content by 9-28% depending on
the mix prepared. Tables 4 and 5 summarize theaverage strength of concrete and density of concreteat seven and 28 days. Prior to testing concrete
specimens were water cured to enable proper growthof calcium silicate hydrate crystals. As expected thedensity of concrete increased with age and concrete
produced with the alternate aggregates had a lower
density independent of the age of the concrete.
Concrete produced with scoria (CA) and blended
washed river sand (FA) exhibited the largest
reduction in density (more than 10%), whereas(b)
Figure 1: Particle size distribution of aggregatesused to prepare the concrete specimens: (a) fineaggregates; (b) combined gradations (CA + FA) for
nominal size 20 mm.

Table 1 Consistency characteristics and silt content
in fine aggregates
Material
BWRS-FA

wL
(%)
18

wP
(%)
14

PI
(%)
4

LS
(%)
2

SC
(%)
6
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SEE-Mie, Japan, Nov. 19-21, 2015

concrete produced with basalt (CA) and crushed
brick (FA) showed an insignificant density change.
As expected, the strength of concrete increased withage. However, the increase in strength varied
significantly
Table 3 Mix design proportions used

27% below that of concrete with normal aggregates.
In most cases, concrete produced with recycled brick(CA+FA) showed the largest reduction in strength,
perhaps due to a slightly higher clay content in FA.
The strength reduction was higher for the 28-day
concrete, and this can possibly affect the concrete
durability.

Mix type

c
w
FA
CA
(kg)
(kg)
(kg)
(kg)
B-CA+BWRS-FA 370
166
620
1090
Sc-CA+BWRS-FA 370
180
620
680
Br-CA+BWRS-FA 370
188
620
950
Br-CA+Br-FA
370
216
530
950
B-CA+Br-FA
370
196
530
1090
Note: c = cement, w = water, FA = fine aggregates
and CA = coarse aggregates.

Elastic Properties of Concrete
Tables 6 and 7 summarize modulus of elasticity
and Poisson’s ratio values obtained from theelasticity tests performed in accordance with
Australian Standards [14]. The computed values ofthe modulus of elasticity used the empirical
relationship recommended by the AustralianStandard [20], namely(

Table 4 Average properties for 7 days old concrete

1.5
Ecj = ρ × 0.024 ×

fcm
fct.spfct.f
ρp-SSD(MPa) (MPa) (MPa) (kg/m3)
B-CA+BWRS-FA 62.5
4.9
6.6
2420
Sc-CA+BWRS-FA 43.0
3.8
6.1
2100
Br-CA+BWRS-FA 48.5
4.1
5.7
2260
Br-CA+Br-FA
38.0
3.0
5.0
2190
B-CA+Br-FA
67.5
4.1
6.1
2400
Note: fc’ = characteristic compressive (cylinder)
strength of concrete at 7 days, fct.sp = measured
splitting tensile strength of concrete, fct.f = measured
flexural tensile strength of concrete.

fcmi + 0.12)

(1)

Mix type

where Ecj is the mean value of the modulus ofelasticity of concrete at a certain age, ρ is the densityof concrete measured in accordance with therelevant specifications [14] and fcmi is the meanvalue of the compressive strength of concrete at therelevant age.
The computed and the measured values of themodulus of elasticity compare quite well, with theformer being higher (2-16%). In addition, it should
be noted that the trends observed from the strength
tests were replicated by the elastic properties. A
higher strength is correlated with a higher modulus
of elasticity and a lower Poisson’s ratio.
Concrete mix prepared with both FA and CA
recycled brick displayed the highest reduction (4147%) in the modulus of elasticity, followed by themix produced with scoria (CA) and blended washedriver sand (FA) with a reduction of 31-32%. The
concrete produced with recycled brick (CA) andblended washed river sand (FA) showed a 28-29%
reduction in the modulus of elasticity, whereas theconcrete mix produced with basalt (CA) and crushed
brick (FA) showed only a 13-16% reduction in themodulus of elasticity. As expected, the reductions in
the modulus of elasticity for the mixes producedwith alternate aggregates were higher at seven days.
As the concrete strength increases with age, it isexpected that some of the negative effects of thealternate aggregates on the modulus of elasticity willdiminish with time. However, a lower modulus ofelasticity is expected to be associated with more
creep deformation and possibly higher shrinkage.

Table 5 Average properties for 28 days old concrete
fc’
fct.spfct.f
ρp-SSD(MPa) (MPa) (MPa) (kg/m3)
B-CA+BWRS-FA 81.5
5.2
7.4
2440
Sc-CA+BWRS-FA 45.5
3.9
6.3
2120
Br-CA+BWRS-FA 59.0
4.2
5.8
2280
Br-CA+Br-FA
52.0
3.5
5.4
2200
B-CA+Br-FA
73.0
4.3
6.9
2420
Note: fc’ = characteristic compressive (cylinder)
strength of concrete at 28 days, fct.sp and fct.f as
defined above.
Mix typefor the mixes used. At seven days, the strength of
concrete produced with alternate aggregates was
60-78% of that of the control batch. It is worth
noting that the strength of concrete produced withmasonry was 8% higher than that of the control
batch. At 28 days, the strength reduction of concrete
produced with the alternate aggregates was evenlarger, from 10% for basalt (CA) and crushed brick(FA) to 44% for scoria (CA) and blended washedriver sand (FA). Similarly, the indirect tensile
strength of concrete produced with the alternate
aggregates was 16-33% lower than that of thecontrol batch, whereas the flexural strength was 7-

Durability of Concrete
There is general agreement that there is an indirect
correlation between the water-permeable voids
present in the hardened concrete and the durability
321

SEE-Mie, Japan, Nov. 19-21, 2015

of concrete. Hence, the water absorption and theapparent volume of permeable voids were
determined from tests performed in accordance with
Australian Standards [14] and the results arepresented in Table 8. As expected, the use of
porous aggregates resulted in an increase in theapparent volume of permeable voids (AVPV).
Concrete produced with
Table 6. Elastic properties for seven days old
concrete
E (MPa)Measured Empirical
B-CA+BWRS-FA
38000
39000
Sc-CA+BWRS-FA 26000
26000
Br-CA+BWRS-FA 27000
31000
Br-CA+Br-FA
20000
23000
B-CA+Br-FA
32000
37000
Mix type

CONCLUSIONSThe effects of light aggregates (scoria andrecycled brick) used for low weight concrete
production were discussed in this paper and thefollowing conclusions can be drawn.
The use of scoria as a CA resulted in the lowest
density concrete of the five batches, and the strength,elastic properties and durability of the concrete wereTable 9 Apparent volume of permeable voids for 28
days old concrete (without superplasticiser)[12]νApparent
Immersed Boiled
volumeabsorption absorption
Mix type
permeable(%)(%)
voids (%)
B-CA+BWRS-FA
6.8
7.0
16.1
Sc-CA+BWRS-FA
9.8
11.7
22.2
Br-CA+BWRS-FA
8.5
9.0
18.3
Br-CA+Br-FA
10.6
10.9
21.3
B-CA+Br-FA
8.1
8.3
18.0

0.19
0.15
0.17
0.15
0.16

Note: E = modulus of elasticity, ν = Poisson’s ratio.
Table 7 Elastic properties for 28 days old concrete
E (MPa)Measured Empirical
B-CA+BWRS-FA
39000
39000
Sc-CA+BWRS-FA 27000
27000
Br-CA+BWRS-FA 28000
32000
Br-CA+Br-FA
23000
25000
B-CA+Br-FA
34000
38000
Mix typeν

reduced as well.
Similar outcomes were obtained when theconcrete was produced with coarse and fine recycled
brick aggregates. The only advantage of theseaggregates is the lower cost of production incomparison with scoria.
Partial replacement of natural aggregates (that is,
replacing B-CA with Br-CA or replacing BWRS-FA
with Br-FA) appears to be a suitable solution for low
weight concrete. Br-CA + BWRS-FA and B-CA +Br-FA mixes produced concrete with acceptablestrength and elastic properties, although slightly
lower than the currently-used mixes, B-CA+ BWRSFA. Hence, their use may result in a less durable
concrete due to a higher volume of permeable voids.
The use of superplasticizer improved the propertiesof the concrete, resulting in a higher strength and alower volume of permeable voids. The durability ofconcrete may possibly be further improved if waterrepellent admixtures are added to the mix. Overall,the cost of production of concrete with recycled
brick aggregates is lower than that of normal-weight
concrete, while providing environmental benefits.

0.17
0.12
0.16
0.15
0.15

Table 8 Apparent volume of permeable voids for 28
days old concrete (with superplasticiser)
Apparent
Immersed Boiled
volumeabsorption absorption
Mix type
permeable(%)(%)
voids (%)
B-CA+BWRS-FA
5.6
5.8
13.5
Sc-CA+BWRS-FA
8.1
8.7
18.5
Br-CA+BWRS-FA
7.2
7.3
15.5
Br-CA+Br-FA
9.6
9.9
16.2
B-CA+Br-FA
6.6
6.2
14.0
scoria showed the highest AVPV followed closely
by the concrete prepared with recycled brickaggregates. It is interesting to note that the Br-CA +Br-FA batch showed the highest water absorption in
24 hours. This indicates that this concrete is notsuitable for wet areas. Table 9 summarizes the
AVPV for all the concrete mixes without
superplasticizers. The addition of superplasticizer
enabled the production of a more compact concrete,
which resulted in a lower (15-24%) apparent volumeof permeable voids and this produces a more durable
concrete.

ACKNOWLEDGEMENTS
The authors gratefully acknowledge the help
provided by All Stone Quarry, Bendigo with the
supply of materials. The assistance with preparationand testing provided by Mr David Osborne is also
recognized.
REFERENCES

322

SEE-Mie, Japan, Nov. 19-21, 2015

[1] Kosmataka SH and Willson ML, “Design andcontrol of concrete mixtures: The guide to
applications, methods and materials”, Portland
Cement Association, 2011.
[2] Tam VWY and Tam CM, “A review of theviable technology for construction waste
recycling
resources”,
Conservation
andRecycling, Elsevier, Vol. 47, Jan. 2006, pp.
209-221.
[3] Del Rio Merino M, Gracia PI and Azevedo IS,“Sustainable construction: construction anddemolition waste considered”, J. of Waste
Management and Research, Vol. 28, 2010, pp.
118-129.
[4] Cavalline TL and Weggel DC, “Recycled brickmasonry aggregate concrete”, Structural Survey,
Vol. 31, Mar. 2013, pp. 160-180.
[5] Sabnis GM, “Future sustainable city: The caseof Masdar city”, Green Building with Concrete:
Sustainable Design and Construction, 2nd Ed.
Sabnis GM (ed), Boca Raton: CRC Press, 2015.
[6] Mehta KP, “Reducing the environmental impact
of concrete”, Concrete International, Vol. 23,
No. 10, 2001, pp. 61-66.
[7] Ionescu D, “Sustainable civil engineering
materials”, Incorporating Sustainable Practice in
Mechanics of Structures and Materials,
Fragomeni, Venkatesan, Lam and Setunge (eds),
CRC Press: Taylor and Francis Group, 2010, pp.
833-838.
[8] Estes MB, Ritterbush LW and Nicolaysen K,“Clinker, pumic, scoria, or paralave? Vesicular
artifacts of the Lower Misouri Basin”, Plains
Anthropologist, Vol. 55, No. 213, 2010, pp. 6781.
[9] Rao A, Jha KN and Misra S, “Use of aggregatesfrom recycled construction and demolition
waste in concrete”, J. of Resources,
Conservation and Recycling, Vol. 50, 2007, pp.
71-81.
[10] Hover KC, “Concrete mixture proportioning
with water-reducing admixtures to enhance
durability: A quantitative model”, J. of Cement
and Concrete Composites, Vol. 20, 1998, pp.

113-119.
[11] Neville AM, Properties of Concrete, 4th Ed.,
Harlow: Pearson Prentice Hall, 2005.
[12] Ionescu D, Mainali B, Petrolito J, Al Abadi H,
Davies S and Dickens B, “Construction
potential of recycled masonry for concrete”,
Sustainable Solutions in Structural Engineeringand Construction, Saha, Lloyd, Yazdani, andSingh (Eds), ISEC Press, accepted, 2015.
[13] Gani MSJ Cement and concrete, London:
Chapman and Hall, 2000.
[14] Standards Australia, Methods of Testing
Concrete, AS 1012, Sydney: Standards
Australia, 2000.
[15] Standards Australia, Methods of Testing Soils
for Engineering Purposes, AS 1289, Sydney:Standards Australia, 2005.
[16] Standards Australia, Aggregates and Rock forEngineering Purposes - Concrete Aggregates,
AS 2758.1, Sydney: Standards Australia, 2014.
[17] Cement & Concrete Association of Australia(C&CAA), Design, Control and Characteristicof Concrete, UDC 620.1, Sydney: C&CAA,
1976.
[18] Standards Australia, Methods of Sampling andTesting Aggregates – Method 33: Clay and Fine
Silt (Settling Method), AS 1141.33, Sydney:Standards Australia, 1997.
[19] Cement & Concrete Association of Australia(C&CAA), Guide to Concrete Construction,
C&CAA T41, Sydney: Standards Australia,
2002.
[20] Standards Australia, Concrete Structures, AS
3600, Sydney: Standards Australia, 2009.

323

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

GENERALIZED STRENGTH DEVELOPMENT MODEL OF
SOLIDIFIED FINE-GRAINED DREDGED MARINE SOILS
Chee-Ming Chan1 and Amira Azhar2
Faculty of Engineering and Technology, Universiti Tun Hussein Onn Malaysia, Malaysia
2
Faculty of Civil and Environmental Engineering, Universiti Tun Hussein Onn Malaysia, Malaysia
1

ABSTRACT
Dredged marine soils (DMS) are the sediment and debris removed in the dredging process. Large amount of
DMS is generated from the dredging operations yearly, especially from the maintenance of existing shipping
channels and the development of various coastal infrastructures. In practice, DMS are generally disposed of atdesignated offshore dump sites. Inadvertently, these discarded DMS would in time be deposited back near shore
due to tidal dynamics, necessitating dredging works again. Considering that DMS are essentially soils with poor
engineering properties, particularly low shear strength, there could be potential for the materials’ reuse as
acceptable or good geomaterials if the original conditions can be improved. Pre-treatment for enhancement of
the soil’s strength, such as solidification, is a feasible option. In the present study, the solidification of 3 DMS
samples was examined with the admixing of cement and/or bottom ash, where cement acts as a binder while thebottom ash functions a filler material to lend structure to the weak soil. The strength improvement of thesolidified DMS was monitored with the unconfined compression tests. The key factors that influence strength
development in solidified soils were investigated, i.e. curing period, water-binder ratio and binder-filler mix ratio.
The curing period was prefixed at 3, 7, 14, 28 and 56 days, while the water-binder ratio examined were 1, 3 and5. The test results indicated that strength increased with curing time and higher water-binder ratio. The optimalbinder-filler mix ratio determined was 75 % cement to 25 % bottom ash. The bottom ash was found to contributeto strength gain too, albeit in a minor way compared to the highly reactive cement. For the generalized strength
development plots, the unconfined compressive strength of a particular day (q) was divided with the strength on
day 28 (q 28 ). The resulting q/q 28 vs. curing period plots were linear with varying gradients dependent on thewater-binder ratio, though it was apparent that the gradient of the plot decreased with increased water-binder
ratio. In summary, solidification with cement-bottom ash is expedient in improving the original low strength of
the DMS, and the generalized strength development model is useful for modeling, design and prediction on site.
Keywords: Dredged marine soils; solidification; water-binder ratio, cement, bottom ash, strength developmentreuse potential. DMS can be a valuable resource anda reusable material for construction purposes, unlessthe dredged material is found to be excessively
affected by industrial contaminants. For example, if
the dredged material consists of coarse particles, it
can be reused in backfills, while the finer particles
can be used for landscaping or improving
agricultural land [1]. Indeed, the reuse of DMS canmake major contribution towards sustainable
development, simultaneously reducing the quantities
of primary resources needed for construction andhabitat creation activities [5].
The fine-grained DMS is usually grey in colourwith high plasticity, and contains predominantly clay
and silt fractions. The plastic limit and plasticity
index were often found to be significantly high andthat the optimum moisture content upon compaction
was generally below the plastic limit [6 & 7]. These
inherent physical properties indicate the poor
engineering properties of the material, especially interms of load resistance. For reuse, DMS need toundergo some form of pre-treatment to enhance the

INTRODUCTION
Dredging is defined as underwater excavation ofsoils and rock that generates large volume ofdredged marine soils [1]. Dredged marine soils(DMS) are the sediments and debris were removed
during the dredging process [2]. Every year,
hundreds of million cubic meters of DMS are
generated from the dredging operations. For instance,
the volume of DMS removed in the maintenancedredging works at Kuala Perlis alone was reported to
be 300,000 m3 within 2-3 years [3].
In Malaysia, DMS are considered a geowaste andare therefore not being considered for recycling orreuse. In general, the DMS are disposed off in open
waters at designated locations [4]. Unfortunately,
after a certain time, these DMS would be redeposited near shore with the wave dynamics andtidal effects, and dredging would be required again.
The disposal of DMS is mainly due to economic,
logistical, legislative and environmental constraints,
as well as a lack of understanding of the materials’324

SEE-Mie, Japan, Nov. 19-21, 2015

strength. An alternative is to admix binding
additives like cement with the DMS to both reducethe initially high moisture content and to
subsequently improve the engineering properties via
cementation [1].
The components of solidification include soils
and binders. As mentioned above, the binders used
are normally cementitious materials [8]. Coarse
particles can also be admixed with the soil as filler
materials to lend structure for the bonding process,i.e. enhance the resulting strength improvement. 3
DMS samples were used in the present study, withcement used as the binder and bottom ash added as afiller material respectively.

Chemicalcomposition

DMS samples (soil type)
CH
ML
MH

C

BA

Al 2 O 3

21.60

21.10

24.40

9.52

26.60

CaO

1.93

4.04

4.04

54.10

8.73

Fe 2 O 3

7.33

7.05

7.87

5.32

8.51
1.05

K2O

2.97

2.64

2.66

0.88

MgO

2.18

2.24

1.91

1.20

1.76

SiO 2

57.00

57.00

54.40

24.50

48.80

TiO 2

1.03

0.85

0.87

0.69

1.95

Others

5.96

3.67

4.95

3.79

2.6

MATERIALS AND METHODSSpecimen Preparation and Test Methods

Test Materials

The DMS were mixed with the additives basedon predetermined water-binder (w/b) ratio as well as
C:BA portions. Calculations for the amount of
cement and bottom ash for each mixture was madebased on dry mass and moisture content of the soil.
The w/b ratios were fixed at 1, 3 and 5. Elaborations
on the mix ratio derivation can be referred to in
Azhar et al. [10].
The mixing procedure began with remoulding of
the DMS which was left standing overnight toensure uniform pore water distribution in the soil
mass. The measured dry cement and bottom ash
were then added to the remoulded soil. The mixture
was initially hand-mixed with a spatula prior tomore vigorous mixing with a kitchen mixer. The
mechanical mixing process was paused every 3
minutes, so that materials adhering to the sides ofthe mixing bowl and mixing paddle can be scraped
off and returned to the bowl. The steps wererepeated 2-3 times till all cement and bottom ashes
were thoroughly mixed with DMS.
The mixture was next transferred to a cylindrical
split mould to form specimens of 38 mm in diameterand 76 mm in height. In 3 equal layers, the mixture
was flattened and lightly compressed and kneaded
using a miniature compaction tool. Upon removal ofthe mould’ collar, the excess mixture was trimmed
off and the cylindrical specimen was slid out of themould. Wrapped in cling film and stored on raised
platforms in a tight-lid bucket with mild bleachsolution to prevent fungal growth, the specimens
were left to cure for 3, 7, 14, 28 and 56 days prior to
the unconfined compression tests.
The unconfined compression tests wereconducted according to BS 1377:1990, Part 7 [11].
Load was applied at a rate of 1.5 mm per minute andthe data were recorded in a stress-strain plot for
determination of the maximum stress, i.e.
unconfined compressive strength, q. Duplicate
samples were tested to verify reliability of themeasurements.

3 types of fine-grained dredged marine soils(DMS) were used in this study, and they were all
sourced from the Malaysian waters. The first DMS
sample was retrieved from Marina Melaka, Melaka(sample MM). According to the Unified Soil
Classification System (USCS) [9], the sample wasclassified as a high plasticity clay (CH). The second
and third samples were collected from Tok Bali,
Kelantan, samples TBA and TBB. These samples
were classified as high plasticity (MH) and low
plasticity silt (ML) respectively. The binder used inthis study was ordinary Portland cement (C) while
the filler added was bottom ash (BA). The bottom
ash was collected from Tanjung Bin coal power
plant in the locality. The properties of the DMS,
OPC and BA are shown in Table 1, while Table 2
summarizes the chemical compositions of the DMS,
cement (C) and filler, i.e. bottom ash (BA).
Table 1: Properties of dredged marine soil samples

Properties
Moisturecontent (%)
Liquid limit(%)
Plastic limit(%)
Plasticity
index (%)
Specific
gravityLossonignition (%)
pH
Soilclassification

DMS samples

C

BA

92.23

-

-

51.80

36.90

-

-

50.46

35.30

25.83

-

-

14.54

16.50

11.07

-

-

2.56

2.43

2.41

3.10

2.30

9.49

1.38

4.78

-

-

8.32

8.53

8.51

12.35

9.17

CH

MH

ML

-

-

MM

TBA

TBB

142.97137.6065.00

Table 2: Chemical compositions of DMS, C and BA(%)

Table 3: Mix portions of cement and bottom ash
325

SEE-Mie, Japan, Nov. 19-21, 2015

Specimen

Portion of
cement, C (%)

Portion ofbottom ash, BA
(%)

100C

100

0

75C25BA75

25

50C50BA

50

50

25C75BA25

75

limited as the voids are filled with semi-solidified
fine particles. Also, the amount of cement available
for reaction with the excess water was
disproportionate, causing the mixture to harden but
not strengthened. This can be observed in the greater
deformation recorded of the weaker specimens in theunconfined compression test. Radial deformationaccompanied by vertical displacement resulted inapparent bulging of these specimens prior to failure.
Fig. 2 illustrates the strength (q) recorded for all
specimens at different curing time (D). Immediately
noticeable is the remarkable strength improvement
charted by CH compared to MH and ML,
particularly at w/b=1. This could be explained by thegreater specific area of the finer grained CH soil
available for reaction with the cement and eventualsoil-BA bonding. Note that clay particles are smaller
than 2 µm, whereas silt particles range between 2
and 75 µm [9]. Comparing the q-D plots at w/b=3
for MH and ML, there appeared to be a continuous
rise in strength for ML while MH demonstrated adecline in strength gain rate beyond 28 days ofcuring. Nonetheless at the final measurement age, i.e.
56 days old, both MH and ML showed very similar
q attained for all C-BA mix ratios.
It is also apparent that the unconfinedcompressive strength attained by the solidified soil isvery much dependent on the w/b ratio, withincreased w/b resulting in lower strengths. This is inline with earlier discussions referring to Fig. 1,
where q declined with increased w/b. The seeming
banding of the q-D plots according to w/b for all soil
samples also suggests the dominant influence of w/b
on the resulting strength of the solidified soil. In
general, the steep rise in q with time was sustained
up to 14 days of curing, after which the gradual turnin the plots of Fig. 2 indicates less remarkable
strength gain even with prolonged curing. The initialhigh water content apparently impeded further
strength improvement of the soil.
To examine the influence of curing on thesolidified strength, q/q28 is plotted against curing
time (D) in Fig. 3. For w/b=1, the rate of strength
improvement from day 3 to day 28 is higher
compared to the subsequent days. This indicates thatthe cementation process which includes hydrationand pozzolanic reactions were most active in thefirst 4 weeks. There was almost no increment at all
in strength after day 28 as shown in the w/b=1 plots
in Fig. 3. For w/b=3 and w/b=5, the strength
increased steadily from day 3 till day 56, though thestrength increment rate in w/b=3 was clearly higher.
This could be due to the less excessive water present
in the soil-additives mixtures. However, in bothcases of w/b=3 and w/b=5, the strength is expected
to keep rising with prolonged curing.
In the same plots in Fig. 3, comparison was madewith results of treated Bangkok clay as derived by
Horpibulsuk et al. [17], which is similar to the

RESULTS AND DISCUSSIONSAs mentioned earlier, without any solidification
process or treatment, the natural dredged soil has
limited undrained shear strength for load-bearing.
The undrained shear strength of natural DMS isoften no more than 50 kPa [12]. Therefore thesolidification process was aimed at improving thestrength of the naturally weak material for possible
reuse as good soils. Results from the unconfinedcompression tests are compiled and discussed below.
Fig. 1 shows the unconfined compressive
strength (q) of the solidified CH, MH and ML
samples plotted against the water-binder ratio (w/b).
It is immediately apparent that higher w/b resulted inlower strength gain, irrespective of the soil type.
Compiled with data from past studies of similarly
treated fine-grained marine soils from Bangladesh
and Singapore [13, 14 & 15], the trend was found tobe similar as that of the present study. Note that all 3
samples were not admixed with binders at w/b lessthan 2, with resulting strengths of no more than 2
MPa. While the data points at w/b greater than 5appears to confirm the expected diminishing trend of
the q-w/b plot, the strengths recorded in the present
study do seem to be higher in the w/b range of 3 to 5.
Some factors that can account for the discrepancies
are the type of binders used, curing time and porewater chemistry.
The increased strength with lower w/b can be
attributed to the amount of cement and bottom ash
used in the solidification. Inversely related, lower
w/b corresponds with higher cement dosages at thesame water content. Hence as w/b decreased, theamount of cement in the DMS increased, producing
more effective solidification and strength gain. At
approximately w/b=3, the q-w/b relationshipappeared to level off, as depicted by the rather
drastic change in gradient of the plot in Fig. 1 to aplateau. It is indicative that beyond a certain w/b, i.e.
10 in this case, strength improvement was no longer
significant with almost unchanged q with higher w/b.
When too much water is present in the soiladditive mixture, flocculation tends to occur with thecemented aggregates of soil-BA dispersed in a
porous matrix [16]. Without good contact between
the cemented aggregates, load resistance would be326

SEE-Mie, Japan, Nov. 19-21, 2015

6

materials used in the present study (w/b = 3, 5 and10). Gradient of the q/q 28 -D plot can be seen to
reduce with prolonged curing, pointing to the
reduced strength gain as well as diminishinginfluence of w/b on the solidified strength ofdifferent C-BA mix ratios. Nevertheless the bestsustained strength improvement ratio is observed in
specimens with w/b=3, with q/q 28 at 56 days
clustered according to the soil type, i.e. CH, MH and
ML in ascending order. This is an indicator of soil
type dependency of strength gain with solidification,
though at a certain w/b ratio. More detailed work is
required to validate this postulation though. In
addition, the best fit line for Bangkok clay [17] wasfound to line up best with that of w/b=5. This issuggestive of a common q/q 28 -D correlation forsolidified soils pre-dominated by the w/b ratio.

5q (MPa)

4

3

2

1

0
0

CONCLUSIONS

10

20

MH

30

40

50

60

50

60

Curing time (days)

6

The strength development of solidified DMS is
influenced by w/b and curing period. It wasobserved that as w/b decreases, the strength (q)would increase regardless of the soil type. The q-w/b
plot shows significant drop of strength withincreased w/b up to approximately w/b=5, beyond
which q appeared to be rather insensitive towards
the change in cement dosage with excessive water inthe mixture. On the other hand, the normalized
strength of the solidified DMS (q u /q 28 ) – curing time
relationship at w/b=5 was found to be compatible
with reports by Horpibulsuk et al. [17]. Thissuggests a universal correlation of q-D irrespectiveof the origin of the fine-grained soils. It is however
uncertain if the agreement between different soils
types would persist at w/b ratio more than 5. Further
work could be directed at identifying the extent of
the compatibility with increased w/b.

5q (MPa)

4

3

2

1

0

ML
0

10

30

40

Curing time, D (days)

5
MM_CH

100C

50C50BA

w/b=1

75C25BA

25C75BA

w/b=3
w/b=5

Fig. 2: q - curing time plots

TBA_MH

420

TBB_ML

3.0

3Singapore upper marine clay [14]2.5Singapore marine clay [15]
2.0

2
q/q28

q (MPa)Bangladesh clay [13]

1

1.5
1.0

0
0

2

4

6

8
w/b

10

12

14

16

0.5

Fig. 1: q - w/b plot

0.0
0

CH

327

10

20

30

40

Horpibulsuk et al. [17]:q/q28 = (0.0149 x curing time) + 0.46

5060

SEE-Mie, Japan, Nov. 19-21, 2015

The technical support from the RECESS laboratoryis duly acknowledged. Funds for the study were
provided by Research Grant ScienceFund S025,
MOSTI and ORICC, UTHM.

6

5

4

q (MPa)REFERENCES
3

[1]

2

1

0
0

10

20

30

40

50

60

3.0
2.5

q/q28

2.0
1.5
1.0
0.5
0.0
0

10

20

30

40

50

60

0

10

20

30

40

50

60

3.0
2.5

q/q28

2.0
1.5
1.0
0.5
0.0
Curing time (days)

ACKNOWLEDGEMENT
328

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Netherlands & Japan: IADC & IAPH, 2010.
[2] Maher A, Douglas WS, Jafari F & Pecchioli J,
The Processing and Beneficial Use of Finegrained Dredged Material: A Manual forEngineers.
New
Jersey,Washington:
RUTGERS Centre for Advanced Infrastructure
and Transportation, 2013.
[3] Wan Salim WS, Mohd Noor NA, Sadikon SF,
Arshad MF, Wahid N & Mohd S, “Thepreliminary investigation on the dredged
marine sediment of Kuala Perlis as a potential
brick material”, in Proc. 2nd Int. Conf. on
Biotechnology and Environment Management(IPCBEE), 2012, pp. 25-29.
[4] Rekik B & Boutouil M, “Geotechnicalproperties of dredged marine sediments treatedat high water/cement ratio”, Geo-Marine
Letters, Vol. 29(3), 2009, pp. 171-179.
[5] CEDA, Dredging and the Environment:
Moving Sediments in Natural Systems. CEDA
Information Paper, 2009.
[6] Rao DK, Raju RP, Sowjanya C & Rao P,“Laboratory studies on the properties ofstabilized marine clay from Kakinada sea coast,
India”, Int. J. of Engineering Science andTechnology (IJEST), Vol. 3(1), 2009, pp. 421428.
[7] Basack S & Purkayastha RD, "Engineering
properties of marine clays from the eastern
coast of India", J. of Engineering andTechnology Research, Vol. 1(6), 2009, pp.
109-114.
[8] Makusa GP, Soil Stabilisation Methods andMaterials in Engineering Practice. Sweden:Luleå University of Technology, 2012.
[9] ASTM D-2487-11, Standard Practice forClassification of Soils for Engineering
Purposes: Unified Soil Classification System,
ASTM, 2006.
[10] Azhar A, Chan C-M & Abd Karim AT,“Solification potential of fine-grained dredged
marine soils: water-binder ratio effects”, J. of
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pp. 48-53.
[11] BS1377, Methods of Test for Civil Engineering
Purposes, BSI, 1990.
[12] Chiu CF, Zhu W & Zhang CL, “Yielding andshear behaviour of cement-treated dredged

SEE-Mie, Japan, Nov. 19-21, 2015

materials”, J. of Engineering Geology, Vol.
103(1-2), 2009, pp. 1-12.
[13] Rahman MM, Siddique A, & Uddin MK,“Clay-water / Cement ratio as the prime
parameter for fine grained soil improvement athigh water content”, J. of Dhaka University ofEngineering & Technology (DUET), Vol. 1(3),2012, pp. 1-11.
[14] Lu YT, Tan T S, & Phoon KK, “Accelerated
testing of cement treated Singapore marine
clay cured under elevated temperature”, in
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ASCE J. of Geotechnical & Geoenvironmental
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[16] Chan C-M, “Influence of mix uniformity on the
induced solidification of dredged marine clay”,
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329

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

THE BEHAVIOR OF COUPLING BEAMS FOR MASONRYSTRUCTURES IN SEISMIC REGIONS
1,2

Barnaure Mircea1, Stoica Daniel2
Technical University of Civil Engineering Bucharest, Romania

ABSTRACT
A force based approach is considered for the seismic design of masonry structures in Europe. Practicing
engineers generally use simplified numerical models, in which the walls are modeled as equivalent frames.
These simplified models can lead to reasonably accurate results, but caution should be given to the simplifying
assumptions. If the behavior of the masonry piers has been extensively studied in the past, the influence of the
spandrel elements that act as coupling beams between them is less known. An analysis of how various
parameters considered in the numerical model influence the seismic behavior of confined masonry walls is made.
Keywords: Coupling Beam, Masonry, Earthquake Modelingbehavior of confined masonry structures. As
spandrels are very stiff, assuring a consistent
coupling between piers of modern masonry
structures, we will refer to them as coupling beams.
A numerical simulation on several plane models
of a structural shear wall is carried out using the
ETABS software. The parameters considered
involve the pier and coupling beam dimensions, thereinforcement of beams and columns and thecoupling beam type. Conclusions are drawn on the
behavior of the structure as well as on the influenceof simplified procedures on the results.

INTRODUCTION
Masonry is one of the most used structural
systems for low and mid rise buildings. In Europe,
the seismic design of this type of structures is donein accordance with the in-force regulations [1], [2]and generally requires the use of numerical models.
As the structural behavior of masonry structuressubmitted to earthquake loads is influenced by many
parameters [3], a very accurate numerical model
involves complicated tools [4]. The latter would be
too sophisticated for addressing the necessities ofcommon structural design and, as a result, practicing
engineers tend to rely on simplified models.
The use of commercially available structuraldesign software that is simple enough to be used byprofessional engineers can lead to accurate nonlinear
modeling [5].
The European seismic design of the buildings is
a force-based design, using force-reduction factors
for earthquake loads, while the distribution of lateralforces between the structural elements is based onelastic estimates of stiffness. A single ductility value
for a structural type is considered, regardless of thegeometry of the buildings. This may lead tounderestimating the distribution of forces in the
structural elements, with a risk of brittle failure [6].
Simple equivalent frame models can often be
used for design purposes while requiring very low
computational time [7].
For the masonry buildings modeled using anequivalent frame model, the strength of the piers andspandrels need to be estimated based on mechanicalor empirical models. If there are many such models
that have been extensively tested in the case of piers,
there are few such models for spandrels [8].
The present work investigates the influence ofvarious spandrel related parameters on the structural

COUPLING BEAM CONFIGURATIONS
For historical buildings, the spandrel elements
are generally weak, with lintels being made or
masonry arches, wood or steel profiles (Fig. 1).

Masonry arch over door/window openings

Steel profiles over door/window openings
Fig. 1 Coupling beam solutions for historic buildings
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SEE-Mie, Japan, Nov. 19-21, 2015

Because of this, old masonry structures are often
analyzed with a simplified weak spandrel - strong
pier approach. In this model, the hypothesis of bothnull strength and null stiffness of spandrels is often
adopted and the piers are assumed as uncoupled [9].
On the contrary, for modern confined masonrybuildings, the analysis is often based on a simplified
weak pier-strong spandrel model. In new buildings,
the masonry spandrels are connected to the lintels,
tie-beams and slabs made of reinforced concrete.
The coupling beams of the new buildings havehigh strength capacity, meaning that the assumptionthat failure occurs in the masonry piers is generally
valid. The hypothesis corresponds to experimental
results showing that modern spandrels display amuch higher strength when compared to traditional
solutions [10].
On a given facade wall, an architect may choose
to have multiple door and window types. As the
position and shape of openings vary, the dimensionof the coupling beams between the piers will also
differ (Fig. 2). These possible configurations could
influence the seismic response of the building.

Nonlinear hinges are assigned to the column andbeam ends. For the intersections, perfectly rigid
zones are specified based on element geometry.
Two load definition patterns for the gravitationalloads are considered. The first pattern consists inapplying distributed loads on the beams, while thesecond refers to applying loads only at the nodes.
For the in-plane seismic action, push-overanalyses are carried out, as described in [11]. A
maximum displacement of 600 mm is imposed forthe analysis.

Fig. 3 Geometry of the wall in the model
Six different specifications for the coupling beamgeometry are considered (Fig. 4). R1 corresponds toa RC tie beam 15 cm height, while for R2 a 25 cm
tie beam is imposed. The R3 specification has aparapet over the tie beam. R4 consists of a 15 cm
lintel, masonry and a 25 cm tie beam. R5 is similar
to R3, but with a 15 cm tie beam at the top of theparapet. Lastly, R6 corresponds to a mixture of theR4 and R5 coupling beams.

Fig. 2 Coupling beam solutions for new buildings
NUMERICAL MODEL
A 5 storey building with a 3 m floor height isconsidered. The analysis of an outer wall with 4spans (Fig. 3) is conducted. A 500 cm spacing
between the walls axes is chosen. The wall ismodeled as a grid of linear elements (posts andbeams).
For the masonry piers, three lengths are
considered - 2 m, 3m and 4 m. A value of 25 cm ischosen for the width of the walls. Square concrete
columns 25 x 25 cm, reinforced with 4 D14
longitudinal bars are defined at both ends of thewalls. The geometry of the elements is defined using
the section design feature of the software.
The chosen materials in the model are as follows:solid brick masonry f k =6 N/mm2, C20/25 concreteand PC52 (f yd = 300N/mm2) reinforcement.

R1

R2

R3

R4

R5

R6

Fig. 4 Types of coupling beams considered
The coupling beams are analyzed for 3 cases ofreinforcement in their RC members - 4Φ12, 4Φ14
and 4Φ16 bars.
RESULTS
Influence of the loading pattern
The load definition pattern has an influence only
on the 2 m wall 3 m model for the R1 and R2
coupling beams. For this scenario, a difference inbehavior appears between the loaded and unloaded
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beam models. This can be explained by the fact thatin the loaded model the R1 and R2 beams reach theirbending capacity due to gravitational loads, while
the seismic load causes a faster collapse than in thecase of the unloaded beam models. For the othertypes of beams, the choice between applying loads
only at the nodes or fully loading the beams brings
no significant difference in the results.

high rotation capacity of the R1 and R2 beams ascompared to remaining specifications, where thebeams considered are relatively rigid. A muchfavorable structural behavior is obtained, given that
more plastic hinges are developed before reachingcollapse.

Influence of the coupling beam geometry
The force-displacement diagrams for the 3 m long
beams models are presented in Fig. 5. For this
scenario, a lower stiffness can be observed for R1
and R2 beams.

Fig. 7 Influence of the coupling beam length on the
maximum displacement

Fig. 5 Force-displacement curve for various beam
types (3 m beams with 4 D12 rebar)
Fig. 8 Influence of the coupling beam length on the
maximum base shear

For the 2 m (Fig. 6) and 1 m long coupling beams,
using type R1 or R2 coupling leads not only to highdisplacement capacity of the building, but also tohigh values for maximum base shear.

Influence of the coupling beam reinforcement
The influence of the rebar diameter on the maximum
top displacement and the base shear is analyzed inwhat follows. For the 3 m beams, no clear influenceof maximum displacement can be established (Fig.
9). For the R1 and R2 beams, the reinforcement has
little to no influence on the maximum base shear(Fig. 10).

Fig. 6 Force-displacement curve for various beam
types (2 m beams with 4 D12 rebar)
For the R3 to R6 beam specifications, a lower beam
length leads to a higher maximum base shear(Fig. 7) while the maximum displacement isdecreased (Fig. 8). In the case of the R1 and R2
beams, there is a very high increase in the maximum
base shear as well as in displacement if the beam
length is low. The difference can be explained by theFig. 9 Influence of the beam reinforcement on the
maximum displacement (3 m beams)
When considering the R3 to R6 beams, higher
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reinforcement leads to higher base shear (up to 44%
base shear increase for R5 between D16 and D12
rebar). A similar behavior is observed for the 1 m
and 2 m beam models.

buildings - Rules for reinforced andunreinforced masonry EN 1996-1-1:2005,
Brussels[3] Nucera, F., et al. "Influence of geometricaland mechanical parameters on the seismic
vulnerability assessment of confined masonrybuildings by macro-element modeling", inProceedings of 15th World Conference on
Earthquake Engineering, 2012. pp. 24-28.
[4] Marques, R., & Lourenço, P. B..
Unreinforced and confined masonry buildings
in seismic regions: Validation of macroelement
modelsandcost
analysis.
Engineering Structures, 64, 2014, pp. 52-67.
[5] Pasticier, L., Amadio, C., & Fragiacomo, M.
"Non‐linear seismic analysis and vulnerability
evaluation of a masonry building by means of
the SAP2000 V. 10 code" Earthquake
Engineering & Structural Dynamics, 37(3),2008, pp. 467-485.
[6] Priestley, M. J. N., Calvi, G. M., & Kowalsky,
M. J. "Direct displacement-based seismic
design of structures", in 2007 NZSEE
Conference.
[7] Kappos, A. J., Penelis, G. G., & Drakopoulos,
C. G., "Evaluation of simplified models forlateral load analysis of unreinforced masonrybuildings", Journal of structural Engineering,
128(7), 2002, pp. 890-897.
[8] Beyer, K., & Mangalathu, S. "Review ofstrength models for masonry spandrels",
Bulletin of Earthquake Engineering, 11(2),2013, pp. 521-542.
[9] Cattari, S., & Lagomarsino, S. "A strength
criterion for the flexural behaviour of
spandrel in un-reinforced masonry walls", inProc. of 14th WCEE, 2008.
[10] Parisi, F., Augenti, N., & Prota, A.
"Implications of the spandrel type on thelateral behavior of unreinforced masonrywalls", Earthquake Engineering & Structural
Dynamics, 43(12), 2014, pp. 1867-1887.
[11] Barnaure, M., Stoica D., "On the numericalmodeling of confined masonry structures forin-plane earthquake loads", accepted inAnalele Universitatii Eftimie Murgu, 2015

Fig. 10 Influence of the beam reinforcement on the
maximum base shear (3 m beams)

CONCLUSIONS
A numerical simulation on plane models of aconfined masonry wall was carried out. Several
parameters were considered: the way of defining
loads, the wall and coupling beams dimensions, thecoupling beam types and the reinforcement of beams.
Similar results were obtained on the models withloads only applied at nodes and on models withloads applied both on beams and at nodes.
Low height coupling beams (R1 and R2) showeda very high post elastic rotation capacity, whichleads to a relatively high displacement capacity ofthe building.
When the behavior of the high coupling beams
was analyzed, a lower displacement capacity of thebuilding was observed if the beam length was lower.
Still, for the 3 m, 2 m and 1 m long beams, a linear
increase of the maximum base shear was observed.
The beam reinforcement had no clear impact on
the maximum displacement of the building. For low
height beams, the reinforcement had little influenceon the maximum base shear. In the case of highcoupling beams, higher reinforcement ratios led tohigher base shear.

REFERENCES[1] CEN (2004) Eurocode 8: Design of structures
for earthquake resistance - Part 1: Generalrules, seismic actions and rules for buildings.
EN 1998-1:2004, Brussels[2] CEN (2005) Eurocode 6: Design of masonry
structures - Part 1-1: General rules for333

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A NOVEL PRODUCTION PROCESS MODELING FOR ANALYTICSRich Lee12
National Taipei University of Technology, Taiwan; 2 IBM, Taiwan

1

ABSTRACTThe nowadays manufacturing is facing the critical challenges from various aspects including the trend ofmoving towards the new era of Industrial 4.0 [1]—an analytical and predictive driven production thinking, theSmart Factory. To effectively embed the necessary processes for analytics, a new way of modeling the process
flows is essential to realize the goal of the predictive lean production. To reach these objectives, this paper
presents a novel process modeling approach for analytics to the practitioners and the industries. The analysis of
the smart factory theme includes the statistics, the data mining, and the operation research approaches [2] basedon the various management improvement or the prediction objectives. The proposed process modeling foranalytics extends the XML (eXtensible Markup Language), which is also commonly used in software
engineering [3]. The purpose of using this is to streamline the latter integration with the analytical processes
among the software systems and will play a key part of the factory knowledge management for continuous
improvement.
Keywords: Smart Factory, Operation Management, Business Analytics, Production Modelingsynergistically. During this knowledge generation
process, the taxonomy of the information plays asignificant role in extracting and adopting theinformation from the repository effectively.
Intensifying the positive externality [5] from theseanalytical processes requires more capabilities fromthe general knowledge management, including theexecution orders and sequences among theseprocesses. These process execution orders andsequences are parts of operation activities that areunder the enterprise business process management.
Therefore, the smart factory demands theseanalytical processes to be governed by bothknowledge and the Business Process Management(BPM) at the same time [6].
This paper presents a novel way to incorporate
the knowledge and the business process
management to intensify the outcome from thesynergy of analytical processes, and to evolving thefactory towards the smarter organization.

INTRODUCTION
Nowadays, the business environment is volatileand harsh, making-decision intuitively cannot
answer this complexity with confidence; manyorganizations are evolving their operations anddecision-making processes to be more analytical andpredictive driven. In manufacturing, theseenterprises commence their Industry 4.0 initiatives
and experience their journeys toward a smarter
factory. Using the analytical approach to enhance
the quality and the precision of operational activities
is not a new thing to the enterprises, for instances,
Engineering Data Analysis (EDA), Manufacturing
Execution System (MES) and Management
Accounting have been a part of daily operations for
decades in a factory. These discontinuous analyticalprocesses have limited synergistic influence on theenterprise efficiency improvement. On the other
hand, these processes are a part of intellectual capitalof an enterprise, which is unique and not easily tomimic from the competitors [4]. The essence ofsmart factory is not just looking for the factory
automation—deploying the robotic equipment toreplace the labors, nor limited in pursuing theefficiency of processes. In rather, the smart factory
is an attitude of an enterprise to take the analyticalperspective as the tool in exploring the potential
causes of and the feasible approaches in resolving
the problems.
Such an attitude requires a systematic scheme toreposit and adopt these analytical processes in asynergetic way. The Knowledge Management (KM)
is to capture, classify, store, transform, analyze,
implicate, disseminate, and adopt the information

SMART FACTORY THEME
The lean production—to illuminate all possible
wastes including the tangible and the intangible ones
including the labor, the resources, and the time—has
governed the factory management for years. The
concept of Industry 4.0 supports the lean production
objectives in a predictive way. One major reason
causes the unpredictable volatility is the variance ofthe coming customer orders. This paper conducted
the literature review by looking up the Google
Scholar using the keywords of “Smart factory” or334

SEE-Mie, Japan, Nov. 19-21, 2015

examines the current lean production processes
where the smart factory theme can facilitate theproduction in pursuing better responsive, quality
objectives.
The smart factory theme in predictive
perspective, illustrated in Fig. 2, contains threemajor kinds of analyses commonly applied in the
manufacturing: (1) the statistical, (2) the data mining,and (3) the operation research approaches. In thelean production processes, the proposed minimal
analyses are: (1) Purchase Order, (2) Production
Scheduling, (3) Inventory Management, (4) Quality
Assurance and Control, (5) Production Management,(6) Logistics Management, and (7) Management
Accounting; show in Table 1.

“Industrie 4.0” —which is the original idea of smart
factory from—respectively contained in their titles
from the year of 2014—after the Industry 4.0 was
brought up with clear pictures—to the present. There
were 17 articles titled with the keyword of “Smartfactory”, 12 in English, 4 in German, and 1 inRussian language; while there were 81 articles titledwith the keyword of “Industrie 4.0” which means“Industry 4.0” in English, 9 in English and 11 inGerman language of the first 20 articles appeared in
the search.
Two word-cloud diagrams were generated
against the term frequencies appearing in different
sizes accordingly, one was derived from the titles;
the other was derived from the abstracts, total 6,216
terms were processed, the most significant ones of
the abstracts were: “production” (318 times),“systems” (277 times), “processes” (259 times),“technology” (212 times), “information” (187 times),“integration” (150 times), “models” (124 times),“networks” (119), “technical” (114 times),“revolution” (109 times), “approach” (105 times),“structures” (101 times), “engineering” (97 times),“organization” (94 times), and “change” (91 times) .

Table 1 The Proposed Minimal Analyses for the
Lean Production
Category
Purchase
Order
Production
Scheduling
Inventory
Management
Quality
Assurance
and Control
Production
Management

Fig. 1 The Word-Cloud Diagram Derived from the
Article Titles

Logistics
Management
Management
Accounting

Analytic Model
Statistical
Operation
or/and Data
Research
MiningPurchase
Order
Order
Contribution andAnalysis andSequencing
Prediction
Analysis
Production
Production
Scheduling
Resources
Variance
Allocation
Analysis
Optimization
Aging
Safety Stock
Analysis andEstimation andPrediction
Cost Prediction
Quality Risk
Inspection
Measurement
Measurement andand Analysis
Analysis
Production
Outsourcing
Process
Contribution
Variances
Analysis andAnalysis
Optimization
Logistics
Logistics Cost
Variances
Optimization
Analysis
Operation
Investment
Risk
Return Analysis
Measurement
and Optimization
and Analysis

Modeling Analytical Process

Fig. 2 The Word-Cloud Diagram Derived from the
Abstracts

In the holistic view of an analytical process, it
involves the participants and the components
including: (1) the actor—who initiates the process;(2) the process—which consumes the input
information and generates the results; (3) theactant—who takes the actions accordingly; (4) the
dispatch—which usually kicks another series ofprocesses sequentially or simultaneously. The Fig. 3

From the word-cloud diagram illustrated in Fig.
1, it gives an idea of what smart factory is; it is about
innovation, technology, solution, algorithm,
computing, and systems; it faces the opportunities
and challenges; and it focuses on sustainable,
environment, and management. Therefore, this paper
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SEE-Mie, Japan, Nov. 19-21, 2015

illustrates the basic pattern of an analytic process;the dispatch can be another analytical process, acomputational script task, or a manual task to takemanagerial actions. In many occasions, the actor isactually time-driven; the dispatch can send messages

to an electronic kanban device, to kick a persistent
service task, or to reposit information into theknowledge management system through a receivetask.

Fig. 3 The Smart Factory Theme
Each analytical process has a unique identifier sodo the participants and the components. This paper
proposes 5 types of participants and the components,
shown in Table 2, including: (1) actor/actant, (2)analytical process, (3) manual task, (4) script tasks,and (5) mail task. Among the information column,
each array contains nothing means no following task
or a list of consecutive tasks. The script task is theactual activity applying analytic methods such as
descriptive statistics, multi-variable regression, or kmean classification. Fig. 4 illustrates the basic
pattern of a generic analytical process; while Fig. 5
shows a specific pattern of a time-driven analyticalprocess.

Manual Task

• Unique Identifier• Purpose of Task
• Actor (Array)• Message
Sent/Received• Dispatch (Task Array)

Script Task

• Unique Identifier• Purpose of Script• Data Source• Script Language• Major Methods ofAnalysis• Result Data
• Unique Identifier• Purpose of Task
• Message Received• Taxonomy

Table 2 Analytical Process Participants andComponents
Participants/Components
Actor/Actant

Analytical Process

Information (at least
inclusive)• Unique Identifier• Role Description• Name of Role
• Message
Sent/Received• Unique Identifier• Purpose of Analysis• Result Implication• Script Identifier(Script Array)• Dispatch (Task Array)

Receive Task

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Service Task

Mail Task• Unique Identifier• Purpose of Task
• Message Received• Trigger Time• Script Identifier(Script Array)• Unique Identifier• Purpose of Task
• Message Received• Device Identifier(Device Array)

identifying the participants; (4) analyticalProcess—used as the main body of analysis; (5)eventBasedGateway—used as the dispatch; (6)manualTask—used for manual operation; (7)scriptTask—used for a analytical program such as
Python, R, or designed in other computing language;(8) messageEventDefinition—used for describing
the message content as the input or the result; (9)timerEventDefinition—used as a time trigger to kickthe analytical process; and (10) sequenceFlow—used as the link between connected tasks.

The participants of the business processes, acombination of series of tasks often use a processmodeling tool—BPM systems—to describe howthese tasks, collaborate together to accomplish thebusiness objectives; in many occasions, the process
flows are implicitly embedded within the IT systems
and no modeling required; such systems the ERP,
MES, and EDA are the examples of them. The
conventional BPM are development-driven focusing
on the automation of the predefined process flows.
The positive externality of synergistic effect can bealso expected within a boundary. The KM is kind ofOpen
Innovation
Model—stimulating
theparticipants willing to share their creativity and thesolutions of the raised questions [7]; for simplicity,
the proposed analytical process is a BPM element in
the KM.
Both BPM and KM can be facilitated by the
BPMN—a form of XML. Two aforementioned
analytical process patterns described in XML form,
the first part in grey color is the common header ofthe XML; the second part is the detail of analyticalprocess description.
There are XML tags for the details: (1)targetNamespace—used for the stages of a lean
production; (2) process—used for describing thewhole analytical process; (3) userTask—used forFig. 4 Basic Pattern of an Analytical Process

Fig. 5 A Pattern of a Time-driven Analytical Process

Analytical Process Knowledge Management

The knowledge initiator (as a participant)addresses a need of a piece of knowledge based on
the business situation and reality; using an analyticalmodeler to form and develop the knowledge
generating scheme, an analytical process, and thenrepositthisknowledge—qualitative
or/andquantitative—into the analytical KM. Anothersource of knowledge development is throughpredefined big data processes, collecting raw data,transforming the data into information, and giving
the business implication to derive the quantitativeknowledge.
Disseminating the knowledge, in which theconventional KM already has rich features, to otherparticipants, including external partners will speed

The ultimate purpose of the analytical processes
is to improve the business agility—toward a smart
factory—through the synergy of the Open
Innovation Model. To accomplish this mission,
setting the Knowledge Goal in phases is essential.
Some factories commence their smart factory
journeys without a clear goal, usually over-invested
the automation equipment and realigned theirbusiness strategy less. In fact, the smart factory is
not just pursuing the factory automation but
transforming their enterprises toward a learningorganization—the employees applying a systemthinking to resolve the business obstacles [8].
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knowledge; through reusing the retained knowledge,
consequently, a learning organization is seamlessly
formed. The Fig. 6 illustrates how analytic
knowledge management process, setting the goal,
identifying, developing, disseminating, utilizing,retaining, and assessing the knowledge, can benefit
the business agility—such as improving the qualityof delivery, illuminating the wastes by taking
advantage of the outcomes from the analytics—
through the synergy among the participants.

up the decision-making cycle and enhance thequality of the decisions. The knowledge consumer(as a participant) using the information retrievalfeatures of the KM to extract and reuse the required
knowledge to resolve their business issues retains
the knowledge with scenarios and the associateddata; during this process, the consumer assesses theusefulness, the applicable situations, and the requestfor-improvement about the knowledge andfeedbacks to the initiator. This whole iterative
process refines the quality and the usefulness of theFig. 6 The Analytical Process Knowledge Management
deployed in many factories to derive the special
process models for the needs of Smart Factory.
Finally, this paper emphasizes that transforming thefactory into a learning organization—accumulating
the intellectual capital—is equally important as thefactory automation. No matter what, modeling theanalytical process to form the knowledge is theuncontroversial starting point of the journey toward
the Smart Factory.

CONCLUSIONThe Smart Factory is the next level of lean
production; not just deals with the present wastes,
but also foresees the potential coming wastes andtake actions proactively. This paper identifies there
is a strong need of analytical process modelingnotation for Smart Factory from the recent literatures.
To avoid the reinvestment on IT systems, this paper
applies the KM and BMP that have been already
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First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

ENERGY EFFICIENT FOR HEAT EXCHANGER, REFRIGERATION
AND AIR CONDITIONING
Abdeen Omer1
Energy Research Institute (ERI), United Kingdom

1

ABSTRACTOver the years, all parts of a commercial refrigerator, such as the compressor, heat exchangers, refrigerant,
and packaging, have been improved considerably due to the extensive research and development efforts carriedout by academia and industry. However, the achieved and anticipated improvement in conventional refrigeration
technology are incremental since this technology is already nearing its fundamentals limit of energy efficiency is
described is ‘magnetic refrigeration’ which is an evolving cooling technology. The word ‘green’ designates morethan a colour. It is a way of life, one that is becoming more and more common throughout the world. Aninteresting topic on ‘sustainable technologies for a greener world’ details about what each technology is and how
it achieves green goals. Recently, conventional chillers using absorption technology consume energy for hot
water generator but absorption chillers carry no energy saving. With the aim of providing a single point solution
for this dual purpose application, a product is launched but can provide simultaneous chilling and heating using
its vapour absorption technology with 40% saving in heating energy. Using energy efficiency and managing
customer energy use has become an integral and valuable exercise. The reason for this is green technology helps
to sustain life on earth. This not only applies to humans but to plants, animals and the rest of the ecosystem.
Energy prices and consumption will always be on an upward trajectory. In fact, energy costs have steadily risenover last decade and are expected to carry on doing so as consumption grows.
Keywords: Energy Saving; Energy Efficiency, Sustainable Technologies; Heat Exchangers; Refrigerant; Future
Prospective

An air-source heat pump is convenient to use andso it is a better method for electric heating. The
ambient temperature in winter is comparatively highin most regions, so heat pumps with high efficiency
can satisfy their heating requirement. On the other
hand, a conventional heat pump is unable to meetthe heating requirement in severely cold regions
anyway, because it’s heating capacity decreases
rapidly when ambient temperature is below -10oC.
According to the weather data in cold regions, theair-source heat pump for heating applications must
operate for long times with high efficiency andreliability when ambient temperature is as low as 15oC. Hence, much researches and developments
have been conducted to enable heat pumps tooperate steadily with high efficiency and reliability
in low temperature environments [2]. For example,
the burner of a room air conditioner, which uses
kerosene, was developed to improve theperformance in low outside temperature [3].
Similarly, the packaged heat pump with variablefrequency scroll compressor was developed torealise high temperature air supply and high capacity
even under the low ambient temperature of –10 to –20oC [4]. Such a heat pump systems can beconveniently used for heating in cold regions.
However, the importance of targeting the low

INTRODUCTION
This section describes the different methods andtechniques for providing energy for heating andcooling systems. It also, covers the optimisation andimprovement of the operation conditions of the heat
cycles and the performance of the ground source
heat pump systems (GSHPs).
With the improvement of people’s living
standards and the development of economies, heatpumps have become widely used for air conditioning.
The driver to this was that environmental problems
associated with the use of refrigeration equipment,
the ozone layer depletion and global warming areincreasingly becoming the main concerns indeveloped and developing countries alike. With
development and enlargement of the cities in cold
regions, the conventional heating methods canseverely pollute the environment. In order to clean
the cities, the governments drew many measures torestrict citizen heating by burning coal and oil andencourage them to use electric or gas-burning
heating. New approaches are being studied andsolar-assisted reversible absorption heat pump forsmall power applications using water-ammonia isunder development [1].

340

SEE-Mie, Japan, Nov. 19-21, 2015

capacity range is clear if one has in mind that the air
conditioning units below 10 kW cooling account for
more than 90% of the total number of units installedin the EU [5].
Conventional heating or cooling systems requireenergy from limited resources, e.g., electricity andnatural gas, which have become increasingly more
expensive and are at times subjects to shortages.
Much attention has been given to sources subject tosources of energy that exist as natural phenomena.
Such energy includes geothermal energy, solar
energy, tidal energy, and wind generated energy.
While all of these energy sources have advantages
and disadvantages, geothermal energy, i.e., energy
derived from the earth or ground, has been
considered by many as the most reliable, readily
available, and most easily tapped of the natural
phenomena.
Ground source based geothermal systems havebeen used with heat pumps or air handling units tosatisfy building HVAC (heating, ventilation, and air
conditioning) loads. These systems are favoured
because geothermal systems are environmentallyfriendly and have low greenhouse emissions.
The installation and operation of a geothermal
system of the present invention may be affected byvarious factors. These factors include, but are notlimited to, the field size, the hydrology of the site thethermal conductivity and thermal diffusivity of therock formation, the number of wells, the distribution
pattern of the wells, the drilled depth of each well,and the building load profiles. Undersized fieldinstallations require higher duty cycles, which may
result in more extreme water temperatures and lower
HVAC performance in certain cases. Oversized field
designs, on the other hand, require more wells,
pumps and field plumbing and therefore will be
more expensive, albeit adequate to handle almost
any load circumstances. The detailed knowledge ofthe field rock (e.g., porosity, permeability, thermal
diffusivity, heat capacity, or other aquifer
parameters) may facilitate the determination of theappropriate drilling depth for each well, as well as
the number and position of such wells needed at thatsite. Some of this information may be obtained
during the drilling operation.

have many more hours of surplus heating capacity
than required for space heating. In fact, there aresources of energy all around in the form of stored
solar energy, which even if they have a lowtemperature, can provide the surroundings withenough energy to heat the soil, bedrock and groundwater as a heat source for domestic dwellings asshown in Fig. 1, for example. Some emphasis has
recently been put on the utilisation of the ambient
energy from ground source and other renewableenergy sources in order to stimulate alternative
energy sources for heating and cooling of buildings.
Exploitation of renewable energy sources andparticularly ground heat in buildings cansignificantly
contributetowards
reducing
dependency on fossil fuels.
FUNCTION OF THE GSHP CIRCUIT
The collector liquid (cooling medium) is pumped
up from the borehole in tubing and passed to theheat pump. Another fluid, a refrigerant, circulates in
the heat pump in a closed system with the mostimportant characteristic of having a low boilingpoint. When the refrigerant reaches the evaporator,
which has received energy from the borehole, andthe refrigerant evaporates. The vapour is fed to acompressor where it is compressed. This results in ahigh increase in temperature. The warm refrigerantis fed to the condenser, which is positioned in the
boiler water. Here the refrigerant gives off its energy
to the boiler water, so that its temperature drops andthe refrigerant changes state from gas to liquid. The
refrigerant then goes via filters to an expansion
valve, where the pressure and temperature arefurther reduced. The refrigerant has now completed
its circuit and is once more fed into the evaporator
where it is evaporated yet again due to the effect of
the energy that the collector has carried from theenergy source (Fig. 2).

EARTH-ENERGY SYSTEMS (EESS)The earth-energy systems, EESs, have two parts;
a circuit of underground piping outside the house,
and a heat pump unit inside the house. And unlike
the air-source heat pump, where one heat exchanger(and frequently the compressor) is located outside,
the entire GSHP unit for the EES is located inside
the house.
Hot water heating is easy with EESs because thecompressor is located inside. Because EESs haverelatively constant heating capacity, they generally

Fig. 1 Using the soil, bedrock or groundwater as theheat source.
341

SEE-Mie, Japan, Nov. 19-21, 2015

are a highly efficient, renewable energy technology
for space heating and cooling. This technology relieson the fact that, at depth, the Earth has a relatively
constant temperature, warmer than the air in winterand cooler than the air in summer.
A geothermal heat pump can transfer heat stored
in the earth into a building during the winter, andtransfer heat out of the building during the summer.
Furthermore, special geological conditions, such as
hot springs, are not needed for successful applicationof geothermal heat pumps. The GSHPs are receiving
increasing interest because of their potential toreduce primary energy consumption and thus reduce
emissions of the GHGs. The GSHP is generally
recognised to be one of the most outstanding
technologies of heating and cooling in bothresidential and commercial buildings, because it
provides high coefficient of performance (COP), up
to 3-4 for an indirect heating system and 3.5-5 for a
direct heating system.
The main benefit of using the GSHPs is that thetemperature of the subsurface is not subject to large
variations experienced by air. It is currently the mostcommon thermal energy source for the heat pumps,
and so would allow construction of more efficientsystems with superior performance. The GSHPs do
not need large cooling towers and their running costs
are lower than conventional heating and air
conditioning systems. As a result, the GSHPs haveincreasingly been used for building heating andcooling with annual rate of increase of 10% in recent
years.

Fig. 2 Detail of the GSHP circuit.
Naturally, it would be preferred, for comfort
reasons that this index would be small, preferably nil.
It may be seen that the variable is directly related totemperature discomfort: the larger the value of theindex, the farthest will inside conditions be fromexpected wellbeing. Also, the use of electricity
operated air conditioning systems will be more
expensive the higher this variable is. Hence, energy
expenditure to offset discomfort will be higher whencomparing two index values; the ratio of them is
proportional to the expected energy savings [6].
When the external shade blocks the windowpane
completely, the excessive heat gains belong to thelowest values in the set, and the dimensionless index
will be constant with orientation. For the climate
conditions of the locality, it can be seen that a naked
window can produce undesirable heat gains if theorientation is especially unfavourable, when theindex can have an increase of up to 0.3 with respect
to the totally shaded window.

ACKNOWLEDGMENT
The financial support for this research work isfrom the Energy Research Institute (ERI). Thanks to
my wife Kawthar Abdelhai Ali for her warmth andlove. Her unwavering faith in me, her intelligence,
humour, spontaneity, curiosity and wisdom added tothis article and to my life.
REFERENCES[1]

CONCLUSION
With increasing worldwide awareness of theserious environmental problems due to fossil fuelconsumption, efforts are being made to develop
energy efficient and environmentally friendly
systems by utilisation of non-polluting renewableenergy sources, such as solar energy, industrial
waste heat or geothermal water. The GSHPs are
suitable for heating and cooling of buildings and so
could play a significant role in reducing CO 2
emissions. Ground source or geothermal heat pumps

[2]

[3]

342

Luo, L.; Tondeur, D.; Le Gall, H.; and Corbel,
S. Constructal approach and multi- scale
components. Applied Thermal Engineering,
2007, 27, 1708-1714.
Luo, L.; Fan, Y.; and Tondeur, D. Heatexchanger: from micro to multi- scale design
optimisation. International Journal of Energy
Research, 2007, 31, 1266-1274.
Philappacopoulus, A.J.; and Berndt, M.L.
Influence of de-bonding in ground heatexchangers used with geothermal heat pumps.
Geothermics, 2001, 30, 5, 527-545.

SEE-Mie, Japan, Nov. 19-21, 2015

[4]

[5]

[6]

Jo, H.Y.; Katsumi, T.; Benson, C.H.; and Edil,
T.B. Hydraulic conductivity and swelling of
non-prehydrated GCLs permeated with singlespecies salt solutions. Journal of Geotechnicaland Geo-environmental Engineering, 2001,
127, 7, 557-567.
Anandarajah, A. Mechanism controlling
permeability changes in clays due to changes
in pore fluids. Journal of Geotechnical andGeo-environmental Engineering, 2003, 129, 2,
163-172.
Abdeen M. Omer, Low energy building
design: Heating, ventilation andairconditioning, Scientific Journal of Review,
Vol.4, No.2, England, 2015, pp. 30-46.

NOMENCLATURES
ACH
GSHP
HRV
HSPF
SEER
COP

343

Air changes per hour
Ground source heat pump
Heat recovery ventilator
Heating season performance factor
Seasonal energy efficiency ratio
Coefficient of performance (%)

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

REMOVAL OF REACTIVE DYES FROM AN AQUEOUS SOLUTION
USING PLANT-BASED SURFACTANT VIA MICELLAR-ENHANCEDMICROFILTRATION
Puasa S.W1, Ruzitah M.S2 and Sharifah A.S.A.K3
Faculty of Chemical Engineering, Universiti Teknologi MARA, Shah Alam, 40450 Selangor, Malaysia

1,2,3

ABSTRACTThe removal of C.I Reactive Black 5 (RB5) and C.I Reactive Orange 16 (RO16) using plant based esterquat(PBE) surfactant by micellar-enhanced microfiltration (MEMF) was investigated. The critical micelleconcentration (CMC) of PBE surfactant was obtained at 93.5 mg/L via conductivity method. The diameter ofmicelles formed was at size range from 140 to 1500 nm. The MEMF process was performed using hydrophilic
mixed cellulose esters microfiltration membrane (MCE) with pore size of 0.45 µm and the surfactant
concentration was varied from 1.5CMC to 2.5CMC at operating pressure of 100 kPa. Results obtained in MEMF
study shows almost complete decolourization of RB5 and RO16. The highest dye rejection obtained were
99.98% and 99.81% for RB5 and RO16, respectively at PBE concentration of 2.25CMC. This finding provedthat MEMF using biodegradable plant based esterquat has a great potential to be utilised as a new green
technology for removing reactive dyes from textile wastewater.
Keywords: Micellar-enhanced Ultrafiltration, Reactive Dye, Esterquat, Critical Micelle Concentration; Micelle

flocculation and coagulation. However, watersoluble dyes such as reactive dyes cannot be
removed efficiently by coagulation or adsorption
process. The conventional biological treatment
processes also unable to achieve adequate colour
removal [7]. Each of the method used for treatmentof textile dyeing effluent has its own capability ondyes removal. These methods have some limitationand disadvantages on the treatment processes.
Membrane filtration process is recognized as oneof the treatment method used in the textile
wastewater treatment [8]. Nanofiltration (NF)
membrane has confirmed its capability indecolorization of reactive dyes from textile effluent.
However, major limitation of membrane-based
separation processes is the decline in permeate flux
due to concentration polarization over the membranesurface and membrane fouling [9]. Due to thislimitation, it is a challenge for researchers to
discover new or enhanced method for membrane
separation process which is able to decolorize
reactive dyes (noticeable at concentration above 1
mg/L) and at the same time produce high permeate
flux at low operating pressure.
Surfactant-enhanced
membraneseparation
technology is found as one of the attractive method
for membrane separation process. This process
involves the addition of surfactant to textile effluent,and the process is namely as Micellar-enhanced
ultrafiltration (MEUF) or Micellar-enhanced
microfiltration process (MEMF) depending on thepore size of the membrane. MEUF use ultrafiltration
membrane while MEMF use microfiltration

INTRODUCTION
Textile industry is one of the largest and mostglobal industries in the world. Reactive dye wasused extensively by the textile industries. It is awater soluble anionic dye that contain one or morereactive groups which are designed to bondcovalently with hydroxyl group in cellulosic fibres[1]. These dyes have extensive selection of colour,
high wet fastness profiles which ease the application
where it require minimal energy consumption fordyeing process [2].
Textile industries nowadays are facing problems
due to large volumes of wastewater polluted withdyes produced in dyeing and finishingprocess [3]-[4]. The existence of even little amountof dye in water is noticeable which affects the water
clearness and aquatic life by blocking thepenetration of sunlight through the water [5].
According to Lazaridis, et al. [6], the concentrationof dyes present in textile effluent are commonly
between 10 to 50 mg/L and noticeable at dye
concentration of 1 mg/L.
The treatment of wastewater from cotton textile
processing industry has been widely explored in theliterature, especially for the wastewater from dyeing
operations. The removal of dyes depends on thechemical structure of dyes which lead to theselection of the suitable method use for wastewater
treatment. Most of the compound structure of dyes
can be very complex hence effect on the degree of
biodegradability. Generally, dye with low solubility
can be easily removed by physical means such as344

SEE-Mie, Japan, Nov. 19-21, 2015

membrane for the required separation. MEUF and
MEMF are known as viable alternative techniques as
they have proved their ability to remove
contaminants from wastewater [10]-[12].
In MEUF and MEMF processes, surfactant is
added into the aqueous stream containing
contaminants or solute (e.g metal ion, organic
materials, low molecular weight solute) above its
critical micelle concentration (CMC) [13]. When thesurfactant concentration exceeding the CMC value,
the surfactant monomers will assemble [14] andaggregate to form large amphiphilic transparent
micelles [15] having hydrodynamic diametersignificantly larger than the pore diameter ofultrafiltration or microfiltration membrane [14],[16]-[17]. The contaminants or solute will entrap in
the micelles if they are attracted strongly by micellesurface and will solubilize in the micelle interior [9].
Micelles containing solubilized contaminants withlarger diameter than membrane pore size will berejected by the membrane during filtration process
leaving only water, unsolubilized contaminants andsurfactant monomers in permeate stream [9], [17].
The MEUF processes on dyes removal havebeen explored by many researchers [9]-[10],[18]-[21]. Their works show that MEUF is apromising technique for dye removal. However, thechemical surfactants used in the MEUF process exist
in the permeate solution at concentration less than its
CMC. Consequently, further treatment on recovery
of surfactant from permeate solution is required toensure the process is clean from hazardous materials.
The limitation on the loss of surfactant monomers
and submicellar aggregates through the membranealso limits the use of MEUF technique [11].
Furthermore, in actual situation the real textile
wastewater contains several mixtures of reactive
dyes. Based on these studies, there is a need toinvestigate the competitive removal of reactive dyes
mixture using biodegradable plant-based surfactant
in surfactant – based separation process to ensure thetechnology is safe and environmental friendly.
The objective of this study is to remove the C.I
Reactive Black 5 (RB5) and C.I Reactive Orange 16(RO16) from aqueous solution using Micellarenhanced Microfiltration (MEMF). The surfactant
was characterized based on its functional group,
critical micelle concentration (CMC) and micelleparticle size. The study on MEMF was conducted at
a constant feed dye concentration of 50 mg/L. A
cationic biodegradable surfactant, plant based
esterquat (PBE) was used in MEMF process and its
effectiveness was investigated. A Mixed Cellulose
Ester (MCE) microfiltration membrane with poresize of 0.45 μm was used under unstirred dead-end
filtration. The investigation on the effect of feedsurfactant concentration on MEMF of RB5 andRO16 dye is based on the percentage of dye removal
and permeate flux of the separation.

EXPERIMENTAL
Materials
Reactive dyes; Reactive Black 5 (RB5) (MW
991.82) and Reactive Orange 16 (RO16) (MW
617.54) were purchased from Sigma Aldrich (M)Sdn. Bhd. The plant based esterquat (PBE) andmixed cellulose esters (MCE) membrane with poresize of 0.45 μm were obtained from Malaysian Palm
Oil Board (MPOB) and Merck-Milipore respectively.
Critical Micelle Concentration
The critical micelle concentration (CMC) was
determined from the concentration depending on thespecific conductivity measurement of the aqueous
solution at 27°C via WTW 3420 Multimeter. The
conductivity measurements were conducted byplacing a known volume of micellar surfactant
solution into a beaker, and successive injection ofdeionized water was added respective to the selectedsurfactant concentration [22]. The solution was
stirred via MR Hei-Tech Digital Hotplate stirrer
whereby EKT Hei-Con temperature control wasused to maintain the temperature of surfactant
solution and the conductivity was measured. The
final reading of conductivity value was obtained
after 5 minutes of injection to ensure the attainmentof equilibrium in the system.
Micellar-enhanced
process

microfiltration(MEMF)All experiments were carried out at room
temperature (27°C) using batch unstirred dead end
filtration (model Sterlitech™ HP4750, USA). Thedyes and PBE surfactant were mixed for 10 minuteswith stirring speed of 300 rpm before it was loadedin the stirred cell. The operating pressure wascontrolled at 100 kPa (14.5 psig). The membrane
was sonicated in deionized water (DI) water for 10
minutes at the end of each experiment and it will bereused if the water flux through the membrane
deviated within ±5% of its initial value.
The dye concentration were kept constant at 50
mg/L throughout the experiment and the PBE
concentration was varied at 1.5CMC, 1.75CMC,
2CMC, 2.25CMC, 2.5CMC
Analysis of theconcentration

particle

size

and

dyes

Particle size analysis of PBE micelle formation
was performed by Dynamic Light Scattering method
using Zetananosizer ZS90. The analysis was
performed at 100, 175 and 250 mg/L of PBE
concentrations. Concentration of dyes in the feed
and permeate were measured by Lambda UV-Vis
345

SEE-Mie, Japan, Nov. 19-21, 2015

Spectrophotometer. The wavelength at which
maximum absorption occur was 598 nm for RB5
and 493 nm for RO16.

solution. Further increment of PBE concentration to
250 mg/L resulted in bimodal distribution. The
intensity-weight obtained were 6% (D=141 nm) and
16% (D=825 nm) represented by the first and second
peak, respectively. Even though there was a sharp
increment in micelles size, micelles with smaller
diameter was also noticeable in the solution.
Therefore, the bimodal distribution may indicatesthat some of the micelles formed are unstable at highconcentration. As a result, some of the micelles
formed disaggregate to monomer which can beobserved as first peak of the bimodal distribution.

RESULTS AND DISCUSSION
Critical micelle concentration
The critical micelle concentration (CMC) is
considered as an indication of micellar stability formof surfactant relative to its monomeric form [23].
Determination of PBE’s CMC measurement via
conductivity method is shown in Fig. 1. From thisfigure, it is clearly shown that the conductivity
values increase rapidly at the beginning, but then theincrement gradually decreases with increased of
PBE concentration. This observation indicates theformation of micelles in the surfactant solution. The
break in slope of the curve at certain surfactant
concentration
identify the critical micelleconcentration (CMC) [24]. The same observation
also has been reported by other researchers in theirstudy on determination of surfactant’s CMC inaqueous solution [22], [25]-[27]. The CMC of PBE
obtained from this study is 93.5 mg/L

70
100 mg/L

Intensity (%)

60

175 mg/L

50

250 mg/L

40
30
20
10
0
10

100

1000

10000

Particle Diameter (nm)Fig. 2

Particle size distributions of aqueous
dispersion of micelles at various PBE
concentrations

250

Micellar-enhanced microfiltration (MEMF)
Conductivity (us/cm)

200

Fig. 3 presents the percentage of dye removal for
MEMF of RB5 and RO16 dye using PBE surfactant
For MEMF of RB5 and RO16 dye, it was observedthat the percentage of dye removal for RB5 is higher
than RO16 for all PBE concentrations. This finding
is contradict with the study reported by Ahmad andPuasa [10] and Puasa, et al. [28] where the dyerejection of RO16 is higher as compared to RB5
using cetylpyridinium chloride (CPC) as surfactant
via micellar-enhanced ultrafiltration (MEUF). The
difference between these findings is due to thedifferent type of surfactant used in the separation
process. The CPC and PBE esterquat surfactants
have different chemical structure although both arecationic surfactant. PBE esterquat consists of twohydrophobic tails while CPC consists only onehydrophobic tail and this lead to formation ofdifferent micelle shape for PBE esterquat and CPC.
The CPC surfactant formed spherical micelle inaqueous solution [29], while PBE esterquat
surfactant with double hydrophobic tail is unable toorganize into classical spherical micelles but
preferentially form vesicles and flexible bilayer
micelles [23], [30]-[32]. During MEMF process, themicelle array on membrane surface for esterquat ismore compact than CPC, hence increase theresistance of dye to pass through the membranesurface to the permeate side. Since RB5 has higher
molecular weight (MW 991.82) than RO16 (MW617.54), the possibilities of free-RB5 dye to retain

150
100
50
0
0

200

400

600

800

PBE concentration (mg/L)

Fig. 1

Determination of PBE’s
conductivity method

CMC

via

Particle Size Analysis
The size distribution for PBE surfactant in aqueous
solution was investigated by Dynamic Light
Scattering (DLS) method. The PBE concentration
was selected above its critical micelle concentration.
Fig. 2 shows intensity-weighted particle size
distribution of PBE micelles. It was found that a
unimodal distribution was obtained for 100 and 175
mg/L of PBE surfactant. The highest intensityweight percentage obtained at this concentration is
64% at 190 nm diameter (D). The diameter ofmicelles increased to 342 nm as the concentration of
PBE surfactant increased to 175 mg/L, however
there was a slight decreased of highest intensityweighted percentage to 44%. The increase in particle
diameter is due to the aggregation of micelles in
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SEE-Mie, Japan, Nov. 19-21, 2015

on membrane surface is higher as compared to
RO16, thus increase the RB5 rejection.
For MEMF of single RB5 and RO16 dye, it wasobserved that as the concentration of PBE increased
from 1.5CMC to 2.25CMC, there is a gradualincreased of RO16 removal as compared to RB5then slightly reduced at 2.5CMC. As discussed
earlier, the elevated PBE concentration enhanced thenumber of micelles, consequently increase the RO16
solubilization in micelles [10], [21], [33]-[34]. As aresult, more micelle will be retained on themembrane surface hence lead to sharp increment of
RO16 dye rejection. The percentage of dye removal
for MEMF of single RB5 dye initially increaseslightly from 1.5CMC to 1.75CMC then it becamealmost invariant at PBE concentration exceed
1.75CMC. The highest dye removal obtained at PBE
concentration of 2.25CMC were 99.98% and99.81% for RB5 and RO16, respectively.

The MEMF of RB5 dye obtained the highest
permeate flux appears to be contradict with thefinding reported by Puasa, et al. [28]. They reported
the permeate flux for MEUF of RB5 is lower thanRO16. The contradict results between these two
findings may due to the different of surfactant usedin separation process. Both RB5 and RO16 havegood solubilization ability in CPC micelles although
it is noted that RO16 more solubilize than RB5.
However for PBE surfactant, the potential of RB5 to
produce sparingly soluble precipitate with surfactant
is high, hence reducing the chances of RB5 to getsolubilized in PBE micelles. As a result, the micelles
are less compacted with RB5 and subsequently
reduce the volume of RB5-PBE micelles. Therefore,high permeate flux was obtained for MEMF of
single RB5 as compared to other MEMF process.
In addition, it is noticeable that lowest permeate
flux was obtained for MEMF of RO16 at 2.25CMC
and 2.5CMC. This finding reveals that thesolubilization of RO16 increase rapidly as the PBE
concentration increased to 2.5CMC, thus increasing
the amount of RO16 solubilized in surfactant
micelles. Micelles are compacted with RO16 which
increase the volume of RO16-PBE micelles, hence
increasing the gel layer thickness and creating moreresistance to the feed.

100.5

Dye removal (%)

100
99.5
99
98.5

RB5

98

RO16

97.5
1.25

Fig. 3

1.5

1.75
2
2.25
C/CMC Ratio

2.5

CONCLUSION

2.75

The Critical Micelle Concentration of PBE
surfactant obtained was at the range of 93.5 mg/L
via conductivity method. Since the CMC value ofesterquat is less than 100 mg/L, therefore lessamount of PBE surfactant is required in MEMF
process. Based on particle size analysis, the diameterof micelles formed ranges from 140 to 1500 nm
which facilitates the application of microfiltration
membrane in separation process. The highest dye
removal of RB5 and RO16 were 99.98% and99.81%, respectively. From these observations, it isproven that MEMF using PBE as surfactant ispossible to remove reactive dyes from aqueous
solution. Results obtained in MEMF study using
PBE
surfactant
shows
almostcompletedecolourization of RB5 and RO16 where thepermeate concentration is less than 1 mg/L.
Therefore, MEMF using biodegradable plant based
esterquat has a great potential to become a new
green technology for removing reactive dyes fromtextile wastewater.

Percentage of dye removal for MEMF of
single RB5 and single RO16 dye for PBE
surfactant

It is clearly shown in Fig. 4 that the permeate
flux decreases with increase in PBE concentration.
This indicates that the concentration of micelles
increases with ascending of surfactant concentration.
Thus, more micelles are retained on the membranesurface, forming a thicker layer of micelles known
as gel layer, thereby offer more resistance against
the solvent flux, consequently lowering the permeate
flux. The same observation was also reported in theliterature using MEUF [18], [35].
Permeate flux x 106 (m3/m2∙s)

14
RB5

12
10
8

RO16

6
4
2

ACKNOWLEDGEMENTS

0
1.25

1.5

1.75

2

2.25

2.5

2.75

This work was financially supported by theFundamental of Research Grant Scheme, from
Ministry of Higher Education, Malaysia andUniversiti Teknologi MARA, Malaysia. The authors
would like to thank the Malaysian Palm Oil Board

C/CMC Ratio

Fig. 4

Permeate flux for MEMF of RB5 and RO16
dye using PBE surfactant

347

SEE-Mie, Japan, Nov. 19-21, 2015

(MPOB) for providing the plant-based esterquat forthis project.
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[12]
[1]

[2]

[3]

[4]

[5]

[6]

[7]

[8]

[9]

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First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

MESSAGE PASSING ALGORITHM BASED ON CUT NODETREE
Zhang Huanming, Xian Kaiyi, Feng Lijun, Hu ChaokangElectronics and Information Engineering InstituteFoshan University, Foshan, Guangdong, China, 528000
ABSTRACTAn LDPC code can be described by a bipartite graph called Tanner graph[1]. Loops, especially shortloops in tanner graph, degrade the performance of LDPC decoder, because they affect theindependence of the extrinsic information exchanged in the iterative decoding. This paper, based onmessage passing in trees in Graph, proposes new decoding schemes for LDPC codes to suppress
repeated iteration of information in SPA.
Keywords—LDPC; belief propagation (BP); graph; iterative decoding; loop; cycle
Figure 2. Iterative Decoding Algorithm

1. BACKGROUD
In coding theory, Tanner graph, named after
Michael Tanner, is a bipartite graph used to state
constraints or equations which specify error
correcting codes[2]. See Figure 1. They are used
to construct longer codes from smaller ones.
Both encoders and decoders employ thesegraphs extensively[3][4].

R 0ji (t + 1) =1
1 + ∏ 1 − 2Qij1 ' (t ) 
2  j '∈N (i )\ j


(

)

(1)

R 1ji (t + 1) = 1 − R 0ji (t + 1)

(2)

Qij0 (t + 1) = α ij (1 − Pi ) ∏ R 0ji (t + 1)
i '∈M ( j )\ i

x1

x3

x2

x5

x4

x6

x7

x8

x9

Qij1 (t + 1) = α ij Pi
c2

c1

c3

c4

normalization constant,

α ij

•••

equation vector is c = {c1,c2 , ,cM } ， M isaathe number of equations. f = {f1 , ,f N }represents initial information about transmitted
codeword.
Where vi is the ith variable node, and c j is

cj

•••

j'

Figure

v1

v2

•••

vi

•••

Qija

vN
fia

f1a

f 2a

•••

fia

•••

cj
•••

{vi ' | i' ≠ i, i'∈ M (i )}
fi a

g aj

3. Updating rule for message passing

2. PRINCIPLE OF CUT-NODE TREE
In order to solute loops of LDPC code,
avoiding repeated information iteration. Tannergraph is re-drew as following principle:
Choosing an element ‘1’ in H, its variable(orcheck) node considered root node, check (orvariable)nodes connected to the variable(orcheck) node as 1st order child-nodes, a current
node, once appearance in ancestor node or
sibling node, will be cut and forbid to grow andbecome an end node like a leaf, but not a leaf
actually. And so forth, at last a cut-node tree canbe get. If all nodes are connected, a single
cut-node tree can be got, otherwise it is forest.
Repeating this process until all end nodes areeither cut-node or leaf node. See Figure 4.

cM

R aji

Qij0 (t + 1) + Qij1 (t + 1) = 1 .

R aji{c | j' ≠ j , j' ∈ N ( j )}the jth check equation.
The belief propagation(BP) of LDPC code
states as follows[5-7]：
R aji is check information from check nodeac j to variable node vi , and Qij variable
information from vi to check node c j .See Figure
2.
•••

(4)
a

Qija
vi

N is the length of codeword，Parity checkc2

denotesSee Figure 3[8].

instead received noisy vector y = {y1 , ,y N } .

c1

i '∈M ( j )\ i

c5

where
Figure 1. Tanner graph of an LDPC code
In communication system, the transmitted
random vector x = {x1, ,xN } is not observed;(3)∏ R1ji (t + 1)

f Na

350

1
1

H = 0

0
0

Start

Inputting H
Initialing T,markmatrix HH=H

Searching root node
Corresponding
element in HH equal
0(6)
Following tree matrix expressed by matlab
can be get, In fact, tree matrix matches alongwith Tree of Graph, [i j k l m], [i j] states current
node, [k l ] states father node, m states times
being cut.
So，searched by a computer, all loops andfeatures can be get by this algorithm, see Table
1.
Table 1: Features of loops about above example:

Searching son nodes
Corresponding
elements in HH
equal 0

Checking nodes
if onceappearance
beforeCeasing to grow andcounting

yesnoSearching next level
nodes
Corresponding
elements in HH
equal 0

no

Spar
sity

loo
ps

Total
lengthof loops

0.4

16

108

HH=0?

yes
Giving out loops:
number,paths,
lengths

Figure 4. Flow process chart of algorithm
HH is mark matrix, when a node appears ingraph, the element in HH changes to zero, every
element is zero in HH represents end ofalgorithm.
3. IMPLEMENT OF PRINCIPLE AND
RESULTSFirst, a node (variable node or check node),for instance, variable node vi , hij = 1 , should bechose as root node, its son nodes are those whichconnect to it, according to this principle, allchild-nodes can be obtained. This process can be
implemented by computer simulation in matlab’s
celluar array, and express H by means of
cut-node tree[6].
An example: for
0
0
1
1

1
0
1
0

0
1
0
1

1
0
0
1

0
1
1
0

fA
µ f A → x1
µ x2 → f Aµ f B → x1

µ x2 → f B

x2

x5

x7

c2

c3

c4

c3

x4

x6

x 248

x2

cf 4A

c3

cf D4

cf C4

x6

x7

x2

x4

Maxim
um
lengthLooprelati
vity

6

10

3.18

µ x4 → f A

x4

fB

fC

µ x3 → f B

x3

x3

fC

Figure 6. Message passing over cut-node treegraph
Cut node tree has all same characters withTanner graph.
4. CONLUSION
This paper provides a new method to describe
graph of LDPC codes, it aims to solute loops ofLDPC codes and message passing over cut node
tree. For a large matrix H, it is difficult to solute
loops, because loops convolve each other.
Features of loops have certain relationship withperformances. In this paper, A cut node tree canbe expressed by a certain matrix. By computer
simulation, cut-node tree can get right answer

c1

x3

girth

µ f C → x4

fB

(5)
has following cut-node tree graph(See Figure 5.)

x1

x2

x1

0
1
0

1

1
0
1
0

Aver
age
leng
th
6.75

Here, H is just a situation of single tree, with
15 cut-nodes, no leaf node and 16 loops. Further,
Message-passing form for cut-node tree has
following rule:
In a tree, Message-passing fellows a
two-pass form, first sweeping upwards fromleaves to a node designated as the root, and thendownwards from the root to leaves.
In a graph with cycle，Cut-node tree graphcan be get by cutting all loops, See Figure 6.

End

1
1
H =
0

0

1 1 1 0 0 0 0 0 0
0 0 0 1 1 1 0 0 0
1 0 0 1 0 0 1 1 0
0 1 0 0 1 0 1 0 1
0 0 1 0 0 1 1 0 1

x8

Figure 5. Tree Graph of LDPC codes
Another example: For instance, an LDPC
code with check matrix H:

351

and gives out method to calculate loops ofLDPC codes and cut node tree graph, its results
assist to further research on this relationship.
REFERENCE[1] R. G. Gallager, Low-Density Parity Check
Codes, MIT Press, Cambridge, MA, 1963.
[2] D. J. C. Mackay, "Good Error-Correcting
Codes Based on Very Sparse Matrices",
IEEE Trans. Inform. Theory, vol. 45,
399-431,Mar. 1999.
[3] R. M. Tanner, "A recursive approach to low
complexity codes," IEEE Trans. Inf Theory,
pp. 533-547, Sept. 1981
[4]R.Kschischang, B.J.Frey, and H.A.Loeliger,“Factor graphs and the sum-productalgorithm” IEEE Trans. Inform. Theory,
vol.47, no.2, pp.498–519, Feb 2001.
[5] N.Wiberg, Codes and decoding on generalgraphs, Linkoping Studies in Science andTechnology, Ph.D. dissertation No. 440,
Univ. Link oping, Sweden, 1996.
[6] Reinhard D, Graph Theory[M]. New York:
Springer-Verlag, 1997
[7] Martin J. Wainwright, Sparse Graph Codes
for Side Information and Binning, IEEE
SIGNAL PROCESSING MAGAZINE[47],47-57, SEPTEMBER 2007[8] Martin Wainwright, Tommi Jaakkola, andAlanWillsky,
Tree-based
reparameterization analysis of belief
propagation and related algorithms forapproximate inference on graphs withcycles, ISIT2002, Lausanne, Switzerland,
June 30-July 5, 2002

352

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

ON THE TURBULENT BOUNDARY LAYER OF A RAPID-FLOWINGDRY GRANULAR MATTER DOWN AN INCLINE: THEORY AND
NUMERICAL SIMULATIONS
Chung Fang
Department of Civil Engineering, National Cheng Kung University, Taiwan

ABSTRACT
Rheological characteristics of the turbulent boundary layer of an isothermal dry granular avalanche down an
incline are investigated by using the proposed zero-order turbulent closure model. The first and second laws ofthermodynamics are used to derive the equilibrium closure relations satisfying turbulence realizability conditions,with their dynamic responses postulated within a nonlinear theory. While the mean volume fraction and velocity
increase from the solid plane toward the free surface exponentially, the turbulent kinetic energy and dissipation
evolve in a reverse manner. Most turbulent kinetic energy and dissipation are confined within the thin turbulent
boundary layer immediately above the plane, with nearly vanishing turbulent kinetic energy and finite turbulent
dissipation in the relatively thick layer (the passive layer) above the turbulent boundary layer. These features
demonstrate a similarity with those of conventional Newtonian fluids in turbulent boundary layer flows. The
turbulent boundary and passive layers are preferable verified by the distributions of the turbulent kinetic energy
and dissipation
Keywords: Closure model, Dry granular avalanche, Thermodynamics, Turbulent boundary layer
To this end, the first and second laws ofthermodynamics, in the context of Mueller-Liu
entropy principle, will be used to derive theequilibrium closure relations satisfying turbulence
realizability conditions, with the non-equilibrium
responses postulated within a nonlinear theory. The
obtained closure model is used to analyses of agravity-driven stationary flow down an incline toillustrate the distributions of the turbulent kinetic
energy and dissipation with their influence on themean flow characteristics, and to verify therheological characteristics of the turbulent boundaryand passive layers with their similarities to those of
Newtonian fluids.

INTRODUCTION
Dry granular avalanches are dry granular flows
in collisional state, in which the grain-graininteractions result mainly from the short-term
instantaneous inelastic collision, with minor
contribution from the long-term enduring frictional
contact and sliding [1-4]. Field observations suggestthat a dry granular avalanche consists of two layers:
immediately above the base there exists a very thinlayer, called the turbulent boundary layer, in which
the grains collide vigorously with one another,resulting in reduced base friction so that anavalanche can travel unexpected long distance.
Above the turbulent boundary layer these exists a
relatively thick layer, called the passive layer. In thepassive layer, the grains are dominated by the longterm grain-grain interaction. They interlock with one
another to form a kind of inelastic network andbehave as a lump solid [5-8].
Although the two-layer conjecture of a granularavalanche can to some extent be verified by using
the laminar flow formulations through the solid
content and velocity distributions, e.g. [9-15], it will
be preferably verified by studying the distributionsof the turbulent kinetic energy and dissipation, for
two-fold grain-grain interaction induce fluctuations
on the macroscopic properties, a phenomenon
similar to turbulent flows on conventional
Newtonian fluids [16,17].
Thus, the goal of the study is to propose a zeroorder turbulent closure model for isothermal, dry
granular avalanches with incompressible solid grains.

MEAN BALANCE EQUATIONS
Following previous works [18-20], the balance
equations are given by353

SEE-Mie, Japan, Nov. 19-21, 2015

with the ergodic terms,

which can be further exploited by using (19) withthe chain rule of differentiation. In doing so, the Liu
identities and residual entropy inequality can be
deduced. While the former can be applied to identify
the functionals of the physical properties, inparticular the turbulent Helmholtz free energy, thelatter is used to derive the equilibrium closure
relations. Please refer to [21] for detailed
information.
With these, the derived thermodynamicallyconsistent equilibrium closure relations are given bywith the physical interpretations of the variables andequations (1)-(18) summarized in [21]. The ergodic
terms needs be prescribed as functions of theprimitive mean fields, as will be discussed in thefollowing.
With these, the quantities

(22)

(23)

are introduced respectively as the primitive mean
fields and closure relations, by which C should beconstructed based on the turbulent state space given
by

(24)

(25)

(26)

with the definitions and interpretations summarizedagain in [21].

(27)

THERMODYNAMIC ANALYSIS
CLOSURE MODEL
The turbulence realizability conditions require
that, during a physically admissible process, thesecond law of thermodynamics with a local form ofa non-negative entropy production, and all balance
equations should be fulfilled simultaneously. Thiscan be achieved by considering the mean balance
equations as the constraints of the inequality (5) via
the method of Lagrange multiplier viz.,

For isothermal flows with incompressible grains,
the specific forms of the dynamic responses of theclosure relations are postulated by

(28)

354

SEE-Mie, Japan, Nov. 19-21, 2015

with the physical parameters defined in [22]. Thesequasi-static expressions of the dynamic closure
relations are justified as a first approximation in the
turbulent formulation of dry granular avalanche.
By prescribing the specific forms of the turbulent
Helmholtz free energy, material and turbulent
viscosities, and a hypoplastic model for the rateindependent characteristics, the complete closure
relations are established viz.,(38)

with the fluctuating velocities in the x- and ydirections much smaller than the averaged values.

(29)
(30)

(31)
(32)
(33)
(34)

The flow corresponds to the critical state ingeophysical circumstances. With this, one canconclude that the balance equation of the meaninternal friction is decoupled from other manebalance equations. Thus, the simplified field
equations are given by

(39)
(35)

(40)

(36)
(41)

(37)

(42)
(43)

where Cayley-Hamilton theorem and someabbreviations, defined in [22], have been used.

for the five primitive mean fields: velocity
component in the x-direction, mean volume fraction,
normal stress component, and two granularcoldnesses. The coupled nonlinear ODE are subject
to the boundary conditions given by

GRAVITY-DRIVEN FLOW
Consider a fully developed, isochoric, twodimensional stationary avalanche down an incline,
as shown in Fig. 1. It is assumed that355

SEE-Mie, Japan, Nov. 19-21, 2015

turbulent dissipations displayed in Figs. 2(e) and 2(f),except that their finite values on the free surface are
obtained. As the flow thickness increases, thedecreasing tendencies of two-fold turbulent kinetic
energies and two-fold turbulent dissipations become
more obvious. These findings correspond not only tothose found in turbulent boundary layer flows of
Newtonian fluids, but also are justified, for turbulent
kinetic energy and dissipation should assume
maximum values in the regions where shearing is
maximum, and larger turbulent kinetic energy
induces larger turbulent dissipation [16,17].
However, the turbulent boundary layers in a
Newtonian fluid and a dry granular avalanche are
not exactly the same. Although in both cases theturbulent kinetic energies and dissipations evolve ina similar manner, vanishing turbulent kinetic energy
and dissipation of a Newtonian fluid are identified
on the free surface, while it is not so for a dry
granular avalanche. These reflect the discrete natureof dry granular system and its distinguish turbulent
feature in comparison with Newtonian fluids.
Although the turbulent boundary and passive
layers of an avalanche can be identified by the
profiles of the volume fraction and velocity inprevious laminar formulations e.g. [23], they are
preferable verified from the perspective of the
turbulent kinetic energy and dissipation distributions,as shown in Figs 2(c)-2(f). In the passive layer, thedominant grain-grain interaction is the long-term
one, causing the grains to form a kind of inelastic
network to yield nearly vanishing two-fold turbulent
kinetic energies and finite two-fold turbulent
dissipations. On the other hand, the grains in the
turbulent boundary layer are dominated by the shortterm grain-grain interaction, giving rise to intensive
turbulent fluctuation with significant two-foldturbulent kinetic energies and dissipations. The
intensive turbulent fluctuation in the turbulent
boundary layer reduces the base friction
significantly, resulting in larger mean volume
fraction and velocity in the passive layer, whencompared with laminar flow solutions. Thesefindings correspond to field observations [5-8].

(44)

with the physical interpretations given in [22].
The two-point nonlinear BVP (39)-(44) are solved
numerically to obtain the distributions of the mean
volume fraction, velocity and turbulent kinetic
energy and dissipation across the flow layer. To thisend, the BVP (39)-(44) should be nondimensionalized, followed by the iterative methodwith under-relaxation scheme. Typical calculated
results are summarized in Fig. 2.
Fig. 2 illustrates the normalized profiles of thedimensionless mean volume fraction, velocity, twofold turbulent kinetic energies and dissipations , inwhich the values of the parameters are prescribedand displayed in the figure. Solid lines are the results
by using the proposed zero-order closure model;
dashed lines are the laminar flow solutions quoted
from [23]; with dotted line denoting Newtonian fluid
characteristic in laminar motion. Increasing the flow
thickness tends to enlarge the difference in the mean
volume fractions between the free surface and solid
plane, as shown in Fig. 2(a). This results from theweight of the granular body: when the flow isthicker, larger compressive stress is applied on thegrains in the thin layer immediately above the solid
plane, where the shearing is maximum, causing thegrains to collide intensively with one another,resulting in smaller values of the mean volume
fraction. Above this thin layer there exists a
relatively thick layer, in which the grains form akind of inelastic network and behaves as a lumpsolid with nearly uniform mean volume fraction andvelocity, as displayed in the velocity profiles in Fig.
2(b).
The thin and relatively thick layers arerespectively referred to as the turbulent boundary
layer and passive layer, a significant non-Newtonian
characteristic. As $\tilde{L}$ increases, theturbulent boundary layer becomes thinner withlarger velocity gradients at the interface between twolayers. When compared with laminar flow solutions,the mean volume fraction and velocity profiles are
more convex, with larger amplitudes in the passive
layer. These are due to the influence of turbulent
fluctuation, turbulent kinetic energy and dissipation,
to be discussed later.
The profiles of two-fold turbulent kinetic energies
are illustrated in Figs. 2(c) and 2(d). They bothdecrease from their maximum values on the solid
plane, where the shearing is maximum, toward thenearly vanishing values on the free surface with an“exponential-like'' tendency. This tendency isequally manifest for the profiles of two-fold

CONCLUSION
Turbulence realizability conditions, in the context
of Mueller-Liu entropy principle, were investigatedto derive the equilibrium closure relations, with the
dynamic responses postulated by a quasi-statictheory. The established zero-order closure model
was applied to analyses of a gravity-driven,
isothermal, isochoric, dry granular avalanche withincompressible grains down an incline.
356

SEE-Mie, Japan, Nov. 19-21, 2015

the turbulent kinetic energy and dissipation of these
two matters evolve in a similar manner from thesolid plane toward the free surface, their vanishingvalues on the free surface are found for conventional
Newtonian fluids, while nearly vanishing two-foldturbulent kinetic energies and finite two-foldturbulent dissipations are obtained for granularavalanches. This results from the discrete nature ofdry granular system and different dominant graingrain interactions in the turbulent boundary andpassive layers. Significant discrepancies in theestimated mean volume fraction and velocity
profiles from the laminar flow solutions suggest thatthe energy cascade induced by the turbulent
fluctuation needs be taken into account for better
estimation of the characteristics of dry granularavalanche.

While the mean volume fraction and velocity
evolve from their minimum values on the inclined
plane toward the maximum values on the freesurface, corresponding to the field observations andlaboratory experiments, two-fold turbulent kinetic
energies and dissipations distribute in a reverse
manner, with the characteristics that most of them
are confined within a thin layer immediately above
the base (the turbulent boundary layer). Above thethin layer, the grains behave as a lump solid withnearly uniform mean volume fraction and velocity(the passive layer). These result from different
microstructural grain-grain interactions in two layers.
In the turbulent boundary layer, the grains are
dominated by the short-term grain-grain interaction,
giving rise to intensive turbulent fluctuation withsignificant kinetic energy and dissipation, while thegrains in the passive layer are dominated by thelong-term grain-grain interaction to interlock with
one another, and form a kind of inelastic network.
Thus, these two layers are preferable verified fromthe turbulent kinetic energy and dissipation profiles,
in contrast to those based on the volume fraction andvelocity profiles in purely laminar flow
consideration.
The turbulent boundary and passive layers of adry granular avalanche are similar to those of
Newtonian fluids in turbulent boundary layer flows.
However, they are not exactly the same. Although

ACKNOWLEDGEMENTS
The author is indebted to the Ministry of Scienceand Technology, Taiwan, for the financial support
through the project MOST 103-2221-E-006-116-.
REFERENCES[1] Aranson IS, Tsimring LS (2009) Granular
Patterns. Oxford University Press, Oxford New
York[2] Ausloos M, Lambiotte R, Trojan K, Koza Z,
Pekala M (2005) Granular matter: A wonderful357

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world of clusters in far-from-equilibrium
systems. Physica A 357:337—349[3] Poeschel T, Brilliantov NV (2013) Granular
Gas Dynamics. In: Lecture Notes in Physics(Book 624), Springer-Verlag, New York
[4] Rao KK, Nott PR (2008) Introduction to
Granular Flows. Cambridge University Press,
London New York[5] Jakob M, Hungr O (2005) Debris-flow Hazards
and Related Phenomena. Springer, Berlin
Heidelberg[6] Pudasaini S, Hutter K (2007) Avalanche
Dynamics. Springer Verlag, Berlin Heidelberg[7] Takahashi T (2007) Debris Flow: Mechanics,
Prediction and Countermeasures. Taylor \&Francis, London[8] Vescovi D, di Prisco C, Berzi D (2013) Fromsolid to granular gases: the steady state for
granular materials. Int J Numer Anal Meth
Geomech 37:2937--2951[9] Campbell CS (2005) Stress-controlled elastic
granular shear flows. J Fluid Mech 539:273-297[10] Daniel RC, Poloski AP, S\'{a}ez AE (2007) A
continuum constitutive model for cohesionlessgranular flows. Chem Eng Sci 62:1343--1350[11] Faccanoni G, Mangeney A (2013) Exact
solution for granular flows. Int J Numer Anal
Meth Geomech 37:1408--1433[12] Fang C (2010) Rheological characteristics ofsolid-fluid transition in dry granular dense flows:a thermodynamically consistent constitutive
model with a pressure-ratio order parameter. Int
J Numer Anal Meth Geomech 34:881--905[13] Jop P (2008) Hydrodynamic modeling of
granular flows in a modified Couette Cell. Phys
Rev E 77:032301[14] Kirchner N (2002) Thermodynamicallyconsistent modeling of abrasive granularmaterials. I: Non-equilibrium theory. Proc R
Soc Lond A 458:2153--2176[15] Wang Y, Hutter K (1999) A constitutive theoryof fluid-saturated granular materials and its
application in gravitational flows. Rheol Acta
38:214--223[16] Hinze JO (1975) Turbulence. McGraw-Hill,
New York[17] Tsinober A (2009) An Informal Conceptual
Introduction
toTurbulence.
Springer,
Heidelberg[18] Fang C, Wu W (2014) On the weak turbulent
motions of an isothermal dry granular dense
flow with incompressible grains, part I.
Equilibrium turbulent closure models. Acta
Geotech (in press, DOI: 10.1007/s11440-0140313-4)[19] Fang C, Wu W (2014) On the weak turbulent
motions of an isothermal dry granular dense
flow with incompressible grains, part II.
Complete closure models and numericalsimulations. Acta Geotech (in press, DOI:
10.1007/s11440-014-0314-3)[20] Fang C (2014) A variational analysis of theequilibrium turbulent closure models of a dry
granular densified motion with weak turbulent
intensity. Arch Mech (in press)[21] Fang C (2014) On the turbulent boundary layerof a dry granular avalanche down an incline.
Part I. Thermodynamic analysis. Rheol Acta (inreview)[22] Fang C (2014) On the turbulent boundary layerof a dry granular avalanche down an incline.
Part II. Closure model with numericalsimulations. Rheol Acta (in review)[23] Fang C (2009) Gravity-driven dry granular slow
flows down an inclined moving plane: acomparative study between two concepts of theevolution of porosity. Rheol Acta 48:971—992

358

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

POST-CYCLIC BEHAVIOR OF GRANULAR SOIL- STRUCTURE
INTERFACE DIRECT SHEAR TESTS
1Suriyavut Pra-ai1, Marc Boulon2
Automotive and Transportation Technology Development Center (ATTDC), School of Engineering,
University of Phayao, Phayao, Thailand;
2
Laboratoire 3S-R, Université de Grenoble, Grenoble, France

ABSTRACTThe purpose of this paper is to present one of the most important phases of a series of cyclic direct shear tests
on granular soil and rough material interface under constant normal stiffness (CNS) condition. These cyclic
interface tests were performed in order to simulate the situation along the pile shaft subjected to a large numberof cycles due to environmental or anthropic loadings. This post-cyclic phase can be performed by one single
large cycle after the cyclic phase in order to characterize the change of interface resistance. The principal
characteristic of interface subjected to cyclic loading is the progressive contraction. This phenomenon leads tothe degradation in normal stress acting on the pile shaft and consequently the shear resistance decreases. The
influence of relative density of granular soil, initial normal stress, level of stress ratio, cyclic amplitude andimposed normal stiffness on the post-cyclic responses is discussed.
.
Keywords: Post-Cyclic Loading, Interface Resistance, Constant Normal Stiffness, a Large Number of Cycles

The studies of interface behavior have been
specified on the conventional interface experimentswith the constant normal load (CNL). In this case,the normal load applied on the interface is kept
constant during the process of shearing. Interestingly,
when interfaces subjected to cyclic loading,numerous experimental investigations have beenreported that the interface responses turn into a
progressive densification with increasing number ofcycles. This leads to the mobilization of shear
strength ([1], [5], [9]).
Boulon and Foray [3] reported that the skinfriction of granular soil-pile shaft decreased as afunction of number of cycles. This can be attributedthat cyclic loadings bring on the contraction of sandadjacent to pile. A decrease in volume of sand leads
to a progressive decrease in lateral stress, andconsequently a decrease of shear resistance.
A laboratory test of soil-pile interface can simply
be interpreted as an interface under constant normal
stiffness (CNS) condition (see Fig.1). Considering apile with radius R 0 , embedded in soil with apressuremetric modulus (E p ), and the thickness of
the interface layer (e) mobilized during the large
localized shear (e << R 0 ). The normal stiffness
imposed to the interface (k) according to Boulon and
Foray [3] resulting from the definition of thepressuremetric modulus (E p ) can be expressed as:

INTRODUCTION
When civil engineering structures have toundergo cyclic loading condition, the bearing
capacity of structures is often reductive. Designers
often have to consider the cyclic bearing capacity
and stiffness, as well as the permanent
displacements due to cycling and potentiallychanging patterns of soil. Especially, many offshore
oil rig works have to undergo cyclic loading
conditions (wind, wave, machine operations, etc.)
for a long life. This reductive phenomenon can also
be found in the serviceability of railways andbridges due to traffic loadings. Even though themagnitude of traffic loadings is rather small, a large
number of cycles would be crucial. The most recent
studies which concern a large number of cycles
carried out by Wichtmann [17] can be found.
Moreover, the recent developments of renewableinstallations on shore as well as off shore of energy
sources bring the professionals and the researchers
to be interested in the effect of very large number ofcycles on the soil-structure interactions. Therefore,
understanding the interface behavior subjected tocyclic loading is of significant importance. Indeed at
the present time, there are not enough methods ofreliable calculation of the structure foundations
subjected to this stress type and most of the experts
adopt the proposed safety factors to take into
account the degradations of bearing capacity due tothe cycles.

359

SEE-Mie, Japan, Nov. 19-21, 2015

Ep =

∆σ n
− 2∆V / V0

∆σ n
∆σ n
(R 0 + e ) ≅≅R0− 2∆[u ]− 2∆[u ]This paper presents some of experimental
observations carried out from a series of direct shear
tests of sand and rough surface structure underconstant normal stiffness (CNS) condition with alarge number of small cycles in terms of shear stress.
The responses of post-cyclic phase will be discussed.
This work was supported by the SOLCYP (Frenchacronym for National Project in Piles under Cyclic
Solicitations) research project.

(1)

where ∆V/V 0 is the relative volume change andconsequently:
k =

2E p
R0

=

∆σ n
− ∆[u ]

DEVICE AND MATERIALS(2)With less difficulty in performing the interface
test campaigns, the modified direct shear is used inthis study as shown in Fig.2. The upper shear box
has a diameter of 60 mm containing the specimen
with the height of approximately 20 mm. This
enables the preparation of sample in various
conditions. The lower shear box is replaced by thesteel plate on which the surface roughness is madeby gluing a mixture of epoxy and Fontainebleausand.
The surface roughness of structural materials
were quantified as the modified roughness in term ofa maximum height R max , which is the relative height
between the highest peak and the lowest valley
along a surface profile over the gauge length L =0.20 mm ([15]).The value of roughness (R max ) caneffectively be quantified by morphology method([6]) which provides R max = 0.20 mm. Whennormalizing R max with mean particle diameter D 50
(i.e., R n = R max /D 50 [15], [16]), the structural plateused in this study can then represent the roughsurface (R n ≥ 0.10 would be able to stand forrough surface [7], [15], [16]).

where ∆σ n is the variation of normal stress acting on
the interface and ∆[u] is the variation of normal
displacement.

Fig. 1

Localized shear zone along pile and a direct
shear test with an imposed normal stiffness
after Boulon and Foray [3].

Under CNS condition, the behavior of soilstructure interface exhibits a mobilization of stressstate acting on the interface. During shear loading
phase, for example, dense sample commonly shows
the dilative behavior which leads to an increase innormal stress associated with shear stress. Contrarily,
a significant reduction in normal stress as well as
shear stress can be found on loose sample. Thisphenomenon is due to the significant contraction.
The effect of imposed normal stiffness (k) on
cyclic interface behavior becomes crucial. The main
characteristic of cyclic interfaces under CNS
condition performed by either direct shear or simple
shear tests is the significant degradation in normal
stress acting on the interface as a result of thegradual contraction. Consequently, the degradationof shear stress can be found ([1], [4], [5], [8], [9],[14]). In case of shear stress-controlled tests, thesignificant degradation of normal stress as a result of
the progressive contraction accompanied with N
brought the mean cyclic stress ratio (η cm ) defined as
the ratio between mean cyclic shear stress (τ cm ) andmean cyclic normal stress (σ n cm ), (η cm = τ cm /σ n cm ),to the critical state line ([10]-[12]).

Fig. 2

Experimental device.

On this device, the normal stress (σ n ) is appliedvertically via a piston (top cap) by a generating
engine in two directions (ensuring loading or
unloading of the samples). The operation of thisgenerating engine which is controlled by a computer
enables the application of a constant normal stress (k360

SEE-Mie, Japan, Nov. 19-21, 2015

= 0, CNL) and constant normal stiffness (k ≠ 0,
CNS) conditions in accordance with the control set:C = ∆σ − k [∆u ] = 0

to evaluate the main variables (Table 1), e.g., thethree values of stress ratio defined as η = τ/σ n [11] ;• peak stress ratio (η p ),• critical stress ratio (η cr )• characteristic stress ratio (η ch , separating
the dilative and contractive domains, whereη ch < η cr < η p )The responses of monotonic tests then provided aseries of cyclic tests (e.g., the level of mean cyclic
stress ratio, η cm and the amplitude of cycles, ∆τ).
The cyclic tests examined in the present work aresummarized on Table 2.
The cyclic test procedure in this study consists of
5 consecutive phases:• 1st Phase: the application of normal stresssince the neutral state until mean cyclic
normal stress (σ n cm )• 2nd Phase: the application of shear loading
until mean cyclic shear stress (τ cm )• 3rd Phase: the application of N cycles ofsmall amplitude of controlled-shear stress(∆τ)• 4th Phase: one great cycle of shear (after N
cycles were reached) to failure• 5th Phase: discharge in shear stress (τ) andthen the normal stress until σ n = 0,
respectively.

(3)

Again, ∆σ is the variation of normal stress acting on
the interface and ∆[u] is the variation of normal
displacement.
The tangential displacement of the structural
surface which can directly be controlled by thecomputer provides the shear loading. It can beassumed that there is no influence of shear rate on
test results by using the shear rate with low range. In
this study, the compatible maximum of shear rate of
0.5 mm/min is then used with a sufficient dataacquisition. In case of cyclic (shear stresscontrolled) tests, two thresholds (high and low,adjustable) of shear stress are prescribed, causing areversal of shear direction when they are reached.
In this study, the measured and recorded
variables are the stress vector applied on theinterface (normal, σ n and shear, τ components) andthe relative displacement vector on soil-structure(normal, [u] and tangential, [w] components). The
normal stress and normal relative displacement canbe defined as σ n > 0 in compression and [u] > 0 in
dilation.
Two sands were tested in this study, Loon-Plage(post-glacial Flandrian) and Fontainebleau sands.
The first one was tested with saturated specificweight (γ sat ) of 18.64 kN/m3 and water content (w)of 18%. This initial density can be considered as
dense (I D ≈ 75%, [2]) condition. This sand wastested to combine the in situ axial pile tests in order
to complement and extend the existing data set([13]). The second one was tested in dry condition
with relative density of approximately 90% (dense
condition). To achieve the desired samples, twotechniques of pouring and tamping were commonly
used. In this study, all tests were carried out ascompletely drained tests.
In addition, to prepare the sample, a spacing of
0.3 mm between the rough plate and the upper shear
box was set by a pair of brass foils. This technique isused in order to prevent the direct friction between
the shear box and the rough plate. However, this gap
would inevitably provide the leakage of fine particle
which would take place during shear loading,especially when cyclic tests were performed. A
simple inclusive correction can then be performedby considering the loss of sand as the fictitious
contraction.

Table 1 Main variables from monotonic interface
direct shear tests
Variables

ηp
η cr
η ch

Loon-Plage
sand
0.90
0.64
0.59

Fontainebleau
sand
0.79
0.566
0.555

Table 2 CNS cyclic test programSands

σ n cm0η cm0∆η

Loon-Plage
Fontainebleau

(kPa)
100
310

(-)
1/2η p1/2η p

(kPa)
44
10

k
(kPa/mm)143
1000

One of the most important phases of the cyclic
tests is the post-cyclic phase. This phase cangenerally be carried out by one single large cycle
after the cyclic phase (4th phase) in order tocharacterize the change of interface resistance (δ p )due to cyclic loading. However, under CNS
condition this post-cyclic phase could not be carriedout when performing the initial mean cyclic stressratio (η cm0 ) close to the critical stress ratio (η cr ) due
to the early termination (i.e., the stress state movetowards the critical state line [10], [12]). As can be
deduced from experimental observations, within therange of η cm0 < η ch the principal characteristic of

TEST RESULTS
The cyclic tests were performed in order toinvestigate some of factor influencing the interface
behavior under CNS condition. Prior to performing
those tests, monotonic tests were performed in order361

SEE-Mie, Japan, Nov. 19-21, 2015

was performed until N = 32669 while the stress state(η cm = 0.43) was still so far from the critical line,
subsequently the post-cyclic phase was performed
instead (Fig. 5). In this case, the degradation of
normal stress as a function of N increased very
slowly. This can be described that with high value of
σ n0 and low level of η cm0 the initial stress state wasso far from the critical state line, then the stress state
was able to evolve further. In this case, a large
number of cycles were required to reach the criticalstate.
Considering the post-cyclic phase, this phasestarted at σ n ≈ 230-240 kPa (as shown in Fig. 5a, 5d),the peak shear stress ratio (η p ) at post-cyclic phase
was obviously lower than that of monotonic CNS
test. Although the cyclic loading induced moredensification of interface, there was not a large
difference in dilation between the post-cyclic phase
and CNS monotonic test (see [u] − [w] diagram in
Fig. 5c). This phenomenon might be attributed to thecrushing and wear of the grains resulting from anincrease of inter-granular particles in the localized
shear zone between sand and rough plate during
cyclic phase ([1], [14]). Tabucanon et al. [14]reported that there was a lower stress recovery
during post-cyclic response and the loss of strength
increased with increasing the number of cycles dueto the smaller volume change accompanying shear
loading of the interface. Fakharian and Evgin [5]also explained that the shear stress which mobilized
to the peak value decreased to a residual stress witha sufficient increase in sliding displacement or slip
at interface.

interface subjected to cyclic loading was the
progressive contraction. Considering the stress planein Fig.3, during the interface subjected to cyclicloading under CNS condition, the shear stress was
kept constant while the normal stress decreased as afunction of N then the mean cyclic stress ratio η cm
which started from the beginning (η cm0 ) increased
and then moved to the critical state line.

Fig. 3

Typical cyclic CNS paths of soil-structureinterface.

Fig. 4 shows the post-cyclic behavior for σ n0 =100 kPa on Loon-Plage sand with k = 143 kPa/mm,
η cm0 = 0.44 (22 < τ < 66 kPa) in comparison with
CNS monotonic test. As can be observed in Fig. 4a,the degradation of normal stress as a function of N
increased very slowly. This was due to the low valueof imposed normal stiffness (k = 143 kPa/mm). The
values of peak stress ratio (η p ) after cyclic phase wasslightly higher than that of CNS monotonic test (Fig.
4b, 4d). Considering the volumetric behavior,[u]−[w] diagram in Fig. 4c, the interface response
provided more densification (contraction) during
cyclic phase. However, the dilation rate at postcyclic phase was not different from that of CNS
monotonic test.
Indeed, dense sand has high tendency of grain
breakage within the localized shear zone. Thechange in particle size could be attributed to I D0 , σ n0 ,
η cm and ∆τ. The abrasion between the grains and thesurface roughness of plate on dense sand therefore
provided an increase in crushing and wear of grains.
The finer grains resulting from crushing grains
during cyclic loading then replaced the void within
the interface zone. Uesugi and Kishida [15]concluded that during cyclic loading an increase of
crushing particles due to the high intensity of stressstate increasing the normalized the surface
roughness (R n ) of the soil-structure interface thenled to the higher coefficient of friction interface.
In case of dense Fontainebleau sand with σ n0 =310 kPa, η cm0 = 0.35 (105 < τ < 115 kPa), this test

CONCLUSION
Based on the post-cyclic phase of interface direct
shear tests, the main results presented in this paper
can be summarized as follows:• At post-cyclic phase, the interface exhibited
dilative behavior as a result of gradualdensification.
• The peak stress ratio at post-cyclic phase
could be attributed to the evolution of grain
breakage within interface shear zone. With
low value of initial normal stress, anincrease of crushing particles during cyclicloading increased the normalized thesurface roughness (R n ) of the soil-structureinterface then led to the higher coefficientof friction interface.
• In case of high value of initial normal stress,a lower stress recovery during post-cyclic
response can be found and the loss ofstrength increased with increasing thenumber of cycles due to the smaller volume362

SEE-Mie, Japan, Nov. 19-21, 2015

Fig. 4Post-cyclic phase for σ n0 = 100 kPa on dense Loon-Plage sand with k = 143 kPa/mm, η cm0 = 0.44 (22 <τ < 66 kPa) in comparison with CNS monotonic test.

Fig. 5

Post-cyclic phase for σ n0 = 310 kPa on dense Fontainebleau sand with k = 1000 kPa/mm, η cm0 = 0.35
(105 < τ < 115kPa) in comparison with CNS monotonic test.
363

SEE-Mie, Japan, Nov. 19-21, 2015[8] Mortara G, Mangiola A, Ghionna V, “Cyclic
shear stress degradation and post-cyclic
behavior from sand-steel interface direct shear
tests”, Can. Geotech. J., 44, 2007, pp. 739-752.
[9] Oumarou T, Evgin E, “Cyclic behavior of sandsteel plate interface”, Can. Geotech. J., 42, 2005,
pp. 1695-1704.
[10] Pra-ai S, “Essais et modélisation du cisaillement
cyclique sol-structure à grand nombre de cycles:
Application aux pieux”. Thèse de Doctorat,
Université de Grenoble, France, 2013.
[11] Pra-ai S, Boulon M, “Cyclic direct shear tests
on sand-structure interface under constantnormal stiffness (CNL) condition”, in Proc. 20th
NCCE, 2015.
[12] Pra-ai S, Boulon M, “Cyclic direct shear tests
on sand-structure interface under constantnormal load (CNS) condition”, in Proc. 20th
NCCE, 2015.
[13] Puech A, “Advances in axial cyclic pile design:
contribution of the SOLCYP project”, in Proc.
18th ICSMGE, 2013, pp. 1071-1096.
[14] T.J. Tabucanon, D.W. Airey, H.G. Poulos. “Pileskin friction in sands from constant normal
stiffness tests”. Geotechnical Testing Journal,
18(3), pp. 350-364, 1995.
[15] Uesugi M, Kishida K, “Influential factors offriction between steel and dry sands”, Soils andFoundations, 6(2), 1986, pp. 33-46.
[16] Uesugi M, Kishida K, Yasunori T, “Friction
between sand and steel under repeated loading”,
Soils and Foundations, 29(3), 1989, pp. 127-137.
[17] Wichtmann T, Niemunis A, Triantafyllidis T,“Strain accumulation in sand due to cyclicloading: drained triaxial tets”, Soil Dynamics
and Earthquake Engineering, 25, 2005, pp. 967979.

change accompanying shear loading of theinterface.
ACKNOWLEDGEMENTS
The author cordially thanks the ANR-SOLCYP
French program and 3S-R Laboratory, particularly
Prof. Piere Foray for all his supports.
REFERENCES[1] Al-Douri R, Poulos H, “Static and cyclic shear
tests on carbonate sands”, ASTM Geotechnical
Journal testing 15(2), 1992, pp. 138-158.
[2] Benzaria O, Puech A, Le Kouby A, “Cyclic
axial load tests on bored piles in dense sands”,
in Proc. TC 209 Workshop 18th ICSMGE, A.
Puech (eds), Paris, 2013, pp.77-80.
[3] Boulon M, Foray P, “Physical and numericalsimulations of lateral shaft friction along
offshore piles in sand”, in Proc. 3rd Int. Conf. on
Numerical Methods in offshore piling, Nante,
1986, pp. 127-147.
[4] Dejong J, Randolph M, White M, “Interface
load transfer degradation during cyclic loading:a micro scale investigation”, Soils andFoundations, 43(4), 2003, pp. 81-93.
[5] Fakharian K, Evgin E, “Cyclic simple shear
behaviour of sand-steel interface under constantnormal stiffness condition”, ASCE J. Geotech.
Geoenviron. Eng., 123(12), 1997, pp. 10961105.
[6] Hans J, Boulon M, “A new device forinvestigating the hydro-mechanical properties ofrock joints”, Int. J. Numer. Anal. Meth.
Geomech., 27, 2003, pp. 513-548.
[7] Hu L, Pu J, “Testing and modeling of soilstructure interface”, ASCE J. Geotech.
Geoenviron. Eng., 130(8), 2003, pp. 851-860.

364

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

INDICATORS TO MEASURE DESIGN QUALITY OF BUILDINGS
1

Azeanita Suratkon1 and Safuan Jusoh2
Jamilus Research Centre, Faculty of Civil and Environmental Engineering, Universiti Tun Hussein Onn
Malaysia, Malaysia
2
Faculty of Civil and Environmental Engineering, Universiti Tun Hussein Onn Malaysia, Malaysia

ABSTRACT
Design quality is an important component in measuring satisfaction towards total product quality (TPQ) of
buildings, the product of construction projects. Design Quality Indicator (DQI), developed by the Construction
Industry Council (CIC) in the UK looking at three quality fields, i.e. functionality, build quality, and impact ofbuilding in measuring the quality of design embodied in the buildings through feedback and perceptions of all
stakeholders involved in the production and use of buildings. Design quality is always a major concern in the
Malaysian construction industry. With inspiration from this DQI, this study was carried out to identify indicatorsfor measuring the satisfaction towards design quality of buildings and to evaluate the suitability of the indicators
for application in the context of Malaysian construction industry. Through literature survey, 34 indicators ofdesign quality were identified and grouped into the three design quality fields. A questionnaire survey was
carried out among Malaysian construction professionals (architects, engineers, quantity surveyors, contractors
and developers) to assess the identified design quality indicators in terms of their significance or relevance in thecontext of construction industry in Malaysia. The survey reveals that access, natural lighting, structure elements,
landscape and location are among the design quality indicators that were perceived as the most important to belooked at. In overall, all the indicators are relevance for adoption in the Malaysian construction industry tomeasure the satisfaction towards design quality of buildings.
Keywords: Design quality indicators, Satisfaction measurement, Stakeholders’ perception, Malaysianconstruction industry,effects or results received with the expected [5].
Design quality will determine the suitability ofbuildings and the quality of compliance that shows
how the building in accordance with thespecifications required by the design [6]. The qualityof the design can produce more efficientintermediation services and will improve the work
environment for all those who use it [7].
Over the past decades, measuring and valuing thequality of design draws the attention clients,
designers, and other construction practitioners aswell as many researchers [8] and [9]. Design quality
is always a major concern in the Malaysianconstruction industry. Construction Industry
Development
Board(CIDB)
Malaysia,agovernment agency and an important player in
Malaysian construction industry emphasizes theissues of quality in Construction Industry Master
Plan (CIMP) 2006-2015 under Strategic Thrust 3;
strive for the highest standard of quality,
occupational safety and health, and environmental
practices [10] Despite this emphasize from the CIDB,
the Malaysian construction industry still suffers withmany quality-related problems [11], such as quality
below expectation [12], low quality finishes onbuildings [13], and there is no benchmark tomeasure the standard of quality of houses
constructed by developers [14]. It is apparent that

INTRODUCTION
Quality is one of the triple constraints or forces
for every construction project besides the other two
parameters i.e. time and cost. Adopting thedefinitions by Webster, Oxford and Cambridge
dictionaries, quality can be defined as any characteror characteristics that determine whether an object
good or bad after measuring the character orcharacteristics against a standard. The standard
refers to specification of the object to be designed[1]. Buildings are design object, the product of thedesign. The actual result related to the design qualityof the building will be only known after several
years of building is occupied [2]. During theoccupancy stage, measurement and feedback such
post-occupancy evaluation (POE) can be carried out
to acquire the relevant data to determine the level ofdesign quality in satisfying the needs andrequirements of building client/customer/occupants.
This approach also can be categorized undersatisfaction measurement (SM) which is used tomeasure the level of project performance [3].
Satisfaction is a measure of the difference between
actual and expected performance of a product orservice to meet the needs and requirements of users
and current perspective [4]. Satisfaction is a sense of
excitement or disappointment after comparing the365

SEE-Mie, Japan, Nov. 19-21, 2015

appropriate mechanism should take place in
Malaysian construction industry to resolve qualityrelated issues especially on design quality.
Design Quality Indicator (DQI), developed by
the Construction Industry Council (CIC) in the UK
has successfully used in the UK’s constructionindustry since it was launched in 2002. Design
quality is a combination of functionality (how useful
the facility is in achieving its purpose); impact (howwell the facility creates a sense of place); and build
quality (performance of the completed facility) [15].
The indicators and evaluation approach can be
adopted in Malaysian construction industry withsome modification. Therefore, with inspiration fromthis DQI, the objectives of this paper are to identify
indicators to measure satisfaction towards design
quality of buildings and to assess the suitability of
the indicators in the context of the constructionindustry in Malaysia.

also the design's contribution to the arts and scienceof building and architecture. The evaluation includes
the following items:
a. Character and innovation - what people thinkof the overall building?
b. Form and materials - the building's physicalcomposition, scale and configuration within
its boundaries.
c. Internal environment - the quality inside thebuilding's envelope.
d. Urban and social integration - the relationship,of the building with its surroundings.
Indicators of Design Quality from Previous
StudiesThirty-four (34) indicators that relevant formeasuring design quality from previous studies(from year 1996 to 2014) were identified andtabulated in Table 1. The thirty-four indicators are
regrouped into the three quality fields as listed andexplained in Table 2, 3 and 4.

INDICATORS OF DESIGN QUALITY
Design Quality Indicators (DQI) of UK

METHODOLOGYThe DQI was developed to measure the qualityof design embodied in the product, the buildings
themselves through feedback and perceptions ofindividuals who have interest or connection with the
product [16]. It is applicable for new or refurbishedbuildings. It is in the form of a questionnaire whichcontains a set of statements that collect the views orperceptions of all stakeholders by looking at three
quality indicators, i.e. Functionality, build quality,
and impact of buildings [17].
The functionality of buildings is emphasized on
the arrangement, quality and inter-relationship ofspaces, and how the building is designed to be useful.
It looks into three following aspects:
a. Use - how well the building caters for thefunctions it may accommodate originally andin the future.
b. Size - the size and interrelationship of thebuilding's, rooms or component spaces.
c. Access - how easy it is for all people to get to,
and around the building.
The built quality of buildings is evaluated on how
well the building is constructed: its structure, fabric,finishes and fittings, its engineering systems, and thecoordination of all these and how well they perform.
The evaluation is on the following aspects:
a. Performance - the building's mechanical,
environmental and safety systems.
b. Engineering - the quality of the building's
components.
c. Construction - how well the building is put
together.
The impact of buildings highlights building's ability
to delight, to intrigue, to create a sense of place, anduplift the local community and environment, andQuestionnaire Development and Sampling Frame
Quantitative approach using questionnaire surveys
has been used to collect data. The purpose of thequestionnaire survey was intended for feedback on
the suitability or significance of the design quality
indicators which are grouped under three categories
i.e. functionality, build quality and impact in thecontext of Malaysian construction industry. A pilot
test was conducted before distributing thequestionnaire to respondents for actual survey.
Questionnaires were distributed to 70 establishedconstruction companies in Malaysia to elicit
feedback from 300 samples. This phase involves
postal surveys via ordinary mail.
Data Analysis
A five-point Likert-scale with options ranging from
“1 = Not Significant” to “5 = Very Significant” hasbeen adopted to elicit feedback on the indicators. In
order to determine the level of significance of theindicators, average index (AI) analysis was carriedout. The interpretation of the AI value (adopted andmodified based on [18] is shown in Table 5.
RESULT AND DISCUSSION
Background of Respondents
Eighty-eight (88) respondents completed andreturned the questionnaires; make up the valid
response rate at 29%. This is close to the 25-30%
normal response rate for construction research that366

SEE-Mie, Japan, Nov. 19-21, 2015

was suggested by [19]. Most of the respondents areengineers (33%), contractors (23%) and developer(17%). The remaining respondents are quantity
surveyors (11%), architect (3%) and otherconstruction project personnel such as project
manager and landscape architect (13%). The
majority (64%) of the respondents have bachelor

degree. 23% of respondents have diploma degree.
Respondents with higher degree level (master andPhD) accounted for 11%, and the remaining 2 %have qualification below diploma level. For theirworking experience, most of the respondents (52%)
have worked in the construction industry less than 6
years.

Space

[30]

[31]

[32]

√

[29]

√

[28]

√

[27]

√

[26]

√

[7]

[23]

√
√

[25]

[16]

√
√

[24]

[22]

LayoutDesignAccess

[21]

Items

[20]

Table 1 Indicators for measuring design quality of buildings

√

√

√

√

√
√

√

√

√

√

√

√
√

√
√

Lighting√

Open space√

Service√√Natural Lighting

√

√

√

√

√

√

√

√

√

√

√

√

Natural ventilation

√

Use

√

√

√

Engineering system

√

√

√

Landscape

√
√

√

√

√

√
√

Security system√√

Energy√Green energy andsustainability
Finishes√√

Structure element

√

√

√

√

√

Road width√√

Building stability√

Pedestrian walkway

√
√

√

√

Colour√Building stability

√

√

√
√

√

Pedestrian walkway
Building maintenance

√
√

√

√

ColourForm and materials

√

√

√

√

√

√

ComfortInternal environment

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√

√
√

√
√

Character and innovation
Urban and social integration√√

Visual Effect
Security√√

External environment

Location√√

Infrastructure

Building maintenance

√

√
√

√
√

Natural disaster

√

Noise

√

Table 2 Functionality aspect and quality indicators
367

SEE-Mie, Japan, Nov. 19-21, 2015

Indicators
LayoutDesignAccessSpaceLighting
ServiceNaturallighting
Naturalventilation

construction industry.

Descriptions
The building layout is easily
understood by its users to find their
way round the building
The design of building is attractive
The building provides good and safe
access for everyone (users andvisitors including those withdisabilities)
The spaces in building are the rightsize for their functions
The lighting is efficient and allows
for different user requirements
The building provides essential
services to the user
Position of windows and doors are
suitable for natural lighting
Position of windows and doors are
suitable for natural ventilation

Table 4 Impact aspect and quality indicators
Indicators
ColourForm &
Material
ComfortInternal
environment
External
environment
Character &innovation

Table 3 Build quality aspect and quality indicators
Indicators
Use
EngineeringsystemLandscapeSecurity
systemEnergyGreen energy&
sustainability
Finishing
Structureelement
Road width
Infrastructure
Stability

Pedestrian
walkway
Building
maintenance

Urban &
integrationsocialDescriptions
The building easily
accommodates the users' needs
Mechanical and electricalsystems in building functioning
properly
Building landscape is attractive
Security system of the building
is function properly
The building is efficient in its
use of energy
Building using green energy
sources and sustainability
systemFinishes of the building is
attractive
The building's structure isefficient
The road width of the building
is suitable
Building infrastructure issufficient
Building is stable from naturalelements e.g. wind, rain andearthquake
Building walkway is suitableand pedestrian- friendly
Building is maintained properly

Location
Visual effect
Security
Naturaldisaster
Noise

Descriptions
Building colour is suitable forthe building
The building has the shape andmaterials in accordance with thefunctions
Buildings provide comfort tothe user
Atmosphere in building, relation
between light and space andworking climate at workplaces
provide comfort
External surrounding is goodquality for users
The impact of buildings on thecharacter, thinking and humanappearance
Interaction with private andpublic areas and the impact ofbuildings on the city andcommunity
Positioning of the building ingood location
The scene of the building is
attractive
The building provides a sense of
security
Location of buildings survived
from natural disaster like floods
or others
Surrounding noise of thebuilding is not intrusive andaffect human health

Table 5 Average index (AI) range value andinterpretation
Interpretation
AI range value
4.50 < AI < 5.00
Very Significant
3.50 < AI < 4.50
Significant
2.50 < AI < 3.50
Moderately Significant
1.50 < AI < 2.50
Less Significant
1.00 < AI < 1.50
Not Significant
Perception on Indicators of Design Quality
As shown in Fig. 1, 2 and 3, the AI value of all
the indicators under functionality, build quality andimpact aspects are within the range of 3.50 < AI <4.50, suggesting that all the indicators are significant
to be considered in evaluating the design quality ofbuildings in Malaysia. Under functionality aspect,natural lighting and access scored the highest AI
values. This finding indicates that buildings in
Malaysia should be designed to efficiently utilise the

The involvements of these respondents werereasonably balanced by those who have worked formore than 6 years up to 20 years or more (48%).
This provides a substantially reliable data for thisstudy as their feedbacks represent the perspective of
the key construction players in Malaysian368

SEE-Mie, Japan, Nov. 19-21, 2015

natural lighting to light up the indoor considering
Malaysia is a tropical country with abundance of
natural-light. A building with good access to its
users especially users with disabilities is perceived
as a significant indicator to measure design quality.
In Malaysia, there is a growing awareness, efforts
and commitment of key building stakeholders to
improve the accessibility of buildings especially forusers with disabilities.

3.81

3.85

3.87
3.79

3.82

3.85

3.86
3.83
3.85

3.91

3.96
3.91
3.82

3.82

3.95
3.89

Average index of indicators – impact

Among the impact indicators, location scored thehighest AI value.
Positioning of building inappropriate location or local environment will help
the building to create a sense of place. The otherthree impact indicators i.e. external environment,
urban and social integration and noise scored same
3.91 AI value.

3.81
3.81

3.82

3.92
4.01

Fig. 3

3.71

3.83
3.79

3.99

Fig. 1 Average index of indicators - functionality

3.91
3.9

3.88
3.91

3.9
3.81
3.82

3.96

ColourForm & Material
ComfortInternal environment
External environment
Character & innovation
Urban & integration social
Location
Visual effect
Security
Natural disaster
Noise

3.92

attractive but at the same time it can strengthen theidentity and character of the building.

CONCLUSION
Use
Engineering system
LandscapeSecurity system
EnergyGreen energy & sustainability
Finishing
Structure element
Road width
Infrastructure
Stability
Pedestrian
MaintenanceIndicators to measure design quality that has
been adopted in the DQI of the UK can be adopted
in Malaysian construction industry with somemodification. This study was carried out to identify
indicators to measure satisfaction towards design
quality of buildings and to assess the suitability of
the indicators in the context of the constructionindustry in Malaysia. The survey revealed that all
the indicators are significant in measuring the design
quality of buildings in the context of constructionindustry in Malaysia. The identified design quality
indicators are likely to be useful to all building
stakeholders especially owner, user, contractor anddesigner who have direct participation in producing
or utilising the building. The work is also expected
to support the existing green building assessment
system particularly on eliciting stakeholders’perception on the actual design quality of buildings.

Fig. 2Average index of indicators - build quality

Structure element of buildings such as beams,
columns and floors which are efficient is consideredas significant build quality indicators with thehighest AI value (4.01). The efficiency of thestructure elements can accommodate challenging
and creative architectural designs and will lead tobuildings that are of high build quality. Landscapescored the second highest AI value. Building
landscape should be designed not only to be

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370

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

A GENETIC ALGORITHM–BASED APPROACH TO PREDICTPAVEMENT MAINTENANCE STRATEGIES: IRAQI
EXPRESSWAY NO.1 CASE STUDY
Namir G. Ahmed Alkawaaz, PhD
A. Prof., M.ASCE, M.ASTM
College of Engineering/ University of Almustansiriyah, Iraq

ABSTRACTThe present paper articulates the applicability of genetic algorithms (GAs) as an optimization tool capable ofsupporting decision-makers (DMs) to make the right decisions throughout the selection of an optimal pavement
maintenance strategy and to predict future pavement condition. GAs efficiently take advantage of historicalinformation to locate search points with improved performance.
In this regard, pavement condition index (PCI) for the in-service pavement of the selected case study(Expressway No.1 (R4/A) in Iraq) is estimated based on ASTM D6433-11 and using MicroPAVER 6.5.2
software. Moreover, the related field measurements of the in-service pavement distresses are carried out andclassified.
To predict the optimal maintenance strategy for the pavement segments within the selected pavement
portion case study, a GA optimization technique is implemented as an application of stochastic approach using
EVOLVER 6.3.1 software to evaluate the pavement performance based on PCI.
For the required validation process of the predicted PCI results obtained by the GA technique, predicted PCI
results obtained by experts’ opinions based on the design questionnaire were estimated and applied. The
statistical validation analyses showed that the predicted PCI values obtained via EVOLVER 6 Genetic
Algorithm software seem to be close to those obtained via the analyses of the experts’ questionnaires.
Based on the research outcomes, it is concluded that one can recognize using the presented procedure throughout
the implementation of stochastic approach in the form of GA to predict the optimal pavement maintenancestrategy for in-service pavement.

Keywords: Pavement Maintenance Strategies, Genetic Algorithm, Optimization, Pavement Condition Index.

the objectives at an acceptable level without being
dominated by any other solution [1].
There has been a tremendous research effort to solve
the complex problems by applying techniques to
produce sufficiently precise results given the scopeof the problem. These techniques are generally
known as soft computing methods, which mainly
include computing methods based on artificial
neural network (ANN), genetic algorithm (GA), andothers. All of these methods have a wide range ofapplications in engineering problems [2]. GAs are aclass of computational models working based on theevolutionary process in nature. GAs use theadaptation-based random directed search techniques
inspired by natural selection to obtain robust andcomputationally efficient solutions for engineering
problems. They have been very popular in the last
three decades due to their attractive features, such as
the fact that they do not require a previous
knowledge of the problem domain, so theirrobustness has been well established. There are
numerous successful implementations in the

INTRODUCTION
Pavement management requires a large
investment and much effort. Accordingly, the related
agencies need to maintain and manage the required
process effectively. Effective pavement management
would yield a safe environment for public users.
The decision-makers (DMs) who have to makethese types of choices often do so based on a numberof criteria. Such criteria include an application of aproper optimization technique to predict the limited
budget for capital and recurrent expenditure and theneed to keep the transportation facilities operation at
an acceptable level of service.
In many real-life problems, objectives underconsideration conflict with one another, andoptimizing a particular solution with respect to asingle objective can result in unacceptable resultswith respect to other objectives. A reasonable
solution to a multi-objective problem is toinvestigate a set of solutions, each of which satisfies

371

SEE-Mie, Japan, Nov. 19-21, 2015

literature for search and optimization problems aswell as machine learning [3].
Purpose Statement
ESTIMATED PCI VALUES OF THE INSERVICE PAVEMENT CASE STUDY

Rating of the pavement maintenance alternative
for selecting the optimal alternative is the largest
problem facing pavement management agencies; thisprocedure is costly and causes delay. DMs are
required to select a maintenance alternative thatclosely meets their criteria. Decision-making inpavement management is a complex process due tobudget constraints and multiple criteria. For thisreason and to assist the local agencies, it is proposedthat agencies use an optimization process throughout
the application of a stochastic approach based on
GA to simplify selecting an optimal maintenancealternative and predict the future condition of
pavement.

PCI is analyzed using MicroPAVER 6.5.2
software. The related pavement distresses, such asalligator cracks, lane/shoulder drop-off, longitudinal
and transverse cracking, polished aggregate,
potholes, rutting, slippage cracking, raveling, andweathering are measured based on ASTM D6433-11.
This index can be used to identify when treatments
are needed, to define the condition state, for ranking
or prioritization, and as the number used to forecast
pavement condition and the average PCI of theselected fifteen segments within the pavement
selected case study. The estimated PCI values can beseen in Table 1.

Research Goals
The main goal of the present paper is to predictpavement maintenance alternatives using astochastic technique to evaluate and estimate inservice pavement performance and to predict an
optimal maintenance strategy for the future based on
a GA technique using EVOLVER 6 software to
predict the pavement condition index (PCI).
Accordingly, the goal is to predict the optimal
maintenance alternative for the pavement segments
within the selected case study: Expressway No.1
(R/4A) in Iraq.

Table 1 The estimated PCIs (MicroPAVER 6.5.2
software output)
Pavement
Segment
1

PCI
Estimate
54

Pavement
Segment
9

PCI
Estimated
63

2

76

10

34

3

53

11

41

4

64

12

58

5

80

13

52

PAVEMENT CONDITION ASSESSMENT

6

76

14

47

Fig. 1 presents a simulation between thestandard PCI rating scale and the custom rating scale.
Accordingly, it is recommended to consider
reconstruction pavement maintenance for the PCI
range of 0 to 55, and rehabilitation andreconstruction for the PCI values of 56 to 70 and 71
to 100, respectively.

7

37

15

58

8

63

---

---

PAVEMENT MAINTENANCE DECISIONSUSING GENETIC ALGORTHIMSGA is an optimization method based on
biological principles of evolution to provide aninteresting alternative. This method is related to thestochastic approach, which is particularly useful forhighly nonlinear problems and models, when
computation time is not a primary concern.
The search process of GAs for solutions thatbest satisfy the objective function involves
generating an initial random pool of feasible
solutions to form a parent solution pool, followed byobtaining new solutions and forming new parent
pools through an iterative process.
The fitness value of each solution is used todetermine its probable contribution in the generationof new solutions, known as offspring. The next
parent pool is then formed by selecting the fittest

Fig. 1 Simulation between the Standard PCI Rating
Scale and the Custom Rating Scale [4].

372SEE-Mie, Japan, Nov. 19-21, 2015

offspring based on their objective function values.
The entire process is repeated until a predetermined
stopping criterion is reached [5].

Max Average Condition = ∑𝒏𝒏𝒊𝒊(𝑷𝑷𝑷𝑷𝑷𝑷)𝒊𝒊/𝒏𝒏,
Where (PCI)i = the pavement condition index of
section i and n = the number of pavement segment.

OPTIMAL SOLUTION CONCEPTCASE STUDY AND GA IMPLEMETATION

In objective optimization, to measure the fitnessof a solution in a given iteration, the processcontinues until the entire population is ranked, as
illustrated in Fig.2. A solution with a lower
numbered rank is assigned a higher fitness than thatfor a solution with a higher numbered rank.
The main goal of the objective optimization
process is to achieve a balance between obtaining awell-converged and well-distributed set of optimal
solutions. The more diverse the solution is, the better
informed the DM is about the range and thespectrum of the possible solutions.

The case study represents fifteen pavement
segments of 300 m length each, from the Iraqi
Expressway No.1 – (R/4A). Expressway No.1 is the
major arterial expressway in Iraq and extends fromthe Syrian and Jordanian borders to the Kuwaiti
border. Section R4 is the segment of Expressway
No.1 composed of the contracts R/4A and wasconstructed in the period of 1979–1989. Section
R/4A starts at station 32+000 km and ends at
36+500 km, which is located at AL-Mahmudiya cityand serves traffic from Baghdad to Hilla. The
pavement section has six lanes, three in eachdirection, with a standing lane; each direction isseparated by an island.
Data include pavement section number and thestatus of the pavement case study, which isexpressed in the form of PCI for each segment basedon the field inspections in the current year (2014)
and the outputs of MicroPAVER 6.5.2 software.
These numbers were used as a base to implement the
GA technique, as precisely described in thefollowing subsections. Moreover, the criteria
mentioned in section 4 are considered a guide toclassify the pavement maintenance strategy for eachsegment based on its own PCI values.

Solution Representation
Application of the GA technique for any
problem requires setting the solution representationby the mean of chromosomes. Chromosome
structure is made of a string of values associatedwith the problem variables. Figure 2 presents thegeneral structure, the solution, and the chromosome
production of the GAs. For the problem at hand,each of the chromosome elements has a value from 0
to 100, corresponding to one of the maintenancestrategies (70–100 = preventive maintenance, 56–70= rehabilitation maintenance, and 0–55 =reconstruction).

Genetic Algorithm Optimization
A GA is a method for solving both constrained
and unconstrained optimization problems based on anatural selection process that mimics biologicalevolution. Therefore, it seems like a good idea tomimic the processes of reproduction and survival of
the fittest to try to evolve answers to problems. At
each step, the GA randomly selects individuals fromthe current population and uses them as parents to
produce the children for the next generation. The
following steps describe the optimization process
based on the GA:• Generate a population of possible answers
to the problem at hand.
• Choose the best individuals from the
population (using methods inspired bysurvival of the fittest).
• Produce a new generation by combining
these best individuals (using techniques
inspired by reproduction).
• Stop when the best individual of ageneration is good enough (or you run outof time).

Fig.2 GA Mutation Operation and Chromosome
Production [6].
Objective Function
In the present paper, an objective function
optimization model is proposed to maximize thepavement condition. The optimization modeloutcome is adopted to estimate the values of theobjective function. The objective function aims tomaximize the condition of the pavement
performance, as follows:

373

SEE-Mie, Japan, Nov. 19-21, 2015

Implementation of Genetic Algorithm

Estimating
PCI
ValuesandPavement
Maintenance Alternatives Based on Expert
Opinions

EVOLVER 6 GA software is proposed to be used inthis research. Based on the selection of design
variables and constraints, this program allows theuser to take an Excel spreadsheet with any type of
calculation data (no matter how complex) and
optimize a calculation outcome. Moreover, theoptimization can be performed as a maximization,
minimization, or the attempt to reach a target value.

Based on the previously mentioned criteria(Pavement Condition Assessment), the average
opinion regarding the PCI values and themaintenance strategy for the selected pavement
segments of twenty-eight experts in pavement
maintenance, such as academic specialist staff andprofessional maintenance engineers, through adesigned questionnaire were gathered and can beseen in Table 3.

GA Computation and Results Representation
The predicted PCI values for the proposed
maintenance presented in Table 1 are used as input
data for the EVOLVER 6 GA software. The results
to maximize PCI value depending on the software
output can be seen in Table 2.

Table 3 Expert Opinions of Predicted PCI Values
after Proposed Maintenance Strategy for the Case
Study Iraqi Expressway (No.1 – R/4A) In-Service
Pavement Portion

Table 2 GA Computation–Predicted PCI Values
after Proposed Maintenance Strategy for the Case
Study Iraqi Expressway (No.1 – R/4A) In-Service
Pavement Portion

Pavement Segment

a

b

c

d

1

54

_

_

88

2

76

81

_

_

53

_

_

86

Pavement Segment

a

b

c

d

3

1

54

_

_

84

4

64

_

71

_

2

76

78

_

_

5

80

83

_

_

3

53

_

91

6

76

80

_

_

37

_

_

75

4

64

_

68

_

7

5

80

83

_

_

8

63

_

70

_

6

76

81

_

_

9

63

_

70

_

7

37

_

_

76

10

34

_

_

73

41

_

_

75

8

63

_

70

_

11

9

63

_

71

_

12

58

_

68

_

10

34

_

_

63

13

52

_

_

86

11

41

_

_

77

14

47

_

_

84

12

58

_

65

_

15

58

_

69

_

Average

53.7

81.3

69.6

81

13

52

_

_

83

14

47

_

68

_

15

58

_

65

_

Average

53

81

68

79

a: In-service pavement’s estimated (PCI), b, c, andd : (PCI)’s values if Preventive, Rehabilitation andReconstruction maintenance is implemented.
Figures 3 and 4 present the comparison between the
PCI values from the experts’ opinions and GA
computation results. It clearly shows that the PCI
results seem to be close enough to conclude that the
PCI–GA computation results can be considered to
predict pavement maintenance strategies.

a: In-service pavement’s estimated (PCI), b, c, andd : (PCI)’s values if Preventive, Rehabilitation andReconstruction maintenance is implemented.
STATISTICAL EVALUATION
The following subsections describe theestimation of PCI values and pavement maintenancealternatives based on expert opinions and statisticalanalysis to evaluate the PCI results predicted via GA
computation.

374

SEE-Mie, Japan, Nov. 19-21, 2015

100
80
60
40
20
0

Fig.5 Average PCI from GA Computation vs.
Average Opinion of Experts for Pavement
Maintenance Strategy
To compare results of PCI obtained by GA
computation with those obtained from experts’opinions in the questionnaires, statistical technique
is followed through the following two steps:
calculating relative error (RE) and graphicaltechniques.

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15
PCI GA

PCI Experts

Fig. 3 Comparison between PCI Values of Expert
Opinions and GA results for the fifteen pavement
segments.
100

Relative Error

8060

To calculate the error between the output resultsof PCI, the RE technique is proposed. RE is
computed as follows [7]:RE= |(𝐏𝐏𝐏𝐏𝐏𝐏 𝐄𝐄𝐄𝐄𝐄𝐄𝐄𝐄𝐄𝐄𝐄𝐄 − 𝐏𝐏𝐏𝐏𝐏𝐏 𝐆𝐆𝐆𝐆)/(𝐏𝐏𝐏𝐏𝐏𝐏 𝐄𝐄𝐄𝐄𝐄𝐄𝐄𝐄𝐄𝐄𝐄𝐄)| ….
(1),
Where: RE = relative error percent,
PCI Expert = estimated PCI based on expert opinion,
and, PCI GA = calculated PCI based on GA
computation.
Results of RE analysis are shown in Table 5 and Fig.

40
20
0

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15
PCI GA

PCI Experts

Fig.4 PCI’s GA Computation vs. Average Opinionof Experts for Pavement Maintenance Strategy ofthe fifteen pavement segments,

6.
10.000

The average PCI values obtained via expert
opinion and GA computation are presented in Table
4. The average PCI results seem to be close to thosein Fig. 5. A good fit can be seen in this figure thatreflects a strong relationship between the values of
PCI, which were estimated by GA computation andobtained from the average opinion of experts.

8.000
6.000
4.000
2.000
0.000

Table 4 Average PCI Values Obtained via Expert
Opinions and GA Computation
PCI Experts
PCI GA

81.3
80.7

69.6
67.8

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15% Relaive Error

81
79

Average % RE

Fig.6 RE Computations for PCI GA and PCI Experts

Table 5 RE Computations for PCIGA and PCI Experts
858080.7 81.3

81

79

75

67.8

70

No. of
1i
2
3
4
5
6
7

69.6

65
60

1

2
PCI GA

3

PCI Experts

375

PCI GA
84
78
91
68
83
81
76

PCI
E 88
81
86
71
83
80
75

Relative
E
4.762
3.846
5.495
4.412
0.000
1.235
1.316

SEE-Mie, Japan, Nov. 19-21, 2015

8
9
10
11
12
13
14
15

70
71
69
77
65
83
78
65

70
70
73
75
68
86
84
69

[1] Konak, A. W. David, and E. Smith. “MultiObjective
Optimization
using
genetic
algorithms,” Reliab. Eng. Syst. Saf. (2006):
992–1007.
[2] Tutumluer, E., O. Pekcan, and J. Ghaboussi, J.
“Nondestructive Pavement Evaluation Using
Finite Element Analysis Based Soft Computing
Models,” 2009, NEXTRANS Project No
010IY01.
[3] Goldberg, D. E., Genetic Algorithms in Search,
Optimization and Machine Learning (Boston,
MA: Addison-Wesley Publication, 1989).
[4] Hammond, Lindsi “Pavement Rating 101:
PAVER,” NWPMA Conference, October 29,
2014, Seattle, WA.
[5] Fwa, T. F., and W. T. Chan. “Multiobjective
optimization for pavement maintenanceprogramming,” J. Transp. Eng., ASEC 126(2000): 367–373.
[6] Mathew, T., V., Genetic Algorithms. Indian
Institute of Technology Bombay, Mumbai400076. Retrieved from:http://www.civil.iitb.ac.in/tvm/2701_dga/2701ga-notes/gadoc/gadoc.html[7] Wang, L., and E. Masad, E., Analysis of Asphalt
Pavement Materials and Systems, Engineering
Methods (American Society of Civil Engineers,
Virginia, 2009).

0.000
1.408
5.797
2.597
4.615
3.614
7.692
6.154

The percentage of average RE is found to be
3.53, which is accepted as a prediction error if a
confidence level of 95% is adopted.

CONCLUSION AND RECOMMENDATIONS
On the basis of the research findings, thefollowing conclusions are appropriate:
1. Optimal maintenance alternatives for the inservice pavement segments within the selected casestudy (Expressway No.1- (R4/A)) were predictedbased on the application of GA optimization
technique.
2. Depending on the statistical analyses, it isconcluded that the predicted PCI values obtained byexpert opinions seem to be in good agreement withthese obtained via GA software. Accordingly, it isconcluded that using a stochastic GA technique isrecommended as a desired optimization approach topredict the optimal maintenance alternative forpavement section.
Based on the study findings, it is recommended
to use the presented procedure using a stochastic
approach based on GA to estimate the optimal
pavement alternatives for in-service pavement and to
predict the best maintenance strategy. Furthermore,this approach can assist DMs and local engineers ofpavement management systems and highway
administration agencies to make the proper decisions
during the selection of the proper pavement
maintenance alternatives and schedule maintenanceallocations for the next years.
ACKNOWLEDGMENT
The author wishes to thanks the State
Corporation of Road and Bridges in Iraq,
represented by Mr. Nihad Kassim, the head ofPlanning and Design Department, for his valuable
support during the field measurement part of thestudy and for providing related pavement historical
data.
REFERENCES

376

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

EXTRACTION OF SILICA GEL FROM AGRICULTURAL WASTE
FOR POZZOLANIC APPLICATION: A REVIEW
Rahimah Embong1, 2, Nasir Shafiq1, and Andri Kusbiantoro2
Civil and Environmental Engineering Department, Universiti Teknologi PETRONAS, Malaysia;
2
Faculty of Engineering Technology, Universiti Malaysia Pahang, Malaysia

1

ABSTRACT
Conventional production of Portland cement and biomass-waste generated from agricultural based industry
are both producing negative impact to the environment quality in which they are situated. However, there is a
prospective potential to recycle agricultural waste and convert it into cement replacements material withconsideration of several processing methods to activate its pozzolanic reactivity. Role of a pozzolan in
improving the properties of cementitious product relies on the additional reaction in cementitious system to form
Calcium Silicate Hydrate (C-S-H) structure. Generally, this by-product is converted into reactive ash byincinerating it in high temperature. The conversion of silica ash into gel forms results in further investigation ofnovel processing method to prepare silica gel that would result in the better control of micro-porous structure,
thermal performance, and adsorption level of this pozzolanic product. This article reviews on the recent progressof synthesis of silica gel that encompassing its material background, production processes, applications, andgelification procedure. The article also discusses the integration of several main by products, e.g. oil shale ash,geothermal sludge, and rice husk ash (RHA) into the production of silica gel. Considering its effect to theenvironment quality, application of silica ash in a gel form as pozzolanic materials in concrete is capable toconstitute a new material recycling and sustainability effort.
Keywords: Agricultural waste, Pozzolanic, Gelification, Silica geldoes not require any chemical reaction in theadsorption process and does not form any byproducts.
In the area of dyes and pigments research,
investigation on the anchoring of silica gel on
aluminium pigments surface has been initiated.
Silica gel was expected to provide corrosion
resistance based on the basis of oxidation process ofaluminium by hydrogen peroxide [1]. Successful
encapsulation of media concentration at 5.1 x 10-5mol/m2 produced the highest anchorage efficiency
with a dense coating was formed, had a smoothsurface and free from crack. This coating layer
exhibited the best corrosion resistance on thealuminium flake surfaces. Thermal conductivity andcontact resistance of mesoporous silica gel have also
been studied in the cooling systems applications [2].
Measurement on thermal conductivity and thermal
contact resistance by using guarded-hot plateapparatus under vacuum pressure has indicated theinvention of new composite with a promisingadsorption rate for cooling systems after the bondingof silica gel with polyvinyl pyrrolidone (PVP). Other
utilizations of silica gel commonly found inindustries are summarized in Table 1.
In concrete, silica gel has been used in theimmobilization of bacteria for self-healing concrete[4]. It could enhance the immobilizing of bacteria
and exhibit higher activity than polyurethane-

INTRODUCTION
Silica gel (SiO2.NH2O) in its physical state is a
granular, vitreous, porous form of silicon dioxidethat is made from the gelification of sodium silicate
solution. Gelification methods may vary and dependon the specific application of each related industry;hence the process may formulate various types ofsilica gels with different pore structures. Silica gel
can also be a naturally available mineral that ispurified and processed into granular or beaded form.
Silica gel has micro porous structure withinterlocking cavities, which produces a very highsurface area (~800m2/g) and make it capable as highcapacity desiccant. It absorbs water readily which
act as drying agent and at the same time reduce therelative humidity in a closed space almost 40%. Its
unique chemical composition and physical structure
contribute to the specific characteristics such as
stable thermal performance, high adsorption feature,and stable physical property.
APPLICATIONS OF SILICA GEL
Silica gel has been applied in various industries
because of the high adsorptivity and easy to be
furnished into wide range of mesh sizes.
Characteristics of silica gel, i.e. inert, non-toxic, andnon-corrosive have increased its popularity since it
377

SEE-Mie, Japan, Nov. 19-21, 2015

immobilized bacteria, which was a readily used
agent
Table 1. Applications in industries associated by Fuji Silvia Chemical Product [3]Industries

Areas

Applications

Dessicant & Dehumidifier

Storage containers, Computer,
Instruments, Photos, Batteries,
Circuit boards, Pet foods

Drying and cleaning of air andgases, analytical samples, solvents,and synthesis product
Desiccantingasindustry,
dehydration and purification in
Oxygen, Hydrogen and Chlorine

Paints & Coating

Decorative Paint, Wood & Floors,
Protective, Roof, Gel-Coats,
Paper
Coatings,
Adhesives,
Sealants

Matting, Anti-Corrosion, Water,
Resistant Aid, Water Scavenger,
Hydrophobic Properties, Filler,
Viscosity Control, Mold Release
Aid

Inks & Printing

Gravure, Flexo, Silk Screen
Laser Printing, Thermal Transfer,
Ink Receptivity, Over Print
VarnishMatting, Anti-Block/Tact Control,
Color Bleed Control, Dot Gain,
Control, Adhesion, Anti-Static, Fast
Ink Dry, Clarity

Plastics

Films,
Non-Films,
Color
Dispersions, Production Aid

Matting, Anti-Block, Superior
Clarity,
Filler,Texturizing,
Viscosity
Control,
Purging
Compound, Plate Out, Kinetic CoF

Food
Pharmaceutical
Personal Care

Food & Spices, Cosmetics,
Personal Care, Dentifrice, Beers&
Wine,
Pharmaceuticals,
Neutraceuticals

Free Flow Aid, Liquid Powderizing,
Ingredient
Carrier,
SmoothTexturing,
Matting,
Stability/Emulsion Aid,
Scrub
Additive, Sebum Control, Chill,
Proofing Agent, Filtering Aid,
Compounding
Agent,
Drug
Delivery System

in self- healing study [5-8]. Based onthermogravimetric analysis, CaCO3 precipitated insilica gel (25% by mass) more than in polyurethane,
which was only 11% (by mass). Silica gel is also
known as a good carrier for microorganisms such asbacterial cells, yeast and algae due to its goodmechanical, thermal and photochemical stability
properties. The microstructural matrix of silica gel isalso efficient for transmission of molecules and ions[9, 10].
In 2011, Samantha et al [11] studied the effectsof silica gel from the residue of rice husk as a
cement replacement material. In this study, silica gel
replaced the portion of cement in the mixture from
0% to 5%. Based on pozzolanic reactivity test, silica
gel could consume calcium hydroxide at higher rate
(787 mg/g) than the minimum value attributed forconventional pozzolanic materials (330 mg/g).
Substitution of cement with silica gel also
corresponded to the strength increment as early as 3days (control = 35 MPa; 2.5% silica gel = 52 MPa;
5% silica gel = 56 MPa). A consistent strength
improvement was also presented by silica gel

concrete after 28 days of curing. The researchers
claimed that pozzolanic reactivity of silica gel was
similar to silica fume and nano-silica produced byother amorphous pozzolans reported in numerous
studies [12-16].
EXTRACTION
SILICA GELANDGELIFICATIONOF

Investigation on the synthesis of ultrafine silica
powder from oil shale ash (OSA) using fluidized bed
drying of wet-gel slurry has also been studied [17].
Fluidization technique was employed in the drying
process of wet-gel slurry at ambient temperature.
The experiment was performed by dissolving 5 g/g(liquid/solid) with 20-40 wt.% of sodium hydroxide(NaOH) in distilled water under constant stirring to
produce sodium metasilicate solutions. It washeated at 80-100 °C for 3, 4 and 5 hours.
Gelification procedure was initiated by adding 0.5
mol/L H2SO4 solution into the prepared sodium
metasilicate solution until it reached pH 4. Silica gel
produced was then aged for 24 hours and washed378

SEE-Mie, Japan, Nov. 19-21, 2015

before proceed to make wet-gel slurry.
In 2014, investigation on the production of silica
gels was expanded to the geothermal sludge based
system [18]. Geothermal sludge ash was dissolved in
NaOH solution to produce sodium silicate, whichthen diluted with various concentrations of HCl or
tartaric acid to produce silica gels. In this study, theeffects of silica concentration and pH to the silica
gel properties were investigated with theintroduction of two steps of aging process. In thefirst step of aging, the process was purposed toincrease the size and uniformity of primary silica gel
particles, while the second step of aging was
conducted to strengthen the gel network of silica.
Muljani et al [18] conducted the extraction
process by dispersing 10 g of geothermal sludge(GS) with particle size ranging from 147 µm - 175µm in 100 ml of NaOH solution (0.5-2M) and boiled
for 1 hour under reflux and constant stirring in order
to dissolved the silica and produced a sodium
silicate solution. The solution was then cooled down
to room temperature and filtered to extract thesodium silicate solution for the subsequentgelification process. Two steps in the gelification
process referred to the two consecutive aging
process that involved the titration using difference
acids, namely hydrochloric acid (inorganic acid) andtartaric acid (organic acid).

surface area from the nitrogen adsorption process[19, 20], silica gel was reported to have finer particle
size with higher surface area than rice husk ash andPortland cement [11]. Amorphous pattern of silica
particles was observed with x-ray diffraction (XRD)
analysis and it was entirely free from sodium
chloride. It justified the effectiveness of gelification
process in producing siliceous gel with high purity.
Additional analysis using infrared spectroscopy
showed the presence of ethanol in silica gel
specimen, which was originated from humidityreduction ethanol. Characteristics bands patterns
observed in the infrared spectrum of alcohols was
believed to be influenced by hydrogen bonds and theposition of the group in the molecule. The
decreasing FTIR pattern at 300 cm-1 to 1815 cm-1
was presumed to correspond with the nil presence of
NaCl precursors after complete washing of the gel[11]. Observation on the microstructural images
displays the existence of silica group in the form of
irregular, cohesive surface, and spherical clusters[11].
CONCLUSION
This study reviews the possible approach to
extract high purity pozzolanic silica fromagricultural or industrial by products. Conversion ofwhite silica ash into siliceous gel provides a positive
outcomes, particularly related to the escalation of
pozzolanic reactivity and its effect to the mechanicalstrength performance of cementitious system.
Gelification as the subsequent process toconventional incineration practice gives anencouraging insight to the whole procedure, which
will provide a basis for the future research.
Nevertheless, new methods in this area could befurther explored and in-depth information on thematerial characteristic are essentially required.

MATERIAL CHARACTERIZATION OF
SILICA GEL
Characterization of silica gel conducted by
Samantha et al [11] provided a valuable insight on
the potential feature of agricultural based silica gel,particularly for the cementitious system. In the first
analytical stage, Chapelle test was conducted tomeasure the pozzolanic reactivity of siliceous gelwith reference to the French Norm FN P 18-513,
Annexe A. It measured the quantity of calcium
hydroxide fixed by siliceous materials frompozzolans. Chapelle test indicated the rapid
consumption of calcium hydroxide by siliceous gel,which would be prominently beneficial to densify
the microstructure of cementitious system via theformation of secondary calcium-silicate-hydrate gels.
X-ray fluorescence (XRF) analysis was
employed to provide additional information on thechemical composition and loss of ignition of thesilica gel. The escalating level of silica content in thesilica gel illustrated the effectiveness of extraction
method and gelification process, which was closely
related to the measured pozzolanic reactivity. About
82% of SiO2 content was detected in rice husk ash
after pre-treatment process using HCl solution;
however it showed an increasing value up to 91%
SiO2 content after gelification,
Based on the result of Brunaeur–Emmett-Teller(BET) analysis that provided a detailed specific

ACKNOWLEDGEMENTS
The authors would like to thank the financial
support from Ministry of Education Malaysia.
Universiti Teknologi PETRONAS (UTP) andUniversiti Malaysia Pahang (UMP) under research
grant 0153AB-K04 (UTP) and RDU130614 (UMP).
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aluminum pigments surface for corrosion
resistance based on aluminum oxidized byhydrogen peroxide," Dyes and Pigments, vol.
114, pp. 253-258, 2015.
[2] A. Sharafian, et al., "Thermal conductivity andcontact resistance of mesoporous silica gel
adsorbents bound with polyvinylpyrrolidone incontact with a metallic substrate for adsorption379

SEE-Mie, Japan, Nov. 19-21, 2015

cooling system applications," International
Journal of Heat and Mass Transfer, vol. 79, pp.
64-71, 2014.
[3] F. Silysia, Silica-gel uses in industries andapplications. 2013.
[4] J.Wang, "Use of silica gel or polyurethane
immobilized bacteria for self-healing concrete,"
Construction and Building Materials, vol. 26, pp.
532-540, 2012.
[5] V. R. J.L.Day, S.S Bang, "Microbiologicallyinduced sealant for concrete crack remediation,"presented at the 16th Engineering Mechanics
Conference, Seattle, Washington, 2003.
[6] N. D. B. K.Van Tittelboom, W.De Muynuck,
W.Verstraete, "Use of bacteria to repair craks inconcrete," Cement and Concrete research, vol.
40, pp. 157-166, 2010.
[7] S. K. R. K.Santosh, V.Ramakrishnan, S.S.Bang,"Remediationof
concreteusing
microorganisms," American concrete institutematerials journal, vol. 98, pp. 3-9, 2001.
[8] J. K. G. S.S.Bang, V.Ramakrishnan, "Calcite
precipitationinducedbypolyurethaneimmobilized Bacillus pasteurii, enzyme andmicrobial technology", vol. 28, pp. 404-409,
2001.
[9] J. R. U. Soltman, S.Selenska Pobell,"Biosoprtion of heavy metals by sol-gel
immobilized Bacillus sphaericus cell, sporesand s-layers," Journalof sol-gel Sci
Technology, vol. 26, pp. 1209-1212, 2003.
[10] H. B. U. Soltman, "Utilization of sol-gel
ceramics for the immobilization of living
microorganisms," Journal of sol-gel Sci
Technology, vol. 48, pp. 66-72, 2008.
[11] R. P. Samantha Pinheiro, Guilherme Chagas
Cordeiro, Marcia Rodrigues, Romildo Dias,"Production of silica gel from residual rice husk
ash," Journal of Quimica Nova, vol. 34, pp. 7175, 2011.
[12] H. Tanyildizi, "Variance analysis of crack
characteristics of structural lightweight concrete

containing silica fume exposed to hightemperature," Construction and Building
Materials, vol. 47, pp. 1154-1159, 2013.
[13] Ö. Çakır and Ö. Ö. Sofyanlı, "Influence of silica
fume on mechanical and physical properties ofrecycled aggregate concrete," HBRC Journal.
[14] R. Siddique, "Utilization of silica fume inconcrete: Review of hardened properties,"
Resources, Conservation and Recycling, vol. 55,
pp. 923-932, 2011.
[15] P. Van den Heede, et al., "Influence of active
crack width control on the chloride penetration
resistance and global warming potential of slabs
made with fly ash & silica fume concrete,"
Construction and Building Materials, vol. 67,
Part A, pp. 74-80, 2014.
[16] A. F. Bingöl and İ. Tohumcu, "Effects ofdifferent curing regimes on the compressive
strength properties of self compacting concrete
incorporating fly ash and silica fume," Materials& Design, vol. 51, pp. 12-18, 2013.
[17] G.-M. Gao, et al., "Synthesis of ultrafine silica
powders based on oil shale ash by fluidized bed
drying of wet-gel slurry," Fuel, vol. 88, pp.
1223-1227, 2009.
[18] H. S. Srie Muljani, Gede Wibawa, Ali Altway,"A facile method for the production of highsurface-area mesoporous silica gels fromgeothermal
sludge,"Advanced
PowderTechnology, vol. 25, pp. 1593-1599, 2014.
[19] Q. Zeng, et al., "Characterizing pore structure of
cement blend pastes using water vapor sorption
analysis," Materials Characterization, vol. 95,
pp. 72-84, 2014.
[20] W. Bao, et al., "Synthesis of hydrophobic
alumina aerogel with surface modification fromoil shale ash," Powder Technology, vol. 249, pp.
220-224, 2013.

380

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

VALORISATION OF NATURAL POZZOLAN OF "DJOUNGO"(CAMEROON) AS LIGHTWEIGHT AGGREGATE FOR
LIGHTWEIGHT CONCRETE

1

Willy JUIMO1,2, Toufik CHERRADI1 and Larbi ABIDI1
Mohammadia School of Engineering, Mohammed V University of Rabat, Morocco
2
Higher Institute of the Sahel, University of Maroua, Cameroon

ABSTRACT
Cameroon has an appreciable quantity of volcanic pozzolanic materials, but a very low proportion is used as
cement additives. These materials are abundant but are rarely or very little used because of the lack or limited ofstudies to develop, promote and popularize its use naturally as an adjuvant or as aggregates in the production
lightweights aggregates concretes . The main objective of this study is to promote these sources of low
environmental impact construction materials. Its aim is to characterize and value the natural pozzolan source"Djoungo" as lightweight aggregate for lightweight concrete. Analyzes and tests conducted in this study were
performed on aggregates produced from this resource. They concern the chemical and mineralogical analysis,
the production of aggregates (Crushing and Sieving), physical properties (appearance and shape, natural watercontent, porosity, density and water absorption) and mechanical (Compressive strength, tensile strength andelastic modulus) to optimize the mechanical properties and durability of lightweight aggregate concrete obtained
from this resource.
Keywords: Valorisation, Natural Pozzolan, Lightweight Aggregate and Concrete.

Cameroon has been affected by a gigantic
tectonic accident linking the Sao Tome and would
continue until the Tibesti. This accident is observedby the alignment of forty massifs lie amidst over 500
km, from the Atlantic Ocean to Lake Chad which isthe "Cameroon Volcanic Line".

INTRODUCTION
Natural pozzolans, when they are used as
constituents of Portland cements, such as additives
or as aggregates in concrete, can improve its
performance. Therefore, some technical advantages
the use of pozzolan in concrete cannot be obtained
when ordinary Porland Cement is used alone. Thoseadvantages include: the high workability, reducing
hydration heat as well as improved resistance tosulfates and alkali-aggregate expansion. Moreover,in many cases, the use of pozzolan in concrete
proves Economic and allows for important energy
savings [1]–[4].
Cameroon has an appreciable amount of volcanic
pozzolan materials with a very small proportion (the"Djoungo" of lowland of Tombel, one source among
many existing) used as a cement addition (6-35% ofaccording Cameroonian Standard NC 234: 2009-06
on cement production) by local cement factories for
portland cement (CEM II / A, CEM II / B, and CPJ35) and pozzolanic cement (CEM IV / A and CEM
IV / B), as base coat of pavement, strengthening of
unpaved roads and very rarely as aggregates into theformulation of lightweight concrete [4]–[8]. Thesenatural pozzolan are abundant but rarely or very
little used because of the inadequacy or lack ofstudies to develop, promote and popularize its use asa lightweight aggregate.

Cameroon Volcanic Line (CVL)
The CVL is a suite of volcanic and sub volcanic
devices, that are aligned in the direction North 30 °East. 1600 km long, it is dotted with volcanic
massifs of the Southwest to Northeast, It comprises
Gulf of Guinea islands, mostly volcanic: Bioko
Pagalu, Sao Tome, Principe and also some seamounts; the region of West Cameroon, withalternating mountains: Mount Cameroon (Altitude:
4100 m), the Manengouba Mountains (shield
volcano of 20 km in diameter, with no known
historic activity presents some Strombolian cones
Bamboutou, Mbam and Oku and grabens (Kumba,
Tombel, Mamfe, Mbos, Ndop) and end the Tikar
lowland (Foumban in Banyo). These massifs locatedin the western part of the countryat the border with
Nigeria are dotted with their shallow by many slag
deposits. Especially on the slopes of Mount
Cameroon (Fig. 1), the slopes of Mount
Manengouba, Mount Galim, the plains of Tombel
around Djoungo, Kumba plain, the plain of Nounaround Foumbot, Lake Nyos area and the plateau of
the Adamaroua [8].

VOLCANISM IN CAMEROON
381

SEE-Mie, Japan, Nov. 19-21, 2015

January 27, 2015.

Tombel Plain: Site of "Djoungo"

Packaging and transport of specimens
Samples have been kept in plastic bags and thenpacked in cartons and sent to Rabat (Morocco) by
flight (Fig. 2).

Volcanic scoria of locality of Djoungo on theplain of Tombel (Longitude: 9°37'32'' East Latitude:
4°35'16'' North) are the pozzolan which has been of
the greatest number of studies. The slag Djoungo,
purplish black and brick red, clean, without clay, areexploited because of their privileged geographicallocation (near the railway and seaport). These arefragments of vesicular magma of low density (<1),
internal structure constituted by cells and more orless tight pore (Fig. 1). The ability to use thesematerials in manufacture of lightweight concrete canbe an important economic asset [4]–[6].

aSelection and reduction of specimens
The reduction of specimens is performed initiallysieving in order to separate the small volcanic scoria
and large ones. Volcanic scorias are reduced bycrushing (Fig. 3).

bfeFig. 3

Scoria (e) before and (f) after crushing.

Materials usedcFig. 1d
Getting the aggregates was carried out in one or
two operations as appropriate. By sieving only or bycrushing and sieving according to the size of
volcanic scoria. The materials used are those of"Laboratoire
Traitement
desMineraisof
Département des mines of Ecole Nationale
Supérieure des Mines de Rabat (ENSMR) ".

Mount Cameroon (a) active larva (b) larva
casting Front of the eruption of 1999
(Picture: Patrick Barois); Pozzolan Djoungo(c) Part of the site, (d) Operating Career [5].

MATERIALS AND PRODUCTS
Laboratories materials used for the valorization
are presented as well as the collected scoria andaggregates obtained.
Volcanic scoriagFig. 4

Fig. 2hCrushers : (g) Roll crusher (h) Jaw crusher.

Screening or sieving
The sieving is performed directly on the small
size scoria or after crushing for the considerable size
scoria. The compounds undergo a sieving 20, 10, 5,
2.5 and 1.25 mm using stainless steel sieve of
diameter 20 cm. Each sieving operation is carriedout for 2 minutes using a sieve. Specimens undergo

Packaging of specimens.

Specimens pozzolanic aggregates are obtained
according to different techniques of preparation rockSpecimens. The extraction of the natural pozzolan at
the site of "Djoungo" in Cameroon took place on
382

SEE-Mie, Japan, Nov. 19-21, 2015

the whole of the elaboration process follows: Drying
in the open air for 24 hours for the removal ofmoisture in the rocks, crushing, sieving andCharacterization.

letters are references to the origin of derived fromaggregate: small volcanic scoria (SVS) and large
volcanic scoria or volcanic tuffs (LVS). Numericalvalues indicate the size range of d/D where d (mm)is the minimum diameter D (mm) the maximum
diameter of aggregates.
An observation with the naked eye of the various
aggregates (Fig. 5) shows the macroscopic geometryof the aggregates, namely more angular shape forcrushed aggregates LVS5/10, LVS10/20 and
LVS20/30 and more or less rolled for aggregates
SVS1.25/2.5, SVS2.5/5, SVS5/10, SVS10/20 and
SVS20/30.

Crushing
For crushing, we used a cylinder (Roll) crusher
for of scoria size less than 80 mm and a jaw crusher
to those of size greater than 80 mm (Fig. 4). The
product obtained after the crushing is sieved on.
Products obtainedLightweight aggregates obtained were classified
into two categories: those derived by simply sieving
and those obtained after crushing. Eight types ofaggregates, which differ in the method of production
and their size, were studied (Fig. 5).

ANALYSES AND CHARACTERIZATIONS
Chemical and mineralogical composition, texture,size and shape affect the physical and mechanicalproprieties of aggregates. For this purpose we
conducted analyzes to identify the influence of theseparameters on the proprieties of the aggregatesobtained.
Chemical and mineralogical properties

1

The chemical and mineralogical characterizationof "Djoungo" were realized through overall chemical
analysis and X-ray diffractometric analysis (XRD)
on obtained by crushing powders (grain size 6380μm) by several authors [4]–[6].
To perform the study of the chemicalcomposition, the aggregates are first crushed. Then,these specimens were prepared in pellet form after
fusion. The analyzed volume is of the order ofseveral μm3. The results of some tests conducted bysome authors are presented (Tab. 1).

3

2

Chemical compositions
Table 1 Chemical analyzes of "Djoungo".
Ref.
4

6

5

SiO2
Al2O3
Fe2O3
CaO
MgO
MnO
Na2O
K2O
SO3
TiO2
P2O5
L.O.I.

Legend7
Fig. 58N°Aggregate

1

SVS20/30

2

LVS20/30

3

SVS10/20

4

LVS10/20

5

SVS5/106

LVS5/10

7

SVS2,5/5

8

SVS1.25/2.5

Macroscopic view of different aggregates.

[6]
DVS
45.57
15.94
12.81
8.97
5.76
3.28
1.03
2.11
0.20

[5]
ZD
44.04
15.26
12.77
9.29
7.00
0.17
5.64
1.35
0.01
2.87
0.53
1.1

[4]
DB1
45.79
15.68
12.83
9.60
6.26
0.17
3.54
1.39
2.84
0.60
0.31

[3], [9]
ACI
43–72
9–20
1–12
1–15
0.5–7
/
0.5–11
0.2–8
0–1.4
/
/
0.2–19Natural pozzolan of "Djoungo" is composed of
SiO2, Fe2O3 and Al2O3 as main elements (% byThese aggregates are subsequently appointed by
the terminology introduced (Tab. 1). The first two
383

SEE-Mie, Japan, Nov. 19-21, 2015

weight more than 10%), CaO, MgO, MnO, Na2O,
K2O, TiO2 and P2O5 as minor elements (less than10%) and the loss on ignition (L.O.I.) is less than
2% (Tab. 2). This composition is according with
ACI (American Concrete Institute) standard on
natural pozzolans [9].

removed scoria and aggregates obtained (Fig. 8).

Cumulative oversize (%)

LVS5/10Mineralogical compositions
The X-ray diffractogram of scoria show more
crystalline phases, the presence of a dome that
extends between 20 and 40°(2s). This dome
expresses the existence of the amorphous phase [5].
In summary, volcanic scoria contains amorphous
phases. These materials, due to the presence ofamorphous phases within them are therefore well
suited as raw materials for the production of
aggregates (Fig. 6).

SVS5/10

SVS2.5/5

SVS1.25/2.5

0
20
40
60

i

80

Opening sieves (mm)
100
1

2

3

Cumulative oversize (%)

LVS20/30

4

5

6

SVS20/30

8

7

9

10

SVS10/20

LVS10/20

0
20
40
60

j

80

Opening sieves (mm)10010Fig. 7

12

14

16

18

20

22

24

26

28

30

Granulometry (i) SVS1.25/2.5, SVS2.5/5,
SVS5/10 et LVS5/10; (j) SVS10/20,
LVS10/20, SVS20/30 et LVC20/30.

Elongation coefficient (q = l/L)

1

Fig. 60,9RolledFlatter and elongate

Elongate

0,7
0,6
0,5
0,4
0,3
0,2
0,1
0

Diffractogram of "Djoungo" [6].

Flatter0,80Ø 100 mmØ 40 mm
Ø 28 mmØ 63 mm
Ø 35,5 mm
Ø 25 mm

Ø 50 mm
Ø 31,5 mm
Ø 20 mm

0,1

0,3

0,5

0,2

0,4

0,6

k
0,7

0,8

0,9

1

Flattening coefficient (p = e/l)

Physical properties
Elongation coefficient (q = l/L)

1

Geometrical characteristics
The particle size is one of the most importantparameters to consider in establishing a formulationof concrete. His knowledge allows for the precise
dosage of aggregates to optimize the granular
composition. Analyses are conducted according to
NF EN 933-1, 1997 standard (Fig. 7).
Curves of particle size analyzes express only
average grain size. We subsequently specify thedifferent form scoria naturally and aggregatesobtained after crushing.
By using of NF EN 933-4 standard, we establish
a study protocol to measure by a vernier caliper: thelength (L) which corresponds to the greatest distanceof a pair of parallel tangent planes; the width (l) andthickness (e) which are respectively the largest andthe smallest gap of a couple taking tangent parallel.
Scoria is sieved to the sieve 20, 25, 28, 31.5, 35.5,
40, 50 and 63 mm. For aggregates obtained aftercrushing, they are sieved to sieves of 5, 6.30, 8, 9, 10,12.5, 14, 16 and 18 mm. A test specimen of 20
aggregates is taken from each sieve. The flattening
coefficient (p=e/l) and the elongation coefficient(l/L) used to get an idea about the shape of theRolledFlatter

0,9
0,8
0,7
0,6
0,5
0,4
0,3

Flatter and elongate

0,2

Ø 18 mm
Ø 12,5 mm
Ø 8 mm

0,1
0
0

0,1

0,2

ElongateØ 16 mm
Ø 10 mm
Ø 6,30 mm

Ø 14 mm
Ø 9 mm
Ø 5 mm

0,3

0,5

0,4

l
0,6

0,7

0,8

0,9

1

Flattening coefficient (p = e/l)Elongation coefficient (q = l/L)

10,9Flatter

RolledFlatter and elongate

Elongate

0,8
0,7
0,6
0,5
0,4
0,3
0,2

Ø 28 mm
Ø 18 mm
Ø 10 mm

0,1
0
0

0,1

Ø 25 mm
Ø 16 mm
Ø 8 mm0,20,3

Ø 20 mm
Ø 12,5 mm
Ø 5 mm
0,4

0,5

0,6

m
0,7

0,8

0,9

1

Flattening coefficient (p = e/l)

Fig. 8Form of scoria in the natural state (k) and(l), Aggregates obtained by crushing (m).

The shape of aggregates varies according to384

SEE-Mie, Japan, Nov. 19-21, 2015

their method of production and size. Composition
forms aggregates (Flatter and elongate, flatter,elongate or rolled) have been presented. The
collected scoria has a more or less rolled.
Aggregates obtained by sieving have a rolled shapeand those obtained after crushing are flatter andelongate (Tab. 3).

Absorption (% by weight)

28
24
20
16
12
8
4
ScoriaTable 3 The composition form.

0

Aggregate
Scoria"Djoungo"
SVS20/30
LVS20/30
SVS10/20
LVS10/20
SVS5/10
LVS5/10
SVS2.5/5
SVS1.5/2.5

LVS20/30

LVS10/20

LVS5/10

0
4

8

12

16
20
24
28
32
Immersion time in hours

36

40

44

48

Flatterandelongate

Flatter

Elongate

RolledFig. 9

0%

21%

12%

67%

Mechanical properties

0%
87%
1%
91%
0%
84%
x
x

11%
9%
8%
3%
8%
7%
x
x

4%
4%
9%
4%
6%
8%
x
x

85%
0%
82%
2%
86%
1%



The realization of mechanical testing requires the
manufacture of rock specimens large enough toensure the homogeneity of the material in thespecimen and its representation relative to the site of
the aggregate. It is not possible to obtain carrots
from the scoria to allow changing mechanicalperformance. We will use the empirical formulas
and literature data to approximate the mechanicalproperties (Compressive strength, tensile strengthand elastic modulus) of scoria and aggregatesobtained (Tab. 5).

Water content, densities and porosity
The water content, bulk density, specific densityand porosities are defined for aggregates according
to the procedure used in the laboratory, accordancewith NF EN 1097, 2006 standard (Tab. 4).

Water absorption evolution with the time.

Table 5 Mechanical properties of aggregatesaccording to their bulk densities.
European Standard EN 13055-1, [10]Scoria LVS20/30 LVS10/20 LVS5/10
0.56
0.67
0.79
0.82
𝐝𝐝𝐕𝐕
7.37
14.74
22.78
𝐟𝐟𝐠𝐠𝐠𝐠𝐠𝐠𝐠𝐠 𝟏𝟏
9.43
13.94
𝐟𝐟𝐠𝐠𝐠𝐠𝐠𝐠𝐠𝐠 𝟐𝟐
15.09
26.95
39.89
43.12
𝐟𝐟𝐞𝐞𝐞𝐞 𝟏𝟏
52.52
74.74
98.98
105.04𝐟𝐟𝐞𝐞𝐞𝐞 𝟐𝟐
2.41
3.19
4.05
4.26
𝐟𝐟𝐭𝐭𝐭𝐭2508.83591.24992.85379.2𝐄𝐄𝐠𝐠
𝐝𝐝𝐕𝐕 : Bulk density ; 𝐟𝐟𝐠𝐠𝐠𝐠𝐠𝐠𝐠𝐠 𝟏𝟏 and 𝐟𝐟𝐠𝐠𝐠𝐠𝐠𝐠𝐠𝐠 𝟐𝟐 : Compressive
strength in pot (𝐟𝐟𝐠𝐠𝐠𝐠𝐠𝐠𝐠𝐠 𝟏𝟏 = 𝟔𝟔𝟔𝟔(𝐝𝐝𝐕𝐕 − 𝟎𝟎, 𝟒𝟒𝟒𝟒) with 𝟎𝟎, 𝟒𝟒𝟒𝟒 <𝐝𝐝𝐕𝐕 < 𝟎𝟎, 𝟖𝟖𝟖𝟖), (𝐟𝐟𝐠𝐠𝐠𝐠𝐠𝐠𝐠𝐠 𝟐𝟐 = 𝟒𝟒𝟒𝟒(𝐝𝐝𝐕𝐕 − 𝟎𝟎, 𝟑𝟑𝟑𝟑) with 𝟎𝟎, 𝟑𝟑𝟑𝟑 <𝐝𝐝𝐕𝐕 < 𝟎𝟎, 𝟕𝟕𝟕𝟕) ; 𝐟𝐟𝐞𝐞𝐞𝐞 𝟏𝟏 : Hydrostatic compression strengthof individual aggregate (𝐟𝐟𝐞𝐞𝐞𝐞 𝟏𝟏 = 𝟏𝟏𝟏𝟏𝟏𝟏, 𝟖𝟖(𝐝𝐝𝐕𝐕 − 𝟎𝟎, 𝟒𝟒𝟒𝟒));
𝐟𝐟𝐞𝐞𝐞𝐞 𝟐𝟐 : Hydrostatic compressive strength of aggregatestaken in batches (𝐟𝐟𝐞𝐞𝐞𝐞 𝟐𝟐 = 𝟐𝟐𝟐𝟐𝟐𝟐(𝐝𝐝𝐕𝐕 − 𝟎𝟎, 𝟑𝟑𝟑𝟑)) ; 𝐟𝐟𝐭𝐭𝐭𝐭 : Wiretensile strength (𝐟𝐟𝐭𝐭𝐭𝐭 = 𝟑𝟑, 𝟗𝟗(𝟏𝟏, 𝟖𝟖𝟖𝟖𝐝𝐝𝐕𝐕 − 𝟎𝟎, 𝟒𝟒𝟎𝟎)) in MPa ;Elastic modulus : 𝐄𝐄𝐠𝐠 = 𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖 𝛒𝛒𝟐𝟐𝐠𝐠 where 𝐄𝐄𝐠𝐠 is expressedin Mpa and 𝛒𝛒𝐠𝐠 in t/m3.
Ref.

Table 4 Water content, densities and porosity.
Aggregate
Scoria"Djoungo"
LVS20/30
LVS10/20
LVS5/10Water
contentBulk
density

Specific
density

Porosity
e (%)

2.56

0.56

1.58

51

1.25
1.04
1.88

0.67
0.79
0.82

2.24
2.52
2.73

48
51
54

Water absorption
Knowledge of the water absorption coefficient of
aggregates used to adjust the mixing water content
in the composition of the concrete. Measurements of
the absorption of water by the aggregates were
therefore carried out following the procedure of NF
EN 1097-6, 2001 standard (Fig. 9). The water
absorption coefficient is defined as the ratio of theabsorption coefficient is defined by:
𝐖𝐖𝐚𝐚 =𝐌𝐌𝐞𝐞
𝐌𝐌𝐬𝐬. 𝟏𝟏𝟏𝟏𝟏𝟏%DISCUSSIONS(1)

Many studies have focused on the use of
volcanic scoria as lightweight aggregate. Different
sources of materials have been explored (Tab. 6).

Where 𝐌𝐌𝐞𝐞 is the mass of water absorbed and 𝐌𝐌𝐬𝐬 thedry mass of the specimen after drying oven at 105°C.
385

SEE-Mie, Japan, Nov. 19-21, 2015

Table 6 Data of some natural pozzolan lightweightaggregates studies by different authors.
Aggregate
LWCA1
LWCA2
CVPA
FVPA
DB1
FB1
FB2
FB3
FB4
G3/8
G8/15
ScoriaOriginBéni-Saf,
Algeria
Papua New Guinea
Djoungo, Cameroon

Djimbouot, Mfesset,
Fosset (Foumbot),
Cameroon
Béni-Saf,
Algeria
Iceland

Class
2-8
8-16
1.18-20
0.15-9.5
5-10
5-10
5-10
5-10
5-10
3-8
8-15
0-100

mechanical properties can be heft to control castings,
mechanical properties and durability for lightweightaggregate concrete production.

Ref.
ACKNOWLEDGEMENTS[1]
The Authors thank staff of Ecole Nationale
Supérieure des Mines de Rabat (ENSMR) for thepermission to use their laboratory instruments.

[2]

REFERENCES[4][1] Mouli M and Khelafi H, “Performance
characteristics of lightweight aggregate concrete
containing natural pozzolan”, Building andEnvironment 43 (2008), 2006, pp. 31–36.
[2] Hossain K M A, Ahmed S and Lachemi M,“Lightweight concrete incorporating pumicebased blended cement and aggregate:
Mechanical and durability characteristics”,
Const and Build Mater 25, 2011, pp.1186-1195.
[3] Kaid N, Cyr M, Julien S and Khelafi H,“Durability of concrete containing a natural
pozzolan as defined by a performance based
approach”, Const and Building Materials, 23,2009, pp. 3457-3467.
[4] Bidjocka C, “Conception de bétons légers
isolants porteurs. Applications aux pouzzolanes
naturelles du Cameroun”, Thèse de doctorat,
INSA de Lyon, 1990, 167p.
[5] Billong N, Melo U C, Njopwouo D, Louvet F
andBonnetJ
P,“Physicochemical
characteristics of some Cameroonian pozzolans
for use in sustainable cement like materials”,
Materials Sc. and App. , 4, 2013, pp. 14-21.
[6] Tchakouté K H, “Elaboration et caractérisationde ciments géopolymères à base de scories
volcaniques”, PhD Thesis, UY I, 2013, 170 p.
[7] Ferhat A, Goual SM, Goual I et Khelafi H,“Valorisation de la pouzzolane de Beni-Saf(Algérie) par transformation en granulats debétons légers”, Actes Séminaire International
Innovation et Valorisation dans le genie civil,
Hammamet, Tunisie, 5-7 fév 2009, pp. 447-455.
[8] Tsafack J P F, Wandji P, Bardintzeff J-M,
Bellon H and Guillou, “The Mount Cameroon
stratavolano (Cameroon Volcanic Line, Central
Africa) : Petrology geochemistry, isotope andage data”, Geochemistry, Mineralogy andPetrology, Sofia, 47, 2009, pp. 65-78.
[9] ACI, “Use of Raw or Processed Natural
Pozzolans in Concrete”, ACI Committee 232,
Manual of Concrete Pratice ACI 232.1, 2000.
[10] Ke Y, “Caractérisation du comportement
mécanique des bétons de granulats légers:
expérience et modélisation”, Thèse de doctorat ,Université de Cergy Pontoise, 2008, 316 p.

[7]
Euro
LightConWe have presented the data diagrams to enable
comparison with the results obtained with those of
the literature (Fig. 10). The properties of lightweightaggregates obtained in this work, are more or lessclose to the results obtained with other natural
pozzolan lightweight aggregates already studied.
60
LVS20/30
LVS10/20
50

LVS5/10
LWCA1
LWCA2

40

CVPA
FVPA

values

DB1
30

FB1
FB2
FB3

20

FB4
G3/8
G8/15

10

Scoria0
Bulk density

Specific
density

Water content Absorption Porosity (%)(%)
after 24 hours(%)
Physical properties

Fig. 10 Diagram of some physical properties.
CONCLUSION
Based on the results of experimental work,"Djoungo" scoria lightweight aggregate can be usedin the production of lightweight concrete. It will
reduce the coast and environmental pollution.
Knowledge about physical, chemical and386

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

NUMERICAL SOLUTION APPROACH TO THE DYNAMICRESPONSE OF SIMULATED UNDERGROUND STRUCTURES DUETO VARIOUS ACCIDENTAL EXPLOSIONS
Akinola Johnson OLAREWAJU
Civil Engineering Department, School of Engineering, The Federal Polytechnic Ilaro, Ogun State, Nigeria.
ABSTRACT
Solution to the complex phenomenon involving accidental explosion could not be easily and accurately
achieved except through the use of numerical tool. Various accidental explosion scenarios involving
underground structures will require the interaction of quite a number of parameters such as the structures, blastloads, blast duration, ground media, contact definition between the components under consideration, material
definition, boundary condition, etc. The numerical tool that is capable of analyzing all these variables to yield therequired observed parameters should be examined. This tool should be able to incorporate one or more numericalmethods of analysis in its program formulation with a view to simplifying and widening research horizon as well
as expanding the application of the numerical tool to other field of research. In the case of modeled undergroundstructures, the required observed parameters after analysis are displacement, pressure, stress and strain which
could still be subjected to further analysis.
Keywords: Analysis, Dynamic, Numerical, Tool, Structures, Undergroundof elasticity, E, Poisson’s ratio and density [8].
Peradventure the blast (i. e. accidental explosion)
takes place within the nearby region or proximity of
the underground structures, then, more constitutive
relations and parameters are required. Therefore,
detailed soil test results are required for the study [7].
Load parameters from accidental explosions arealso determined experimentally or by means oftechnical manuals. [15] which supersede othertechnical manuals like TM 5-1300 (1990) could be
used to predict positive phase at various stand-off
points. Pressure is the determining factor in thedesign and dynamic response of undergroundstructures due to surface accidental explosions. In
order to evaluate ground shock parameters due tounderground accidental explosions, parameters suchas peak particle displacement, peak particle velocity,loading wave velocity etc. could be determined. Soiltest results are required in the final design toaccurately determine the density and loading wave
velocity of the particular soil at the exact site
location [12].

INTRODUCTION
There are many methods available to determine
the dynamic responses of underground structuresdue to loads from accidental explosions. These are
the analytical methods and the numerical methods.
The analytic method is deterministic such as
empirical phenomenological and computational fluid
mechanics models which are used for explosion load
prediction. They are used for elastic response orlimited plastic response, and it does not allow forlarge deflection and unstable responses [6]. There
are several numerical methods for assessing the
response of underground structures due to dynamic
loadings. These are iteration, series methods,
weighted residuals, finite increment techniques
usually referred to as finite difference, Newmark,Wilson, Newton, Houbolt, Eular, Runge-Kuta and
Theta methods. The finite difference is popularly
used to solve ordinary and partial differential
equations, in particular, dynamic problems [8]; [4].
BACKGROUND STUDY

PROBLEM DEFINITION
The ground media that could be considered in the
study of the dynamic response of undergroundstructures due to loads arising from accidental
explosions are loose sand, dense sand and undrained
clay. The geotechnical properties of these groundmedia as revealed by several researchers could be
used. For accidental explosions to have taken placeoutside the vicinity of the underground structures,
elastic scenario could be considered. Since the twoelastic constants are enough to study the mechanics
of such scenarios. These constants are the modulus

Underground structures are basically structures
constructed below the ground surface consisting ofmany different elements and various forms as thecase may be depending on the functions cost as wellas the applications as detailed in Figure 1.

387

SEE-Mie, Japan, Nov. 19-21, 2015

Figure 2: Finite difference discretization
Mathematically,
finite-difference
methods
are numerical methods for approximating thesolutions to differential equations using finite
difference equations to approximate derivatives. In
this method, there is always a difference in theapproximation and the exact solution known as error.
The two main sources of error in finite difference
methods are round-off error and truncation error
or discretization error, that is, the difference between
the exact solution of the finite difference equationand the exact quantity assuming perfect arithmetic[4]; [9]; [13].
Looking at the function x (t) shown in Figure 2
having grid points of i to be 1, 2, ... n along thecoordinates t equally spaced with interval of h.
Taylor’s series could be used to express in terms ofxi as shown below

Figure 1: Cross-section of buried/undergroundstructures [10]; [12]; [16]ANALYSIS OF THE CONSTITUENTS OF
ACCIDENTAL EXPLOSIONSIn this study, the numerical approach forstudying the dynamic response of modeled
underground structures due to loads from accidental
explosions will be examined. This is with a view to
examining its application and incorporation into
available numerical tool(s) or code(s).
Finite Difference Method
Finite Difference Method is the former name for
Finite Element Method, which allows theincorporation of certain features that makes it
possible to be used in the ABAQUS software
package for studying the response of undergroundstructures due to various accidental explosions.
Finite difference methods can be implicit method
where the partial differential equation could be
solved indirectly by solving a system ofsimultaneous linear equations. In this case,convergence is always assured. In other words, it
could be explicit method where the partial
differential equation could be solved directly using
the appropriate boundary conditions and proceeding
backward in time through small intervals until thedetermination of optimal path. In this case,convergence is assured for specific size of increment
length of interval. The main principal reason forusing implicit solution method is to allow for large
time-step size, though it is more complex to program
and require more computational effort in eachsolution step.

f (x ) = f (hi ) + (h − hi ) f ′(hi ) +(h − hi )2 f ′′(h ) +  + (h − hi )n f (n ) (h ) + 
2!

i

n!

1

i

Evaluating at point t i+1 , we havef (xi +1 ) = f (hi ) + (hi +1 − hi ) f ′(hi ) +(hi+1 − hi )2 f ′ (h ) +  + (hi+1 − hi )n f (n ) (h ) + 
2!

i

n!

2

i

Truncating the series after the first derivative (f’ =dy/dx) term, we have,f ( xi +1 ) ≈ f (hi ) + (hi +1 − hi ) f ′(hi )Solving for the first derivative, i. e. f ′ =

3

dy
= the
dx

rate of change of a dependent variable, such as y,with respect to an independent variable, such as x
gives the forward difference approximation of thefirst derivativef ′( xi ) ≈f ( xi +1 ) − f ( xi )f (xi +1 ) − f (xi )or better still f ′( xi ) ≈xi +1 − xih4

Backward difference approximation of the first
derivative gives

388

SEE-Mie, Japan, Nov. 19-21, 2015

f ′(xi ) ≈[m] f ′′ + [c ' ] f ′ + [k ] f = F (t )5f ( xi ) − f ( xi −1 )f ( xi ) − f ( xi −1 )or better still f ′( xi ) ≈xi − xi −1hU (t =0 ) = U 0 and U

While the central difference of the first derivative
gives

for

f ( xi +1 ) − f ( xi −1 )f ′( xi ) ≈2h

P=mSolving
e. ′′
f

=

for

6

secondderivative(i.
d  dy  ) gives the forward

d2y
=


dx  dx 
dx 2f ( xi + 2 ) − 2 f ( xi +1 ) + f ( xi )h2

f ( xi ) − 2 f ( xi −1 ) + f ( xi − 2 )h2

7f ( xi +1 ) − 2 f ( xi ) + f ( xi −1 )
h2

8

.

2∆t

kxi = Pi

14

[{
'

m
c
+
2h
h2

c'
m
2m
− k }Ui + {−}U ( i −1) + Pi
2h h 2
h2

16

2

ω max

for stable and satisfactory solution or with damping∆t ≤2( 1 + x max 2 − x max)
ω max

''

17

'

U o = ( m) −1 ( Po − c U o − kUo) 18''

U −1 = Uo − h U o +h 2 ''
Uo2

19

ω max is the maximum natural frequency, x max
is the critical damping factor. Stability limit is thelargest time increment that can be taken without themethod generating large rapid growing errors. The
accuracy of the solution depends on the time step t= h. However, there are some conditionally stable
methods where any time step can be chosen on
consideration of accuracy only and need notconsider stability aspect [2]; [8]; [10].

.

d 2x
dx
+ [c ' ]+ [ k ][ x ] = F (t )
dt
dt 2

1

∆t ≤

10

This could be rewritten as[ m]

x (1+1) − x (1−1)

9

The truncation error in the centered difference
approximation is of the order of h2 while thetruncation error in the forward and backward
difference approximation is of the order of h. Central
difference approximation is more accurate than theforward or backward difference approximation andas a result of this, it could be used in the study of the
response of modelled underground structures due toloads from accidental explosions to solve theequation of motion using explicit integration schemein any available numerical code. Most of thenumerical methods in the analysis of dynamic
problems are based on the finite difference approach[8]; [12]. Direct-integration dynamics of time
integration in the explicit integration scheme ofcentral difference method of numerical method
could be used to solve the equations of motion (Eqs
10, 11 or 12) of the system. This is integrated
through time. That is,[m][U ]+ [c ' ][U ]+ [k ][U ] = [ P]+cwhere m, c, and k are element mass, damping andstiffness matrices and t is the time. U and P aredisplacement and load vectors while dot indicate
their time derivatives. Ü o is known from the given
initial conditions while i is the increment number ofan explicit dynamic step. The terms i+1 and i-1 refers
to mid-increment values. The time duration (period)
for the numerical solution could be divided into
intervals of time t (h). It should be noted that withno damping

While central difference approximation givesf ′′( xi ) ≈(∆t ) 213

15
U ( i +1) =Backward difference approximation of the second
derivative givesf ′′( xi ) ≈x (1+1) − 2 xi + x ( i −1).

= U = V0(t =0 )

where Ui = U (t ) and U +1 can be written as

thedifference approximation of the second derivativef ′′( xi ) ≈.

12

Bulk Viscosity
11

Bulk viscosity introduces damping associatedwith the volumetric straining. Its purpose is toimprove the modeling of high-speed dynamic events
like accidental explosions, crash, etc. Basically there
are two forms of viscosity in explicit that could beThis could also be rewritten as

389

SEE-Mie, Japan, Nov. 19-21, 2015

used in the study. The first is found in all elements
and is introduced to damp the oscillation in thehighest element frequency. This damping issometimes referred to as truncation frequency
damping. It generates a bulk viscosity pressure,which is linear in the volumetric strain. The second
form of bulk viscosity is found only in solid
continuum element. This form is quadratic in thevolumetric strain rate. The bulk viscosity pressure is
not included in the material point stresses in thesimulation because it is intended as a numericaleffect only; it is not considered to be part of thematerial’s constitutive response. Linear bulk
viscosity is always included in explicit with default
values of 0.06 and 1.2 for linear and quadratic
viscosity respectively to control oscillations in themodel during analysis failure of which would result
to termination of the analysis [2].
Using the explicit integration scheme in
ABAQUS CAE (Complete ABAQUS Environment)
to solve equation of motion (i. e. eq. 10, 11, or 12)
makes it unnecessary for the formation and inversionof the global mass and stiffness matrices [M], [K]. It
also simplifies the treatment of contact illustrated in
Figures 3 (a, b & c) between the constituents of blastand requires no iteration. This means that eachincrement is relatively inexpensive compared to theincrements in an implicit integration scheme. It also
performs a large number of small increments
efficiently. Explicit integration scheme are used forthe analysis of large models with relative shortdynamic
response
times
andextremely
discontinuous events or processes. This makes it
relevant and justifiable to be used for the analysis of
the study of the response of underground structuresdue to loads arising from accidental explosions
because blast is a short discontinuous event, or better
still, it is an artificial earthquake [14].

bcFigure 3: (a) Finite element model (a) Soil modeland (c) Pipe model
Hourglassing
The reduced-integration scheme has a
disadvantage such that it can lead to mesh instability
during analysis. This instability is known as
hourglassing. This consequence does not cause any
strain, consequently it does not contribute to energy
integral. It only behaves in a manner that is similar
to that of a rigid body mode. The common causes ofthis consequence if excessive are the concentrated offorces at a single node and in the study of the
response of underground structures due to blastloads, the forces could be distributed among several
nodes by applying a distributed load; hence,hourglasing would be avoided and secondly,
boundary condition at a single node which could berectified in the study by distributing the boundary
constraint among several nodes [1]; [10].
Contact Definition
In the study of the dynamic response ofunderground structures due to accidental explosions,
there are soil-structure interactions from the various
parameters that are involved in the analysis. As aresult of these, there is need for the definition ofthese interactions between the constituents of blast.
The explicit integration method efficiently solves
extremely discontinuous events. Contact is anextremely discontinuous form of nonlinearity. It is
possible to solve complicated, very general, threedimensional contact problems with deformablebodies in ABAQUS/Explicit numerical tool. It
provides two algorithms for modeling contact: (a)a390

SEE-Mie, Japan, Nov. 19-21, 2015

General contact, which allows the definition ofcontact between many or all regions of constituentsof blast in a model with a single contact; (b) Contact
pair, which describes contact between two surfaces
and it requires more careful definition of contact. In
this case, every possible contact pair interaction
must be defined and it has restrictions on the typesof surfaces involved. The pair algorithms could be
used for two-dimensional models. Contacts between
the constituents of blast could be defined for various
coefficients of friction and parametric studies using
this algorithm [1]; [2]; [11].

CONCLUSION
The various numerical methods were highlighted
and constituents of blast were equally discussed. The
numerical method that could be used for the study ofthe dynamic response of underground structures due
to various blast scenarios was discussed. The
numerical tool that could be used was alsomentioned with focuses on finite difference
incorporating finite element in the analysis, bulk
viscosity, hourglassing, contact definition, impact
analysis, deciding factors, etc. Finally, various
applications of ABAQUS numerical tool withemphasis on ABAQUS/Explicit were extensively
discussed.

Factors to be considered in the selection of
Numerical Tools
In other to select a numerical tool to the study of the
response of underground structures due to various
accidental explosions, the various constituents andtheir interactions must be taken into consideration.
This interactions involves the contact between theconstituents. ABAQUS/Explicit numerical tool
provides the capability to analyze high-speed
dynamics like drop test and crash analyses ofstructural members as well as large, nonlinear,quasi-static analyses like deep drawing, blow
molding, and assembly simulations. It can also
analyze high discontinuous post buckling andcollapsing simulations as well as extreme
deformations like bulk metal forming, impact andcrushing,
coupledtemperature-displacement(dynamic) and structural acoustics. Other
challenging problems which ABAQUS/Explicit canhandle efficiently and effectively are: rubber doorseal, wire crimping, gas tank impact, column impact,
metal forming, wiper blade, etc.
The advantages of ABAQUS/Explicit over othermodules in the numerical code are; it has been
designed to solve highly discontinuous, high-speed
dynamic problem efficiently and it has a very robust
contact algorithm that does not add additional
degrees of freedom to the model. In addition to these,
it does not require as much disc space as
ABAQUS/Standard for large problems and it often
provides a more efficient solution for very large
problems. It also contains many capabilities thatmake it easy to simulate quasi-static problems,
among others. Finally the impact analysis (including
all deformable components) uses elastic materials
and the constitutive models available for allmaterials commonly found in impact analysis are:Elastic/plastic models for metals, soil, etc; Pressuredependent plasticity models for thermoplastics;
Hyper-elastic models for solid rubbers; Hyper foammodels for foam rubbers; Failure models forvulnerability analysis and solder joint; etc. Most
materials can be made strain-rate and direction
dependent. The limiting factor is generally theavailability of material data [1], [17], [18], [19].

ACKNOWLEDGEMENT
The financial supports provided by Ministry of
Science Technology and Innovation, MOSTI,
Malaysia under e-Science Grant no. 03-01-10SF0042 (Universiti Malaysia Sabah, UMS, Kota
Kinabalu, Sabah, Malaysia) is gratefully appreciated.
REFERENCES[1] ABAQUS Inc. 2009. ABAQUS/Explicit:
Advanced Topics, Dassault Systemes Simulia,
Providence, Rhode Island, USA,
[2] ABAQUS Inc. 2009. ABAQUS Analysis User’s
Manuals - Documentation, Dassault Systemes
Simulia, Providence, Rhode Island, USA,
[3] ABAQUS Inc. 2009. Geotechnical Modellingand Analysis with ABAQUS, Dassault Systemes
Simulia, Providence, Rhode Island, USA.
[4] Autar Kaw and Eric Kalu, E. 2008. Numerical
Methods with Applications[5] Bowles, J. E. 1981. Engineering Properties ofSoils and their Measurement (2nd edition), McGrawHill Intl., London, 79-92.
[6] George, P. K., George, D. B. and Charis, J. G.
2007. Analytical calculation of blast induced strains
to buried pipelines. International Journal of Impact
Engineering, 34, 1683-1704.
[7] Kameswara Rao, N. S. V. 2000. Dynamic Soil
Tests and Applications (1st edition), Wheeler
Publishing Co. Ltd., New Delhi, India, 6-30, 84-134,
164-177.

391

SEE-Mie, Japan, Nov. 19-21, 2015[8] Kameswara Rao, N.S.V. 1998. Vibration
Analysis and Foundation Dynamics (1st edition),
Wheeler Publishing Co. Ltd., New Delhi, India.

Advances in Applied Materials and Electronics
Engineering III, Trans Tech Publications,
Switzerland,doi:10.4028/www.scientific.net/AMR.9
05.273, Volume 905, pp 273 – 276.

[9] Morton, K. W. and Mayers, D. F. 2005.
Numerical Solution of Partial Differential Equations,
An Introduction. Cambridge University Press.

[18] Olarewaju, A. J. 2012. Study on the Impact ofVarying Degrees of Underground Accidental
Explosions on Underground Pipes by Simulation,
Earth Science Research (ESR) Journal, July 6, ISSN
1927-0542 (Print), ISSN 1927-0550 (Online),
Volume 1, Number 2, Canadian Center of Scienceand Education, Canada, doi:10.5539/esr.v1n2p189
URL: http://dx.doi.org/10.5539/esr.v1n2p189, pp
189 -199.

[10] Olarewaju, A. J., 2015. Chapter 13: A Study on
the Dynamic Dimensionless Behaviours ofUnderground Pipes Due to Blast Loads Using Finite
Element Method,
Book Title: ”Earthquake
Engineering – From Engineering Seismology to
Optimal Seismic Design of Engineering Structures’’
Abbas Moustafa (Ed.), ISBN: 978-953-51-20391, Geology and Geophysics, InTech Publisher,
University Campus STeP Ri, Slavka Krautzeka 83/A
51000 Rijeka, Croatia, Europe, Published May 20,
under
CC
BY
3.0
license,http://dx.doi.org/10.5772/59490, pp 331 - 356.

[19] Olarewaju, A. J., Kameswara Rao, N.S.V and
Mannan, M.A. 2012. Chapter 20: Response of
Underground Pipes to Blast Loads, Book Title: ”
Earthquake-Resistant
Structures
Design,Assessment and Rehabilitation”, Abbas Moustafa(Ed.), ISBN: 978-953-51-0123-9, Geology andGeophysics, InTech Publisher, University Campus
STeP Ri, Slavka Krautzeka 83/A 51000 Rijeka,
Croatia, Europe, February, DOI: 10.5772/29101, pp
507 - 524,

[11] Olarewaju, A.J. 2014. Estimation of Blast Loads
for Studying the Dynamic Effects of Coefficient ofFriction on Buried Pipes by Simulation,
International Journal of GEOMATE, ScientificInternational Journal on Geotechnique, Construction
Materials and Environment, Tsu city, Mie, Japan,
ISSN 2186-2982 (P), 2186-2990 (O), September,(received on April 17), Vol. 7, No. 1 (SI No. 13), pp
1017-1024.
[12] Olarewaju, A.J. 2013. A Study on the Responseof Underground Pipes Due to Blast Loads. Ph.D
Thesis, School of Engineering and Information
Technology, SKTM, Universiti Malaysia Sabah,
Malaysia.
[13] Oliver Rübenkönig, 2006. The Finite
Difference Method - An Introduction, Albert
Ludwigs University of Freiburg.
[14] Robert, W.D. 2002. Geotechnical Earthquake
Engineering Handbook, McGraw Hill, New York,
pp 5-120.
[15] Unified Facilities Criteria. 2008. Structures toResist the Effects of Accidental Explosions, UFC 3340-02, Department of Defense, US Army Corps ofEngineers, Naval Facilities Engineering Command,
Air Force Civil Engineer Support Agency, UnitedStates of America.
[16] http://www.vibroflotation.com/Vibro/vibroflota
tion_fr.nsf/site/Design-and-Quality.The-Design[17] Olarewaju, A. J. 2014. Investigation on the
Effects of Ground Media on the Behaviour of Buried
Pipes due to Blast Loads by Simulation, Advanced
Materials Research (AMR), ISSN: 1662-8985,
392

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

OPTIMIZATION OF LOCAL PARALLEL INDEX (LPI) IN
PARALLEL/DISTRIBUTED DATABASE SYSTEMS
Mohamed CHAKRAOUI, Abderrafiaa ELKALAY
Faculty of Sciences and Techniques Gueliz, Cadi Ayyad University, Marrakech, Morocco.

ABSTRACTThe widespread growth of data has created many problems for businesses, such as delay requests; in this paper,
we propose several methods of partitioning an index B*Tree in multi-processor machines in parallel/distributed
database systems and collaboration between processors when executing multi-queries. Indexing a large database isan essential task; when optimizing, indexing automatically comes to mind; we distinguish two types of indexing:
B*Tree and Bitmap. Since the advent of multicore computers (multi processors) parallelism becomes anindispensable part of optimization. Our work will focus on partitioning each table on three parts following indexing
key partitioning; each processor will host a partition of the index, and the first processor that will finish will
immediately take another partition of the index pending according to the priority.
The parallelism will reduce the CPU cost and execution time, and then collaboration between processors willfurther reduce these costs.
Keywords:

tuning;index;

collaboration

betweenprocessors;

optimization;

B*Tree;partitioning

INTRODUCTION

since the results are there.

Tuning databases is an essential task since thedesign phase to the maintenance phase ofparallel/distributed database systems. When a request issent to the RDBMS, it will be parsed and translated into
RDBMS language, and then the RDBMS establishes
several execution plans possible, then the DBMS
optimizer chooses the most suitable one, and finally itruns the execution plan chosen. All RDBMS provide
two types of optimizers: Rules Based Optimizer (RBO)
and Cost Based Optimizer (CBO), all of actual RDBMS
use the CBO[1]. The CBO is an optimizer that is basedon the estimated costs of performing the operations
execution plans. For a given query, the RDBMS creates
several possible execution plans, and the RDBMS
optimizer estimates for each one the cost performanceand chooses the lowest.
Many solicited issues in this research field are about
the efficiency, speed and reliability of database systems.
Many papers have discussed optimization of databases;
however, they still remain insufficient and could not get
a top requested by the researcher community. Our paper
comes in this context to a progressive thread, andprovides a complete theme in parallel databases
indexing, and supports it by yielded experimental
results never been established. Asking specialists in thisinteresting discussion and provides a solid idea to
RDBMS designers, and asking CPU designers to take
into consideration the collaboration between processors
when accessing the parallel databases with this method

To estimate the cost of an execution plan the
RDBMS evaluates the cost of resources used to
implement the plan following the priority:
CPU time.
The number of input / output (I/O) disk storage.
The amount of memory (Random Access Memory)required.
This cost depends not only on the query itself, butalso on the data that it bears, for example. Given a tableof 100 records, a single query can be rapid, but for arequest of 1.000.000 records a simple query can be soslow and expensive (input/output disk and CPU
utilization), so the cost depends on the data of the queryand not only on the query itself; it’s the reason why weresort to indexing.
Retrieval of data does cause serious problems whenschemas and indexes are not created properly. However,inserting data can often causes serious performanceissues as well[2].
With the arriving of big data and the development of
automation technology, the data access increases
exponentially, the primordial constraint is the time,
response time increases too. To understand anddecrease the real response time of our database system
we have to sample in real time such equipment[3].
Our contribution in this manuscript can be listed as:
Parallelism is an excellent technique to reduce theexecution time and optimize databases.
Multiple query execution time, partitioning every393

SEE-Mie, Japan, Nov. 19-21, 2015

query to three parts, and make a waiting line to every
processor to accessing to each part.
Collaboration between processors is a newtechnique based on the parallelism and benefits fromsleeping time of each processor.
Table 1

queries in distributed databases, and cloud computing
using partitioned databases[9]. Following ourinvestigations there is no approach like our, making thecollaboration between processors in partitioned
databases on multi-core and multiprocessors
machine[10]. New database architecture based onbatching queries and shared computation across many
concurrent queries in a shared disk[10].
In B*Tree, internal nodes (non-leaf) can have avariable number of child nodes within some pre-defined
ranges. When data are inserted or removed from a node,
its number of child nodes changes. In order to maintainthe pre-defined range, internal nodes may joined or split.
Because a range of child nodes is permitted, B*Trees
do not need re-balancing as frequently as other selfbalancing search trees, but may waste some space, sincenodes are not entirely full[11].
Each internal node of a B*Tree will contain anumber of keys. Keys act as separation values, which
divide its node. For example, if an internal node has
three child nodes, then it must have two keys: a and b.
All values in the leftmost node will be less than a; allvalues in the middle node will be between a and b; andall values in the rightmost node will be greater than b.
usually, the number of pages is the fixed size capable ofholding up to 2*k keys, but pages need only be partiallyreplete.
These trees grow and contract; the nodes can split
into brothers, or two brothers can merge or"concatenate" into a single node. The splitting andconcatenation processes are initiated at the leaves only,
and propagates them to the root. When the root node
splits, a new root must be introduced, and this is theway in which the height of the tree can increase[12].
The opposite process occurs if the tree contracts.

A part of the running table CLIENTSNCLIENT

NAME

CITY

COUNTRY

1
3
25
32
39
43
46
50
55
66
67
70
76
78
80
81
83
85
87
88
…

Mohamed
Hamid
Khalid
Salah
Karim
Houdi
Jalal
CharifJamali
Gill
Will
BernarMak
BridgeFransisBrolinClark
Favreau
Phillippe
Nakai…

Marrakech
Casa
Fes
Casa
Safi
EssaouiraSfaqes
Casa
AgadirDoncasterArizona
MunichenCuritiba
PointeClaire
Yamagata
Rockford
Linz
ZagrebLyon
New Delhi
…

Maroc
Maroc
Maroc
Maroc
Maroc
Maroc
Tunisie
Maroc
Maroc
UnitedUSA
Germany
BrazilCanadaJapan
USA
Australia
Croatia
FranceIndia…

Index B*Tree:

Definition: We suppose h >= 0 an integer, k is anatural number. A directed tree T is in the class Z(k,h)
of B*Trees if T is either empty (h=0) or has thefollowing properties:i)Fig. 1 Part of index B*Tree for the Table CLIENTS
ii)

RELATED WORKThe indexes in databases are like indexes in books;
it addresses directly the desired information, without
going through the whole book. Indexes are divided into
two major types, Bitmap index and B*Tree index.
Several researches on different indexes andoptimization of relational distributed databases are
discussed before; DAVID Taniar[4] discussed B+Tree,SERGEY Bereg and all[5] discussed K-Tree, FMIndex[6], AR-Tree[7], R-Tree[8], and others. In
addition, many studies have been optimized complex

iii)

Each path from the root to any leaf has thesame length h, also called the height of T,
i.e., h = number of nodes in path.
Each node except the root and the leaves
have at least k + 1 son. The root is a leaf
or has at least two sons.
Each node has at most 2*k + 1
daughters[13].

OPTIMIZING INDEXOur contribution in this paper is within the scope ofparallel/distributed databases indexing, as this subject is
not discussed since 2004[4]. Following an investigation
into the business and technology services, we saw a dire394

SEE-Mie, Japan, Nov. 19-21, 2015

need in terms of tuning the search and update data.
Several specialists in the design of database systems,
fails index usages, strong reasons that push us topropose two strong methods about database
optimization, and report to researchers that there arestill things to do in the optimization ofparallel/distributed database systems.
Indexes consist of one column or more, but store
the data in a logically sorted manner to improve search
performance. The same principle for a telephone book(a printed one). They are usually sorted by last_name,first_name or other criteria. This sorting makes it
possible to find all entries for a specific last namequickly. If you know the first name too, you can evenfind the entries for the combination last name/first namevery quickly…
For a large database, indexing in any RDBMS
helps to retrieving and updating data records faster andmore efficiently. For example, a simple SQL statement
using indexing that helps to retrieve and sort data fasteris shown below.

In the second time, we partition our tables by list
into three parts and, then we create and partition our
local parallel index into three parts by list too, andsubsequently we always attribute each part to one
processor, then we collaborate between processors.
The table 1 illustrates a simple table with four attributes
client (noclient, name, city, country) like a testing
example.
Finally, we compare between the results obtainedby the two methods.
I would like to note that David Taniar discussed the
Global Parallel index GPI[4]. However, our proposed
method is a combination of new and old methods andtechnologies, our contribution improves the results
already obtained, by changing these principles by ours,
and GPI by local parallel index (LPI), and then we add
a great optimizing method that consists on thecollaboration between processors.
We use java 1.7 to programming our test
application,
We use MySQL 5 and Oracle database 11g release 2
to execute our methods.

SELECT AVG (AGE) FROM CLIENTSGROUP BY CITY;

We use the MPJ (Message Passing Interface for java)
to communicate between processors.

In the fact that the columns AGE and CITY are notindexed, the RDBMS will have to scan all rows for
AGE, then, it do a full scan for the table CLIENTS toperform sorting GROUP BY CITY. If we have morethan 1.000.000 records, it makes the selecting andsorting processes very slow. Since the index is always
sorted, the DBMS does not need to search the entire
table. Therefore, an index on AGE and CITY will speed
up the process.
An index improves a lot of performances ofqueries, but it is associated with two types of costs: ittakes up disk space, and takes time to maintain when
the underlying data changes[1]. Space requirement forindex is larger than the space needed to store the data.
With the advent of multi-core computers, it isessential to take advantage of these cores, so we appeal
to the parallelism. This paper presents different
database optimization techniques that can be employedfor parallel/distributed processing. Our motivation to
optimize parallel database/distributed systems is its
importance on rapidity and reliability of information
retrieval. Rapidity has become an important thing
everywhere, so slow database applications become
known as inefficient and inacceptable.
In the first time, we partition our table by range(attribute NoClient) into three parts, then we create andpartition a local parallel index (attribute NoClient) into
three parts too, then we attribute each part to one
processor, and so on for each table that participate torelated queries, then we collaborate between processors.

GLOBAL PARALLEL INDEXGlobal Index is a tree structure that can be made in
an attribute or more of number or varchar type and notlob or bfile. We can be partition it by range, by hash orby list, and it can be based on a partitioned or nonpartitioned table.
Global Parallel Index (GPI)[14] can be partitioned
indifferently with the underlying table; but the problem
is harder to maintain when the based table ispartitioned.
Our work focuses principally on the Local
Parallel Index (LPI), and we take GPI as reference andwe demonstrate improved results.
LOCAL PARALLEL INDEX
To discuss the parallel databases automatically we
discuss table partitioning. Local Parallel Index (LPI)
has the advantage that the index and the underlying
table partition identically. In this paper, we propose two
types of table partitioning. The first time is to partition
our running tables as CLIENTS (NOCLIENT, NAME,
CITY, COUNTRY) by RANGE into three parts and wesuggest that we have a multiprocessors computer (3processors or more). Then we create and partition our
local index by range into 3 parts too, then we assign
each partition to one processor to benefit from the395

SEE-Mie, Japan, Nov. 19-21, 2015

parallelization, and finally our processors have to work
together I.e. The processor that finish its work gives
help to the next and so on.
Global indexes may not be efficient for this type ofquery processing, because it causes correlations
between the index and table partitioning, so accessing a
specific value in a table may involve access to several
or all of the index partitions; the same for the index
involvement. Nevertheless, sometimes, we need aunique index, which does not include the partitioning
key of the table; then we have no choice other thanglobal index. Another reason why global index can be
expensive is that when the data in an underlying tablepartition is moved or removed using a partition
maintenance operation, all partitions of a global index
are affected, and the index must be completely rebuilt.
The shortcomings of a global index are addressed by
local indexes.
Local indexes are the preferred indexes to use
when a table is partitioned. A local index inherits its
partitioning criteria from the underlying table. It has thesame number of partitions, sub partitions; and the same
partitions and sub partitions bounds as the underlying
table, because the index is partitioned identically to theunderlying table partitioning. Thus, when partitions areadded, dropped, split, or merged in the underlying table,
the corresponding index partitions are automaticallymodified by the RDBMS as part of the same statement.
This makes maintenance of the local index extremely
efficient, since the entire index does not need to berebuilt, unlike a global index.
When partitioning the table by Hash, the hash tableindex uses the same hash function to arrange the
RowIDs on different segments in ascendant order. The
optimizer sends the value of each data to the hashfunction to build segments of data elements[15]. The
following section presents our proposed methods
briefly.
The figure 2 shows distributed partitioning queries,
and how allowing every part to one processor,
following the algorithm of allowing distributed queries
to processors.

Fig. 2 Distributed partitioned queries
We partition Q1 to Q11 Q12 Q13. P1, P2 and P3 aresuccessively processor number one, processor number
two and processor number three. The number n of
distributed queries is Qn.
Algorithm1: allowing distributed queries toprocessors:
Sorting (Q1n); // n =1, 2, 3
For i=1 until i=k; // k is the number of queries
If (Qin is given); // n=1, 2, 3
Then free Pn;
Allow (Pn) to Qm; //m!=n and m=1, 2, 3
When Qim is given;
Allow (Pn and Pm to Pl); // l !=m and l !=n and// l=1, 2, 3
When Qil is given
Return (Q1)
Free P1, P2 and P3
END
For multiple distributed join queries, we use the
one-to-many algorithm, to assign each processor to one
table (generally, we have at most a join of three tables).
Algorithm2: One-to-many
1 n: denote the number of tables
2 Ti: denotes the table number i
3 Pi: denotes the processor number i
4 If (n < 3) then
5 We assign each processor to one table
6 Else7 Assign T1 to P1, T2 to P2, T3 to P3, then T4 8 to
P1, T5 to P2 and T6 to P6 and so on.
9 END
First Partitioned Method396

SEE-Mie, Japan, Nov. 19-21, 2015

In this proposed method we will use all the lastalgorithms, partition our table into 3 parts by range andthe index into 3 parts by range too; the attribute ofindex partitioning is the same of table partitioning
attribute like GPI 1 [4]. In this case, the attribute ofindex is NoClient. Then we assign each part to one
processor, following the availability; the range of
NoClient(attribute partitioning) the sets from 1 to 40 is
assigned to the processor number one following theavailability, from 41 to 80 are assigned to processor
two, more than 80 are assigned to processor three. The
figure 3 illustrates the processors allocation following
the first method. The processor has finished its partgiving a helping hand to the next who has not yet
finished.

index and partition our table following the same
attribute of table partitioning, then we assign eachpartition to one processor following the availability, andfinally the processor that finish its work gives help tothe next.
The LPI 2 is based on a Varchar2 attribute (NAME
Varchar2 (30)), so this is different from the first
method; the three lists partitioning (Morocco, Tunisia)and (United Kingdom, Germany, France, Croatia) and(USA, Brazil, Canada, Japan, Australia, India andothers) gives the following results:
The root node 46 is replicated to processor 1
The Childs node (32) and (1,3,25) and (32, 39,40) are replicated to processor 1
The child node (50, 55, 66) is replicated toboth of processor 1 and 2, because 50 and 60
are replicated to processor 1 and 66 is
replicates to processor 2
The child node (67, 70, 76) is replicated toboth of processor 2 and 3, because 67 and 76
are replicated to 3 and 70 is replicated toprocessor 2
The child node (85, 87, 88) is replicated toboth of processor 2 and 3, because 85 and 87
are replicated to processor 2 and 88 is
replicated to processor 3
The child node (80, 81, 83) is replicated toprocessor 3•••

To implement an LPI we must be careful.
However, it is not difficult as the global parallel index(GPI); this is one of the strength points of the LPI. We
explain that the root node is replicated to the processor
2 and not to all processors; the child node 32 and theirchildren are not replicated to processor 2 but to theprocessor 1.
The child node 67, 70, 76 and 50, 55, 66 and 80,
81, 83 are replicated to the processor 2; the child node80, 81, 83 is replicated to processor 3 too, because 81,
83 are replicated to processor 3 and 80 is replicated toboth processor 2 and 3.
The node 85, 87, 88 is replicated to the processor
number 3.

•••

Table 2 Lines attributed to CPU1 on the second
methodCPU1
1

MohamedMarrakech

Morocco

3

Ali

Casa

Morocco25

KhaledFas

Morocco32

Salah

B. Mellal

Morocco

39

Karim

Safi

Morocco43

Houdi

EssaouiraMorocco46

Omar

SfaqesTunisia50

CharifTetouanMoroccoSecond Method

55

Adam

AgadirMoroccoIn this method we will use the same running table
example called CLIENTS for simplicity and we will
partition it into 3 parts by list (attribute country) like
GPI 2[14]. The first partition takes Morocco andTunisia following the table 2. The second takes United
Kingdom, Germany, France, and Croatia as describedon table 3. And the third partition takes the rest, thetable 4 shows the n-uplets components of this part; weTable 3 Lines attributed to CPU2 on the second
methodCPU2

Fig. 3 LPI first method

66
70
85
87

397

Gill
BernarFavreau
Phillippe

Doncaster
MunichenZagrebLyon

U. Kingdom
Germany
Croatia
FranceSEE-Mie, Japan, Nov. 19-21, 201511 end if
Table 4 Lines attributed to CPU3 on the second
methodCPU3
67
Will
ArizonaUSA
76
Mak
Curitiba
Brazil78
BridgePointeCanada80
FransisYamagataJapan
81
BrolinRockford
USA
83
Clark
Linz
Australia
88
Nakai
New Delhi
India

1. Maintenance Algorithm of Parallel B*Tree
Many methods of concurrent operations on B*Treeand B+Tree have been discussed by Bayer andSchkolnick, David Taniar and others. The solution
given in the current paper has the advantage that we use
B*Tree and we benefit of parallelism andcollaboration between processors. In addition, no
search through the tree is ever prevented from reading
any node (locks only prevent multiple update access).
These characteristics do not apply to the previous
solution.

Node Insertion
Node insertion is one of the frequent operations
applied to the B*Tree. Inserting an element can merge
the node if it is full down, or collapsing it if it is full up.
The figure 5, figure 6 and figure 7 bellow illustrate thesteps for one case of node insertion:

Fig. 4

Local parallel Index (LPI) schema Second
methodcompetitor access
Concurrent access is among the real problems in
the parallelization index, so we think of introducing thisalgorithm to arrange access to nodes replicated to two
processors
Algorithm1: Node-Concurrent-AccessFig. 5 Node insertion step 1
1 if (node is replicated to two processors: p1and

2

p2)
3

prohibit (p2)4allow (p1)5

if the operation is update

6

lock (node)7

if (p1 has finished)

8

unlock (node)910

end ifFig. 6 Node insertion step 2

end if398

SEE-Mie, Japan, Nov. 19-21, 2015

Fig. 10 Node deletion step 3

Fig. 7 Node insertion step 3

The following algorithm describes how processors
work together:
Algorithm 2: collaboration between processors

Node deletion

1 (range

Node deletion also usually called.
The following schemas: figure 8, figure 9 and figure 10
describe the steps for one case of node deletion:

varray)2 Find the available processor or processors
3 Establish an array of number of size 3: the4 numbers of the processors, and order it
5 following the availability of each one
6 Assign each range of index to one processor
7 following the order of array making in last step
8 If the processor that key i is finishing its work,
9 gives help to processor i+1 and so 10 on.
EXPERIMENTAL RESULTS AND ANALYSIS

Fig. 8 Node deletion step 1

Fig. 9 Node deletion step 2
Fig. 11399

Costs of different distributed queries for the
first method

SEE-Mie, Japan, Nov. 19-21, 2015

Fig. 12collaboration between processors. In tree traversal, we
can localize the record in each processor following therange of the tree or list of name and of course themethod used.
The three major methods of access to tables are as
following. The first is Full Table Scan, when the tableis parsed entirely following the order of blocs in thetablespaces. Secondly, the PARTITION methods madewhen the query is performed on a partition of table andnot on the table entirely, in this case the table must be
partitioned. Moreover, if the optimizer does not accept
the PARTITION method, we can force it through the
HINT. Finally, the third method is the Table Access by
RowID, this method allows the access directly of the
RowID in this case the query is based on an index.
Then let us analyze the three major index accessmethods, UNIQUE SCAN, RANGE SCAN and
PARTITION SCAN. Regarding UNIQUE SCAN, theoptimizer chooses to parse the tree to find a uniquerecord, generally used for the type of query whose theclause where is an equal like NoClient= 234. For
RANGE SCAN, the optimizer parses a part of the treethat host the range searched often used for the type ofquery of the clause where is an interval like NoClient
between 2.000 and 3.000;. And thirdly, the
PARTITION SCAN is used by index accessing if theindex is partitioned, this method allows the optimizer toparse just the partition of index that host the key or therange of keys on the clause where of the query.
Finally, we cite the three major methods ofperforming the join operations. The first is NESTEDLOOP; we suggest that we have two tables. CLIENTS
table and COMMANDES table. CLIENTS is 10 times
bigger than COMMANDES. The NESTED LOOP
parses COMMANDES entirely for each data of thetable CIENTS, generally used for the sub-query.
MERGE JOIN, in this case we use the same tables but
we suggest that the sizes of them are approximately
close, then we sort both of them following the same
criteria for simplify the data search. The third method is
the HASH JOIN that we construct a hash tablefollowing the index key, and then we parse the second
table for each value of column join in the hash table.
Algorithms analysis:
Based on Table 1, Figure 3 and Figure 4, the first
method is more accepted as an optimized method than
the second method. Following the Figure 4 that
illustrates the second method, we find more correlation
between processors, since only selected processors areused, and tree traversal and record loading are locallydone. In parallel searching, we search single values (forexact match) or several values (for range search). In thistype of query, both of the local parallel index first
method and second method are efficient but the most
optimized is the local parallel index first method,
because there are no correlation between processors.

Costs of different distributed queries for thesecond method

There are various methods of partitioning an index
in parallel database systems, but in this paper, we
discuss and improve two most powerful methods for thereason of avoiding redundancy in this current.
Existing analysis:
In shared-memory and shared-disk systems, themajor problem for multi-processors machines is theinterference between processors in both memory anddisk. To reduce network traffic and to minimize
latency, each processor is given a large private
cache[16]. Parallelism increases performance, butshared resources increase interferences and limit
performances. Multi-processor computers often use
many processes to reduce interferences. Partitioning ashared-memory system creates many interferences andproblems; we find that the performance of sharedmemory machines is not cost-effective with someprocessors when running database systems. The shareddisk architecture is not very effective for databasesystems. the processor that want to update the data must
declare its intention to update the data, once thisdeclaration has been honored and acknowledged by all
the other processors, the declared processor can readthe shared data from disk and update it. This createsinterferences between processors, and then creates
delays.
Multiple query analysis:
When we launch a multiple query in parallel search
processing, generally it proceeds three steps: processors
involvement, index scan, and record (data) loading[4]for everyone. In the first step, the RDBMS finds theprocessor or processors selected by the algorithm of400

SEE-Mie, Japan, Nov. 19-21, 2015

Which means only selected processors by the algorithm
are used (implicated), and data loading are locally done.
When we launch a query in parallel one-index join
processing, we search on the indexed table by theattribute of the index, and the record loading is pointed
by the RowID. The problem in this processing (oneindex join) is that we search each record on the nonindexed attribute (on non-indexed table) this takes a lotof input/output on blocs, which takes a lot of memory.
These constraints increase the execution time. In
parallel one-index join, we search single values (forexact match) or several values (for range search) fromthe indexed table and we search for all values of join
attribute from the non-indexed table. This processing is
not efficient for big tables (table that contains morethan 10.000 tuples, but not indexed). In this processing,both parts of the local parallel index are not efficient,but the most wished one is the local parallel index usedat the first method, because it bears on the same
attribute that uses the join operation in the indexedtable.

parallelization and collaboration between processors.
We used each of these three methods separately with
our proposed methods, for eventually find the most
optimal result, according to the results obtained is thethird method (fully replicated index). Throughout thispaper, we discuss the local parallel index, thanks tothese advantages like the absence of correlations
between the index and table partitioning, contrariwise
the global parallel index.
For our future work, we will plan to implement thecollaboration between procesors in the background of a
DBMS like postgreSQL.
REFERENCES
1.
2.

3.

About parallel two-index join processing, wesearch single values (for exact match) or several values(for range search) from the first table then the sameprocessing from the second table, and finally wecompare the results done according to the predicate ofjoin operation. If the tables involved in the join
operation contain more than 10.000 n-uplets, thisprocessing is preferred; else, if one of them is small,this processing is not efficient. In this case the local
parallel index first method is the most suitable because
the parallel index is based on the same attribute of theindex join attribute[4].

4.

5.

6.

7.
CONCLUSION AND FUTURE WORKIn this paper, we have presented in first time twoalgorithms of tuning parallel databases. The first isbased on partitioning our table and create andpartitioning a local parallel index by range. Moreover,the second method is based on partitioning both of themby list. In both of these methods, we assign each part ofone processor. The first part is assigned for theprocessor number one. The second part is assigned forthe processor number two, and the third part is assigned
for the processor number three. Finally, the processor
that finished its work giving a helping hand to theprocessor that not yet finished (collaboration between
processors). Following the figures 11 and 12, we are infavor of the first method (partitioning by range) andtheir algorithms as the most optimized algorithm.
In a second time, we have discussed (presented)
three of major methods of query optimization. Noreplicated-index, partially-replicated-index and fullyreplicated-index [14]; all of them are used with the

8.

9.

10.

11.
12.

13.

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Distributed Real-time Database Index
Algorithm Based on B+ Tree and ConsistentHashing. ELSEVIER, 2011.
David Taniar, J.W.R., Global parallel index
for multi-processors database systems.
elsevier, 2004.
Sergey Berega, H., Wiener indices of balanced
binary trees. Discrete Applied Mathematics,
2007.
Alejandro Chacon, J.C.M., Antonio Espinosa,
Porfidio Hernandez, n-step FM-Index for
faster pattern matching. Procedia Computer
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HaRim Jung, Y.S.K., Yon Dohn Chung, QRtree: An efficient and scalable method forevaluation of continuous range queries.
Information Sciences, 2014.
Yunjun Gao, Q.L., Baihua Zheng, Gang Chen,
On efficient reverse skyline query processing.
Expert Systems with Applications, 2014.
Tansel Dokeroglu, M.A.B., Ahmet Cosar,
Robust heuristic algorithms for exploiting thecommon tasks ofrelational cloud databasequeries. Applied Soft Computing, 2015.
G. Giannikis, G.A., D.Kossmann, SharedDB,
SharedDB: killing one thousand queries with
one stone,. Proc. VLDB, 2012. Vol. 5, no. 6.
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B-Trees. Acta Informatica, 1977.
Lilian Hobbs, S.H., Shilpa Lawande, Pete
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Elsevier Digital Press, 2005.
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Bayer,
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14.

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DAVID TANIAR, J.W.R., A Taxonomy ofIndexing Schemes for Parallel Database
Systems. Distributed and Parallel Databases,
2002.
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Indexing Structure for Main Memory
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David J. DeWitt, J.G., Parallel Database
Systems: The Future of Database Processing
or a Passing Fad? 1991.

402

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

THE TECHNIQUE OF OPTIMAL LEASING DURATION ESTIMATIONFOR THE CITY BUS USING THECHNICAL AND ECONOMICALPARAMETERS
Nikita Pozhivilov 1, Ilya Kavalchuk2, Victor Maksimov1, Lev Zimanov1
1State Technical University -MADI, Moscow, Russian Federation
2
School of Engineering, Deakin University, Australia

ABSTRACTA transit agency has a lot of ways to get buses. The most convenient is lease. There is no need to pay a whole
price once, a company has to pay every month fix amount of money and use buses at the same time. But a
manager of a transit agency should decide for a period of time, when they will need to use the busses.
This paper presents the technique for determining duration of the city bus lease, taking into account the
influence of technical and economical parameters. The bus must bring maximum profit and bus garage must
make a transportation work full and with good quality for passenger satisfaction.
The technique is applied to a real-world case study of transit agency in Moscow, Russian Federation which
operates Iveco Daily, also detailed analysis of the results is presented.
This study can be used for the impact of the fleet management program of the subsequent years for the
replacement of aging fleet by transit agency, can help to manage fleet of a transit agency to improvetransportation service and clients satisfaction.
Keywords: Bus, Engineering Management, Lease Duration, Passenger Traffic, Transit Agency.

on maximizing the net present profit with theconstraint of the minimization of the averageremaining life of buses in a transit agency. It has adirect influence on the servicing costs and customer
satisfaction.
A number of studies explored these questions.
The advantages and disadvantages of bus lease as apurchasing method have been covered in [4], [5].
The main advantage is that leasing allows companies
to make renovations of the fleet in a shorter periodof time. However, payments are made on a monthly
bases, reduces the financial load on the company.
Another advantage is the wide range of available
lease programs. Some of them are based on the time
duration, as a payment factor, and called fixed-term
tenancy. Such schemes have defined beginning dateand defined ending date. Others programs are basedon the operating duration in years or kilometres. The
later leasing programs are beneficial for companies
with seasonal or small workload.
Leasing with fixed-term tenancy was applied in
the methodology. A fixed term tenancy comes to an
end automatically when the fixed term runs out. At
the end of the lease duration busses goes back to thelessor. [6]Lifetime of the vehicles affects the average ageof the fleet. [7] The average age of the fleet affects
theperformanceindicators
andresource
requirements, such as servicing cost, demand for thelabour and spare parts [8]. As costs have direct input

INTRODUCTION
Transportation by the public bus system is one of
the biggest forms of passenger traffic in cities
throughout the world. Russian transportation market
studies showed that vehicle transportation has 59.0%
of the share [1], [2]. In terms of the types ofpassenger transportation, in 2013 regular buses had atransportation market share of 58.4% for intra-urban,
75.1% for suburban and 63.3% for intercity
transportation [1]. High demand initiate businesscompetition among the transit agencies for costumer
attention and route allocation.
From an economical point of view the main aimof transit fleet management is to maximal profit. The
quality of their services is another challenge as it has
influence on the customer satisfaction rates. The
most flexible way to start using buses for a company
is by getting their fleet through a lease scheme [2],[3]. A lease is a contractual arrangement calling forthe lessee (user) to pay the lessor (owner) for use ofan asset [3]. There is no need to pay the full priceoutright, because lessee pays a fixed price per monthover time duration according to the leasing contract
agreement.
The determination of an optimal lease period fora bus needs to be analysed using both technical andeconomical groups of parameters for the whole
period of the lease.
The proposed optimization model was targeted403

SEE-Mie, Japan, Nov. 19-21, 2015

unit of a certain age/mileage.

on the profitability of the company, its minimization
can be a problem for the managers.

When bus economical parameters are analysed, it
is possible to construct a bus economical parametersgraph Fig. 2. [12]. If statistic data is not enough toconstruct full graph, then it is necessary to predictthe rest of graph using various mathematicalmodelling methods.

THEORETICAL INVESTIGATION
There are two sets of parameters which haveinfluence on the optimal leasing period selection.
One set is Economical parameters. Such parameters
cover financial aspects such as income and costs.
The second group of parameters are the technicalparameters.
Influence of Economical Parameters
During its lifetime, a bus fleet should show
continuous profitability. Several parameters haveinfluence on the profit of a company. Dependency
can be determine using (1) [11]:С = 𝐼𝐼−(С𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 + С𝑙𝑙𝑙𝑙𝑙𝑙𝑙𝑙. + С𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝 + С𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠. +С𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝. + С𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟 + С𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜. + С𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖 + С𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓. +С𝑜𝑜𝑜𝑜ℎ𝑒𝑒𝑒𝑒 )(1)Fig. 2 Example of the dynamic of bus economicalparameters

Where I - income; С𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 - fuel costs; С𝑙𝑙𝑙𝑙𝑙𝑙𝑙𝑙𝑙𝑙 –lease
payments costs; С𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝 . – spare parts costs; С𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠. –salary costs; С𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟 - rental payment; С𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝. – plan
default; С𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜. – outsourcing costs; С𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖 –amount of income loss because of the idle; С𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓. –technical failure costs; С𝑜𝑜𝑜𝑜ℎ𝑒𝑒𝑒𝑒 – others costs.
Formula for the general profit calculation:
С=I - (TFC+TVC)

Influence of Technical Parameters
Changes of technical parameters according toincreasing age and mileage of buses create anegative effect on the bus operational characteristics,
which reduce the transportation service quality [8],[12].
The technique implies to analyse the changes oftechnical parameters for the full fleet or for a groupof buses from the specific transportation route withthe average fleet age.
Several technical factors can be identified for theleased fleet technical analysis. Factor Х1 takes into
account the percentage of buses on the route. Factor
Х2 takes into account a number of extraordinary
returns to the garage or service station. Factor Х3
takes into account a number road accidents. Factor
Х4 takes into account a number of working posts in a
service zone of the bus garage. Factor Х5 takes into
account total maintenance and repair downtime.
In this article one parameter was selected. Itshows the influence of the fleet medium age on
coefficient of buses on the routes. It can becalculated using (3) [12]:(2)

I – income from the unit of the fleet for exact
age/mileage; TFC - time-fixed costs (not depends on
bus age); TVC - time-variable costs (depends on bus
age).
The typical structure of income from unit atexact age/mileage in a transit agency is showed on
Fig. 1. [12].

𝑿𝑿𝟏𝟏 =

𝜶𝜶𝑭𝑭
𝒃𝒃𝒃𝒃
𝜶𝜶𝑷𝑷
𝒃𝒃𝒃𝒃

(3)

𝐹𝐹
Where 𝛼𝛼𝑏𝑏𝑏𝑏
is an actual percentage of buses on𝑃𝑃
the route; 𝛼𝛼𝑏𝑏𝑏𝑏 is planned percentage of buses on theroute. Factor 𝑋𝑋1 has to be not less 1 for any period ofbus lease duration to provide maximum income andquality.
Planned percentage of buses on the route isFig. 1 Structure of the planned income from a fleet
404

SEE-Mie, Japan, Nov. 19-21, 2015

» 1,00 » 1,25
» 1,25 » 1,50
» 1,50 » 1,75
» 1,75 » 2,00
from 2,00

calculated based on the schedule of the passenger’s
traffic. Actual percentage of the buses on a givenroute is evaluated using (4):𝛼𝛼𝑏𝑏𝑟𝑟 = 𝛼𝛼Т − 𝛼𝛼𝑟𝑟

(4)Where 𝛼𝛼Т is a coefficient of the fleet technicalreadiness; 𝛼𝛼𝑟𝑟 is the percentage of buses in reserve.
The coefficient of technical readiness can becalculated with formula (5) [12]:𝛼𝛼 𝑇𝑇 =

1

Coefficient of the percentage of reserved buses isevaluated according to results of a transit agency
works and can be calculated by the (7) [12]:

(5)

𝐷𝐷
1000

1+𝑙𝑙𝑑𝑑 ∙ 𝑚𝑚𝑚𝑚𝑚𝑚𝑚𝑚∙𝐾𝐾2𝛼𝛼𝑟𝑟 = 𝛼𝛼𝑏𝑏𝑏𝑏 ∙ 𝑃𝑃𝐶𝐶 ,The Determination of Bus Lease Optimum
PeriodThe company should choose the strategy ofpurchase, relationship with lessor and predict theeconomic situation of the market before determining
the optimum duration of the lease [4].
There are two main strategies to determine theoptimum duration of bus lease and can be identified
as:- Maximization of the accumulated profit;- Maximization of the average profit per bus.

(6)

𝑛𝑛𝑛𝑛𝑛𝑛𝑛𝑛
is a normative parameter for repairs and𝐷𝐷𝑚𝑚𝑚𝑚𝑚𝑚𝑚𝑚
maintenance time in a service zone (days/1000
kilometres), see Table 1. К4` is a correction
coefficient of repairs and maintenance time in bus
garage. It depends on mileage, see Table 1.
Table 1 Normative parameter for repairs andmaintenance time in a service zone

Buses types
Extra small,small andmiddleLarge and extralarge

The result is limited by the main technicalparameters that can be controlled through thechanges of the fleet’s technical characteristics.

Spending time at repairs
and maintenance(days/1000 kilometres),
𝐷𝐷𝑛𝑛𝑛𝑛𝑛𝑛𝑛𝑛
𝑚𝑚𝑚𝑚𝑚𝑚𝑚𝑚

Maximization of the accumulated profit
This strategy is suited to a lease contract with the
maximum economical profit accumulation that is to
say to make settlements the duration of leasing,which bring maximum profits from whole vehicle
service life.
To do that we should calculate the profit
accumulation for a buses lifetime.
The objective function for this method is 𝑍𝑍𝑥𝑥
(profit). It can be calculated using (8):0.30-0.50
0.50-0.55

Table 2 Correction coefficient values of repairs andmaintenance time in bus garage

Mileage from the beginning ofoperation in fractions of a normative
resource mileage
from 0,25
from 0,25 to 0,50
» 0,50 » 0,75
» 0,75 » 1,00

(7)

Where PC is an average percentage of buses
which cannot finish work on a given route and comeback to bus garage.

Where 𝑙𝑙𝑑𝑑 is an average daily mileage of the bus
in a transit agency; 𝐷𝐷𝑚𝑚𝑚𝑚𝑚𝑚𝑚𝑚 is the time needed for bus
repair and maintenance in a service zone measured
in days/1000 kilometres; 𝐾𝐾2 is a coefficient ofvehicle type and modification. For buses K2 is equal
to 1.
The time needed for bus repair andmaintenance in a service zone can be evaluated by(6) [9]:𝑫𝑫𝒎𝒎𝒎𝒎𝒎𝒎𝒎𝒎 = 𝑫𝑫𝒏𝒏𝒏𝒏𝒏𝒏𝒏𝒏
𝒎𝒎𝒎𝒎𝒎𝒎𝒎𝒎 ∙ 𝑲𝑲′𝟒𝟒

1,4
1,4
1,4
1,4
1,4

𝑥𝑥

𝑍𝑍𝑥𝑥 = ∫𝑥𝑥 𝑙𝑙 [𝐼𝐼(𝑥𝑥) − 𝑇𝑇𝑇𝑇𝑇𝑇(𝑥𝑥) − 𝑇𝑇𝑇𝑇𝑇𝑇(𝑥𝑥)]𝑑𝑑𝑑𝑑 → 𝑚𝑚𝑚𝑚𝑚𝑚 (8)0Where 𝑥𝑥0 is the age of buses which were selected
for the leasing contract; 𝑥𝑥𝑙𝑙 is the age when bus goesback to lessor.
The meanings of 𝑥𝑥0 and 𝑥𝑥𝑙𝑙 are the points of timeframes for the bus lease period. In (9) they can besubmitted as number of months, mileage of a bus orinterval numbers. It is easier to get statistical data ofa bus and agency work for interval which contains
months or mileage. Intervals are more convenient

К'4
0,7
0,7
1,0
1,3

405

SEE-Mie, Japan, Nov. 19-21, 2015

because collection of statistical data is easier andmore demonstrative.

Total number of fleet – 92 Iveco Daily;
Average bus mileage in the agency – 420000 km;
The total planned percentage of buses on theroute of the whole transit agency is 79.0%.
Leasing conditions are highlighted in Table 3.
Rates for the down payment are 0.

Maximization of the average profit per bus
This strategy can be used when a transit agency
and lessor have good, reliable relationships or they
are parts of the same company. In this case transit
agency can sign flexible contracts every year ormonth.
The technique proposes to calculate the average
profit per whole life of a bus for different life timesof it.
The objective function is 𝑍𝑍𝑥𝑥 (profit), which canbe calculated using (9).
𝑍𝑍𝑥𝑥 =

𝑥𝑥0∫𝑥𝑥 𝑙𝑙 [𝐼𝐼(𝑥𝑥)−𝑇𝑇𝑇𝑇𝑇𝑇(𝑥𝑥)−𝑇𝑇𝑇𝑇𝑇𝑇(𝑥𝑥)]𝑑𝑑𝑑𝑑𝑥𝑥→ 𝑚𝑚𝑚𝑚𝑚𝑚

Table 3 Lease rates according to lease durationof bus Iveco Daily by lessor

Lease№ duration(months
)
1
33
2
36
3
39
4
42
5
45
6
48
7
52
8
56

(9)

All technical limitations has to be taken into
consideration, which allow to improve quality,
safety and convenience of the transportation.
Technical constraints can be selected as (10)-(14):
⎧
⎪
⎪
⎪
⎪
⎪

𝐹𝐹
𝑎𝑎𝑏𝑏𝑏𝑏𝑃𝑃 ≥ 1𝑎𝑎𝑏𝑏𝑏𝑏𝐹𝐹
𝑎𝑎𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟
𝑋𝑋2 = 𝑃𝑃≤1𝑎𝑎𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟
𝐹𝐹
𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎
𝑋𝑋3 = 𝑃𝑃≤1
𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎
𝐹𝐹
𝑎𝑎𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝
𝑋𝑋4 = 𝑃𝑃 ≥ 1
𝑎𝑎𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝

𝑋𝑋1 =

⎨
⎪
⎪
⎪
⎪
𝐹𝐹
⎪ 𝑋𝑋 = 𝑎𝑎𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑 ≤ 1
5𝑃𝑃
𝑎𝑎𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑⎩(10)

Lease rates
per month(th. dollars)
1.33
1.24
1.21
1.18
1.14
1.10
1.05
1.04

The total
amount for thewhole duration(th. dollars)
43.89
44.64
47.19
49.56
51.30
52.80
54.60
58.24

The structure of planned income from Iveco
Daily in the selected transit agency is represented on
the Fig. 3.

(11)

(12)

(13)
(14)

CASE STUDY
Information about a Transit Agency
Proposed technique was examined on a company
which provides regular passenger transportation in
Moscow, The Company has its own technicaldepartment and obtains buses on lease. The
Company’s staff have fixed salary rates. Some
aspects of the technical work (maintenance, repairetc.) are being done by outsourcing companies. Allbuses work according to a time schedule.
Some information about the transit agency:
The number of company working days: 365;
The average daily mileage of one bus: 260 km;
The average annual mileage of bus: 94000 km;
The average specific planned income from 1
working hour of one bus: 650 Rubles;
The fare for passengers – 30 Rubles.

- TVC

- TFC

-С

Fig. 3 The structure of planned income from
Iveco Daily in the transit agency
Initial conditions are: the transit agency is goingto get 20 buses Iveco Daily. In this paper we will
choose the best lease duration from the next periods:
33, 36, 39, 42, 45, 48, 52 or 56 months.
The economical, technical and operational data
were obtained from the transit agency and statistical406

SEE-Mie, Japan, Nov. 19-21, 2015

data were collected as a result of the experimentwith 10 buses Iveco Daily. These 10 buses wereoperated in the transit agency for 3 years.

than 79.0 %.
42 month is the best duration to take a bus orgroup of buses on lease for the transit agency tosatisfy both technical and economic factors. The
technical analysis showed that technical factor X1 isin the acceptable interval, so the company will beable to make service in full volume.

Application of Method
The objective function
Two functions were selected for analysis andcalculated in (15) and (16).
Maximization of the accumulated profit:

𝑥𝑥

CONCLUSION
Using buses start from purchasing or signing of
the leasing contract. Leasing is the most convenient
way for business today. In this study a new model toaddress long-term planning was proposed. The
technique proposed in this paper is the result ofcontinuing research on the topic of optimization oftransit fleet management over a planning period.
The methodology allows us to solve important
problems for an optimum leasing duration of busesin a transit agency. It allows for an increase incompany profits, revenue, return of investments, andinternal rate of return, cost effectiveness; makes aforecast of the short and long-term future of thecompany, improvement of service quality, makes the
management of a fleet easier and more predictable.
All this can not only save current costumers, but also
increase the number of customers. Minimization of
costs allows to evaluate the level of service, planned
budget allocation, significant resource savings, andmore effective age management.
The technique was applied for the medium duty
buses which operates in Moscow. However, themethodology can be applied to other agencies withdifferent fleet types, budget size or structure ofplanned income.

𝑥𝑥

𝑍𝑍𝑥𝑥 = ∫𝑥𝑥 𝑙𝑙 [𝐼𝐼(𝑥𝑥) − (𝑇𝑇𝑇𝑇𝑇𝑇 + 𝑇𝑇𝑇𝑇𝑇𝑇(𝑥𝑥))]𝑑𝑑𝑑𝑑 =0∫𝑥𝑥 𝑙𝑙 �𝐼𝐼−(С𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 + С𝑙𝑙𝑙𝑙𝑙𝑙𝑙𝑙. + С𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝 (𝑥𝑥) + С𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠. +0С𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝. + С𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟 + С𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜. (𝑥𝑥) + С𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖 (𝑥𝑥) +(15)
С𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓. (𝑥𝑥) + С𝑜𝑜𝑜𝑜ℎ𝑒𝑒𝑒𝑒 )�𝑑𝑑𝑑𝑑 → 𝑚𝑚𝑚𝑚𝑚𝑚

Maximization of the average profit per bus:
𝑍𝑍𝑥𝑥 =

𝑥𝑥0∫𝑥𝑥 𝑙𝑙 [𝐼𝐼(𝑥𝑥)−(𝑇𝑇𝑇𝑇𝑇𝑇(𝑥𝑥)+𝑇𝑇𝑇𝑇𝑇𝑇(𝑥𝑥))]𝑑𝑑𝑑𝑑𝑥𝑥𝑥𝑥= �∫𝑥𝑥 1�𝐼𝐼−(С𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 +0

С𝑙𝑙𝑙𝑙𝑙𝑙𝑙𝑙. + С𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝 (𝑥𝑥) + С𝑠𝑠𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎. + С𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝𝑝. + С𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟 +С𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜. (𝑥𝑥) + С𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖 (𝑥𝑥) + С𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓. (𝑥𝑥) +С𝑜𝑜𝑜𝑜ℎ𝑒𝑒𝑒𝑒 )�𝑑𝑑𝑑𝑑� /𝑥𝑥 → 𝑚𝑚𝑚𝑚𝑚𝑚(16)

Constraints

In the article one constraint X1 was examined.
Results of the X1 calculations are shown in Table 4.
The total profits per period/months are showed inTable 4 as well.
Table 4 Result of different lease duration of bus
in the transit agency

ACKNOWLEDGEMENTS
Maximizationof the average
profit per bus

𝒂𝒂𝑭𝑭𝒊𝒊𝒊𝒊𝒊𝒊𝒊𝒊𝒊𝒊 ,

33
36
39
42
45
48
52
56

27.44
32.08
35.12
38.04
41.12
43.90
46.70
46.36

0.83
0.89
0.90
0.91
0.91
0.91
0.90
0.83

79.1
79.1
79.1
79.1
78.5
78.5
78.5
78.5

%

Х1 ≥ 𝟏𝟏

Maximizationof theaccumulated
profit

1
2
3
4
5
6
7
8

Constraints

Lease duration,months№

Profits, th. dollars

+
+
+
+
-

Publication was sponsored by Deakin University,
Australia. The research was partially supported by
State Technical University - MADI. The authors
would like to express their sincere appreciation to
rector МАDI, Doctor of Science, Vjacheslav
Prikhodko; Associate Professor MADI Victor
Egorov; coordinator learning, Mercedes-Benz
Russia Maria Zhelyabina, Master Vasilisa
Pozhivilova.

REFERENCES[1] Rosstat, «Transport and communications in
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[2] V. Dobrovolskii, "Leasing as a mechanism for
updating the bus fleet," Transport Rossiiskoi
Federacii, no. №2(33), pp. 30-31, 2011 (rus).

The best lease duration is 52 months for
maximization of the accumulated profit and 45 or 48
months for maximization of the average profit perbus. But factor X1 is admissible for lease duration of
42 month or less, because the total planned
percentage of buses on the route should be more
407

SEE-Mie, Japan, Nov. 19-21, 2015[3] Stickney and Weil (Glossary of Financial
Accounting: An Intro. to Concepts, Methods, andUse 12e), 2007, p. 791.
[4]F.
Wegmann
andT.
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[5] C. Wolski, "Making the Decision: Owning or
Leasing," May 2011. [Online]. Available:
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[Accessed 27 April 2015].
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[Online].Available:http://www.accaglobal.com/sg/en/student/acca-qual-student-journey/qual-resource/acca-qualification/f7/technical-articles/accountingfor-leases.html. [Accessed 20 April 2015].
[7] U. Dutta and T. Maze, "Model for Comparing
Performance of Various Transit Maintenance Repair
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115(4), pp. 450-456, 1989.
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[9] Regulations on the maintenance and repair ofrolling stock automobile transport, Moscow:
Ministry of automobile transport Russian Federation,
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Mathew, "Preserving an aging transit fleet: an
optimal resource allocation perspective based onservice life and constrained budget," 5. Mishra S.,
Sharma S., Khasnabis S., Mathew T.V. 2013
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408

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

SETTLEMENT OF STRIP FOOTING ON SANDY SOIL DUE TO
ECCENTRICTY
Kraker Saber Braim1, Syarifah Nur Atiqah Syed Ahmad2, Ahmad Safuan A Rashid3, Hisham Mohamad4
1,2,3,4
Department of Geotechnics and Transportation, Faculty of Civil Engineering, Universiti Teknologi
Malaysia
ABSTRACTThis study investigates the effect of eccentricity on settlement of shallow foundation rested on sandy soil. A
series of small-scale 1g physical modeling tests was carried out by preparing a model of medium dry sand with
50% of relative density on a rigid testing chamber. A rigid plate was used to replicate a strip footing foundation.
Close range photogrammetry and particle image velocimetry (PIV) methods were used to examine the failure
mechanisms under the eccentricity design load. In this study, the ultimate, allowable bearing capacity andbearing capacity factor (Nγ) under the eccentricity loading were investigated. It was found that with theincreasing of footing eccentricity, the bearing capacity decreased with increasing settlement
Keywords: shallow foundation, settlement, eccentricity, particle image velocimetry (PIV).

dimension of 320 mm in height x 150 mm in widthx 430 mm in depth. The front side of the box was
fitted with a removable transparent Perspex panel
to allow a real time observation on soil movements
during the loading test as shown in Fig. 1. Sand
model with 50% of relative density index was
prepared to represent a medium dense sandy soil byusing a compaction method. A rigid plate of 60 mm
in width, B and 150 mm in length, L was used toreplicate a strip foundation. 3 holes with a diameterof 3 mm were fabricated at the top of the rigid plate.
Each of the holes were located at the centre, 0.05 B
and 0.1 B from the centre with respect to the widthof the footing. Due to the sand has a uniform whitecolour, an additive black colour was used to colour
the ¼ of the total weight of soil by using dyed
black solution. The technique was used in order toenhance the difference of brightness intensity
during the image analysis using the PIV.
A strain control system with a variable speed AC
motor and worm gear configuration was used toprovide strain loading system during the testing.
The used of the strain loading system is todetermine the ultimate bearing capacity of the
sandy soil. A dead loading system was used toinvestigate the settlement of the strip footing byapplying an equivalent stress of the ultimate andallowable bearing capacities for both centric andeccentric cases as shown in Fig. 2. The stresses anddisplacements were recorded using a load cell andLinear Variable Differential Transformer (LVDT)transducers. A digital camera was employed andmounted in front of the Perspex panel to capture
the soil movements in continuous shooting mode
during the testing so that the failure pattern could
be observed with the aid of the Matlab software. A
set of target markers was used to calibrate thecamera movement during the shooting period.

INTRODUCTION
The function of a shallow foundation is totransmit load from the superstructure to the
supporting soils. In some cases, the footing carryeccentric or moment load subjected from theeccentricity of vertical load from the column or byhorizontal load acting at some distance above thefoundation base. These loads may be permanent(retaining wall) or temporary (wind or seismicload). Many studies have been conducted toinvestigate the performance of a shallow
foundation on sandy soils [1-9].
However, most of the studies were carried toinvestigate the geometry shape of shallow
foundation rested on a sandy soil. Limited study
was conducted to examine the influence of theeccentricity load on this particular soil [10-11].
Although El Sawwaf, [11] performed a study on
the effect of eccentricity on the bearing capacity ofsandy soil, however he intended to investigate theused of the geogrid layer as an improvement
method to enhance the stability of the sandy soil
under the eccentricity load. He found that thefooting performance could be significantly
improved by the used of layers of geogrid leading
to an economic design of the footing.
Thus, this study attempts to investigate theeffect of eccentricity on settlement of shallow
foundation rested on sandy soil. A series of small
scale physical modeling was carried out to study
settlement behavior. The deformation was observed
using a close range photogrammetry and Particle
Image Velocimetry techniques [12].
EXPERIMENTAL SYSTEM
A 200 mm height of sand model was preparedin a rigid aluminum testing chamber with a409

Table 1: Physical property of sandy soil
Property
Value
Specific gravity, Gs
2.65
Maximum dry unit weight, γdry (max),
18.39
kN/m3
Minimum dry unit weight, γdry (min), kN/m3
15.01
Relative Index, ID
50%
Effective size, D10 (mm)0.22
D30 (mm)
0.57
D60 (mm)1.45
Coefficient of uniformity, Cu
6.55
Coefficient of gradation or curvature, Cc
1.01
or Cr
Angle of Internal friction, Ødirect shear
35.89(degree)
Modulus of elasticity, E (kPa)
2887.9Percent Finer %Fig. 1: Experimental setup using a strain
control system
100
90
80
70
60
50
40
30
20
10
0
0.01

0.1
1
10
Particle Diameter (mm)100

Fig. 3: Particle size distribution of sand
RESULTS AND DISCUSSIONS
Bearing Capacity and Bearing Capacity Factor
Nγ
Three different tests were conducted forcentrically and eccentrically loaded with 0.0B,
0.05B, and 0.1B eccentricities for Tests 1, 2, and 3
respectively. For each test, the rigid plate which
represents strip footing was loaded until reach 20
mm penetration to meet the failure state. Fig. 4
shows the stress- displacement/ footing width curve.
It was found that the ultimate bearing capacity
values, qult for Tests 1, 2, and 3 are 43.66 kPa,
35.38 kPa, and 29.85 kPa respectively. It can beseen that the value of qult decreases when theeccentricity increases.

Figure 2: Dead loading system
TESTING MATERIAL
The result of physical property of sand is listed
in Table 1. The particle size distribution test wasdetermined by using a dry sieving method and theresult is shown in Fig. 3. The sample was classified
as Well Graded sand (SW). Relative density test
was carried out and the 50% of density of sand wasdetermined at 16.53 kN/m3. The angle of internal
friction and the modulus of elasticity of sand were
determined from the Shear box test.

410

TestsStress, kPa

50
40

1

30

2

Stress condition

3
20

Test 1
Test 2
Test 3

10

4
5

0

6

0.1
0.2
0.3
Displacement/ Footing widthFig. 4: Stress- Displacement/footing width curve

AppliedStressvalue (kPa)settlement(mm)

centric(e=0.0B)

two third qult

29.11

0.94

full load qult

43.66

1.58

eccentric(e=0.05B)

two third qult

23.59

1.57

full load qult

35.38

2.3

eccentric(e=0.1B)

two third qult

19.2

2.43

full load qult

29.85

3.19

0

Table 3: Settlement test results

Equation 1 was used to calculate the bearing
capacity factor, Nγ for each test based on the qult
results [1]. The values of Nγ were found as 104.81,
102.89, and 107.85 for Tests 1, 2, and 3
respectively. The angle of internal friction of sandmodel was determined as 43.56 based on the Nγ
results. It was noticed that the discrepancies
between the angle of internal friction of sandobtained from the small scale physical model andshear box test was approximately 17.6%. The
difference might be contributed from a difference
confining pressure mechanism between both tests.
𝑞𝑞𝑢𝑢𝑢𝑢𝑢𝑢 =12𝛾𝛾 (𝐵𝐵 − 2𝑒𝑒)𝑁𝑁𝛾𝛾 𝑠𝑠𝛾𝛾 𝑑𝑑𝛾𝛾 𝑖𝑖𝛾𝛾

3.5Settlement, mm

3
2.5
2
1.5
1

2/3 qult

0.5

qult

0
0

2

(1)

4
Eccentricity, mm

68Fig. 5 Effect of eccentricity on the soil settlement

where, γ is the unit weight of soil, sγ,dγ and iγ are
the shape, depth and inclination factors respectively.

Applied stress , kPa

Settlement Measurement
Six tests were conducted under 3 differences todetermine the settlement as presented in Table 3.
Each case consists of two tests under fully and two
third of ultimate bearing capacities. It can beobserved that by increasing the eccentricity values,
the settlement for each test was increases. Figure 5
shows the effect of eccentricity on footing
settlement. The results show that the settlement
increases with the increasing of the eccentricity.
The settlement over footing width ratio (S/B) andthe applied stress was plotted as shown in Figure 6.
It can be seen that when the applied stressdecreased due to increasing of eccentricity, thesettlements increased.

50
45
40
35
30
25
20
15
10
5
0

2/3 qult
qult
0

0.02
0.04
Settlement/footing width (S/B)

Fig. 6: Relationship between settlement/footing
width and applied stress
The main parameters of footing settlement due toeccentricity load which may act on the sandparameters are those due to footing width,

411

0.06

eccentricity, dry unit weight, γ and applied stress, q.
Based on the Buckingham π theory, twodimensionless equation were chosen to investigate
the effect of the those parameters. The proposed
dimensionless equations are γe/q and S/B. Fig. 7
shows the plot of γe/q and S/B. It was found thatthe normalized settlement increased with theincreasing of γe/q value.
0.006
2/3 qult
qult

0.005

Fig. 9: Vector of soil deformation for Test 4

eγ/q

0.004
0.003
0.002
0.001
0
0

0.02
0.04
0.06
Settlement/ Footing width (S/B)

Fig. 7: Relationship between γe/q and S/B
Soil Deformation

Fig. 10: Vector of soil deformation for Test 6

The images taken during the ultimate bearing
capacity tests were analyzed using the Particle
Image Velocimetry analyses. Figs. 8 to 10 show thesoil deformation obtained from the PIV analyses
for Tests 2, 4 and 6. Fig. 8 shows a clear Prandtl
failure mechanism with the soil beneath andadjacent the footing deformed approximately thesame size of the footing width. Based on the Figs. 9
to 10, a clear soil movement toward the right sideof the footing was observed due to the footing
eccentricity. The footing experienced a larger
rotation on the eccentricity side when the eccentric
was increased as shown in Figure 10.

CONCLUSION
The bearing capacity factor, settlement, andground deformation of sand was investigated basedon small physical modelling and PIV method. The
conclusions that can be made from this research arelisted as follows:
1. The bearing capacity decreased while thesettlement increased with the increasing of
eccentricity to footing width ratio.
2. The discrepancies between the angle of internal
friction of sand back-calculated from the small
scale physical model and shear box test wasapproximately 17.6% due to the difference
confining pressure mechanism.
3. A clear soil movement toward the right side of
the footing was observed due to the footing
eccentricity with the largest rotation happened on
the largest eccentricity side as shown in Figure 10.
ACKNOWLEDGEMENTS
The research was supported by Fundamental
Research Grant Scheme (FRGS) – 4F658(Relationship Between Shear Wave Velocity andCompressibility Indices of Cohesive Soil Using
Constant Rate Strain Equipped With Bender
Element Devices) from Ministry of Education of
Malaysia and Universiti Teknologi Malaysia

Fig. 8: Vector of soil deformation for Test 2

412

REFERENCES[1] Meyerhof G.G. (1953). Bearing capacity offoundation under eccentric and inclined loads.
Proceeding of the 3rd international conference on
soil mechanic and foundation engineering, Zurich,vol. 1, 440-445.
[2] Fellenius, B. H. and Altaee, A. (1994). Stressand settlement of footings in sand. Proceedings of
the American Society of Civil Engineers, ASCE,
Conferenceon
VerticalandHorizontal
Deformations for Foundations and Embankments,
Geotechnical Special Publication, GSP, No. 40,
College Station, TX, June 16 - 18, 1994, Vol. 2 pp.
1760 - 1773
[3] Montrasio, L. and Nova, R. (1997). Settlementof Shallow Foundation on Sand. Geotechnique47(1), 49-60.
[4] Zhu, F., Clark, J. I. and Phillips, R. (2001).
Scale Effect of Strip and Circular Footings Restingon Dense Sand. Journal of Geotechnical andGeoenvironmental Engineering, ASCE 127(7),613-621.
[5] Awad, M. A. and El-Mezaini, N. S. (2001).
Effect of Footings Interaction on Bearing Capacity
and Settlement of Sandy Soil. Journal of theIslamic University of Gaza 9(1), pp. 43 - 55.
[6] Cerato, A. B. and Lutenegger, A. J. (2007),“Scale Effects of Shallow Foundation Bearing
Capacity on Granular Material”, Journal of
Geotechnical and Geoenvironmental Engineering,
ASCE 133(10), 1192-1202.
[7] Kumar, J. and Khatri, V. N. (2008). Effect ofFooting Width on Bearing Capacity Factor, Nγ.
Journal of Geotechnical and Environmental
Engineering, ASCE 134(9), 1299-1310.
[8] Loukidis D., T. Chakraborty and R. Salgado.
(2008). Bearing capacity of strip footing on purely
frictional soil under eccentric and inclined loads.
Canadian Journal of Geotech, 45: 768-787.
[9] Al-Khuzaei, H. M. (2011). Verification of Scale
Effect of Shallow Foundation in Determination of
Bearing Capacity of Sand.
Al-Rafidain
Engineering 2(2), 1-11.
[10] Patra, C. R., Das, B. M., Bhoi, M., and Shin, E.
C. (2006). Eccentrically loaded strip foundation on
geogrid-reinforced sand. Geotext. Geomembr. 24(4) 254–259.
[11] El Sawwaf, M. (2009). Experimental andNumerical Study of Eccentrically Loaded Strip
Footings Resting on Reinforced Sand. J. Geotech.
Geoenviron. Eng., 135(10), 1509–1518.
[12] White, D. J., & Take, W. A. (2002). GeoPIV:
Particle Image Velocimetry (PIV) software for use
in geotechnical testing.

413

FifthInternational Conference on Geotechnique, Construction Materials andEnvironment, Osaka, Japan,Nov. 16-18, 2015, ISBN: 978-4-9905958-4-5 C3051

WATER PURIFICATION IN INLAND FRESH WATER LAKE BY
TIDAL ENERGY USING UTSURO

R.-T. Jung1, K. Akai2, and H. Isshiki3
1

University of Ulsan, Republic of Korea; 2NGO, “UTSURO” Research group, Japan; 3 1at the time of study, now,
Institute of Mathematical Analysis, Japan

ABSTRACT
Recently, the deterioration of water quality in the artificial lake after the reclamation of an intertidal flat at
the mouth of a river has become serious problems in Japan as in the cases of Isahaya bay and Ago bay. We
propose a novel method of water purification using tidal potential energy by installing an enclosed permeable
embankment, or Utsuro proposed by Akai in 1990, in the lake and bay. Two new UTSURO systems areproposed: One is using an inflatable bag on the seabed within Utsuro while the other is using a moored floatingbarge out of dyke. In short, equalization of water level between Utsuro and sea out of dyke or between UTSURO
and the barge changes water level in UTSURO and make water flow through the permeable embankment of
Utsuro. The flow through the void between stones and rocks in the embankment of UTSURO reduces the waterpollution by utilizing biological effect. Some numerical calculations were conducted both for a method using
inflatable bag and a method using a float.
Keywords:Contaminated Water, Water Purification, Fresh Water Lake, Reclamation, UTSURO

dyke using tidal potential energy. Consideration ofwater level management is important because thewater in the reclamation area dramatically changes
from running to stagnant water before and after
construction of the dyke, respectively. Since thewater current in the lake is significantly reduced
after construction of the dyke. This can result in
degradation of water quality, because nutrient concentration in stagnant water increases continuously
by external pollution such as supply via streams,
rivers, and wastewater discharge.
We propose two types of new engineering
purification systems for water in the reclamation
area. In both, tidal potential energy is utilized inorder to force water circulation in the region. These
two methods may reduce the stagnant places in thereclamation area.

INTRODUCTION
Water purification in reclamation area is an
important milestone because the artificially changed
costal environments are suffered to adapt to thesurroundings over many years. The change easily
makes the marine environment worse, if it is notcarefully controlled. The disaster on the water
quality in reclamation area can be found find inmany places: Isahaya Bay[1] in Japan, Shiwa lake[2]in Korea, Haringvliet dam[3] in Netherland,
Tuckombil waterway[4] in Australia and etc. The
first target value to make the environmentallyfriendly surroundings settled down in plan-stage isextremely difficult to keep it.
Nature-friendly
reclamation
shouldbeaccompanied by water quality management. The
prevention and/or reduction of water pollution andeutrophication due to contamination by large
pollutant effluent from the land should be consideredas the surrounding marine environmental matters. As
a self-purification system, a rockfill-type enclosed
embankment in the dyke can be introduced. This
rubble seawall, named “UTSURO”[5], functions likea rubble mound breakwater introduced by Palmer[6]to protect a coastal area from excessive waves. The
Japanese word UTSURO means a calm space
enclosed by permeable embankment, and it is known
that the water is purified making water passing
through the UTSURO embankment. An additionalpart is a system to generate water current across the

TWO PURIFICATION METHODInflatable bag method
The first suggested system consists of animpermeable submerged inflatable bag located at thebottom of the UTSURO, as shown in Figure 1(a). A
pipe connects the sea to the bag. Tide flows into thepipe, and the bag is swelled by sea water at high tide.
As the level of water in the UTSURO increases, thewater level inside the UTSURO becomes higher
than the water level outside. This causes the flow
outward through the embankment of the UTSURO
414

GEOMATE-Osaka, Nov. 16-18, 2015

(and vice versa) over the course of two tides per day.
Sea water and fresh water remain separated because
the inflatable bag swells up and down via theincoming and outgoing sea water in the pipe, that is,
the sea water passes two ways in it. “F” and “S”
refer to fresh water and salt water, respectively.
Figures 1(b), (c) and (d) show the managed waterlevel W.L. is 0, positive, and negative, respectively
according to the tide. Higher tidal difference resultsin larger flow exchange through the rubble so that
we may expect good purification by an UTSURO
placed inside lake.

section. So, we may consider that the level of thesurface in the UTSURO and that in the float would
be equal, as in Figure 2(b). Furthermore, the level ofthe surface inside and outside the UTSURO would
also be equal in Figures 2(c) and (d). Once the float
goes up due to the tide, the water flows from thefloat to the UTSURO via the pipe because the waterlevel inside the float tends to equal the level in the
UTSURO. The transferred water within the
UTSURO moves toward the outside of the
UTSURO through the embankment of the UTSURO,
as shown in Figure 2(c). When the float goes down,
the water flows from the UTSURO to the float, andthe water outside the UTSURO moves inside the
UTSURO through the embankment, as shown in
Figure 2(d). The water having with potential energy
in the pipe transfers two ways between the float andthe UTSURO.

Fig. 1 A suggested schematic plan using an
inflatable bag surrounded by UTSURO(F: fresh
water, S: Sea water). The inflatable bag contains
much and less sea water at the high and low tide,
respectively.

Fig. 2 A suggested schematic plan using a floating
body placed outside of dyke(F: fresh water, S: Sea
water). Arrows show flow direction.

Floating body method
The second suggestion to use the tidal differenceis shown in Figure 2(a), which provides a plan viewof the system. In this option, we place a float at sea
connected to the UTSURO in the lake with a pipe.
The water in the float is the fresh water. There is no
inflatable bag here, as was suggested in the previous

NUMERICAL EQUATIONS
We think there are many solutions to obtain thehigh water quality in the reclamation area. We
studied a solution on how to make the huge amount415

GEOMATE-Osaka, Nov. 16-18, 2015

ρ S gD1 < [ρ F g (hU − hB ) + f ] + ρ S ghB

of water in the reclamation area cleaner. We denotethe governing equations of each method for the
UTSURO simulation.

(5)

then, applying Bernoulli’s equation, we can get
flow velocity in pipe and governing equations

Inflatable bag methodρρFf (h B )  2 g
f (h B )u p = sgn  D1 − F hU −
 1 + µ D1 − ρ hU − ρ g
ρ
ρ
g
S
S
S
S



(6)
dh
SU U = u p S P
dthU − h B− α sgn(hU − D0 ) g | hU − D0 | lU  D0 − h Bwhen hU ≥ D0
when hU < D0(7)dh
SU B = u p S P
dt

Fig.3 A schematic view using an Inflatable bag

where ρ S , SU , S P , lU , and α are the density ofsea water, water surface area of the UTSURO, crosssectional area of the connecting pipe, circumferential
length of SU and permeability coefficient of the
UTSURO, respectively. Equations (7) and (8) are
the mass balance of the UTSURO and that of theinflatable bag, respectively.
In order to solve Eqs. (7) and (8), we obtainordinary differential equations for hU and hB . The
unknowns hU and hB are obtained numerically by a
Runge-Kutta method. The restoring force f can beapplied by the Equation (2) or (3). Table 1 is a value
set of the parameters used in equations and an
example of the inflatable bag case.

In order to have a flow simulation, we studied
the inflatable bag method first. For the simulation, atide is assumed to change sinusoidally. D1 is theinstantaneous depth of the sea water with mean
depth D0 . The pressure is also needed for theassumption at the upper surface of the inflatable bag
and given as

p B = ρF g (hU - hB ) + f (hB )(1)where g , ρF , hU , hB , and f are thegravitational acceleration, density of fresh water,height of the water surface in the UTSURO,
expansion height of the inflatable bag, and restoring
force of inflatable bag, respectively. The restoring
force f acting on the upper moving part of theinflatable bag is given by [7]when hB < W0
f ( hB ) = k (hB − W ) otherwiseorf (hB ) = khBχ

Table 1 Parameters used in a numerical example ofan inflatable bag
Items
value
Items
Value
8,000m 2
gSU
9 .8 m s 2
1.0m 2
ρF
Sp1000 kg m 3
3
ρS
10m
Dm
1040 kg m
hU
μ
0.2
10m
α
0.000001
4m
hB
10m
1m
D0
A
12h
k
1000 Nm -2
T
3
dt
1s
χ

(2)

(3)

Floating body method

The force f consists of two coefficients k , χand an assumed height of the bag W .
In order to set up the governing equations, wedefined the two cases of the hydrodynamic relations
for convenience: asρ S gD1 > [ρ F g (hU − hB ) + f ] + ρ S ghB(8)

In order to establish a set of governing equationin case of the floating body method, it is convenient
to classify the free surface level relations in twocases given by Eqs. (9) and (10):

(4)

and

416

GEOMATE-Osaka, Nov. 16-18, 2015

the added mass of the float and wave and viscousdamping are neglected because of long period intide.[7]The floating draft d , the water depth h1 and hU are
determined by Runge-Kutta method numericallyusing the Eq. (11)~(14). Table 2 is a value set of theparameters used in the numerical calculations.
Table 2 Parameters used in a numerical example of afloating body
Items
value
Items
value
2
8
,
000m 2g
SU
9.8 m s1.0m 2Sp
ρF1000 kg m 3
3
10m
ρS
Dm
1040 kg m
0.2
10m
μ
hU
α
0.000001
5m
h1
10m
1m
D0
A
12h
4,000,000kg
M1
T
8,000m 2
S1
dt
1s
b
4m
400m
l1

Fig.4 A schematic view using a Floating bodymethod.

D1 − d + h1 > hUor
D1 − d + h1 < hU

(9)
(10)

where, D 1 is given by the tide, d is draft of thefloating body, h1 is a water surface level in the
floating body, hU is a free surface level in the
UTSURO.
Applying Bernoulli’s equation, we obtain the flow
velocity in pipe and governing equations such as

SIMULATION RESULTS
u p = sgn(( D1 − d + h1 ) − hU )2g
| ( D1 − d + h1 ) − hU |1+ µSimulations based on the governing equation had
been carried out how the two suggested methods
such as the inflatable bag method and the floating
body method work in the direction to the large waterlevel difference between inside and outside of the
UTSURO because the difference causes a driving
force for the circulation around the UTSURO.

(11)
dhU
= u p SP
dt

SU

hU
− α sgn(hU − D0 ) g | hU − D0 | lU  D0

when hU ≥ D0
when hU < D0

(12)
dh1
= −u p S P
dt

hU[m]

S1

12

(13)

10

8
Tidal to be given(Mean: 10m)d +Floating barge

ρ S gd(S1 + b(1 + 0.5g d )l1 ) =M1 + ρ F h1S1

6

Inflatable bag

42 2π 
 2π t  + g (14)−
 A sin 
T
 T 



up[m/s]2where M 1 , S1 , b(1 + 0.5γ d ) , l1 , ρ S , SU , S P , lU
and α are the mass of the float, the surface area offresh water in the float, the thickness of the wall of
the float at draft d , the circumferential length of S1 ,the density of sea water, the water surface area of the
UTSURO, the cross sectional area of the connecting
pipe, the circumferential length of SU , and thepermeability coefficient of the UTSURO,
respectively. Eqs(12),(13) are mass balance of waterin UTSURO and floating body, and Eq(14) is avertical motion equation of the floating body where

0

-2

0

20

40

60

80

100

hours[h]Fig.5 Simulation results on the water level in
UTSURO and flow velocity in pipe(dotted for the
inflatable bag method and solid line for the floatingbarge method)
As shown in Fig.5 which is simulated based on
the Table 1 and 2, the amplitude of the water level inthe floating barge method follows the tidal level
while that in the inflatable bag method is only half.
It means the flow velocity in pipe in the floating
417

GEOMATE-Osaka, Nov. 16-18, 2015

barge method has also wider amplitude(+/- 1.0m/s)
than the inflatable bag method. The amplitude of thewater level maintains even though the barge masschanges. The mass of the barge in the simulation in
Fig5 was 4,000ton.

hU[m]

12

10

8

Permeability coefficient α is one of the major
parameter for this simulation because it makes thewater level difference between inside and outside of
the UTSURO. Fig 6 shows the characteristics of thesimulated value hU and. The α is depicted in a logplot from 10-6 to 10-3. In both cases of the inflatablebag method and floating barge method, theamplitude of hU becomes zero as α value is large.

6

up[m/s]4

10

0.5 amplitude of hU[m] and up[m/s]

80

100

parameter α , the hU values have about ±0.8m
differences from the simulations. The moreenhancement of water exchange through the
UTSURO, the more purification effects take place.
The two suggested ideas using the ocean tidal
energy are in effective for the purification around
UTSURO because it makes a circulation of water.
Through the simulation, it shows the floating body
type has bigger amplitude of the water surface which
enhances the circulation than the inflatable bag

0.5

-4

60

We focused on reducing the pollution of a
freshwater lake after closing the breakwater at theregion of a large tidal current after the completion of
the reclamation and suggested two new types ofpurification systems to cope with it.
One uses an inflatable bag on the seabed within
the UTSURO. The seawater is charged into animpermeable bag and discharged from the bag
through the connecting pipe by the reciprocal motion
due to the tidal difference.
Another simulation on the floating body caseshows there is an increased possibility of
purification effects because the motion of the water
surface in the UTSURO is 1.5-times larger than thatof the bag case. According to the permeability

1

10

40

CONCLUSION

1.5

-5

20

three cases.

hU of Inflatable bag
up of Inflatable baghU of floating barge
up of floating barge

100

Fig.7 UTSURO height hU in case of threedifferent barge mass 1,000ton, 4,000ton, and
8,000ton. The flow velocity u p is also shown for the

2

0 -6
10

0

hours[h]

3.5

2.5

2

-2

However, the value of hU at α = 10 −6 in case offloating barge is bigger than that of the inflatablebag. It is sustained until 10-4 of α . The flow
velocity in pipe with the different permeability
coefficient is also simulated. The higher velocity inpipe is shown in the case of the floating barge
because of higher potential energy than the inflatablebag. The velocity is about 50% greater than that of
the inflatable bag case. The Fig.6 also shows that thefloating barge is more practical than the inflatablebag. The permeability coefficient α should be from
10-5 to 10-4.

3

M1 1,000ton
M1 4,000ton
M1 8,000ton

-3

alpha

Fig.6 Permeability α vs. both hU and u p in caseof the inflatable bag and floating barge method
respectably
The difference of water level decides how muchwater exchange occurs. In case of the floating barge
method, this method can be applied as much as thedifference is high. In Fig.7, three different cases ofthe barge mass are shown when the permeability
coefficient α is the same value of 0.000001. Eachmean value of the hU approaches to the mean depthof 10m as the value of mass becomes large. Light
mass barge can contain much more water in it
resulting the high level of hU .

REFERENCES[1] Yokoyama, T. and Kyozuka, Y., 2003,“Experimental study on flow and tidal exchange
of a reservoir through dike gates in Isahaya
Bay”, Proceedings of the 13th International
Offshore and Polar Engineering Conference,
Hawaii, USA, pp. 331-337.
418

GEOMATE-Osaka, Nov. 16-18, 2015[2] Park, Y.C., Park, J.K., Han, M.W., Son, S.K.,
Kim,
M.K.
and
Huh,
S.H.,
1997,
“Biogeochemical study of dissolved organic andinorganic compounds under oxic/anoxic
environment in reservoir shihwa”, J. Kor. Soc.
Ocean., Vol. 2, No. 2, pp. 53-68[3] Stuyfzand, P.J., De Lange, W.J. and Zindler,
J.A., 2004, “Recognition, dating and genesis offresh and brackish groundwaters in the
Hollandsch Diep estuary in the compound
Rhine-Meuse delta”, the 18th Salt Water
Intrusion Meeting (SWIM), Cartagena, Spain,
pp. 665-678.
[4] Richmond River County Council, 2007, “Finalreport for Tuckombil Canal management
structure review of gate alternative”, GHD Pty
Ltd. No. 21-15892-128245, Sydney, Australia.
[5] K. Akai, S. Ueda, Y. Wada and R. Tuda, The
water quality purification system for theenclosed sea area, Marine Pollution Bulletin,
1990, vol 23, 683-685.
[6] G.N. Palmer, C.D. Christian. Design andconstruction of rubble mound breakwaters,
IPENZ Transactions, Vol.25, No.1, 1998, 19-33.
[7] R.-T. Jung and H. Isshiki, “Application of tidal
energy for purification in fresh water lake”, Int.
J. Nav. Archit. Ocean Eng. 2015 7:212-225

419

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

IMAGE-BASED AS-BUILT 3D MODELING FOR DEFORMATIONASSESSMENT OF HISTORICAL BUILDINGS
1

Bhakapong Bhadrakom1and Krisada Chaiyasarn1
Department of Civil Engineering, Thammasat University, Thailand
ABSTRACT

Assessing the state of historical buildings is non-trivial tasks as limited information is available and only
non-invasive assessment can be performed on these buildings. Image-based 3D reconstruction is a recent
technique, which can construct an as-built model of a historical building to be used for damage and deformationassessment. The technique is based on Structure from Motion, which can automatically create a 3D model from
uncalibrated images. In this paper, VisualSFM, automated image-based 3D modeling software, is applied toconstruct a 3D model of a historical building. The model is compared with a model obtained from a laser scan
(LIDAR). To perform a deformation assessment on the building, a series of horizontal plane is sliced through the
3D model, and then a centre of each 3D slice is joined to form a line representing an incline angle of thebuilding. This technique is performed against a laboratory dataset to determine its accuracy. It was found that fora small incline angle (less than 4o), the technique contains the inaccuracy of 2.75% with increasing inaccuracy as
inclined angles become larger. When applying the technique to a real temple dataset, it was found that the angle
of inclination is less than 3o, which is in an acceptable range for the proposed technique. Additionally, it was
found that the inclined angles obtained from VisualSFM and LIDAR are almost identical. It was recommended
that VisualSFM can be used instead of LIDAR when performing damage assessment in historical buildings.
Keywords: Structure From Motion, As-built Modeling, Damage Assessment, Laser Scan, Historical Buildings
INTRODUCTION

sub-models. The techniques require 3D registration
which is troublesome and induces inaccuracy.
The paper proposed methods to assess damage
in historical buildings by estimating how much thebuildings are tilted using fully automated softwarethat can create a 3D model from uncalibrated
images. The proposed method utilized the 3D modelfrom the software to estimate a tilt angle of ahistorical building. The methods were tested against
laboratory dataset to estimate inaccuracy that canoccur from the proposed method of obtaining tilt
angles. The 3D model obtained from the software isalso compared against the model obtained from alaser scan (LIDAR). It was found that the 3D models
from the software and a laser scan provide identicalresult when estimating tilt angles and they can beused interchangeably for the purpose of damage
assessment and inspection.

Historical buildings are sensitive to damages
due to ageing and nearby activities. To assess thedamage on historical buildings, only non-invasive
inspection method is possible, and visual inspection
is a preferred method. As-built 3D models are now
commonly used in archiving historical buildings, as
users can use the models to explore and study thebuildings more closely off-line. The as-built models
can also be used for inspection as demonstrated inthis paper.
As shown in Fig. 1, many temples from
Ayutthaya have been tilting possibly due to nearby
road activities or ground subsidence. The city was
founded by King Ramathibodi I in 1350, and in
1969, the Fine Arts department began withrenovations of the ruins, which became more serious
after it was declared a historical park in 1976. The
park was declared a UNESCO World heritage site in1991. The scale of conservation and preservation is
so large, and many temples have been neglected anddeteriorated for many years.
This paper provides further improvement to thestudy by Bhadakom et al. (2012), who haveconducted a study on some Ayutthaya temples tomeasure tilt angles using traditional photogrammetry
techniques. The techniques require control points to
be manually identified, and a full 3D model of entire
buildings can only be constructed from multiple 3D

Fig. 1420

The picture of the temple used in the study.

SEE-Mie, Japan, Nov. 19-21, 2015

The subsequent section, Literature Review,summarises previous work in applying 3D modelingin damage assessment. Then, the overview of themethod is outlined in Method Outline. In
Implementation and Experiment, the proposed
method is explained in detail and the results
obtained from a laboratory dataset are shown. The
result from a real dataset is explained in the section
Field Trial, and the paper ends with the discussion of
the proposed method and conclusion.

from a laser scan data, which is believe to be moreaccurate. However, it is demonstrated in this paperthat for some applications, 3D point cloud fromimages can provide equally good results.
METHOD OUTLINE
Figure 2 shows the outline of the methods
proposed in this paper. The first module is 3Dmodelling. This module is achieved by free opensource software called VisualSFM, which can create
a 3D point cloud model together with camera poses
from uncalibrated images. The second module is 3D
Registration. The 3D point clouds are registered
together so that they are in the same global
coordinate frame. The third module is Deformation
Assessment, which are achieved by estimating a tilt
angle of a 3D model. The detail of each step is
explained in Implementation and Experiment.
There are two datasets presented in this paper:(1) a laboratory dataset and (2) a field dataset. The
laboratory dataset is used to verify the accuracy ofthe proposed method, and the field dataset is anactual data obtained from a real site from Ayutthaya.
The laboratory dataset is a set of cylinder images
taken at 5 angle elevations. The field dataset
contains a set of images of the temple and a 3Dmodel of the temple obtained from a laser scan; thisis explained in Field Trial.

LITERATURE REVIEW
Non-invasive inspection is required whenassessing damage in vulnerable historical buildings
to prevent further damage that can occur from theinspection process themselves [8]. Close range
photogrammetry has been used to reconstruct 3Dmodels of historical sites for archiving and fordamage assessment purposes [9]. Traditional
photogrammetry data collection process requires
procedures to identify control points manually,
which can become impractical in real sites [4].
Recently, free automatic photogrammetry software
packages with computer vision algorithms have beenused to create 3D models of historical buildings [3].
The software relies on automatic control point
detection algorithms and Structure from Motion,
which allow 3D models to be created with ease as
images can be taken with arbitrary motions.
Many techniques have been applied inassessing damage in historical buildings using 3Dmodels. The followings are some recent examples.
Fregonese et. al. (2013) applied Terrestrial Laser
Scanner (TLS) to monitor out-of-plane displacementof an ancient building by registering two sets of laser
scan data to several geo-referenced control points. It
was concluded that TLS could be used for structuralmonitoring. El-Tokhey et. al. (2013) transformed
control points from a laser scan data to a total station
data using a series of transformation to finddiscrepancy between two sets of data anddisplacements. Tapete et. al. (2013) integrated
Ground-Based
Synthetic
Aperture
Radar
Interferometry (GBInSAR), which can detect
deformation of objects between two SAR images, to
TSL data. Armesto et. al. (2009) applied TLS to amasonry bridge and the bridge deformation was
estimated by an algorithm based on an archsymmetry. Armesto-Gonzalez et. al. (2010) analysed
damage in buildings by classification algorithms
onto 2D images that were constructed from laser
scanner as they can provide other material
properties. Bhakapong et. al. (2012) applied
photogrammetry technique to compare the crosssectional profile of temples in order to assess theamount of building inclination.
It can be seen that many recent studies have
utilised 3D point cloud to detect damage or changes
in historical sites. Most studies use 3D point cloud

3D#Modelling#

Fig. 2

3D#Registra1on#

Deforma1on#
Assessment#

The outline of the proposed method.

IMPLEMENTATION AND EXPERIMENT
Modelling
Five sets of images of a concrete cylinder arecollected for use in verifying the method in thisstudy. An example image is shown in Figure 3. The
cylinder has a diameter of 15 cm and the height of
30 cm, and is placed on a wooden base, in whichangles can be adjusted. Sixteen 2x2cm checkerboard
pattern are used as control points, which are placedon the cylinder surface. Three 10x10x10 cm
concrete cubes are placed on a wooden base; thesecubes are used as reference for registration,
explained in the next section.
The five image datasets are taken at different
angle elevations, i.e. at 0o, 2o, 4o, 10o and 14o
degrees, respectively. For each set of images, photos
are taken at different viewpoints to cover an entire
object using a Canon 550D with a Sigma lens andsettings set as Auto. There are no strict rules in how
to take images for VisualSFM, although the rule ofthumb is to ensure that an overlap between two
consecutive images is at least 50%.

421

SEE-Mie, Japan, Nov. 19-21, 2015

A 3D model for each set is created by
VisualSFM. This software provides a 3D model andcamera poses. The software is based on Structurefrom Motion (SfM), and interested readers can refer
to Snavely et. al. (2006) for more detail of the theory
and technology. Figure 4 shows actual 3D models
for each angle elevation. The models are 3D dense
point clouds, in which their texture is obtained fromimage pixels. Table 1 provides a summary of thedataset including the number of pictures taken andthe number of 3D points created by VisualSFM foreach angle of elevation.

registration, i.e. R0 is registered with A0, R1 with A1and R2 with A2, and the errors of these points areminimized. Figure 5(b) shows an example ofregistration
betweentwomodelsusing
CloudCompare. The model with the elevation angle
0o is used as a reference model, from which models
from other angles are registered and measured thetilt angles. The cylinder is tilted by adjusting a metalbase place and real elevations are recorded forcomparison explained in the next section.

(a)Fig. 5(b)(a) Examples of the model with different tilt
angles; (b) the models are registered.

Deformation Assessment
Fig. 3

An example picture of a cylinder

Fig. 4

3D models of the cylinder at 5 angles ofinclination

To find an angle of inclination, a 3D centre lineof an object is required. To achieve this for an object
that cannot be represented by primitives, such as
historical buildings as presented in this study, thefollowing methods are applied. Firstly, the model issliced horizontally at different heights using slicer inCloudCompare as shown in Figure 6. Figure 6(a)shows an example of a boundary of a slicer box in
CloudCompare and Figure 6(b) shows horizontal
planes that sliced through the cylindrical 3D model.
The thickness of each slice is approximately 1 cm sothat the sliced point cloud can be assumed as aplane. The planar slicers are re-used for all other 3Dmodels to ensure that a 3D model are cut by thesame planes. Then, the point cloud from each slice isinput into a least square solution for an eclipse. In
this study, the shape of a point cloud in a slice isassumed to be an eclipse since the centre can befound easily and the point cloud is not a perfectcircle. The algorithm to find the best fit for an
eclipse is as follows. An eclipse can be written as

Table 1 A summary table of the cylinder dataset
Elevation#images

VisualSFM #points

0

o

61

342,9752o81317,7374o79

308,51110o

73

350,205

14o

77

350,972(𝑥 − 𝑥! )! (𝑦 − 𝑦! )!
+
=1
𝑎!
𝑏!

Registration(1)

which can be re-arranged to be a form of linear
quadratic equations as

To measure tile angles between different
models, the models must be registered so that they
are in the same global coordinate frame. The 3Dmodels are registered in the software called
CloudCompare [11] using an iterative closest point(ICP) algorithm. To ensure that registration process
is accurate, three 10x10x10 cm concrete cubes areused as reference for registration. As shown in
Figure 5, coordinates on the cubes are used for

2𝑏 ! 𝑥𝑦 + 𝑐′𝑦 ! + 2𝑑 ! 𝑥 + 2𝑓 ! 𝑦 + 𝑔! = −𝑥 !

(2)

For the best fit problem, m data points provides mlinear equations, hence the equation (2) for mequations can be written in matrix form as
Xβ=y
422

(3)

SEE-Mie, Japan, Nov. 19-21, 2015

2𝑥! 𝑦!
where X=⋮
2𝑥! 𝑦!

𝑦!!
⋮
!
𝑦!

2𝑥!
⋮
2𝑥!

2𝑦!
⋮
2𝑦!

camera used and how the images are obtained
identical to the cylinder dataset. There are no strict
rules in taking pictures; the rule of thumb isconsecutive images must have an overlap of at least
50%.
In the temple dataset, pictures were taken at a
distance where an entire building was visible, andthen the subsequent image was taken at approximate
3-4 meters from the previous image and theprocedure was repeated to obtain images for an
entire building. As shown in Fig. 8, the output from
VisualSFM shows a sparse point cloud and thelocations of where each image was taken. It can also
give a dense 3D surface model, in which the point
cloud is denser and provides more realistic
visualization for a building as depicted in Figure9(a).
A 3D point cloud from laser scanner wascollected for a temple as shown in Fig. 9(b). The 3D
laser scanner used in this work is FARO Focus3D.
This system requires at least 3 physical control
points, where these points must be visible for thelaser scan, which can be troublesome to find suitablelocations for these control points. Once the locationsof control points were setup, the laser scan can thencollect the data. The data were collected from 8
locations for each temple in order to obtain point
clouds that cover entire buildings. Then the software
Faro Scene was applied to register the point clouds
from each location to form a single point cloud forthe entire temple.

𝑏′𝑐′1⋮ , β= 𝑑′
𝑓′
1
𝑔′

−𝑥!!
and y= ⋮ . For the least square problem, the!
−𝑥!
!

objective function or the residual, min   y-Xβ , isminimized. The solution to the equation 3 can befound as β=X∔ y, where X∔ is a peudo-inverse of thematrix X. Once the parameters in the vector β arefound, they can be converted to major and minor
axes, 𝑥! and 𝑦! to describe the properties of an
eclipse. The centre of an eclipse (𝑥! ,𝑦! ) for eachslicer is used to estimate a centre line of a cylinder.
The angle of elevation is obtained by estimating theslope of a best fit line (constrained at the base) thatpasses through (𝑥! ,𝑦! ) for all slices.

Fig. 6

Examples of horizontal slices used to cut a
3D modelResults
25

Figure 7 shows the results for all elevations. The
slope of each line is converted to angles. The
subscripts and the legend indicate the real angles of
elevation. The deviation from the real angle is thelargest at 11% when the angle is 14o. For angle of 4o,
the difference is smallest, less than 0.11o orapproximately 3%. Therefore, when an angle ofelevation is around 3o- 4o, the proposed method canprovide reasonable results.

Z (cm)!0°= 0.14° !2° = 1.81 °20!4° = 4.11°!10° = 10.52°

15

0o# (0 dg)
Linear2o# (2 dg)
Linear!14° = 15.58°

4o# (4 dg)
Linear10o# (10 dg)
Linear14o# (14 dg)
Linear

10
5

FIELD TRIAL
In this section, similar methods are applied on adataset obtained from a real site, which is a temple
from Ayutthaya historical park.

R(cm)

0
-1

Fig. 7
Modeling
In this section, two sets of data were collected,
an image dataset for VisualSFM and data from alaser scan. The point clouds from these models areused for comparison as explained in later subsection.
The image dataset is used with VisualSFM and the
4

0

1

2

3

4

5

6

An example picture of a cylinder

SEE-Mie, Japan, Nov. 19-21, 2015

Deformation Assessment

Fig. 8As shown from Fig. 10(a), the centre line of thetemple starts from the centre of the temple base,which was found by an intersection of the diagonalof the base. In this study, it was assumed that thewhole temple does not tilt together as a single rigid
object. The temple is split into an upper part withthe height between 11 to 22 meters and a lower partwith the height from 0 to 11 meters. This is based on
the assumption that the top of temple can move morethan the lower part and also the point cloud is more
complete at the lower part than the upper part. As
shown in Fig. 10(b), the temple will have two tilt
angles, 𝜃!"# for the upper section and 𝜃!"##"$ for
the lower section. Simlar to the cylinder dataset, thetilt angle is found by a slope of a best fit line to data.
Figure 11 shows the results of tilt angles of thetemple. The orange line is the LIDAR data and theblue line is the VisualSFM data. Figure 11(a) is the
cross section using x-z plane and Fig. 11(b) is the
cross section on y-z plane. On Fig. 11, it can be seenthat the tilt angles on the x-z plane are different on
upper and lower part for both datasets, whereas theangles are almost identical for the y-z plane. The tilt
angles are almost identical for both datasets, whichsuggests that the accuracy of the model from
VisualSFM is similar to the model from LIDAR.
The angle of inclination is between 1o – 3o, and thelaboratory results suggest these angles of inclination
are within the range of accuracy tolerance that the
proposed method can provide sufficiently accurate
results.

A 3D model of the temple created from
VisualSFM with camera positions.
Fig 8

(a)

Fig. 9(b)(c)

Fig. 9(a) 3D model from VisualSFM (b) 3D
model from LIDAR (c) the results oftroublesome to find suitablelocations for these control
points. Once the locations
registration
betweenthe of control
model frompoints were setup, the laser scan can then collect the data. The data were collected from 8
LIDAR.
locations for each templeVisualSFM
in order to obtain point andclouds thatcover entire buildings. Then the
A 3D point cloud from laser scanner was collected for a temple as shown in Fig xxxb). The

3D laser scanner used in this work is FARO Focus3D. This system requires at least 3 physicalcontrol points, where these points must be visible for the laser scan, which can be

RegistrationZ(m)%In this section, the comparison is made between
models from VisualSFM and LIDAR. The 3Dmodels from VisualSFM and LIDAR are registeredin CloudCompare using an iterative closest point(ICP) algorithm, which is applied iteratively until
RMS errors between the models are constant taken
as the final RMS error. Initial alignment between
two models must be specified as a reference in orderto register the models accurately. In this study, thebase of the temple was used as the initial alignment.
Fig. 9(c) and Tab. 2 shows the results fromregistration of the two 3D models.

.

Table 2 A summary table of the registration result
between the VisualSFM and LIDAR
models.
Data
RMS
LIDAR #points
VisualSFM#points#points Ratio

θtop%

11%

(a)

(#1.36,(10.55,(0.3)(

θbo'om%

Y(m)%

(b)

Fig. 10 (a) Show the location of the centre of thetemple; (b) show angles of inclination of
the top and bottom parts of the temple.

Small Stupa
0.0902
1,000,000
1,122,143
0.89115

SEE-Mie, Japan, Nov. 19-21, 201525

REFERENCES

Z(m)

Z(m)
𝜃𝑆𝐹𝑀𝑡𝑜𝑝 = −88.18°

ysfm = -31.449x + 6.5185

20

20

𝜃𝑆𝐹𝑀𝑡𝑜𝑝 = 87.32°
ylidar = -30.771x + 6.6491
𝜃𝐿𝐼𝐷𝐴𝑅𝑡𝑜𝑝 = −88.13°

15

SFM"
""
LIDAR"[1] B.Bhadrakom, N. Poovarodom, U. Weesakul, Y.
Fujii, K. Watanabe and S Kawano. Applicationof Photogrammetry for Conservation ofHistorical Remains. NCCE 18, 2012
[2] D. Tapete, N. Casagli, G.. Luzi, R. Fanti,, G..
Gigli,, and D. Leva, (2013). Integrating radarand laser-based remote sensing techniques formonitoring
structuraldeformationofarchaeologicalmonuments.
JournalofArchaeological Science, 40(1), 176-189.
[3] F. Remondino, S.D. Pizzo, Th. P. Kersten,
Salvatore Troisi. "Low- Cost and Open-Source
Solutions for Automated Image Orientation – A
Critical Overview". Progress in Cultural
Heritage
Preservation
4th
International
Conference, EuroMed 2012 Limassol, Cyprus[4] H.M. Yilmaz, M. Yakar, S.A. Gulec, O.N.
Dulgerler. Importance of digital close-range
photogrammetry in documentation of cultural
heritage. Journal of Cultural Heritage, pp.428433, 2008.
[5] J. Armesto, J. Roca-Pardiñas, H. Lorenzo, P.
Arias. (2010). Modelling masonry arches shapeusing terrestrial laser scanning data andnonparametric methods. Engineering Structures,
32(2), 607-615.
[6] J. Armesto-González, B. Riveiro-Rodríguez, D.
González-Aguilera, and M.T.Rivas-Brea. (2010).
Terrestrial laser scanning intensity data applied
to damage detection for historical buildings.
Journal of Archaeological Science, 37(12),3037-3047.
[7] L. Fregonese, G. Barbieri, L. Biolzi, M.
Bocciarelli, A. Frigeri, and L. Taffurelli. (2013).
Surveying and monitoring for vulnerability
assessment of an ancient building. Sensors,
13(8), 9747-9773.
[8] M.E. El-Tokhey, Abdel-Gawad, A. K.,
Mogahed, Y. M., & El-Maghraby, A. M. (2013).
Accuracy Assessment of Laser Scanner in
Measuring and Monitoring Deformations ofStructures. World Applied Sciences Journal,
26(2), 144-151.
[9] N. Snavely, S. Seitz, and R. Szeliski. Photo
tourism: exploring photo collections in 3d.
ACM Transactions on Graphics, 2006, 25(3),835–846.
[10] Y.Alshawabkeh and M. El-Khalili, Detection
and Quantification of Material Displacements at
Historical Structures Using Photogrammetry
and Laser Scanning Techniques, Mediterranean
Archaeology and Archaeometry, Vol. 13, No 2,
pp. 57-67, 2013[11] CloudCompare, http://www.danielgm.net/cc/,
accessed 07/2015
ysfm = 21.384x + 0.2103

15

ysfm = -77.193x

𝜃𝐿𝐼𝐷𝐴𝑅𝑡𝑜𝑝 = 87.39°

ylidar = 21.903x - 0.2845

ylidar = -77.795x

11

11

10

10

ysfm = 21.801x

𝜃𝐿𝐼𝐷𝐴𝑅𝑏𝑜𝑡𝑡𝑜𝑚 = 87.31°
𝜃𝑆𝐹𝑀𝑏𝑜𝑡𝑡𝑜𝑚 = −89.26°

5

ylidar = 21.351x

X(m)

0
0

-0.2

-0.4

-0.6

𝜃𝑆𝐹𝑀𝑏𝑜𝑡𝑡𝑜𝑚 = 87.37°

5𝜃𝐿𝐼𝐷𝐴𝑅𝑏𝑜𝑡𝑡𝑜𝑚 = −89.26°

-0.8

Y(m)

0

0

0.5

1

(a)
(b)
Fig. 11 Shows the results of inclined angles on the(a) x-z planeand (b) y-z plane,
respectively.
DISCUSSION AND CONCLUSION
It can be seen that the angles of inclination
obtained from both LIDAR and VisualSFM arealmost identical; this suggests that VisualSFM canbe used instead of LIDAR. However, inaccuracy isobserved by the proposed method. It can be seen
that, from the cylinder dataset, the centres of slices
lie well on the best fit line, unlike in the temple
dataset. A 3D point cloud model is not water tight,
hence holes can be observed in many locations.
Therefore, some slices may not contain sufficient
data points, and the estimation of the centres can be
skewed. This problem will be seen in both themodels from VisualSFM and LIDAR. Inaccuracy
can also arise due to registration between 3Dmodels, this problem is not trivial and further work
is required.
Conclusion
To perform damage assessment on historicalbuildings, non-invasive inspection method ispreferred. This paper presents a method to assess
damage on historical buildings by measuring angles
of inclination from 3D models. The proposed
method provides sufficient accuracy in estimating atile angle for a small angle as observed in thecylinder dataset. The angles of inclination are
identical for both models from VisualSFM and
LIDAR, which can be suggested that the model from
VisualSFM can be used instead of LIDAR as itprovides the same accuracy for this task, and thetechnology is easier and cheaper to use. The
proposed method still poses some inaccuracy inestimating the centre lines due to inaccuracy in apoint cloud model. This can be improved by making
the point cloud model denser or by converting thepoint cloud to a watertight surface model. This isplanned for further study.

6

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

PRICING ANALYSIS OF ELECTRICAL SYSTEM AND BRAZILIAN
ENERGY MATRIX DIVERSIFICATION
Vitor Hugo Eiti Moritsugu,

Miguel Morales Udaeta, André Luiz Veiga Gimenes,
Kanayama

Paulo Helio

Energy Group of Electric Energy and Automation Engineering Department / Polytechnic School /University of São Paulo (GEPEA/EPUSP).
São Paulo, Brazil.

ABSTRACTThe objective of this work is to analyze the economics aspects of the poewr sector in Brazil. First one
historical analysis is made considering the sector evolution in Brazil, beginning with a free market approach, toan interventionist state until a more regulated environment. During this process, we can verify the disparity
between the growing demand and the lack of investment resulting in energy shortages.
The energy sector restructuring created entities such as; EPE (Company for Energy Research), ONS(National System Operator), CCEE (Electrical Energy Commercializing Chamber). Each entity has a role that isdetailed in the work. The sector reform resulted in division; Generation, Transmission and distribution. In thisdivision there are two markets the free market and the captive market. In the free market, there arecommercializing entities that buy and sell energy (without producing) to independent consumers.
For the captive market, the relation between the generation sector and the distribution is explained. Based inthis relation, the customer rate composition is detailed. The government program for energy matrix
diversification is presented (named “Proinfa”). This program focus in the wind, biomass and small hydro plants.
This program guarantee that the generated energy will be contracted using funds from regular energy fare.

Keywords: Power Sector, Energy Pricing, Energy Planning, IRP

but supplying a lower demand.
Initially there was almost no regulation andinterference by the government. The companies inthis market were free to apply the rate without any
government intervention. The first attempt of
regulation was the "gold clause" which linked thetariff increase to 50% in the gold price.
The Law 1145 and the Decree No 5704 of
Rodrigues Alves government (1903-1904) imposed
new conditions. This law defines that hydraulicenergy from rivers is responsibility of the federal
government.
The action was not effective considering that theagreements between the companies and the states /municipalities were not affected.
In the 20s the Amforp company emerged bypurchasing a number of smaller companies in the
sector. The companies from the sector were active in
the generation, transmission and distribution ofenergy. This period was characterized by purchasesof domestic companies by foreign capital and theincrease in the number of companies in the sector.
The public institutions were weak, the regulation
was based in contracts for services in the area of
power generation. This expansion took place in an

INTRODUCTION
The available infrastructure for a country is
extremely important to determine country
development. The energy is one of the basis of acountry infrastructure. In the present work, we will
study the power sector with economic focus related
to energy pricing. Considering that the energy sector
is a sector that demands great resources for its
development an analysis from an economic point ofview is extremely relevant.
Based in a historical analysis of the sector wecan verify the gap between energy planning andinvestment attraction. These two factors among
others have been responsible for rationing energy invarious periods of the history of Brazil.
HISTORICAL ANALYSISThe first experience in the electricity sector in
Brazil was in 1879 for lightning of the central stationof the railway. The pioneer was Light (Brazilian
Traction Light and Power Company), dominating
the consumer market in the electricity sector.
Smaller companies were active in the same market
426

SEE-Mie, Japan, Nov. 19-21, 2015

uncoordinated way without interconnections, thiscreated isolated energy islands.
With policy and institutional changes in the
country and the change in economic thought
propagated by John Maynard Keynes, a new
economic scenario was created with liberalism. This
scenario indicated a greater state intervention in theeconomy, different from free trade thought.
In 1934 with the code of Waters the
responsibility of the hydroelectric potential use
became dependent authorization or concession by
the Union. The rates considered operating costs andinvestments history. Given that rates did not take
into account inflation, the sector was severely
affected.

Fig. 1 Financial sources electric sector investments
Error! Reference source not found..
In the 70s there was an increase in international
interest rates, reducing forms of financing. Thus theinvestments reduced and debt costs increase.
The financing strategy was based primarily on
Eletrobras that from 1974 to 1983 had to increased
the investment in the sector from 32.6% to 60.7%. In
1977 a single energy tariff was implemented in thewhole country in order to reduce regional disparities.
This initiative presented a major challenge given the
disparity of the states systems. There were stateswith higher costs (north and northeast) and stateswith lower cost (South and Southeast). Thus thestates with lower cost were forced to transfer theexcess revenues to a fund (Warranty General
Reserve - RGG) controlled by Eletrobrás.
During the 90’s the companies passed by aprocess of privatization, this process pretend toincrease government income and improve the sector
efficiency.

Period1883-1900

1900 -10

1910 -20

1920 -30

1930-40

1940 -45

Table 1 Average annual growth of electrical energy
installed capacity. Error! Reference
source not found.

% a.a

35.7

30.7

8.8

7.8

4.8

1.5

Since the companies did not reinvested in system
expansion blackouts occurred. With this scenario theHydro-Electric Company of San Francisco wascreated in 1945 to build and operate the PauloAfonso Power Plant that was inaugurated in 1955.
Each state in Brazil created their own electriccompanies in order to meet the growing demand.
In the 60s the Ministry of Mines and Energy andEletrobrás were created. To support Eletrobras theFederal Electrification Fund and the Electricity tax
were created.
Eletrobrás would be the administrator of theFederal Electrification Fund as a financial agent andcould act directly in power generation projects. In
the 70s and 80s the basic structure of Eletrobrás was
consolidated based in the companies statescompanies such as, Eletronorte, Eletrosul, Furnas
and Chesf.
During this period the investment was provided
by a system which had three sources: taxes, income
and bank loans from developments.

RE-SEB PROJECT - BRAZILIAN POWER
SECTOR RESTRUCTURING
In 1998 it was created a New Industry Model.
The complete vertical companies composed the oldmodel. In this new model activities were segregatedin generation, transmission, distribution andcommercialization. In addition to this segregation
there was restriction in co-participation of the same
agent in two activities. A third agent was created, thecommercial, this agent could buy and sell energy
without having a plant, acting as a representative ofothers.
Without the monopoly, private companies could
invest in projects and compete in the energy
generation and commercialization.
For the operation of this model transmission
companies should allow free access to their
networks to consumers and generators. They receivethe "toll" for the use of the network.
The generation agents use the networks to supply
energy to consumers. One example of generation
agents are companies that are allowed by thegovernment to explore the hydro resources to427

SEE-Mie, Japan, Nov. 19-21, 2015

generate electricity. The agents can be divided into
generators, independent producers and auto
producers. The activity of these agents is open tocompetition and they have free access to thetransmission system.
On the other side of the network are the
distribution companies. They are responsible for the
distribution system in its concession area. They use
the basic network transmission to receive powerfrom the generators.
Another agent is the independent consumer, thisagent operate in the free market and have therequirement that the contracted demand is greaterthan 0.5MW. For demands between 0.5MW and 0.3
MW hiring must be made from encouraged energy
sources. The captive customers (regular residential
and small consumers) the tariffs are regulated, in
contrast to the free market that rates are freely
negotiated.
The commercial agent was introduced. They areagents that act on the purchase and sale of energy
neither produce nor distribute energy. The classes inthis category are traders and Importers / Exporters.
ANEEL is responsible for the regulation andsupervision of the electricity sector activities.
ANEEL is responsible for; the concessions,authorizations and permissions of new plants, thetariff affordability and competition stimulus.
CCEE is the environment where the purchaseand sale of electricity in the National System is done
an registered. Also CCEE accounts the "spot"
market rate.
In this new model the National System Operator(ONS) is responsible for scheduling, dispatching andoperating generation in the National Integrated
System (SIN) and the management of the core
network.
To minimize impacts made by the ONS,
economic mechanisms of power allocation werecreated. The mechanism is called energy reallocation
mechanism (MRE).
The
Expansion
Planning
Coordinating
Committee (CCPE) was responsible for the
expansion of the Brazilian electricity sector but
currently this activity is carried out by the Energy
Research Company (EPE).

The government failed to attract private sector
investment in the sector and did not have resources
to carry out the necessary works.
Due to the lack of resources the expansion has
not occurred, resulting in system overload. An
attempt to avoid rationing was the Thermoelectric
Priority Program - PPT in 2000, this program
included the construction of 49 power plants. But thelack transparency in the natural gas price, lack ofnatural gas transport infrastructure, delays inenvironmental permits imposed challenges to theprogram. Only 10 plants were put into operation of
49 planned.
An unfavorable hydrological period, together
with the factors already mentioned complemented
the energy crisis.
ELECTRICITY MARKET ENVIRONMENT
The market is divided in two environments. The
regulated and the free environment.
Generation agents can act in the two. The hiringin the regulated environment is conducted throughauctions and in the free market where trading is free.
The demand from the distribution agent is only
negotiated in the regulated. The free environment
presents the demand from the independent consumer
and the commercial agents. The free environment
corresponds to 20% of the sector.
GENERATORS AGENTS AUCTIONS
The generators participate in auctions. In theauctions the demand is the object of hiring, there thegenerators dispute possibility of attending the future
demand.
Existent energy auction (A-1)
This auction is characterized by using energy
from plants already built. In this case the cost of
tariff is transferred to consumers in integral
respecting the 1% limit of the hiring volume, abovethat the transfer is 70% of the price. In this casethere is a hiring limitation, each distributor can hire
105% of the contracts that are due in the year of theauction.

POWER RATIONING
New energy auction (A-5)
A number of factors contributed to the electricity
rationing, but the fact that the generating andtransmission companies were controlled by thefederal government ended up damaging the sector.
The companies were used as instruments ofgovernment policy. The use of these companies
prioritized politics over the operation, this kind ofadministration resulted in lower resources forelectric system expansion. Thus when the demandcame close to supply the power rationing started.

These auctions consists in the hiring of energythat will be available in 5 years.
New energy auction (A-3)
The A-3 auctions have the planned supply inthree years from the date of the auction. These
auctions are regular and are predominantly
thermoelectric companies. The cost related to the428

SEE-Mie, Japan, Nov. 19-21, 2015

acquisition is transferred to the tariff according to; inthe first three years of the contract the transfer islimited to the Reference Value after three years thetransfer is integral.

universal service, subsidize the low-income grouptariff.
Charges for System Services represents the cost
incurred to maintain the system reliability andstability. This charge consists of the payment of thegenerators that receive dispatch of ONS order tomeet transmission constraints.
Research and Development - R & D, requiresthat distributors must apply 0.5% of operating
revenue in research and development and 0.5% inenergy efficiency programs.
The portion B consists of; Return on capital cost,
operation and maintenance costs and Reintegration
Regulatory Quotas.
The capital remuneration rate is calculated using
the Weighted Average Cost of Capital. In thiscontext the technical notes ANEEL such as theTechnical Note No 184/2007-SER / ANEEL, aim to
reward investors with capital compatible withcomparable risk applications.
The regulatory reintegration quota consists ofdepreciation and amortization investment values, tocompensate the long life assets depreciation.
The calculation of operating and maintenancecosts analyze the results consistency obtained by thecompany compared with a "reference company".
Rates are adjusted annually by the tariffadjustment index, this index is composed of two
portions: economic portion and the financial portion.
To transfer the purchase costs the reference value
has been created, this reference value is formed by
the weighted average acquisition costs of "newenergy".

Adjust auction (A-3)
Adjusts auctions are used to meet short-term
market fluctuations with the output or special
consumer input. The tariff transfer in this case islimited by the reference value.
END CUSTOMERS TARIFF/PRICINGThe distribution sector is a monopoly and it ishighly regulated. The monopoly occurs because thecompetition would not be beneficial for consumers
due to high infrastructure cost.
The Distributors revenue is divided between part
A and part B.
The part A is composed by the costs that are not
manageable by the concessionaire, examples ofthese costs are, the acquired electricity, transmission
charges and industry charges.
The portion B has costs under distributor's
responsibility such as operating costs, maintenanceand return on capital.
The cost increases in part A are fully repassed. Inpart B the adjustment is performed by the national
price index.
The portion A is composed of: Global
Reversion Reserve Quota - RGR, Fuel Consumption
Account, Electric Energy Services Inspection Fee,purchase of electricity charges for access and the useof the transmission and distribution systems.
The Fuel Consumption Account - CCC, is a rateof based on thermoelectric generation costs, they are
required for regions outside of the interconnected
system. This cost involves energy prices, the importof energy and cost of transmission. The refund willbe the difference between the cost of energy inisolated regions and the average cost of power andenergy traded in the regulated market.
The Global Reversion Reserve is intended toprovide funds for expansion and improvement ofpublic services, alternative sources financing andsubsidizing low-income class. It is 2.5% ofinvestments limited to 3% of annual revenue.
The Electric Energy Services Inspection Fee is0.4% of the benefit earned by the energy
concessionaire. Before the law n12.783 / 2013 thisshare was 0.5%.
The dealers also pay a value for the cost of the
ONS, the cost of basic network facilities, the cost ofConnections facilities and the cost of transport ofelectricity from Itaipu Binacional.
The Energy Development Quota aims to provide
resources, competitiveness of wind power, smallhydro, biomass, natural gas and coal, provide the

PROINFA
Proinfa is the Incentive Program for Alternative
Sources of Energy, this program was created in 2004
to diversify the Brazilian energy matrix throughincreased generation from wind farms, biomass, andsmall hydroelectric plants.
This incentive focuses on the figure of anautonomous independent producer. The producer ischaracterized by not being controlled or related to a
generation
concessionaire,transmission
or
distribution of electricity. These restrictions differ
from the independent producer, in this case theindependent producer can be hired if the contract
value does not exceed 25% of the annual program.
The first stage of the program aimed to
implement 3.300MW equally distributed between
biomass, wind and PCH. According to Law 10.438
power purchasing is performed according to thetechnology employed, the lowest level is 80% of thenational average price. It was later determined thatthe value should enable a standard medium project.
The calculation of each economic value will bemade by the following criteria.
i) for a period of thirty years considering429

SEE-Mie, Japan, Nov. 19-21, 2015

hydroelectric plants and twenty years in the case ofother technologies;ii) capital return rate compatible with risks fromcontractual warranty and price;iii)
efficiency
levelscompatible
withtechnological development stage and the nationalenergy potential;iv) average unit costs for determining the amountto be invested in the project;v) estimated residual value;vi) forecast of operating expenses, including
losses, average costs of connection and use ofelectrical systems and taxes;vii) any special conditions of financing;viii) appropriate relationship between equity anddebt capital;ix) specific discounts provided by law for the useof transmission and distribution network;x) average levels of sector defaults.
Eletrobras define the amounts paid by electricity
and they are defined by the economic value of eachsource.

as weighted average cost of hydro generation andcentral thermoelectric natural gas. The contract will
have a term of 15 years considering an increase of
15% in energy supply.
CONCLUSION
Brazil went through several periods withdifferent tariff characteristics and government
directives.
Initially the foreign-funded companies operated
in a deregulated environment. The tariffs were
defined by these companies and the government
could not direct and integrate investments in the
sector. This created energy isles in the country.
By the entry of state companies in market the
government could influence and direct investments
in order to coordinate the sector to an integrated
operation. Eletrobras managed the funds for thesector implementing government policies.
The government imposed a universal tariff thatwas independent of the region. Thus southern andsoutheastern companies that had lower costs wererequired to pass part of their profits to a government
reserve. This has made companies inefficient withgrowing costs.
With greater government control even during
macroeconomic crises the tariff was maintained low
to reduce the inflation, in addition the financial costs
have increased, therefore the electricity sector has
not expanded to meet rising demand. We can seethat historically the government interfere in theelectricity tariff. Interventionist policies in the past
have generated negative effects on the sector,
resulting in the reduction of investments andcreation of large structures difficult to manage.
With the reformulation of the electricity sector
RESEB occurred the sector segmentation in order toallow the participation of more agents. By
segregating the activities in generation, transmission
and distribution, more agents participated in the
sector, reducing the state's responsibility as well as
the necessary financial support. By assuring theopen access to the transmission infrastructure, thegeneration companies can compete in the free or
regulated market.
The tariff system was divided into various
formats. For independent consumers buying energy
was negotiated in the electricity trading chamber.
This body is responsible for registering theagreements between independent generators andindependent consumers.
For captive consumers the energy acquisition isby auctions. The demand from distributors is theauction object. The auctions favor the generation ofcompanies that have a lower cost which have theenergy supply hired.
The tariff for captive consumers was divided into
two components. Component A and Component B.

Table 1 Electricity Consumption and generation by
natural gas.

SourceBiomassWind
Small
Hydroplants

Type
BiogasRice
SectorLumber
Sector
EtanolSectorGrossFactorCapacity
≤ 34%
34 <
Gross
FactorCapacity
< 44%
44 ≥
Gross
FactorCapacity-

Amazon andNorthest
Area BRL
/MWh

Other
areas
BRL
/MWh

166.31

170.12108.17126.67116.05121.85

119.6189.59

221.81

213.68

between181.46 and221.81

between181.46
and221.81

181.46

191.7

114.74125.09The second phase of the program aims toincreased generation from these sources until theymeet 10% of the annual electricity consumption of
the country. The compensation will follow thecompetitive power generation value (VEC) defined430

SEE-Mie, Japan, Nov. 19-21, 2015

Component A is relative to costs that are not of
the distributor responsibility as example taxes,
transmission costs and cost of generated power.
The B component relates to the costs that thecompany has control. To accomplish this analysis isused a company model. The company efficiency isevaluated by comparison with the company “model”.
One way that the government found to direct
investments is through programs that use the funds
raised by taxes. An example of this action is theinitiative of called Proinfa. This initiative aims todiversify the Brazilian energy matrix, in order tostimulate the development of wind power, natural
gas and small hydro plants. The stimulus is based oncontracts of hiring future generation. These hires are
made through funds collected in rates such as energy
development quota.

[1] GOMES, A. C. S.; ABARCA, C. D. G.; FARIA,
E. A. S. T.; FERNANDES, H. H. de O. BNDES
50 anos – Histórias Setoriais: Setor elétrico. Riode Janeiro: BNDES, 2002. 21p. (PublicaçõesBNDES).
Disponívelem<http://www.bndes.gov.br/conhecimento/livro_
setorial/setorial14.pdf> Access in: 18 dez. 2007.
[2] OLIVEIRA R.G. The political economy of theBrazilian power industry reform. Stanford:
Programon
EnergyandSustainable
Development, 2004, 58p. (Working Paper n. 2)

CITATION AND REFERENCE LIST

431

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

EFFECT OF DRYING METHODS ON DIETARY FIBER CONTENT IN
DRIED FRUIT AND VEGETABLE FROM NON-TOXICAGRICULTURAL FIELD
Lalita Siriwattananon1 and Jiradech Maneerate2
Faculty of Agricultural technology, Rajamangala University of Technology Thanyaburi, Thailand

1,2

ABSTRACT
Fruits and vegetables are rich in vitamins, minerals and dietary fiber. However, they are getting spoil easily
and their shelf-life is very short after harvest. Especially, fruits and vegetables from organic or non-toxic
agricultural field have not contained any preservation reagent. Converted into dried powder form is easy topreserve and use as ingredients. Drying methods may affect to the quality of dried fruits or vegetables. Drying
with higher temperature resulted in losing of nutrients but little studies have showed the change in dietary fiber.
So, the objective of this study was to compare the effect of drying methods on dietary fiber contents in pumpkin,yardlong bean, tomato, red cabbage and guava. Natural sun drying, hot air oven drying and freeze drying wereused to dry those fruit and vegetables. Then, dried fruit and vegetables were grained into a powder and analyze
the dietary fiber contents. The results shown that dietary fiber contents in dried pumpkin, yardlong bean, redcabbage and guava were the same tendency, which having higher amounts of dietary fiber from natural sun dry,
hot air oven dry and freeze dry, respectively. While, in tomato showed higher content in hot air oven, freeze dry
and natural sun dry, respectively. According to the results, it was concluded that the condition of natural sun
drying may works efficiently to get higher dietary fiber content in fruit or vegetables.
Keywords: Fruits, Vegetables, Powders, Drying, Dietary fiber

vegetable [6], in addition to improve products’
qualities. In tropical countries dehydration of fruits
and vegetables by sun drying method is a popular
practice due to its low cost. However, the quality of
those products such as color, texture or dying period
may resulted in different quality in different dying
methods [7].
Recently, people are concerned more to theirconsumption quality and food nutrition. Especially,
dietary fiber consists of non-digestible carbohydrates
and lignin, which is intrinsic and intact in plants thathave beneficial physiological effects in humans [8].
Additionally, dietary fiber intake has been linked tothe prevention and management of many diseases[9].
It’s challenging to preserver fruits and vegetables
using dehydration techniques, while remaining its
nutrition value. Recently in Thailand, the common
used methods by farmers or communities for drying
agricultural products are sun drying because of its
low cost and there is a sunshine throughout the year.
The day time temperature may rise up to 45-55oC or
to 60oC in the closed container. A part from sun
drying, the hot air oven drying also wildly used in asmall enterprises or factory as its advantage in aquality control. Moreover, a freeze drying is became
popularly use to product a health products as it isremains higher nutrients comparing to other drying
methods. So, to evaluate the effectiveness of drying
methods on nutritional value in fruit and vegetables,

INTRODUCTION
Fruits and vegetables are highly seasonal, rich invitamins, minerals, dietary fiber, and available invarious certain times of the year. In the high season,
high productivity makes the selling price decreases
and remains a lot of products. Due to an oversupply
in the market may result in the spoilage of large
quantities. Especially, fruits and vegetables fromorganic or non-toxic agricultural field are easily to
be spoiled as it has not contained any preservation
reagent. In an areas having high productivity ofnon-toxic fruits and vegetables, it is necessary toconsider how to make values of an oversupply
products.
Various processing techniques were applied to
produce new products or preserve it for a long use,
while one of the most used technique for preserving
fruits and vegetables is to dehydrate and keep it as adried products or powder, which are the key
ingredients in dairy product, cereals, dietetic foods
formulated, etc. Dehydration is a preservation
technique, in which the moisture content is reduced
to a level at which the product is physically or
chemically stable [1]. The major function of
converting fruits and vegetables into powder form is
to maintain the stability and the functionality of theingredients until they are utilized [2].Various drying
methods have been studied and applied by many
researchers [3]-[5] to produce dried fruit and432

SEE-Mie, Japan, Nov. 19-21, 2015

three methods of sun drying, hot air oven drying,and freeze drying were employed to make dried offruit and vegetable, and objective to compare the
dietary fiber contents in those fruit and vegetable.
The results from this study are expected to bebenefited to farmers, commercials or anyone who
may use to produce a dried fruit or vegetable.

RESULTS AND DISCUSSION

MATERIALS AND METHODS

1. Moisture content and nutrients in dried fruitand vegetables

Statistical Analysis
The experiments were done for 3 repetitions, andthe results were analyzed using SPSS program at thesignificant different at 95% confident level.

Materials
Fruit and vegetables used in this study wereplanted and harvested as a non-toxic fruit andvegetable from the fields in Nongsue district,Pathum Thani province, Thailand. A fruit of guava(Psidium guajava Linn.) and four vegetables of
pumpkin (Cucurbita moschata Decne.), yardlong
bean (Vigna unguiculata sub sp. Sesquipedalis),
tomato (Lycopersicon esculentum Mill.) and red
cabbage (Brassica oleraceae var. rubra) wereselected for this study as it widely growth in thisarea.

A fruit of guava and four vegetables of pumpkin,yardlong bean, tomato and red cabbage were cut anddried under different drying methods of sun drying,
hot air oven drying, and freeze drying. As shown in
Table 1, the moisture contents of fruit andvegetables after the 36 hours of sun dried, the 24hours of oven dried, and the 15 hours of freeze dried.
The results showed that the three methods of drying
were effectively decreased the moisture content infruit and vegetables, however drying times andmoisture contents were different.

Methods
All fruit and vegetables were cleaned an outsideskin using a dry towel and then sliced into a small
piece, having a size of 5 x 10 x 5 mm3. Sliced guava,
pumpkin, yardlong bean, tomato and red cabbage
were divided into four groups.
The first group was used for analyze as a fresh
product.
The second group was put on the tray and dry
under the natural sun dry until the moisture content
is significant stable.
The third group was dried using hot air oven at
70oC until the moisture content is significant stable.
The fourth group was dried using freeze drying
method. The materials of fourth group were put intoa freezer (temperature -45oC) for 24 hours, and thenmoved to vacuum chamber for removing ice crystals
as sublimation. Dried materials from the threemethods were also used to analyze its physical,
chemical, and nutritional properties as well as a
fresh material.

Table 1 Moisture content of fruit and vegetables
Fruit/
Vegetable
Guava
Pumpkin
Yardlong Bean
TomatoRed Cabbage

Moisture Content (%)
Fresh

Sun
dried

Oven
dried

Freezedried

87.92a84.57a88.74a

9.60b
8.62b
7.41b

6.27c
6.72 c
5.58d

4.73d
6.72c
6.82c

90.61a14.15b

8.85c

8.55d

92.09a
9.80c
9.93b
9.54d
Note: a-d shown significant different (p ≤ 0.05) in roll

According to the experimental results, freeze
drying method was significantly (p ≤ 0.05) decreased
the moisture contents in most of fruit and vegetables,
compared to those of sun drying or oven drying
method. This effectiveness may cause due to theprocess of freeze dying method, which the moleculeof water in fruit or vegetable will be freeze and thenremoved.
Additionally, the amount of ash, protein, anddietary fiber in fresh fruit and vegetables wereshown in Fig. 1. In fresh pumpkin has contained theamount of ash, protein, and dietary fiber of 0.78%,
0.37% and 3.50%, respectively. While in a fresh
yardlong bean has contained 0.69% ash, 0.60%
protein and 1.88% dietary fiber. Guava having ash,protein and dietary fiber of 0.69%, 0.19% and 2.03%,
respectively. Red cabbage has contained 0.89% ash,
0.25% protein and 2.96% dietary fiber. In addition to
fresh tomato has contained higher ash of 1.16%, but
lower in protein of 0.03% and dietary fiber of 1.77.

Analyses
The fresh fruit and vegetables of guava, pumpkin,yardlong bean, tomato and red cabbage wereanalyzed moisture content, ash, protein, and dietaryfiber were analyzed [10].
Moisture content was measured by drying in anoven at 105oC for 24 h. Ash was measured byburning in a muffle furnace at about 550oC for 18 h.
Protein was measured by using a Kjeldahl methods
and dietary fiber was measured by McCleary
Method (AOAC 2009.01)

433

SEE-Mie, Japan, Nov. 19-21, 2015

Drying pumpkin by different drying methods(Fig. 4) of sun dry, oven dry and freeze dry were
measured the amount of ash, protein and dietaryfiber as shown in Fig.5. The differences ofnutritional contents in dried pumpkin from sun
drying was significantly different (p ≤ 0.05) inhigher protein and dietary fiber compared with hot
air oven or freeze drying.

Ash (%)
Protein (%)

4.0

Dietary fiber (%)
3.0
2.0
1.0
0.0

PumpkinFig. 1

Yardlong
bean

Guava

Red
cabbageTomatothe amount of ash, protein, and dietary fiberin fresh fruit and vegetables
Sun drying

2. Changing of nutritional contents in dried fruitand vegetables

Fig. 4The experimental results showed that the average
nutritional contents of ash, protein and dietary fiberin sun dried guava were 15.66%, 1.17% and 21.86%,
respectively. Dried guava (Fig. 2) by hot air ovenremained 19.34% ash, 1.17% protein and 24.39%
dietary fiber. While, dried guava from the freeze dryhaving ash, protein and dietary fiber of 12.68%,
1.18% and 18.01%, respectively. Figure 3 shown the
differences of nutritional contents in dried guava
from three different drying methods, sun drying was
significantly different (p ≤ 0.05) in higher protein
and dietary fiber compared with hot air oven or
freeze drying.

Sun drying

Freeze drying

Fig. 2Sun drying

Amount (%)

16

Hot air oven drying

14

Freeze drying

12
10
8
6
4
2
0

Ash

Fig. 5

Protein

Dietary Fiber

Nutritional contents in dried pumpkin

Figures 6 and 7 shown the experimental resultsfor dried yardlong bean, which having ash, protein
and dietary fiber in sun dried yardlong bean of
12.48%, 4.54% and 18.53%, respectively. Dried
yardlong bean by hot air oven remained 12.10% ash,
3.51% protein and 10.23% dietary fiber. While,
dried yardlong bean from the freeze dry having ash,protein and dietary fiber of 13.77%, 2.78% and 6.99%,
respectively. Additionally, the differences ofnutritional contents in dried yardlong bean fromthree different drying methods, freeze drying was
significantly different (p ≤ 0.05) in higher protein,while hot air oven drying showed higher in dietaryfiber.

Hot air oven drying

Sun drying
18

Amount (%)

Dried pumpkin

1820
Hot air oven drying
Freeze drying

14

Hot air oven drying

20

Dried guava

16

Freeze drying

12
10
8
6
4
2
0

Ash

Fig. 3

ProteinSun drying

Dietary Fiber

Fig. 6

Nutritional contents in dried guava

434

Freeze drying

Hot air oven drying

Dried yardlong bean

Amount (%)

SEE-Mie, Japan, Nov. 19-21, 2015

Sun drying

30
28
26
24
22
20
18
16
14
12
10
8
6
4
2
0

Hot air oven drying
Freeze drying

Fig. 10 Dried red cabbage
AshFig. 7

Protein

Dietary Fiber

Nutritional contents in dried yardlong bean

70

Sun drying

60

Hot air oven drying
Freeze drying

Amount (%)

50

As shown in Figs. 8 and 9, dried tomato by sun
drying was significantly (p ≤ 0.05) higher in theamount of protein (2.47%), while the amount of ash(19.85%) and dietary fiber (13.40%) were higher in
hot air oven drying method.

40
30
20
10
0

Ash

Protein

Dietary Fiber

Fig. 11 Nutritional contents in dried red cabbage

Sun drying

Freeze drying

Fig. 8

Hot air oven drying

Dried tomato

22

Sun drying

20

Hot air oven drying

18

Freeze drying

16

Amount (%)

Different drying methods have resulted indifferent quality of fruits and vegetables such as
texture, color, moisture, nutritional contents, etc.
Changing in quality of dried fruit or vegetable may
due to the high temperatures and long drying time[11]. Higher temperature may affected in the darkcolor, however it does not matter on the nutritional
contents. Time of drying is more affected to thechanging of nutrients.

CONCLUSION

14
12

It was clearly shown that the quality of the driedsamples was greatly affected by the method used fordrying, especially the prior of drying. The results
shown that dietary fiber contents in dried pumpkin,yardlong bean, red cabbage and guava were thesame tendency, which having higher amounts of
dietary fiber from natural sun dry, hot air oven dry
and freeze dry, respectively. While, in tomato
showed higher content in hot air oven, freeze dry
and natural sun dry, respectively. According to theresults, it was concluded that the condition of natural
sun drying may works efficiently to get higher
dietary fiber content in fruit or vegetables. Sun
drying is expected to be an important method ofpreservation, especially when taking into
consideration for economic and ecological aspects.

10
8
6
4
2
0

Ash

Protein

Dietary Fiber

Fig. 9 Nutritional contents in dried tomato

Nutritional contents of dried red cabbage (Fig.
10) by the three different drying methods wereshown in Fig. 11, the amount of ash (14.68%) anddietary fiber (59.99%) in red cabbage using sun
drying method were significantly (p ≤ 0.05) higher
than that using hot air oven or freeze drying.
However, the amount of protein (5.61%) was higher
in red cabbage using hot air oven drying method.

435

SEE-Mie, Japan, Nov. 19-21, 2015

on the physiochemical properties andantioxidant activities of pumpkin”. International
Journal of Food Science and Technology, 2008,
2, pp. 1195-1201.

ACKNOWLEDGEMENTS
This study was granted and supported by
Rajamangala University of Technology Thanyaburi(RMUTT), Thailand.

[7] Derya, A., and Mehmet, M. Ö. “Study the effect ofsun, oven and microwave drying on quality of onion
slices”. Journal of Food Science and Technology,

REFERENCES

2010. 43 (7).
[8] Institute of Medicine (IOM). “Crossing the Quality
Chasm. Crossing the Quality Chasm: A New Health
System for the 21st Century”. Washington, D.C:
National Academy Press. 2001.
[9] Weinstein, J.S., Vogt, T.M., and Gerrior, S.A.
“Healthy eating index scores are associated withblood nutrient concentrations in the third National
Health and Nutrition Examination Survey”. Journalof the American Dietetic Association, 2004, 104, pp.
576–584.
[10] AOAC. “Official Methods of the Association of
Official Analytical Chemists. 17thed”. Association
Official Analytical Chemists., Washington D.C. 2000.

[1] Jangam, S.V., Law, C.L. and Mujumdar, A.S.
“Drying of foods, vegetables and fruits”, Vol. 1,
2010, ISBN: 978-981-08-6759-1.
[2] Fitzpatrick, J. J. and Lilia, A. “Food powder
handling and processing: Industry problems,
knowledge barriers and research opportunities”.
Chem Eng Process, 2005, 44, 209–214.
[3] Sagar, V. R. and Kumar, S. P. “Recent advancesin drying and dehydration of fruits andvegetables: A review”. J. Food Sci. Technol.,
2010, 47(1): 15-26.
[4] Jayaraman, K. S. and Das Gupta, D. K.
“Dehydration of fruits and vegetables-recent
development in principles and teniques”. Drying
Technol., 1992, 10 (1), 1.
[5] Daimante, L. M. Ihns, R., Savage, G. P., and
Leo Vanhanen, L. “A new mathematical modelfor thin layer drying of fruits”. International
Journal of Food Science and Technology, 2010,45, pp. 1956-1962.
[6] Que, F., Mao, L., Fang, Y., and Wu, T.
“Comparison of hot air drting and freeze drying[11] Sumnu, G., Turabi, E. and Öztop, M. “Dryingof carrots in microwave and halogen lampmicrowave combination ovens”. Lebensmittel
Wissenschaft und Technologie, 2005, 38: pp.
549–553.

436

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

TUNING DIFFERENT TYPES OF COMPLEX QUERIES USING THE
APPROPRIATE INDEXES IN PARALLEL/DISTRIBUTED DATABASE SYSTEMS
Mohamed CHAKRAOUI, Abderrafiaa ELKALAY, Naoual MOUHNILaboratory of applied Mathematics and Computer Science, Faculty of Sciences and Techniques Gueliz Cadi Ayyad
University, B.P 549, Av.Abdelkarim Elkhattabi, Guéliz Marrakech, Morocco.

ABSTRACTin this paper, we discuss the most powerful techniques of tuning parallel/distributed databases. As in engineering, database tuning
becomes an inescapable part of big projects since the conception phase of research projects. The needs of companies including big
data have increased to databases optimization. Systems that not take into account the optimization rules become heavy after five
years of their production; these reasons were of a paramount of importance to prepare this paper. Indexing is the most suitable
way to optimize database systems, further one of the top ways of optimizing index is the application of parallelization. In thispaper, we will discuss parallelization, and we will practice it with different complex queries and sub-queries using different typesof indexes; then we will compare the results gotten from each index. To top it all, the most suitable interference between the major
types of index: B*Tree index, Bitmap index, composite parallel index, local parallel index and global parallel index.
Keywords: tuning, parallelization, sub-query, optimization, interference between indexes, b*tree, bitmap, local index, data
partitioning, sub-query.
other optimization’s methods. First, the list-based methods
construct a set of lists by sorting all tuples based on theirvalues in each attribute. It then finds the tuples by merging
as many lists as needed. Second, the view-based methods
pre-compute the results of multiple queries, and store theseresults as a view. Third, disk-based methods build an index
using disk[3].
Commercial optimizers classify query optimization
techniques into two dimensions, optimization time andoptimization granularity. Optimization time is when
optimization decisions are made. However, optimization
granularity defines if the optimization decisions are based
upon dynamic sampling. In terms of optimization time,some database systems determine query plans in advance atcompile time. While others forego pre-computed plans and“route” tuples on the fly at runtime. [4].
Our contribution in this paper is to propose a set of index
interference structures and algorithms, which allow us todecrease efficiently the costs of different complex queries inparallel/distributed database systems. These costs are realtime querying or real execution time and CPU cost or input
output gets.
The following table describes a part of the table
CLIENTS. Is due to flexibility of the document, we cannot
specify the full table.

INTRODUCTION
To satisfy the needs of data processing speed anddecrease the response time of complex queries, optimizing alarge database remains essentially to good query writing. A
poorly written query can increase the input output gets,
which leads to the increasing of the execution time. The
most companies’ needs have increased to store and analyze
the ever-growing data transparently, such as search logs,
crawled web content and click streams. Such analysis
becomes crucial for businesses in different ways; such as toimprove service quality and support novel features, to detectchanges in patterns over time and to detect fraudulent
activities[1] . As actual computers have powerful processors
and very speed RAM, then applications require much higher
data operation speed, the traditional RDBMS. Difference
between memory and disk in terms of writing and reading
speed is very large, so since 1980s, researchers try to movethe whole database from disk into main memory to improvethe execution time. From the one hand to optimize thelatency time, because main memory is faster than disk, andfrom the other hand, to minimize the interference between
different processes when accessing to the data; this type of
databases is called Main Memory Databases[2]. Our
ultimate topic in this paper is not to discuss main memory
databases, but to discuss and analyze different types ofindexes and their interferences on a given query.
The most researches and practices focus on two types ofindexes, BTree and Bitmap. BTree is three types, local index,
global index and composite index. The same for Bitmap
index is also three types, bitmap local index, bitmap global
index and bitmap composite index. We will make a joinquery between two or more tables, each one is indexed by adistinct type of index; we analyze every method, andcompare between them.
The list-based, view-based, and disk-based methods are

NOCLIENT

1
3
25
32
39
43

437

NAME

CITY

Moha
dHami
d Khalid Salah
Karim
Houdi

Marra
k hCasa
Fes
Casa
Safi
Essao
i

COUNTRY

Maroc
Maroc
Maroc
Maroc
Maroc
Maroc

SEE-Mie, Japan, Nov. 19-21, 2015

Jalal
SfaqesTunisie
46
Charif
Casa
Maroc
50
Jamali
Agadir
Maroc
55
Gill
Donca
United66
idWill
Arizon
USA
67
Berna
Munic
Germany70h
Mak
Curiti
Brazil76b
Bridg
PointeCanada78
CliFransi
Yama
Japan
80
Brolin
Rockf
USA
81
d
Clark
Linz
Australia
83
Favre
Zagre
Croatia85bPhilli
Lyon
France
87
Nakai
New
India
88
D
lhi
TAB. 1 – A part of the running table CLIENTS

Fig. 1. A part of our B*Tree index structure
Bitmap Index:
The bitmap index is also based on one or more columns;
it is based on the bit masks for the separate values on theindexed column or columns.

RELATED WORKS

This type of index is useful when the column of index
contains many distinct values, and when the predicate in thequery is an equal operation[9].

Types of indexes:
the Structured Query Language (SQL) is the most usedlanguage in the existing database applications by databaseresearchers as a standard language of querying[5]. SQL wasdesigned for managing data in a Relational or Object
Database Management Systems (RDBMS or ODBMS). SQL
makes it possible to create, read, update and/or delete
records. Actually SQL has many dialects that can wellestablishes different query languages, it is widely applied inindustrial context. SQL is specified around a set ofoperations on data stored in tables. Working with object
concepts, requires traditional Object-Relational Mapping(ORM). Furthermore, the complexity of such queries would
quickly increase beyond levels of feasibility. Even though
the creation of nested, recursive queries using standard SQL
is available through some implementations and extension
modules. Even if there is, no standardized support thatwould be necessary to match the requirements formulated
earlier [6] .

PARALLELISM
Resources such as memory space or CPU time used forbuffering messages or temporal data can be released once agiven query has consumed its quantum, being necessary tokeep only the partial results calculated until that moment
and the query state data used to enable its next quantum inthe next super step. Thus processing a given querycompletely can take one or more super steps. In the case of
asynchronous mode of parallel computing, the round-robin
principle is emulated by performing proper threadscheduling at each processor to grant each active query its
respective quantum of execution[10] .
With the arriving of big data, the classical index takes animportant portion of the main memory and execution time; it
is not match reduced on a given query. Then researchers
have migrate to parallelism as a good way to reduce thisexecution time, following the number of processors
available on a given machine. Parallelism allow executing
one query by more than one processor.
We take the following tables as a running example:

Btree Index:
BTree is a well-organized structure as a tree , so theinformation retrieval will be easier; a BTree index is basedon either one column or more (composite BTree index).
The BTree contains many nodes, the highest node called
root node, the descendent node called child node. Each nodethat have a child called internal node, and the node that has
no child called leaf node. Each node have k keys; we
suppose that the root node has two keys n and m, the rightchild keys must be lower than n, the left child keys must be
higher than m, and the middle child node keys must be
between n and m.
We distinguish between two major types of BTree,
B+Tree discussed by David Taniar[7] and B*Tree discussed
by Chakraoui Mohamed[8] The Figure 1. Describes a part oftree structure.

CLIENTS (noclient number not null, name varchar2(50)not null, city varchar2(50), country varchar2(25)).
CMD (nocmd number not null, noclient# number,datecmd date, etatcmd char(1)).
LINECMD (noline number not nul, nocmd# number notnull, productId number not nul, quantity number not null,amount number not null).
Partitioning by Range
We divide the table CLIENTS by range into threepartitions. We give to the first partition the range [0, 40], to438

SEE-Mie, Japan, Nov. 19-21, 2015

the second partition the range] 40, 80] and to the third
partition the rest] 80, +1000].
The Figure 2, describes the partitioning bounds of theunderlying table by range.

76

Mak

85

Favreau
Nakai

88

TAB. 3 – Part 2 of index partitioning by list
Partition 3
NOCLIENT

NAME

1

Mohamed

43

Houdi

66

Gill

67

Will

TAB. 4 – Part 3 of index partitioning by list
Fig. 2. A part of partitioning B*Tree index by range
Global Parallel Index
Partitioning by List
Global parallel index (GPI) is a BTree structure made on
the underlying table globally, GPI do not like to partition theunderlying table. However, it could do so; but partitioning
methods and intervals on global index and partitioning
methods and intervals on the underlying table could differ.
One of the disadvantages of global index is when a data on
the underlying table is moved or removed, all partitions of a
global index are affected, and the index must be completely
rebuilt[11].

In this case, the index is based on a varchar column, andthen the partitioning can perform as follows: if the second
letter of name (partitioning column) is a consonant, we place
the record in the first partition. If the second letter of nameis a vowel of a letter a or e, the record go to partition two,and finally if the second letter of the name is a vowel ofletter i, o or u the record went to the third partition[7].
The following tables illustrate the partitioning of ourrunning example of index B*Tree.

Local Parallel Index
Partition 1
NOCLIENT

Local index is a BTree structure that can be partitioned.
The partition methods, intervals and bounds must be
respectively the same of the partition methods, intervals andbounds on the underlying table. One of the most usefulindexes is the local index, among their advantages, thesimplicity and the fact that the bounds of their partitions are
the same of table partitions[9], and it is very dependent tothe underlying table.

NAME

25

Khalid50

Charif78

Bridge80Fransis81

Brolin83

Clark

Composite Parallel Index (CPI)
Composite parallel index is a BTree index, it can be a
global or local parallel index; it is based on two or morecolumns. Composite index can be useful when the predicate
on the query is a logical and between two values on twocolumns. Parallelism can be exploited by partitioning one ormore underlying attributes at the underlying table.

87

PhillippeTAB. 2 – Part 1of index partitioning by list
Partition 2
NOCLIENT

NAME

3

Hamid

32

Salah

39

Karim

46

Jalal

55

Jamali70

Bernar

INTERFERENCE BETWEEN LOCAL AND GLOBALPARALLEL INDEXESFor an efficient execution of the continuous locationdependent queries, incremental search algorithms are
required, thus avoiding solving each search problem
independently from scratch[12]. Incremental search implies
reusing information from previous researches for each query,to obtain the current result without having to recomputing
everything each time[13].
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. Due to the parallelism, the SGBD can≈ x/9 and x
handle more than one request in the same time, following
the number of processors that we have.

Simple Select Query (SSQ)
For search queries, the RDBMS cannot lock any
partition, because the select query does not change any
underlying data. We take the following query as a running
example:SELECT city FROM CLIENTS where noclient = 39 andname = ‘jack’;
The execution time is described in the Figure 3.

Join Update Query on Local and Global Index
Join Update Query (JUQ) throws many problems, asconcurrent access when the query is based on more than one
partition.
We take the following query as testing example:

Select Join Query (SJQ)

UPDATE CLIENTS SET name = ‘thomas’ WHERE
CLIENTS.noclient IN (select noclient from CMD where
CLIENTS.noclient = CMD.noclient);

The same reasoning for the previous section, initially, we
partition the table CLIENTS by list following the column‘name’ as described before; then we create a local parallelindex based on the same column ‘name’, and we partition it
too following the underlying table partitioning. Secondly,
we create a global index based on the table CMD, we takethe following query as a testing example.
SELECT datecommande FROM CMD, CLIENTS
WHERE CLIENTS.noclient = CMD.noclient AND
CLIENTS.name in ‘mohamed’;The execution time for this interference example isdescribed in Figure 3.

We create an index LPI on CLIENTS and an index GPI
on CMD. Local parallel index allows the same partitioning
rules as the CLIENTS table; then LPI partition the table
CLIENTS. However, global parallel index did not partition
the underlying table; then the table CMD remains nonpartitioned. The execution time is described in the Figure 3.

Simple Update Query (SUQ)
Optimizing update query based on a single table issimple; we analyze the index interferences in this type ofquery by taking two predicates on the same running query
each one is based on an index; then compare between
obtained results; the following query is as a running
example:UPDATE CLIENTS SET name = ‘ALI’ WHERE
noclient = 30;
Fig. 3. Number of consistent gets for different queryinterferences between LPI and GPI

Following the partitioning methods, if three processors
try to send requests to the current table, three cases are
possible. The first is when the range of the clause where
belongs to one partition, the partition one for example, itwill be locked by the first request; but others partitions
remain unlocked, and accessible for others processors.
Secondly, if the clause where of our update query isextended to two ranges (partitions), for example the partition[0, 40] and the partition] 80, 1000], these ranges will belocked, but the range] 40, 80] remains unlocked; then it
behaves like two tables. Nevertheless, if the clause where isbased on three ranges, we proceeds like three tables. The
following query illustrates this case treatment:

INTERFERENCE BETWEEN COMPOSITEPARALLEL INDEX AND OTHER PARALLEL INDEX
ON COMPLEX QUERIESInterference between composite parallel index
and local parallel index
This type of query interference is rarely used, theexecution time following the number of operations have tobe performed by the RDBMS in the clause where:
UPDATE CLIENTS SET nom = 'simon' where ville ='paris' AND pays= 'france';

UPDATE CLIENTS SET city = ‘paris’ WHERE
noclient = 45 or noclient = 10 or noclient = 120;

The execution time is described in the Figure 4.

Taking x in milliseconds (ms) the execution time cost;
the table CLIENTS behavior seems heavy, but when wepartition it as described in this section the execution time
becomes: x/3 (ms) + interference (ms); with an interference
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SEE-Mie, Japan, Nov. 19-21, 2015

FROM LINECMD GROUP BY noline;
CREATE VIEW V2_AGG AS SELECT noline,
maximum = MAX (average)
FROM V1_AGG GROUP BY noline;
SELECT V1_AGG.noline, V2_AGG.maximum
FROM V1_AGG, V1_AGG
WHERE V1_AGG.noline = V2_AGG.noline AND
V2_1GG.maximum = V1_AGG.average;
The results obtained using this query with our running
examples are presented in the Figure 8.
INTERFERENCE BETWEEN BITMAP LOCALPARALLEL INDEX AND BITMAP GLOBALPARALLEL INDEX

Fig. 4. Number of consistent gets of different index
interferences
Interference between global parallel index andcomposite index

The bitmap index is the bit masks for distinct values ofindexed columns: the binary AND and OR can make theequality tests.
For bitmap index, we do not prefer the global index
because it cannot partition the table, but we use the bitmap
local parallel index. We take the following as running query:
SELECT name FROM CLIENTS WHERE city = ‘paris’
AND country = ‘france’;
The column city is indexed by bitmap local parallelindex; however, the column country is indexed by bitmap
global parallel index. The local index has partition theunderlying table, but global bitmap index did not partition it,then the local bitmap parallel index is most suitable in thiscase.

This type of query is slightly close to the last citedinterference on term of syntax, but different on term ofexecution time, following the number of operations have tobe performed by the RDBMS in the clause where.
UPDATE CMD SET nocmd = 1234567890 WHERE
datecmd =to_date('08-10-2013', 'dd-mm-yyyy') AND
etatcmd = 'C';
The execution time is described in the Figure 5.

Sub-Query and Index Partitioning
Sub-query is a select query embedded in a clause ofanother SQL statement. We distinguish between two
statements, the outer query or outer statement and the innerquery or inner statement. Then we say that the sub-query isnested within the outer query; there are two strategies to
executing sub-queries: serial and parallel execution
scheduling strategies. When a sub-query is being processed,
parallelization techniques must be applied[15]. One of thehighlights of sub-queries is via query parallelization, anddata partitioning, a query can be segmented to multiple subqueries; each of them, which contains joins on partitioned
data sets and pre-aggregation. The final results are obtainedby applying a final aggregation over the results of subqueries [16].
[17] presents four other optimization methods forindexes that we use its interferences with sub-queries in thispaper. Continuous index tuning, periodic index tuning,
triggered index tuning and hybrid index tuning. The subquery reconstruction mechanism consists of reconstructing
the set of original queries before dispatching them to thedata sources and computing the answers to the originalqueries based on answers to the reconstructed queries [16].

Fig. 5. Number of consistent gets of different type of
queries between GPI and CPI
Interference between complex aggregate queries
with LPI and with GPI
Complex aggregate query is a query with several queryblocks (views or sub-queries) correlated together with amultiple joins[14].
To compare the performance of complex aggregate
queries between LPI, GPI and CPI, we use the following
two views attended by one query with our running example:
CREATE VIEW V1_AGG as SELECT noline, average= AVG (amount)

Sub-query and global parallel index
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In this section, we take the same global index used above
with the following sub-query:
SELECT datecmd FROM CMD WHERE noclient IN(SELECT noclient FROM CLIENTS WHERE name ='alain');The results obtained are showed in Figure 6.

Fig.8. Number of consistent gets in complex aggregate
queries with different indexes
Complex sub-query with many types of index
Tables can reference the same table under a different
correlation names. Adding two attributes to our table
CLIENTS and considering a query to find all the clients who
are younger than the oldest client of their gender[18]:Fig.6. Number of consistent gets of different index
interferences

SELECT S1.noclient, S1.name, S1.sex, S1. age
FROM CLIENTS AS S1 WHERE age < (SELECT
MAX(age)
FROM CLIENTS AS S2 WHERE S1.sex = S2.sex);

Sub-query and local index
In this case, we use the same sub-query used in section A,
with our local parallel index; then we get the results of
Figure 7.

We can also demonstrate the efficiency of the inline
views with the following sub-query:
SELECT C.noclient, M.name, CMD.datecmd FROMCLIENTS C, (SELECT LC.amount, CMD.noclient,
MCD.nocmd FROM CMD, (SELECT LC.nocmd, amount,quantity FROM linecmd) LC WHERE CMD.nocmd =LC.nocmd) M WHERE M. noclient = G. noclient;
The results of the two last queries are described in Figure
9 and Figure 10.

Fig.7. Number of consistent gets in sub-query withdifferent indexes
Sub-query and composite index
With the last sub-query used in section A, indexed bycomposite parallel index, we get the results of Figure 8.
Fig.9. Number of consistent gets in complex sub-queries
with different indexes

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Fig.10. Number of consistent gets in complex subqueries written on inline views with different indexesinterference between local and global index,
join update query increases the number of
input-output gets with the increase of the dataof the underlying tables.
Sub-query and different indexes: following the
Figure 7, for the small table, the global index
and the composite index are the most suitablewith sub-query; however when the underlying
table is so big, the most suitable index is local
parallel index followed by global index with
sub-query.
Complex query and complex sub-query, withdifferent indexes: the results obtained in Figures
9, and Figure 10, by executing complex query,andcomplex
sub-querysuccessively,
demonstrate that all time the LPI causes lessconsistent gets followed by CPI, itself followed
by GPI.

Comparative analysis:

RESULTS AND ANALYSISAs there are different kinds of interferences between
different indexes, it is important to analyze the efficiency ofeach case of interference scheme discussed above.
When it is a join query, is not recommended to use bothof local parallel index and global parallel index, each one ona table; but in this case it is advisable to use either a global
parallel index or a local parallel index and not both of them.
In the case of a single table, we can use either local
parallel index, or global parallel index, or both of themfollowing the type of query; but the number of consistentgetsremains
close
for
each
case.
The use of global or local parallel index on join query withcomposite index is useful, according to the scheme.
Generally, the use of different indexes is useful when thenumber of data in tables is big.
We can explain the efficiency of LPI by the consistency,
between the partitioning of attribute, and the underlying
table partitioning; the same reasoning of CPI, thing is notrealized for GPI. In many past researches, GPI was the mostwhished index, but these researches partition just the index,
but not both of index and underling table. Finally, we are infavor on our proposed partitioning method for the LPI as themost efficient and optimized index, followed by CPI, andfinally GPI.
Using sub-query also prefers the local parallel index as
best optimization result.

Our experiments are performed on Intel (R) Pentium(R)Dual CPU T3200 @2.00 GHz machine with 3 GB of main
memory running a Windows 7 Integral Edition operating
system. All queries are performed on an oracle 11g release2.
The total cost of a parallel synchronous query program is
the cumulative sum of the costs of its super steps, and thecost of each superstep is the sum of the following threequantities, the maximum of the computations performed byeach processor (CPU cost), the maximum of the messages
sent/received by each processor (I/O CPU)[10]. Then wecan minimize the cost of a query by minimizing the CPU
cost and the number of I/O disk, these costs are the subjectof this paper. Analyzing the results obtained, we can get thefollowing explanations:• SJQ: Following the Figure 3, the interference
between local and global index, the number of
input output decreases when the number ofrecords increases, once the number of records
on the underlying tables outgrew, the number of
input output becomes stable and less than 2000.
• SUQ: Following the Figure 3, initially the
number of consistent gets was around 2000;
then it starts to decrease slightly and thenstabilizes when the number of data in theunderlying tables becomes too big. SUQ
consumes less input output than SJQ.
• L & G: Following the Figure 4, this interference
causes many inputs outputs bloc.
• L & C: Following the Figure 4, interference
between local and composite allows many andstable input output gets.
• G & C: Following the Figure 6, interference
between global and composite index is slightly
close to the L & C.
• JUQ: Following Figure 3, and Figure 5,

CONCLUSION AND FUTURE WORKOn the first part of this paper, we introduce different
parallel indexes, and a taxonomy of various parallel indexes,
and their interferences.
Interferences between different parallel indexes meanthat we can use more than one type of parallel index in thesame query. Different queries are made in the current paper
to conclude the most desirable combinations of indexes.
Following different queries and analysis, we canconclude that the most useful interference is the local
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parallel index with the composite parallel index, and theglobal parallel index with the composite parallel index.
These interferences between different indexes and data
structures, allows us to propose the optimized model for theuse of both multiple indexes.
The second part of this paper studies the uses of subqueries with different indexes used in the first part, theresults obtained are in favor of the uses of the sub-queries
with the LPI.
For our future works, we plan to incorporate thesemethods in the backgrounds of a noncommercial RDBMS
like PostgreSQL.

14.

15.

16.

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ScienceDirect, 2011.

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

THE DEVELOPMENT OF A LOW COST MOTION ANALYSISSYSTEM: CEKAK VISUAL 3D V1.0
Ghazirah Mustapha1,3, Mohd Firdaus Abd Razak2,3, Mohd Salzahrin Mohd Hamzah3, Nur Hayati Mohd
Yahya1 and Jamaluddin Mahmud1
1
Faculty of Mechanical Engineering, Universiti Teknologi MARA, Malaysia,
2
School of Civil Engineering, Universiti Sains Malaysia, Malaysia,
3
Persatuan Seni Silat Cekak Malaysia

ABSTRACTTo date, there is lack of biomechanical characterisation on defensive technique (martial arts) due to theunavailability of appropriate motion tracking system that can be used to characterise the technique in quasitraining environment. Therefore, this paper presents the development of a novel low cost motion analysis system,
Cekak Visual 3D v1.0 which is capable to track dual martial art practitioner’s skeleton motion in a single frame
using integration of Matlab GUIs and Microsoft Kinect. The accuracy and precision of the coordinate data
recorded by the system was tested to ensure the quality of the system. The systems perform the tracking motion
with a single Kinect which is a combination of various sensors (RGB and depth sensor) thus makes it capable inproviding three dimensional coordinate data. The analysis reveals that Visual Cekak 1.0 v1.0 resulted lower
percentage error with high internal consistency (Cronbach Alpha, α = 0.904). The proposed marker-less system
is capable to track and store dual skeleton data in a single session tracking. This capability makes the systems
suitable in providing quasi-training and natural setting environment for any martial arts biomechanics
investigation. Therefore, we believe that the system provide new concept development for basic research inmartial arts biomechanics.
Keywords: Cekak Visual 3D v1.0, Low Cost, Martial Arts, Motion Analysis System, Seni Silat Cekak Malaysia

Motion Capture technology are more popular
compared to others available research tools.
Despite its popularity, motion capture techniquepossesses several limitations. Existing motion
capture system requires multiple expensive highperformance cameras structured and calibrated
within a controlled environment system (dedicatedroom, tracking suit and lighting capacity) [6], [9],[11], [12]. Due to that, this technology must undergo
complicated set up for the advanced hardware thatmakes the process complex resulting difficulties forthe system to be used in quasi-training environment
such as sport field and training studio [13]. The
cameras restrictions also create another drawback
which is the markers placement. The marker
attached will probably affect the subject’s movement
and its placement is time consuming [14].
Factors mentioned encourage the exploration
towards low cost and portable solution [10], [15].
There are several potential devices that can replace
the role of expensive high performances cameras
such as web cam, depth cameras and RGB sensor[16]–[18]. The availability of KinectTM sensor
released by Microsoft Corporation in 2010 offers agreat potential to be used as an alternative low-cost
motion tracking tool. This cost effective, light andportable devices [14] is capable to substitute the roleof digital high speed camera with the ability to

INTRODUCTION
Motion capture is a process where a movement
can be recorded digitally and most commonly usedin Martial Arts Biomechanics [1]–[3]. Analysis on
trends of publications each year reveals that motion
capture technology as a research tools is currently
attracting more attention from the martial arts
biomechanics community [4]. Shinagawa andNakajima (1997) for instance, have used this method
to analyse human stability by capturing body
movement by using a few camera video [5]. The
system was then used to analyse Shorinji Kempo, atechnique in Chinese Martial Art in order to verify
the three dimensional analysis system. The motion
capture activities was also observed in Wong and
Fok (2007) work on stance position effectivenessstudy in providing striking force in aspects of Tai
Chi Chuan (side kick, roundhouse kick, rising kick,straight punch) with the aid of the smart motion
capture system. Recently, Motion Capture (MoCap)
Systems like the Vicon (U.K) and Eva Real Time
(U.S.A) is available to serve the need inbiomechanics study and was observed has been used
to characterize pushing and kicking technique [6],[7]. The capability to rapidly track (multiple points)
small and high speed movement in three
dimensional space [8], [9] maybe the reason on why
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provide an array of three dimensional coordinate
data. Thus, this features contributed in a large
number of applications such as 3D measurements,
angle measurements, gait tracking, postural control
observation, motion assessment, rehabilitations,
ergonomics, coaching, metrological evaluation as
well as the martial arts biomechanics [19]–[22].
Virtual Sensei Lite is an example of Kinectapplication in martial arts biomechanics study. Thissystem helps the karate practitioners in their training
session to characterize their motion as well as toenhance their capacity [10], [21].
Martial art is an affiliation of systematic
techniques designed to response towards an attack(defensive technique - evade, fend off, grab, block)and to incapacitate the attacker (offensive technique- kick, punch, strike, punch) [4]. The difficulty on
preparing the quasi-fighting environment may
contribute to the imbalance research patterns(offensive vs defensive) in martial arts biomechanics
study [4]. A systematic defensive technique in Seni
Silat Cekak (a traditional Malay Martial Style) for
instance can be explored extensively. Doubts on
defensive technique capability and effectiveness indeflecting the incoming force (attacking force) [23]may be answered scientifically. The feasibility ofVirtual Sensei Lite to characterise offensive
technique inspired the development of a system
which is compatible to characterise the defensive
technique and consider the quasi-training
environment for more realistic data (tracking dual
skeleton).
In this paper, we describe / proposed a novel low
cost motion analysis system to address the problem
of preparing the quasi-training environment toobtain the kinematics in the upper and lower
extremities of Seni Silat Cekak practitioner during
the defensive technique execution. The proposedsystem was compared with Virtual Sensei Lite
system and the accuracy and consistency of the dataacquired was observed.

Fig. 1 Principles of Motion Analysis System
Operation (Inverse Kinematic Approach)
Kinect Sensor
Microsoft released the Microsoft Kinect Sensor
and refer it as a Natural User Interface Device [24].
This device core application is to control the Xbox
console via gestures, movements and spoken
commands [20]. As such the Kinect capable to drive
software as well as manipulate and interact with
virtual worlds through whole body movements [24].
Kinect sensor comprising of RGB camera, an
infrared (IR) emitter and IR depth sensor [25] Those
sensors make it capable to captures depth and color
images at 30 frames per second to generate three
dimensional (3D) points from an infrared patternprojected on the subject [8]. Researchers havediscovered that the depth sensing technology ofKinect could be extended far beyond the gaming
application as this technology offers much lower
cost than traditional 3D cameras. Moreover, it iseasy to operate and may offer a portable 3-D motion
analysis system to overcome the limitation of theexisting systems that require the laboratory
experimental set up [25]. The Kinect sensor has
found itself in the mainstream of development of alow cost alternative for measurement and motion ofhuman kinematics analysis [10].

SYSTEM DESCRIPTION
The schematic diagram (Figure 1) simplifies theprinciple of motion analysis system operation on
how the system provides the kinematic of the motion
with the help of inverse kinematic approach. In orderto develop an alternative system, the proposedsystem must be able to provide the coordinate /position data that were digitized at equal timeincrements throughout the movement sequence. The
chosen device to substitute the role of highperformance cameras for the proposed system is
Microsoft Kinect Sensor.

Graphical User Interface: Cekak Visual 3D v1.0
This system able to track and store dual skeleton
data in a single session (Figure 2). Cekak Visual 3D
will process data in three steps which is position dataacquisition of each point, calculate the kinematic
data and visualize the kinematic data for eachskeletal point. The skeletal data captured / tracked,
consisted of three dimensional coordinate data of 20
skeletal joints. The marker-less based system tracked
the skeletal joints by software developed using
Matlab.

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Fig. 2User interface of proposed system (Main & Sub Window)

The following flowchart (Figure 3) simplifies thesteps on how the Graphical User Interface (GUI) of
the system was used. It can be seen that theworkflow process involved three main processes.
The Kinect sensor tracks the movement and the GUI
will view the dual skeleton joints in RGB image.
(Figure 2). The coordinate data will be recorded andsaved in excel file format. The position data
recorded was then displayed / playback in order totrim the data for the best frame selection. This
information was then will be imported / passed toFig. 3the tracking and analysis process which applies thenumerical approach (central difference method) tocompute the time derivation of displacement(velocity and acceleration) for the analysis and datavisualization
𝑣𝑣𝑖𝑖 =

𝑎𝑎𝑖𝑖 =

𝑠𝑠𝑖𝑖+1 −𝑠𝑠𝑖𝑖−12(∆𝑡𝑡)

𝑣𝑣𝑖𝑖+1 −𝑣𝑣𝑖𝑖−12(∆𝑡𝑡)(1)=

𝑠𝑠𝑖𝑖+2 −2𝑠𝑠𝑖𝑖 + 𝑠𝑠𝑖𝑖−2

Workflow of the Cekak Visual 3D v1.0447

4(∆𝑡𝑡)2(2)

SEE-Mie, Japan, Nov. 19-21, 2015

PRELIMINARY EVALUATION

Accuracy and Precision

In order to further the development of Cekak
Visual 3D v1.0 an accuracy and consistency test
were carried out. The accuracy of a measurement
system rely on the degree of closeness ofmeasurement to its true value while precision is thedegree which repeated measurements shows thesame results [20]. In order to observe accuracy, thedifferences between the data measured by Cekak
Visual 3D and the actual values (manually measured
by range finder) were calculated. Finally, the SD and
Cronbach Alpha value calculated measure theprecision of the system.

Figure 4 shows the comparison of the accuracy
and precision between Cekak Visual 3D and Virtual
Sensei Lite based on percentage error, standard
deviation and Cronbach Alpha’s value. The datafrom each system were averaged in order to becompared with the manual measurement value. The
graphs reveal that Cekak Visual 3D observed lower
percentage error which is below 5% and consistent
standard deviation, SD. The analysis reveals that
Visual Cekak 3D resulted lower percentage error
with high internal consistency (consistent Standard
Deviation and Cronbach Alpha, α = 0.904).

Fig. 4

Accuracy and consistency comparison[2] I. Estevan, O. Alvarez, and C. Falco, “Impact
Force and Time Analysis Influenced by
Execution Distance in a Roundhouse Kick to
the Head in Taekwondo,” vol. 25, no. 10, pp.
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[3] I. Estevan, D. Jandacka, and C. Falco, “Effect ofstance position on kick performance intaekwondo,” J. Sports Sci., vol. 31, no. 16, p.
1815, 2013.
[4] G. Mustapha, J. Mahmud, M. Zakaria, Sulaiman,
and W. R. Wan, “Biomechanics research on
martial arts – the importance of defensive study,”
Arch. Budo, vol. 11, pp. 187–195, 2015.
[5] Y. Shinagawa and J. Nakajima, “Capturing andanalyzing stability of human body motions
using video cameras,” Comput. Animat., 1997.
[6] F. Quinzi, P. Sbriccoli, J. Alderson, A. Di Mario,
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[7] Y.-T. Chang and J.-H. Chang, “Biomechanicalanalysis of Tai Chi Chuan Fixed-Step PushHand.,” Int. Symp. Biomech. Sport., 2010.
[8] K. Yamaoka, M. Uehara, T. Shima, and Y.
Tamura, “Feedback of Flying Disc Throw with

CONCLUSION
This paper has proposed a low cost motion
analysis system for martial arts purposes. A
preliminary evaluation on system capabilities wasreported to observe the accuracy and precision of thesubstitute device proposed. Future research will
work on refining the reliability test and enhancementof the system capability to determine the kinetics ofmartial arts motion.
ACKNOWLEDGEMENTS
The authors would gratefully acknowledge
Persatuan Seni Silat Cekak Malaysia for providing
research fund to facilitate the study and Ministry of
Education Malaysia for sponsoring the research via
Universiti Teknologi MARA (grant no. 600RMI/FRGS5/3(76/2013)).
REFERENCES[1] W. J. Cynarski and M. Kudlacz, “Injuries inmartial arts and combat sports - a comparative
study,” Arch. Budo, vol. 4, pp. 91–97, 2008.

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Kinect and its Evaluation,” Procedia Comput.
Sci., vol. 22, pp. 912–920, Jan. 2013.
[9] S. Corazza, L. Mundermann, A. M. Chaudari, T.
Demattio, C. Cobelli, and T. P. Aandriachi, “A
Markerless Motion Capture System to Study
Musculoskeletal Biomechanics: Visual Hull and
Simulated Annealing Approach,” Ann. Biomed.
Eng., vol. 34, no. 6, pp. 1019–1029, 2006.
[10] G. Mustapha, M. S. Aizat, N. H. M. Yahaya,and J. Mahmud, “Measurement System
Analysis of VS Lite,” Appl. Mech. Mater., vol.
680, pp. 447–450, 2014.
[11] S. M. Machado, R. A. L. Osório, N. S. Silva,
and M. Magini, “Biomechanical analysis of themuscular power of martial arts athletes,” Med.
Biol. Eng. Comput., vol. 48, no. 6, pp. 573–577,
Jun. 2010.
[12] T. S.-H. T. Wong and A. S.-L. A. Fok,
“Biomechanical Analysis On Some Martial Art
Aspects Of Tai Chi Chuan,” J. Biomech., vol.
40, p. S453, Jan. 2007.
[13] A. Schmitz, M. Ye, R. Shapiro, R. Yang, and B.
Noehren, “Accuracy and repeatability of joint
angles measured using a single camera
markerless motion capture system,” J. Biomech.,
2014.
[14] B. Bonnechère, B. Jansen, P. Salvia, H.
Bouzahouene, L. Omelina, F. Moiseev, V.
Sholukha, J. Cornelis, M. Rooze, and S. Van
Sint Jan, “Validity and reliability of the Kinect
withinfunctional
assessment
activities:
comparison
withstandard
stereophotogrammetry.,” Gait Posture, vol. 39,
no. 1, pp. 593–8, Jan. 2014.
[15] K. Khoshelham and S. Elberink, “Accuracy andresolution of kinect depth data for indoor
mapping applications,” Sensors, 2012.
[16] C. Krishnan, E. P. Washabaugh, and Y.
Seetharaman, “A low cost real-time motion
tracking approach using webcam technology.,”
J. Biomech., vol. 48, no. 3, pp. 544–8, Feb.
2015.
[17] Z. Liu, H. Qin, S. Bu, M. Yan, J. Huang, X.
Tang, and J. Han, “3D real humanreconstruction via multiple low-cost depth
cameras,” Signal Processing, vol. 112, pp. 162–
179, Jul. 2015.
[18] M. Pesce, L. M. Galantucci, G. Percoco, and F.
Lavecchia, “A Low-cost Multi Camera 3D
Scanning System for Quality Measurement of
Non-static Subjects,” Procedia CIRP, vol. 28,
pp. 88–93, 2015.
[19] B. Molnár, C. K. Toth, and A. Detrekői,“Accuracy Test Of Microsoft Kinect For
Human Morphologic Measurements,” inInternational Archives of the Photogrammetry,
Remote Sensing and Spatial Information
Sciences, 2012, vol. XXXIX–B3, pp. 544–547.
[20] M. Bueno, L. Díaz-Vilariño, J. MartínezSánchez, H. González-Jorge, H. Lorenzo, and P.
Arias, “Metrological evaluation of KinectFusion
and its comparison with Microsoft Kinect
sensor,” Measurement, vol. 73, pp. 137–145,
May 2015.
[21] Alessandro Timmi, “Virtual Sensei Lite,” 2011.
[Online].
Available:
http://www.virtualsensei.it/lite/.
[22] R. A. Clark, Y.-H. Pua, C. C. Oliveira, K. J.
Bower, S. Thilarajah, R. McGaw, K. Hasanki,
and B. F. Mentiplay, “Reliability and concurrent
validity of the Microsoft Kinect V2 forassessment of standing balance and posturalcontrol,” Gait Posture, Apr. 2015.
[23] J. Wąsik, “Chosen aspects of physics in martial
arts,” Arch. Budo, 2009.
[24] J. S. Wheat, S. Choppin, and A. Goyal,“Development and assessment of a Microsoft
Kinect based system for imaging the breast in
three dimensions.,” Med. Eng. Phys., vol. 36, no.
6, pp. 732–8, Jun. 2014.
[25] T. Dutta, “Evaluation of The kinect sensor for
3D Kinematic Measurement in The work place,”Appl. Ergon., vol. 43, pp. 645–649, 2012.

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Environment450

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

EVALUATION OF AERMOD AND CALPUFF DISPERSION MODELPERFORMANCE IN PREDICTING SULFUR DIOXIDECONCENTRATION FROM PETROLEUM REFINERY COMPLEXIN THAILAND

1,2

Sarawut Thepanondh1,2, Pantitcha Outapa1, and Suwadi Saikomol1
Department of Sanitary Engineering, Faculty of Public Health, Mahidol University, Bangkok, Thailand
1,2
Center of Excellence on Environmental Health and Toxicology (EHT), Bangkok, Thailand.

ABSTRACTThe AERMOD and CALPUFF air dispersion models are tested for their performance in predicting groundlevel concentration of sulfur dioxide in Thailand. Emission data used in this study are obtained from petroleum
refinery complex. Predicted results are compared with those measured data using the year 2012 as a reference
year. A set of statistical parameters are employed to evaluate model performance. Overall results indicated thatboth AERMOD and CALPUFF can provide good results. However, AERMOD can perform better in predictingof extreme end of the concentration distribution at the receptor sites. The maximum ground level concentrationsof sulfur dioxide within the modeling domain are about 359 and 456 µg/m3 for AERMOD and CALPUFF
simulations, respectively. This result indicates that CALPUFF provides more conservative of maximum result
than predicted data from AERMOD. The decision to select an appropriate dispersion model in the study isaccomplish by using the Multi-Criteria Attribute (MCA) analysis. Result from MCA supports that AERMOD is
more appropriate to be applied for study of air dispersion in this area than CALPUFF system.
Keywords: AERMOD, CALPUFF, Sulfur Dioxide, Multi Criteria Attribute, Thailand

turbulence profiles. These profiles are represented
by equivalent values constructed by averaging thesevalues over the planetary boundary layer (PBL)
through which plume material travel directly fromthe source to the receptor [4]. CALPUFF is a multilayer, multi-species, non-steady state puff dispersion
model. Dispersion is simulated for discrete “puffs”
of species emitted from modeled sources. The puffs
are tracked until they have left the modeling domain
while calculating dispersion, transformation andremoval along the way [5]. It is an atmosphericsource-receptor model recommended by the U.S.
Environmental Protection Agency for use on a caseby-case basis in complex terrain and wind conditions[6]. In Thailand, both models are regulated as
preferred model for an environmental impact
assessment (EIA) process. In this study,
performances of these models are evaluated forsulfur dioxide dispersion as resulted from emissionof petroleum refinery complex in the Easternseaboard area of Thailand. This study is aimed toevaluate performance of AERMOD and CALPUFF
air dispersion models by comparing model
predictions with field measurements. Finally,
decision of model selection, based on its
appropriateness is analyzed by multi-criteria
attribute (MCA) analysis using results fromstatistical analysis of model performance evaluation.

INTRODUCTION
Sulfur dioxide (SO2) is one of a group of highly
reactive gasses known as “oxides of sulfur.” Thelargest sources of SO2 emissions are from fossil fuelcombustion at power plants and other industrial
facilities. Smaller sources of SO2 emissions include
industrial processes such as extracting metal fromore, and the burning of high sulfur containing fuels
by locomotives, large ships, and road equipment.
SO2 is also linked with a number of adverse effects
on the respiratory system [1].
The steady-state model AERMOD and
Lagrangian puff model CALPUFF are the U.S.
Environmental Protection Agency preferred models
for demonstrating regulatory compliance in the nearfield (less than 50 km) and far field ( more than 50km), respectively [2]. However, CALPUFF also berecommended to use for the analysis of air pollution
dispersion in the vicinity of emission source in caseof complex terrain and wind characteristics.
AERMOD assumes that a plume disperses in thehorizontal and vertical directions resulting in
Gaussian concentration distributions. It does nottrack the contribution or carry-over of plume fromprevious hours. Consequently, each hour a plume isdispersed in the direction of that hour’s meteorology
in a straight-line trajectory [3]. AERMOD’s
concentration algorithm considers the effects ofvertical variation of wind, temperature and451

SEE-Mie, Japan, Nov. 19-21, 2015

Predicted/modeled Mean (Pmean), Observed Standard
Deviation/sigma (Ostd), Predicted/modeled Standard
PearsonCorrelation
Deviation/sigma(Pstd),
Coefficient (r2), Root Mean Square Error (RMSE),
Index Of Agreement (IOA), Fraction Bias (Fb),
Fraction Variance (Fs) and Robust Highest
Concentration (RHC).
The performances of model are tested bycomparing the predicted pollutant concentrations of
SO2 with those measured actual values (hourly mean
concentrations) at three ambient air quality stations.
Comparisons are performed by characterizing thebias. For this purpose, three metrics relating to thebias, the mean bias (e.g., the mean difference
between the modeled and the observed data), theroot mean square error (RMSE), and fractional bias
(Fb) are chosen. The mean bias is easily understoodand preserved the sign of bias. The RMSE is ameasure of the deviations from the 1:1 relationshipand preserves the scale of the original measurements.
It is derived from the mean square error which
comprised of bias (the extent of over or under
estimation) and variance (precision) [8]. The
fractional bias is presented because it is the statistic
recommended by U.S.EPA. Fractional bias issymmetrical and bounded with values ranging
between +2 (extreme under prediction) and -2(extreme over-prediction). The U.S.EPA guidance
for selecting the best performing air dispersion
model stated that although a completely objective
basis for choosing a minimum level of performance
was lacking, accumulating results from a number ofmodel evaluation studies suggested that a factor of
two is a reasonable performance target a model
should achieve before it is used for refined
regulatory analysis [9]. The guidance goes on torecommend the fractional bias as a screening tool forevaluating whether a model should be eliminatedfrom consideration. The fractional variance (Fs) isalso presented in the model evaluation in this study.

METHODOLOGY
In this study, measured data of ambient sulfur
dioxide concentration, obtained from 3 monitoring
stations, located in the surrounding area of
petroleum refinery complex are used in the analysis.
These data are available on an hourly basis.
Measured data in the year 2012 and 2013 are used tocompare with those modeled data. Emission data are
obtained from 13 stack emission sources. Total
emission rate of sulfur dioxide is about 120.7 g/s.
Emission rate is calculated using amount of sulfur
containing in fuel oil and fuel gas on a daily basis.
Meteorological data, used for both models are
obtained from simulation of MM5 meteorologicalmodeling (the fifth-generation NCAR / Penn State
mesoscale model). The gridded data needed by bothmodels are selected from Digital Elevation Model(DEM) data and the terrain data are collected from
the
ShuttleRadar
Topography
Mission(SRTM3/SRTM1) database.
Model Configuration
AERMOD (version 8.7) and CALPUFF (version
5.8) of Lakes Environment are used in this study.
AERMOD modeling domain is designed for radiusof 20 km with the finest grid spacing of 90 m. A 30km × 30–km model domain having grid spacing of
100 m is established for CALPUFF. Both models are
centered approximately on the stack which having
highest emission rate. The regulatory modeling
options in this research use the default mode ofoperation for the urban options of dispersion
coefficient. Sulfur dioxide ambient concentrations
are calculated in 1 hour period on elevated terrain
height option. The maximum one-hour concentration
for the year 2012 and 2013 at each of the receptor
sites are calculated together with the maximumgroup level concentration within modeling domain
to evaluate ability in predicting high concentrationof the model

RESULTS AND DISCUSSION
For the paired ensemble means performance
objective, the dataset was based on the union of thepredicted and observed concentrations [10]. In thisstudy, only predicted and observed concentration
pairs greater than zero were considered. Missing
data of measured concentrations were replaced byaverage values of the hour before and after thatmissing time. Results of statistical analysis are
summarized in Table 1 and Table 2. Results fromstatistical evaluation indicated that there weredifferences between the model and observed values.
However, these differences were much lower thantheir respective predicted standard deviations(RMSE < Pstd), indicating that accurate results werebeing shown by the model. Generally, both models
performed well for the prediction of average

Model performance evaluation
Numerous steps have been taken to ensure thatthe best model is properly used for each regulatory
application and that the model is not arbitrarily
imposed. Two types of performance measures are
identified: 1) measures of difference and 2)
measures of correlation.
Measures of difference represent a quantitative
estimate of the size of the differences between
predicted and observed values. Measures ofcorrelation indicate quantitative measures of theassociation between predicted and observed values[7]. In this study, performance of AERMOD was
examined for each case using the following
statistical parameters: Observed Mean (Omean),452

SEE-Mie, Japan, Nov. 19-21, 2015

year 2012 are 359 and 456 µg/m3 for AERMOD and
CALPUFF simulations, respectively. CALPUFF
also provides higher predicted maximum
concentration than AERMOD in the simulation yearof 2013 (AERMOD = 339 µg/m3, CALPUFF = 365µg/m3). Results of the maximum concentration ineach grid cell from simulation of both models areillustrated in Fig 2 and Fig 3. This finding indicatesthat the predicted maximum ground level
concentrations within modeling domain computedfrom AERMOD are slightly lower than thoseobtained from CALPUFF simulations.

concentration at every monitoring site; at least towithin the accuracy of the observations (standard
deviation). In general, it is found that AERMOD is
more accurate than CALPUFF (as determined byfraction bias and root mean square error). AERMOD
also provides better result than CALPUFF in
determining of robust highest concentration (RHC).
The RHC is preferred to the actual peak value andrepresents a rounded estimate of the highest
concentrations, based on a tail exponential fit to theupper end of the distribution. With this procedure,
the effect of extreme values on model comparison is
reduced [11]. Results from robust highest
concentration indicated that AERMOD provided
slightly better result in predicting extreme end of
SO2 concentration than CALPUFF (percentage ofoverall difference in RHC from AERMOD wasabout 33 % while this value from CALPUFF
prediction was about 35%). However, both models
do not perform well in predicting the extreme
concentration at station “A”. These results can be
explained by the fact that station “A” is located very
close to emission sources in the model simulations.
This assumption is supported by the conceptual
framework of a Lagrangian puff model which is
better suited for long range transport where winds
vary spatially across the model domain. Hence,
Lagrangian puff models may be preferable for dosereconstruction where model domains can be large
and where the assessment question is an unbiased
estimate of concentration in time and space [10].
It was found that the values of Fb calculated
from predicted data from both model were positive
values indicating under-prediction of the simulated
results. Good performance was identified with value
close to zero. The maximum Fb were found for
simulated data at station “A” while the best model
performances were found at station “B” (Fb = 0.21
and 0.35 for AERMOD and CALPUFF simulations,
respectively) as shown in Fig 1.
The maximum ground level concentrations ofsulfur dioxide within the modeling domain in the

Fig 1

Model performance evaluation using Fb

Table 1 Comparisons of model performance inpredicting high concentration (unit :µg/m3)

Model

RHC

Monitoringsitemeasuredpredicted

A
B
C
A
B
C

129.9491.54
24.47
129.9491.54
24.47

151.55
38.4
17.76
46.64
94.63
33.68

AERMODCALPUFF

Table 2 Comparisons of overall performance of the models using statistical analysis
Model

AERMODCALPUFF

Monitoring site
A
B
C
A
B
C

Omean

Pmean

(µg/m3)(µg/m3)

4.05
2.92
4.43
4.05
2.92
4.43

5.77
9.25
3.52
4.23
13.39
4.93

Ostd

Pstd

r2

RMSE

IOA

Fb

Fs

4.17
1.2
6.08
4.17
1.2
6.08

10.45
7.55
2.47
4.72
16.84
4.99

0.81
0.91
0.88
0.87
0.96
0.86

9.76
4.3
3.47
28.38
9.3
6.71

0.82
0.93
0.77
0.48
0.89
0.66

0.71
0.21
0.56
1.45
0.35
0.77

0.19
0.16
0.48
1.28
-1.34
-0.15

453

SEE-Mie, Japan, Nov. 19-21, 2015

Fig 2

Plot file of the highest 1-hr concentration of SO2 in µg/m3 (AERMOD result)

Fig 3

Plot file of the highest 1-hr concentration of SO2 in µg/m3 (CALPUFF result)

The decision to select an appropriate dispersion
model in the study is accomplish by using the MultiCriteria Attribute (MCA) analysis. MCA approach isa tool to calculate overall scores and rankings basedon the scores given for each individual option [12].
This assessment method does not try to monetize
everything, but to supply and unrefined view on the
many different dimensions of the multiple effects ofa certain policy/project option. In this study, 4
criteria are set for selection of the most appropriate

model. They are 1) availability of meteorological
data; 2) percentage of difference of measured andpredicted RHC; 3) index of agreement and 4)
factional bias. Each criterion is weighted as 25% of
the total score. Details of score given to eachcriterion are as described in Table 3. Availability of
meteorological data for using in CALPUFF model
was given as 50% while the meteorological data for
AERMOD was rated as 75%. In Thailand, thenumber and spatial distribution of meteorological454

SEE-Mie, Japan, Nov. 19-21, 2015

monitoring stations may be limited. Therefore, dataof observed wind characteristics varied spatiallyacross the model domain are insufficient for
CALPUFF simulation. Result of the MCA analysis
indicates that AERMOD is more appropriate choice
for model selection in this study as shown in Table 4.
It should be noted that even though the availabilityof meteorological data were weighted as the same
score for AERMOD and CALPUFF, total score of
MCA of AERMOD was still slightly higher than the
total score of CALPUFF.

simulations were shown to have less bias with thosemeasured results as compared with predicted datafrom CALPUFF and may be considered as theappropriate calculation for prediction of annual
average concentration. As for selection of
appropriate model, the multi criteria attribute (MCA)
analysis is applied here to assist as a decision toolfor evaluation. Result from MCA also supports thatAERMOD is more appropriate to be applied forstudy of air dispersion in this area than CALPUFF
system.

Table 3

Criteria and indicators for scoring

ACKNOWLEDGEMENTS% differencein RHC
0 - 2020 - 50
50 -7575 - 100>100

The authors sincerely thank the Pollution Control
Department for providing observed data used formodel performance evaluation in this study. This
study was partially supported for publication by the
China Medical Board (CMB), Faculty of Public
Health, Mahidol University, Thailand. We also
would like to thank the Faculty of Graduate Studies,
Mahidol University in providing us travel grant forthe presentation of this work.

Score
100
75
60
50
25
10

IOA
0.8 - 1.0
0.6 - 0.8
0.5 - 0.6
< 0.5

Fractional
bias
< 0.2
0.2 - 0.5
0.5 - 0.75
0.75 -1.0> 1.0

REFERENCES

Table 4 MCA analysis for the selection of
appropriate model
Criteria
Data availability(Meteorologicaldata)% Difference of
RHC
IOA

Score AERMOD CALPUFF
25

18.75

12.5

25

18.75

18.75

25

18.75

18.75

Fractional bias

25

15

12.5

Total

100

71.25

62.5

[1] U.S. EPA (United States Environmental
Protection Agency), 2014. Sulfur Dioxide.
http://www.epa.gov/airquality/sulfurdioxide/index.html. Accessed 30 January 2015
[2] Rood A, Performance evaluation of AERMOD,CALPUFF, and legacy air dispersion models
using the Winter Validation Tracer Study
dataset. Atmospheric Environment, 89, 2014, pp.
707–720.
[3] EPA., User’s guide for the AMS/EPA
regulatory model-AERMOD. USA, 2004.
[4] Cimorelli, A.J., Perry, S.G., Venkatram. A.,
Weil, J.C., Paine, R.J., Wilson, R.B., Lee, R.F.,
Peters, W.D., Paumier, J.O., AERMOD:
description of model formulation. U.S.
Environmental Protection Agency Report. EPA
454/R-03-002d, North Carolina, 2003, 85 pages.
[5] Scire J., Strmaitis D., and Yamartino R, A
user’s guide for CALPUFF dispersion model(ver.5). Earth Tech Inc.USA. 2000.
[6] Macintosh, D., Stewart, J., Myatt, T., Use of
CALPUFF for exposure assessment in a nearfield, complex terrain setting. Atmospheric
Environment. Vol 44, 2010,pp. 262-270.
[7] Kuma, A., Dixit, S., Varadarajan, C., Vijayan,A., Masuraha, A., Evaluation of the AERMOD
dispersion model as a function of atmosphericstability for an urban area. Environmental
Progress 25(2), 2006, pp.141 – 151[8] Pratt, G.C., Wu, C.Y., Bock., Adgate. J.L.,
Ramachandran, G., Stock, T.H., Morandi, M.,
Sexton, K., Comparing air dispersion model
predictions with measured concentrations of

CONCLUSIONSThe AERMOD and CALPUFF air dispersion
models are tested for their performance in predicting
ground level concentration of sulfur dioxide (SO2) inThailand. Emission data used in this study are
obtained from petroleum refinery complex.
Predicted results are compared with those measured
data using the year 2012 as a reference year. In thisstudy, measured data of ambient air concentration,
obtained from 3 monitoring stations on an hourly
basis were used for model validation.
A set of statistical parameters are employed toevaluate model performance. Overall results
indicated that both AERMOD and CALPUFF canprovide good results. However, AERMOD canperform better in predicting of extreme end of theconcentration distribution at the receptor sites.
Overall predicted results obtained from AERMOD
455

SEE-Mie, Japan, Nov. 19-21, 2015

VOCs in urban communities. Environmental
Science and Technology 38, 2004, pp. 19491959.
[9] US.EPA(UnitedStatesEnvironmental
Protection Agency), 1992. Protocol for
determining the best performing model. USA.
[10] Rood, A.S., Performance evaluation of
AERMOD, CALPUFF, and legacy air
dispersion models using the Winter Validation
Tracer Study dataset. Atmospheric Environment
89, 2014, pp.707-720.
[11] Chusai C, Manomaiphiboon K, SaiyasitpanichP, Thepanondh S. NO2 and SO2 dispersion
modeling and relative roles of emission sources
over Map Ta Phut industrial area, Thailand. J
Air and Waste Management Association 62(8),2012, pp. 932-945[12] Stockholm Environment Institute. Greenhousegas mitigation screening exercise for LEAP and
excel, 2012.

456

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

ON THE LONG-TERM VARIATIONS OF THE SURFACEHYDROGRAPHIC ANOMALIES IN THE NORTHERNHEMISPHERE
Ibrahim A. Maiyza, Tarek M. El-Geziry, Hussein I. Maiyza and Mohamed S. Kamel
National Institute of Oceanography & Fisheries, Alexandria, Egypt

ABSTRACT
Many researchers worldwide have spotted light on and concluded the cyclic nature of long-term marine
climatology variations rather than continuous increasing trends. The authors of the present study initiallyinvestigated these variations in the South-eastern Mediterranean Sea. Their results determined cyclic behaviour
and expanded the focal point of interest from local to regional scale depending on the cyclic occurrence of the
Nile drought and agreed with the detected 70-year cycle determined by other researchers. Using the linear andquadratic regression approaches, the present work aims at modelling the general long-term trend in the monthly
surface hydrographic anomalies (MSTA & MSSA), for 63 years (1948-2010), within the North Atlantic andPacific Oceans. The paper also compares the present results with that obtained by the same techniques andperiod at the same latitudes in the South-eastern Mediterranean Sea.The MSTA variations in the two oceans
reflect general linear increases (opposite to that in South-eastern Mediterranean Sea) and two quadratic concaveup (cyclic) forms with different magnitudes. The years of minimum occurrence in the two oceans precede that in
the South-eastern Mediterranean basin. The linear trends of MSSA are in contrast. While the North Atlantic
examined a general trend of increase (as in the South-eastern Mediterranean Sea), the North Pacific had a rate ofdecrease. The MSSA quadratic regression model of the former (as in the South-eastern Mediterranean basin)reflected a concave-up (cyclic) form, with same minimum occurrence in 1980, while the later did not show any
cyclic trend.
Keywords: North Atlantic Ocean; North Pacific Ocean; Surface Temperature; Surface Salinity; Anomalies

long-term trend of changes in the surfacehydrographic anomalies of the Northern Hemisphere
within the Atlantic and the Pacific Oceans. This iscarried out by applying the same techniques of linear
and quadratic regression approaches, which wereapplied by the authors in their previous research.
The paper also attempts to compare the results of thepresent study within both North Atlantic and North
Pacific Oceans with those at the same latitudinal
area in the South-eastern Mediterranean Sea; inorder to declare a more comprehensive relationshipbetween the three areas, considering that theMediterranean is an important marginal sea to the
Atlantic Ocean and the Pacific is a vital water bodybeing the largest ocean in the world.

INTRODUCTION
The long-term variation in the climatology ofmarine environment is one of the important issues
addressed by many researchers worldwide. This
involves studies on inter-annual, decadal and longer
time scales of the hydrographic and meteorologicalparameters, in relation to air-sea interaction
processes and fish catch. Examples of such research
include [1]-[18] and others. Many have spotted thelight on and concluded the cyclic nature in the longterm variations of the investigated phenomena rather
than the widely known concept of continuous
increasing trends.
On local scale, the authors of the present study
initially investigated the long-term variations in thehydrography [10],[11]; the climate [19]; the wind
pattern [14] and fish catch [20] in the South-eastern
Mediterranean Sea. Their results determined cyclic
behaviour in the changes of the studied parameters,
and expanded the focal point of interest from local toregional scale [6] depending on the cyclic
occurrence of the phenomenon of the Nile drought.
Moreover, their results came in agreement with thedetected 70-year cycle determined by otherresearchers worldwide, e.g. [21]-[25].
The present work aims at modelling the general

DATA AND METHODS OF ANALYSIS
Northern Hemisphere is represented andexamined in the present work through two water
bodies within the North Atlantic and Pacific Oceans.
Figure 1 shows the areas of investigation in thepresent work. Four grids of the size 5°x3° wereconstructed in the North Atlantic Ocean to cover thegeographical area extending between latitudes 30°
00’ and 33° 00’ N and longitudes 20° 00’ and 40°
457

SEE-Mie, Japan, Nov. 19-21, 2015

The same calculation has been performed for the
63-year data set of the surface salinity. The Monthly
Surface Salinity Anomaly (MSSA) is, therefore,
mathematically expressed as:∆S = S − S m(2)00’ W. Meanwhile, four grids of the size 10°x3°
were constructed in the North Pacific Ocean
covering the same latitudinal area but extend
longitudinally from 140° 00’ to 180° 00’ W.

Fig. 1

where,ΔS is the MSSA (°C),
S is the mean monthly surface salinity (mean for
specific month every year) andS m is the monthly mean surface salinity (mean for
specific month of all years).
The general trends of the variations in the MSTA
and in the MSSA within the two oceans,representing the Northern Hemisphere in the present
study, are examined using both linear and quadratic
regression approaches. The representative equations
for each regression model are generated and thetrends of variations are drawn. This technique waspreviously applied by the authors to examine thelong-term variations in the same surfacehydrographic anomalies in the South-eastern
Mediterranean Sea at the same latitudinal zone.

Grids within the North Atlantic and theNorth Pacific Oceans and the previous
investigated (same latitudinal zone) Southeastern Mediterranean Sea region.

RESULTS

Surface hydrographic data (temperature andsalinity) were collected for 61 years (1948-2008) of
surface temperature and for 63 years (1948-2010) of
surface salinity; in order to examine the long-term
variations in the surface hydrographic anomalies inthe specified areas within the two oceans. The data
have been selected, to cover the same period of theSouth-eastern Mediterranean file, from [26] databank and from [27] archive (2005-2010).
In the present work the surface layer is taken as
the mean for the upper 20 m layer [15],[28],[29]; inorder to compensate the diurnal variation.
The monthly anomalies of surface temperatureand of surface salinity have been calculated, forevery grid, in the two specified oceanic areas using
the same approach, described hereunder:
The mean monthly surface temperature over theperiod of 61 years and the monthly mean surface
temperature for every month in the whole data set
are calculated. This is essential in order to secure afull elimination of any daily or annual cycles’ effects
on the final calculations and results.
The deviation from the monthly mean iscomputed on monthly basis to express the Monthly
Surface Temperature Anomaly (MSTA), using thefollowing equation:∆T = T − Tm
(1)

Trends of Variations in the North Atlantic
MSTA:
Figure 2 shows the variations in the North
Atlantic MSTA over the period 1948-2008. The
general linear trend of variation reflects anincreasing trend with a rate of 0.011°C/month, i.e.
0.13°C/year. This is mathematically expressed by
the following Equation:y = 0.0112 x – 22.324(3)
On the other hand, the quadratic trend of theNorth Atlantic MSTA variations shows a parabolic
curvature, the minimum of which occurs in 1966.
The quadratic regression is expressed by thefollowing Equation:(4)
y = 0.0003 x2 – 1.3663 x + 1342.3
2.00

1.50

North Atlantic MSTA

1.00

0.50

0.00
1948

1951

1954

1957

1960

1963

1966

1969

1972

1975

1978

1981

1984

1987

1990

1993

1996

1999

2002

2005

2008

-0.50

-1.00

-1.50

where,ΔT is the MSTA (°C),
T
is the mean monthly surface temperature (°C,mean for specific month every year) andT m is the monthly mean surface temperature (°C,mean for specific month of all years)-2.00
Month/Year

Fig. 2458

Trends of variations in the North Atlantic
MSTA during the period (1948-2008).

SEE-Mie, Japan, Nov. 19-21, 2015

Trends of Variations in the North Atlantic
MSSA:

6

4

The regression models, which describe thevariations in the North Atlantic MSSA, aregraphically shown in Fig. 3. The linear trend reflects
a general increase in the surface salinity with a rateof 0.0037/month, i.e. 0.045/year. The linear trend ofvariations over the 63 years of investigation ismathematically expressed by the following
Equation:y = 0.0038 x – 7.5134(5)
On the other hand, the quadratic trend of the longterm variations in the North Atlantic MSSA isgraphically represented by a concave up parabola,
the minimum of which occurs in 1980. This ismathematically expressed by the following
Equation:y = 0.0002 x2 – 0.5973 x + 589.59(6)

North Pacific MSTA

2

1954

1957

1960

1963

1966

1969

1972

1975

1978

1981

1984

1987

1990

1993

1996

1999

2002

2005

2008

-6

-8
Month/Year

Fig. 4

The trends of variations in the North
Pacific MSTA during the period (19482008).

Trends of Variations in the North Pacific MSSA:
The linear trend of variations (Fig. 5) in the
North Pacific MSSA reflects a general decrease overthe study period (1948-2010) with a rate of 0.0013/month, i.e. -0.0156/year. The linear trend ofvariations of the North Pacific MSSA is expressedby the following Equation:y = -0.0013 x + 2.4815(9)
Lastly, the quadratic regression of the North
Pacific MSSA variations is represented by thefollowing Equation:y = -2E-07 x2 - 0.0003 x + 1.5506(10)
No cyclic behaviour can be detected for the
MSSA variations as shown in Figure (8). The
quadratic trend (Solid blue) tends to be almost
superimposable with the linear trend (Dashed red)over the period of investigation.

0.4

0.2
North Atlantic MSSA

1951

-2

-4

0.6

0
1948 1951 1954 1957 1960 1963 1966 1969 1972 1975 1978 1981 1984 1987 1990 1993 1996 1999 2002 2005 2008

-0.2

-0.4

-0.6
Month/Year

Fig. 30
1948

The regression models of the North
Atlantic MSSA during the period (19482010).

0.7

0.6

Trends of Variations in the North Pacific MSTA:

0.5

0.4

Figure 4 represents the monthly variations in the
North Pacific MSTA over the period 1948-2008.
The linear trend of variations reflects a very weakincrease in the MSTA over the period ofinvestigation with a rate of 0.004°C/month, i.e.
0.048°C/year. This is mathematically expressed by
the following Equation:y = 0.004 x -8.1455(7)
On the other hand, the quadratic regression modelof the North Pacific MSTA reflects a parabolic trendof variations, which can be expressed by thefollowing Equation:(8)
y = 0.0009 x2 -3.3719 x + 3341.1
The minimum occurrence of the North Pacific
MSTA was in 1982.

North Pacific MSSA

0.3

0.2

0.1

0
1948 1951 1954 1957 1960 1963 1966 1969 1972 1975 1978 1981 1984 1987 1990 1993 1996 1999 2002 2005 2008
-0.1

-0.2

-0.3

-0.4
Month/Year

Fig. 5

The regression models of the North Pacific
MSSA during the period (1948-2010).

DISCUSSION AND CONCLUSION
The present work aims at drawing the possible
long-term trends in the surface hydrographic
parameters, namely: temperature and salinity in the
Northern Hemisphere, taking two areas in the North
Atlantic and North Pacific Oceans as case studies.
This is carried out by investigating the variations in
the MSTA & MSSA on monthly basis and by using
the linear and quadratic regression model
approaches. This technique was previously applied
459

SEE-Mie, Japan, Nov. 19-21, 2015

by the authors to examine the long-term variations in
the South-eastern Mediterranean Sea in the same
latitudinal area.
The linear trends of variations of MSTA in thetwo oceans reflect general increases over the period
of investigation. However, the rate of increase in the
North Pacific is weak (0.004°C/month) incomparison to that in the North Atlantic(0.011°C/month). Moreover, the two quadratic
trends of MSTA in the two oceans reflect parabolic
forms, i.e. cyclic variations. The minimum
occurrence of MSTA varied between the two water
bodies being in 1966 for the North Atlantic and in1982 for the North Pacific.
The linear trends of MSSA are in contrast
between the two oceans. While the North Atlantic
examined a general trend of increase over the study
period (1948-2010) with a rate of 0.0037/month, theNorth Pacific had a decreasing rate of 0.0013/monthover the same period. This trend difference mightrefer to the interannual variability of ice melting,evaporation and rainfall process on the Pacific thanon the Atlantic.
From a quadratic point of view, the long-term
variations in the North Atlantic MSSA reflect aparabolic form, the minimum of which occurred in
1980. On the other hand, the quadratic regression
model of the monthly North Pacific MSSA did notshow any cyclic trend. Results reveal that thequadratic trend tends to be almost superimposablewith the linear one, which might reflect the absenceof cyclic variations or a very large cycle ofvariations, a tiny part of it, appeared in the present
research over the investigated period.
Looking at the same investigation approaches,
which were carried out in the South-eastern
Mediterranean basin for the MSTA [10] and MSSA
[11] in the same geographical (Latitudinal) zone, it
can be easily deduced that the linear variations in thesurface temperature anomalies have opposite trends.
While in the Northern Oceans there is a general rateof increase in the MSTA, the trend in the Southeastern Mediterranean Sea [10] is a decreasing one.
This may be attributed to the general closed basinmorphometry of the Mediterranean Sea. On theother hand, the rate of variations in the MSSA ispositive in both the North Atlantic and South-eastern
Mediterranean basin and negative in the North
Pacific Ocean.
The Quadratic trends reveal that, the years ofminimum occurrence of MSTA in the two oceans
precede that in the South-eastern Mediterraneanbasin. Moreover, while the quadratic trends of the
MSSA in both the North Atlantic and the Southeastern Mediterranean basin reflect cyclic behaviour
with minimum occurrence in the year 1980, no
apparent cyclic trend, during the present period ofinvestigation, can be detected within the Pacific
Ocean (Table 1).

Table 1 Comparison between linear rates of changes
in the North Atlantic and Pacific Oceans
and the South-eastern Mediterranean Sea
and the years of minimum MSTA & MSSA
occurrence for the quadratic trends

MSTA
MSSA
Year ofminimum
MSTA
Year ofminimum
MSSA

North
Atlantic
Ocean
0.011°C
0.0037
1966

North
Pacific
Ocean
0.004°C-0.0013
1982

SEMediterranean
Basin-0.06°C
0.031
1985

1980

----

1980

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978-5-85382-339-6, 2007 pp. 226.
[23] Maiyza IA, Continuous global warming or
progressive part of long-term temperature cycle:
Personal history with the problem, in:Environmental Pollution and its Relation to

Climate Change (Nova Publishers) 2011,
Chapter 20.
[24] Minobe S, “A 50-70 year climatic oscillation
over the North Pacific and North America”,
Geophys. Res. Let., Vol. 24, 1997, pp. 683-686.
[25] Schlesinger ME and Ramankutty N, “Anoscillation in the global climate system of
period 65-70 years”, Nature, Vol. 367, 1994, pp.
723-726.
[26] http://odv.awi.de/en/data/ocean/[27] http://apdrc.soest.hawaii.edu/projects/Argo/data/gridded/On_standard_levels/Monthly_mean/1x
1/2013/m12/index_grd-bin.html[28] Soloviev A and Lukas R, The near-surface
layer of the ocean: Structure, dynamics andapplications, (Springer, The Netherlands), 2006,
pp. 572.
[29] Maiyza IA, Said MA and Kamel MS, “Sea
Surface Temperature Anomalies in the South
Eastern Mediterranean Sea”, JKAU: Mar. Sci.
Vol. 21(1), 2010, pp. 151-159.

461

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

ANAEROBIC DIGESTION OF COMMON (INVASIVE) WEED SPECIES(CO-DIGESTION WITH MANURE):
A LITERATURE REVIEW

Author Name, Jamal Algraeo
School of Biosciences, University of Nottingham, United Kingdom

ABSTRACT
Anaerobic digestion, biogas and biomass have been defined in this literature review, the historic backgroundof AD is presented and conditions and variables that influence AD are investigated. These include solid content,
retention time and temperature. In addition to the standard practice of using manure for biogas production, othersources of biomass may be utilized such as aquatic and terrestrial plants. Aquatic weeds are classed as two kinds,
which are marine weeds and freshwater weeds, while terrestrial weeds are divided into several sections:wastewater crops, leaves and grasses. Over 100 types of biomass have been tested as sources of biogas andresults reported in many studies. Some examples have been highlighted in this paper. Generally, the methane
concentration within the biogas produced ranged from 50% to 70% and the carbon dioxide from 30% to 50%.
Anaerobic digestion has several benefits such as biogas production which can be used for electricity generation,
heating and cooking or as fuel for vehicles. A byproduct of AD is digestate, a nutrient rich slurry that can beused as a high quality fertilizer. The EU has set a fixed aim that about 20% of European energy needs to comefrom renewable energy systems (RES) provided from farming and forestry by 2020. At least 25% of bioenergy
in future will be produced from wet organic material such as cattle dung, waste crops, waste food and weeds.

Keywords: Anaerobic Digestion, Biogas, Biomass, Digestate, Co-digestion.

1.

anaerobic digestion (AD) is, how biogas is produced,
what the biogas production stages are, the types ofbiomass used in the production process of this gas
and attempt to find out whether it is possible toproduce economically feasible biogas from varietiesof plants that have not been tried before. This
literature review is outlined as follows: introduction,
conception of AD, history and background of AD,
common biomass types and conclusion. Manure canbe the most important material for biogas generation
either as a single substrate or when co-digested withother material because of the presence of
decomposer and methanogenic bacteria.

INTRODUCTION

Biogas is defined as “gas rich in methane, which
is produced by the fermentation of animal dung,human sewage or crop residues in an air-tightcontainer” [1]. Biogas is produced in practically all
landfills containing biomass and by anaerobic
digesters that treat organic wastes. Biomass isdefined as “contemporary plant matter formed byphotosynthetic capture of solar energy and stored as
chemical energy” [2]. Biogas is the gas resulting
from fermentation of biodegradables such as animal
manure, sewage, weeds and energy crops. This typeof biofuel is primarily composed of methane andcarbon dioxide; in addition it contains a small
percentage of other gases. Methane gas has many
purposes, for instance heating, cooking andelectricity. Also, biogas can be compressed,
compared to natural gas, and is used in vehicles toprovide mechanical energy. Interest in renewableenergy sources has been growing due to the decreasein oil production and rising oil prices. Therefore,
biogas will be one of the most significant renewablesources over the coming decades [3].

2. HISTORY OF ANAEROBIC DIGESTION
Historical information indicates that the AD
process is one of the oldest technologies known. By
1859 industrialization of AD had started in India
with the first digestion process and biogas wasproduced from wastewater for the first time by
Mouras from France, who invented a septic tank in1860 named the ‘automatic scavenger’. In 1895
biogas was generated from wastewater in Englandby Cameron, who constructed a tank similar to theautomatic scavenger; however, it resulted in better

The purpose of this paper is to show what462

SEE-Mie, Japan, Nov. 19-21, 2015

treatment and Cameron named it the ‘septic tank’.
As a result of the success achieved in using thesetanks, the local government in Exeter (England)
approved the treatment of the entire city’s
wastewater by these septic tanks [4]. Therefore,
Exeter used this biogas for electricity production forstreetlamps. Although the bacteria and conditions
promoting methane production were identified in the1930 [5], production of methane gas from plant
species by AD has only been known about since the1970s. This in general, gave great hope forgenerating clean, methane-rich energy on a large
scale and to also remove harmful herbs, waste andbiodegradable municipal solid wastes (MSW) thatcause environmental pollution [6].

from 22-40%.
3.2. Temperature
In the majority of AD processes temperature
should be maintained relatively constant to sustain
the rate of gas production. However, the temperature
optimum depends on the type of organic materialand composition of the digester. AD can work at two
temperature ranges: (1) thermophilic conditions,which are from 50°C and 65°C (averaging 55°C)
and (2) mesophilic conditions, between 20°C to
45°C, usually 35°C. Mesophilic digesters need lessheat input and are less sensitive to operating andenvironmental changes; however, they are lessefficient in terms of retention time, loading rate andnominal gas production than thermophilic ones [5].

Anaerobic digestion (AD) is now the main
producer of biogas in all countries of the world. AD
consists of using a tank into which is put
biodegradable organic materials (weeds, food scraps,
manure, crops, etc.). The organic materials degrade
through bacterial decomposition in the absence ofoxygen and a result of this process is a biogas thatcan ultimately be fed to a CHP unit to produce
electricity and heat, while organic material istransformed into high-quality compost (Fig. 1).
Resulting from this process is a mixture of methaneand carbon dioxide. In addition, a natural fertilizer inslurry form is produced. The output gas is collected
in a tank, the volume of which is estimated at
between 1.5 and 2.5 times the digester size. For
example, if we assume that the size of the digester isa thousand litres, the output volume of gas is about
1,500 to 2,500 litres. However, the proportion of
methane varies depending on the feedstock used, but
the ratio generally ranges from 50% to 70% methaneand 30% to 50% carbon dioxide; in addition, a small
concentration of other gases such as hydrogensulphide may be present. Various appliances can befueled by biogas, with stoves offering an application
appropriate for deployment in developing countries.
Now, there are about four and 27 million biogas
plants in India and China respectively [7].

3.3. Retention time
Retention time is the time that is needed tocomplete the degradation processes of the raw
material. The retention time varies between
thermophilic and mesophilic digesters, with thelatter ranging between 15 and 30 days, andthermophilic digesters from 12 to 14 days [5].
3.4. Rate of acidity (pH)pH affects the methanogenesis and acidogenesisstages and it is different for both stages. The pH rate
decreases when acetic, lactic and propionic acids areformed during the acidogenesis stage; a declining
pH is usually buffered by the systems, but if it falls
below 6.4 methanogenesis is inhibited and methane
will not be produced. Therefore, the optimal pH
range for methanogenesis is between 6.6 and 7.0 [8].
3.5. Ratio of carbon to nitrogen (C:N)
The ratio of carbon to nitrogen present inbiomass is expressed as C:N; the optimum ratio of
C:N in the process of biogas production is from 20
to 30. Increasing C:N will result in a rapid
consumption of nitrogen and leads to lower gas
production; while a decreased C:N leads to an
accumulation of ammonium and increasing pH,
which limits methanogenic bacteria. Avoiding allthese problems should be achieved by mixing wastes
of low and high C:N; for instance, mixing organic
solid waste with cattle dung or wastewater [5].

3. CONDITIONS AND VARIABLES
INFLUENCING AD
Many steps and conditions must be followed
when using AD to complete the biogas production
process successfully; the main conditions are
discussed in the following sections.

3.6. Mixing
Mixing improves connections between microorganisms and organic waste; in addition, it
improves the nutrient availability to the microbialcommunity. Mixing also prevents scum emergenceand temperature development in AD. However,over-mixing can impede and/or disrupt the microorganisms.

3.1. Solid content
Three ranges of solid content are selected: lowsolids (LS), medium solids (MS) and high solids(HS). In the LS case the AD systems contain lessthan 10% total solids, while in the MS case, AD
contains between 15-20% and for HS, it contains

3.7 Organic loading rate (OLR)/volatile solids
(VS)
463

SEE-Mie, Japan, Nov. 19-21, 2015

Organic loading rate (OLR) is related to the AD
feeding system; it is a measure of the biologicalconversion ability in the digester, therefore a high
OLR results in system failure and is expressed in
kilograms of chemical oxygen demand (COD) or
volatile solids (VS) per cubic metre of the reactor.
OLR has a relationship with retention time andvolume of AD. The value for VS is obtained fromcomplete combustion of organic waste, therefore VS
represents organic material in the sample that ismeasured as solid content minus ash content. So, VS
includes biodegradable volatile solids (BVS) andrefractory volatile solids (RVS). Therefore, a high
VS content with low RVS should be suitable for AD.

Lignocellulosic material in particular, which
would otherwise take up unnecessary space in thedigester and decrease the digestion efficiency may
need to be pre-treated prior to digestion. Pretreatment is an old and important process for making
recalcitrant materials easier to degrade. Additionally,
pre-treatment provides a uniform feedstock of small
particle size resulting in efficient digestion andprotecting the downstream plant from material that
may cause physical damage. Organic solids can be
more accessible and degradable to microorganisms
following pre-treatment [9]. For instance, if weeds
and other plant materials are shredded a morehomogeneous feed stock is produced. Many weed
species need pre-treatment because they containsignificant amounts of woody lignin which isdifficult to degrade. However, this difficulty does
not necessarily reduce the value of the digestate
produced, although a pre-treatment step may
increase the cost of methane production [5].
5. COMMON BIOMASS TYPES
Attention given to biogas production fromorganic material has recently increased. About 100
types of plants as valid sources of biogas have been
explored, such as aquatic and terrestrial weeds,
wood, crops, leaves and grasses. All these types
have been tested by AD for methane potential andthe experiments emphasized that many species ofplants have good digestion properties either before
or after pre-treatment. Many studies also emphasize
the urgent need to evaluate unexplored genera ofplants as sources of methane production [2].

Fig. 1. The key inputs and outputs of anaerobic
digestion. Source: LeoGroup Ltd. recycling
company web page.

4. ANAEROBIC CO-DIGESTION
Anaerobic co-digestion occurs when different
organic wastes are combined to produce a feedstockthat is more balanced, degradable and assorted interms of nutrients [9]. The co-digestion process has
several benefits such as: mitigation of potentially
toxic compounds, providing a buffer capacity to the
mixture, expanding the range of bacterial strains
taking part in the process, modifying humidity and
pH and increasing the degradable material content[9]. Co-digestion should be passed through fourstages: pre-treatment, digestion, gas upgrading anddigestate treatment [5].

5.1. Manure
The increase and intensification of animal
production is one of the most significant aims for
Europe and developed countries. Increasing
livestock production is always accompanied byplenty of cattle dung and a surplus represents a
serious threat to the environment. Therefore, large
quantities of dung need to be effectively andappropriately managed.
Arguably the best method for manure
management and disposal of surplus animal manure
is to treat it by AD, to produce biogas and the finest
types of compost. The EU has set a fixed aim thatabout 20% of European energy needs to come fromrenewable energy systems (RES) provided fromfarming and forestry by 2020. At least 25% of
bioenergy in future will be produced from wetorganic material such as cattle dung, waste crops,
waste food and weeds [11].

Many experiments and studies prove that biogas
yields by anaerobic co-digestion are higher than for
AD utilizing a single-feedstock. For example,
wastewater sludge was digested by Luostarinen et al.
[10] along with grease trap waste taken from a meatprocessing plant; reactor experiments wereconducted at 35°C. Addition of grease to sewage
sludge resulted in higher methane production (918
m3/t VS added) than from the sewage sludge alone.
However, at high grease trap waste additions (55%
and 71% of VS feed) methane production either
remained the same or decreased [10].

5.2. Aquatic weeds
In a two-stage rumen-derived AD process carriedout by Kivaisi and Mtila [12], biogas was generated
from water hyacinth shoots and from a mixture of

4.1. Pre-treatment464

SEE-Mie, Japan, Nov. 19-21, 2015

shoots and cow dung in a ratio of 7:3 respectively.
The degradation efficiency for the shoots alone was
38% and 43% for the shoot/dung mixture. Overall, a
10% increase in digestibility of the water hyacinth
was observed in the mixture. Increasing the loading
rate to 15.4 g VS/l/d from 11.6 g VS/l/d enhanced
degradation of the feedstock. The authors suggested
that the increased degradation of water hyacinth in
mixture was due to solubilization of low molecularweight lignin rather than lignin degradation per se.
The average biogas yield was 0.44 l/g VS digested
across the experimental treatments and the authors
concluded that the high loading rate and relatively
short retention time required (90 h) is indicative thata small volume reactor is suitable for the feedstock
studied [12].

source for methane production [15].
Hassan Dar and Tandon [16] evaluated biogas
production and quality from pre-treated wheat straw,
Lantana residues, apple and peach leaf litter withlivestock manure (1:1, w/w at 10% slurry level).
Crop residues produced methane as follows:
Lantana, 63.6%; apple leaf litter, 59.6%; wheat
straw, 58%; peach leaf litter, 57.7% and cattle dung,
56.6%. The digestion efficiency (biogas/g dry
matter) was 31-42% higher than that of the cattle
dung [16]. Pre-treatment was done by addition of
1% NaOH for seven days and it improved microbial
digestibility and biodegradability during anaerobic
fermentation at ambient temperature (28-31◦C).
Twofold increases in organic matter degradability
and biogas production were achieved as a result.

5.3. Marine biomass
Although marine plants and algae are an
important source of biomass, reports of their use forbiogas generation are limited [13], yet generating
biogas from marine plants is economically feasible.
Marine algae, Macrocystis pyrifera and Durvillea
antarctica and their blend, 1:1 (w/w), were
anaerobically digested at laboratory scale by
Vergara-Fernandez et al. using a two-phase AD
system, an anaerobic sequencing batch reactor(ASBR) and an upflow anaerobic filter (UAF). Eachalgal species and the blend of both produced similar
biogas volumes (average of 180.4±1.5 ml/day/g drywt.), which consisted of 60-70% methane. The
similarities between the species were attributed totheir comparable elemental concentrations [13].

Parawira et al. [17] batch digested potato waste
either alone or with sugar beet leaves at thelaboratory scale using anaerobically digested sewage
sludge as an inoculum. During their experiments, thetotal solids were maintained at 40% which gave thehighest methane yield when potato waste wasdigested on its own. The mixtures were obtained by
reducing potato waste from 40% TS to 0% TS andsimultaneously increasing the sugar beet leaves from
0% to 40% TS. Co-digestion of the two wastes
resulted in higher methane yields. Methane
production increased by 31-62% compared to potato
waste alone and by 6-31% relative to sugar beetleaves alone. The authors interpreted thisimprovement as a result of additional nutrients being
present in the mixture compared with each species
alone. They suggested that a high inoculum-tosubstrate ratio was necessary for maximum methane
production.

5.4. Crops
In India, nine types of crop waste and common
weeds were experimented with to produce biogas(banana stem, maize stover, rice straw, wheat straw,
sugarcane bagasse, water hyacinth, Cannabis sativa,
Croton sparsiflorus and Parthenium hysterophorus).
The plant waste from each species was incubatedindependently, but each with 200 ml of cow dungslurry. The bottle tops had closed gas outlets andthey were incubated at room temperature (30-35°C)
for eight weeks. After 60 days of digestion there
appeared a decline in the carbon content, which
varied from 17% to 13%. Production of methane andcarbon dioxide led to the organic carbon loss. The
highest amount of methane was produced frombanana stem (118.65 l/kg total solids (TS)). The
other crop wastes and weeds produced between
90.26 and 100.07 l/kg TS [14].

5.5. Tree leaves
Trees produce a large amount of leaf material
which could be utilized for biogas production. Many
types of tree leaves have been tested as a substrate
for biogas production in several countries. Gliricidia
is a tree grown in India and is used as a green-leaf
manure. Gunaseelan [18] digested Gliricidia leaves
at 32±3°C in laboratory digesters using
anaerobically digested cattle manure as the inoculum.
The feedstock produced a methane yield of 165-180
ml/g VS added with a VS reduction during theprocess of 37-39%. Increases in N, P and K of 32%,
8% and 28% respectively (averaged acrosstreatments) were reported in the anaerobic digestate
relative to the undigested green-manure.
5.6. Grasses
Grasses are some of the more widespread natural
plants, because they grow in each region that offers
natural climatic conditions without any effort
provided by humans. Grass is generally
underutilized with the exception of livestockThree crops, maize, hemp and faba bean were
tested by Pakarinen et al. [15]. Methane production
was 379±16 l/kg VS from maize, 387±20 l/kg VS
from faba bean and 239±9 l/kg VS from hemp.
However, when accounting for the crop yield per
hectare, maize is the best productive raw material
465

SEE-Mie, Japan, Nov. 19-21, 2015

farming and is therefore a potentially sustainablesource of biogas. Tests to date have demonstrated
that grasses can efficiently be used for the
production of biogas. Fernandes et al. [19] pretreated three plant species, two of which were
grasses (hay and straw) in addition to bracken, for
40 days with calcium hydroxide, ammonium
carbonate and maleic acid. The pre-treatments (apartfrom calcium hydroxide) generally increased theammonium and phosphate concentrations of thesubstrates due to hydrolysis. Whilst the pretreatments of straw and bracken enhanced
biodegradability during subsequent anaerobic
digestion, no effect was observed for hay. Therefore
hay (dried grass) can be satisfactorily anaerobicallydigested without the need for pre-treatments [19].

[23] and is an appropriate material for co-digestion.
According to 2007 statistics, Libya hasapproximately 280,000 hectares of olive planted area,and produces about 157,500 tonnes of olives.
6. CONCLUSION
Anaerobic digestion, biogas and biomass havebeen defined in this literature review, the historicbackground of AD was presented and conditions andvariables that influence AD were investigated. These
include solids content, retention time andtemperature. In addition, types of biomass used forbiogas production by AD were considered such as
manure, crop residues, tree leaves, aquatic andterrestrial weeds and grasses. Over 100 types ofbiomass have been tested as sources of biogas andtherefore only a sample can be discussed here.
Generally, the concentration of methane within the
biogas ranged from 50-70% and carbon dioxidefrom 30-50%. It is evident that there is great
potential for using a range of different plant species
as co-digestants within AD systems.

6.3. Potential for use of other species
One note of caution when digesting plant species
is to ensure that none is toxic, either to the AD
process or as residues within the resulting digestate.
Saini et al. [20] anaerobically digested fresh and pretreated (aerobically decomposed) Lantana camara
leaves with cattle dung at 35oC for 50 days.
Treatments containing fresh leaves did not produce
any biogas, but when mixtures consisted of 25% pretreated leaves and 75% cattle dung, or 50:50 pretreated leaves and dung, biogas production was
8.37% and 60.7% higher respectively than for dungalone. The treatment containing 75:25 pre-treated
Lantana:dung did not yield any biogas.

7. REFERENCES[1] Hilkiah Igoni, A., Ayotamuno, M., Eze, C.,
Ogaji, S. and Probert, S. (2008). Designs ofAnaerobic Digesters for Producing Biogas from
Municipal Solid-Waste. Applied Energy 85 (6),430-438.
[2] Gunaseelan, VN. (1997). Anaerobic digestion of
biomass for methane production: A review.
Biomass and Bioenergy, 13(1-2), 83-114.
[3] Appels, L., Lauwers, J., Degrève, J., Helsen, L.,
Lievens, B., Willems, K., Van Impe, J. and
Dewil, R. (2011). Anaerobic Digestion in
Global Bio-Energy Production: Potential andResearch
Challenges.
Renewable
andSustainable Energy Reviews 15 (9), 4295-4301.
[4] Abbasi, T., Tauseef, S. and Abbasi, S.
(2012) Biogas Energy. New York, NY: Springer.
[5] Monnet, F. (2003). An Introduction to
Anaerobic Digestion of Organic Wastes. In:
Remade Scotland, Biogasmax, Final Report.
[6] Abbasi, T. and Abbasi, S. (2010). Production of
Clean Energy by Anaerobic Digestion of
Phytomass - New Prospects for a Global
Warming Amelioration Technology. Renewable
and Sustainable Energy Reviews 14 (6), 16531659.
[7] Bond, T. and Templeton, M. (2011). History
and Future of Domestic Biogas Plants in theDeveloping World. Energy for Sustainable
Development 15 (4), 347-354.
[8] Appels, L., Baeyens, J., Degrève, J. and Dewil,
R. (2008) Principles and Potential of theAnaerobic Digestion of Waste-Activated

There is much untapped biomass that has
potential for use in AD systems, for example,
Posidonia oceanica which is an endemic seagrasscovering vast areas of the sea bottom between
seawater surface and 35m depth [28]. It grows in
tufts and has green leaves reaching up to 1.50 m inlength. A great amount of P. oceanica residue isthrown annually onto the shore and is a particular
problem along the Mediterranean coast [21] where it
causes environmental, social and health problems
which also affect tourism and the economics of theregion. These problems can be solved by using P.
oceanica as a substrate in AD. A biodegradability
analysis confirmed that P. oceanica is efficiently
biodegraded and can be recommended as a feedstock
for co-digestion [22]. Libya which is located on the
Mediterranean Sea and has about 2000 km ofbeaches that suffers from P. oceanica encroachment;using the material for biogas production will be thesolution for these problems [22].
There are many other potential sources of biomass
that are worth of consideration. For example, theflesh of olives derived from the solid waste of olive
mills, which is a mass of dough consisting of olive
peel and crushed seeds after olive pressing. Oliveflesh has a content of about 65% of olive weight466

SEE-Mie, Japan, Nov. 19-21, 2015

Sludge. Progress in Energy and Combustion
Science 34 (6), 755-781.
[9] Esposito, G., Frunzo, L., Giordano, A., Liotta,
F., Panico, A. and Pirozzi, F. (2012) Anaerobic
Co-Digestion of Organic Wastes. Reviews inEnvironmental Science and Bio/Technology 11(4), 325-341.
[10] Luostarinen, S., Luste, S. and Sillanpää, M.
2009. Increased Biogas Production at
Wastewater Treatment Plants through Codigestion of Sewage Sludge with Grease Trap
Sludge from a Meat Processing Plant.
Bioresource Technology 100(1), 79-85.
[11] Holm-Nielsen, J., Al Seadi, T. and OleskowiczPopiel, P. 2009. The Future of Anaerobic
Digestion and Biogas Utilization. Bioresource
Technology 100(22), 5478-5484.
[12] Kivaisi, A. and Mtila, M. (1997). Production of
Biogas from Water Hyacinth (Eichhornia
crassipes) (Mart) (Solms) in a Two-stage
Bioreactor. World Journal of Microbiology andBiotechnology, 14 (1), 125-131.
[13] Vergara-Fernandez, A., Vargas, G., Alarcon, N.
and Velasco, A. (2008). Evaluation of Marine
Algae as a Source of Biogas in a Two-Stage
Anaerobic Reactor System. Biomass andBioenergy, 32 (4), 338-344.
[14] Thakur, S. and Singh, K. (2003). Anaerobic
Digestion of Agricultural Wastes and Weeds for
Biogas Production. Annals of Biology 19, 245249.
[15] Pakarinen, A., Maijala, P., Stoddard, F.,
Santanen, A., Tuomainen, P., Kymäläinen, M.
and Viikari, L. (2011). Evaluation of Annual
Bioenergy Crops in the Boreal Zone for Biogas
and Ethanol Production.
Biomass andBioenergy 35 (7), 3071-3078.
[16] Hassan Dar, G. and Tandon, S. (1987). Biogas
Production from Pretreated Wheat Straw,
Lantana Residue, Apple and Peach Leaf Litter
With Cattle Dung. Biological Wastes, 21 (2),75-83.
[17] Parawira, W., Murto, M., Zvauya, R. andMattiasson, B. (2004). Anaerobic Batch
Digestion of Solid Potato Waste Alone and in
Combination
with
Sugar
Beet
Leaves. Renewable Energy, 29 (11), 1811-1823.
[18] Gunaseelan, VN. (1988) Anaerobic Digestion of
Gliricidia Leaves for Biogas and Organic
Manure. Biomass, 17 (1), 1-11
[19] Fernandes, T., Klaasse Bos, G., Zeeman, G.,
Sanders, J. and van Lier, J. (2009). Effects ofThermo-Chemical Pre-Treatment on Anaerobic
Biodegradability
andHydrolysis
of
Lignocellulosic
Biomass.
Bioresource
Technology 100 (9), 2575-2579.
[20] Saini, R., Kanwar, S., Sharma, O. and Gupta, M.
(2003) Biomethanation of Lantana Weed andBiotransformation of its Toxins. World Journalof Microbiology and Biotechnology, 19 (2),
209–213.
[21] Gacia, E., Invers, O., Manzanera, M.,
Ballesteros, E. and Romero, J. (2007) Impact of
the Brine from a Desalination Plant on a
Shallow Seagrass (Posidonia oceanica)
Meadow. Estuarine,
Coastaland
Shelf
Science 72 (4), 579-590[22] Plis, A., Lasek, J., Skawińska, A. andKopczyński, M. (2014). Thermo-Chemical
Properties of Biomass from Posidonia
oceanica. Chemical Papers 68 (7), 879-889.

467

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

WATERPLANT PURIFICATION OF EUTROPHICATED WATER IN
EXPERIMENTAL MESOCOSM SYSTEM WITH LONG-TERM
OBSERVATION

1

Kazuhito Murakami1 and Akiko Inoue-Kohama2
Department of Life and Environmental Sciences, Chiba Institute of Technology, Japan; 2Department ofEnvironmental Energy, Tohoku Institute of Technology, Japan

ABSTRACT
To compare the ability of water purification as N, P, COD and Chl.a removal, 8 mesocosm systems were
established and observation was conducted for 4 years. Results obtained were as follows; 1) In all treatedmesocosm system, Aoko (Microcystis aeruginosa and Anabaena spiroides) did not appear, 2) CaO sprinkling
treatment showed the most effect for water purification with P-elution controlling in long-term observation, but
bio-diversity for phytoplankton and zooplankton became poor because of its too purificated water body, 3) MgO
sprinkling treatment showed long-term effective P-elution control, and phytoplankton flora was not so poor asthat in CaO sprinkling treatment, 4) Large size zooplankton such as Philodina erythrophthalma and Brachionus
angularis, were observed in case of water glass purification system, because of the structure of water plant roots
for rich niche construction, 5) The diversity index (Shannon Index; H’) for phytoplankton flora was higher undercomplicated community structure such as phytoplankton, zooplankton and water plants, 6) Water plant
purification system was disturbed by birds as predator, that is, immigration birds such as Anas platyrhynchos ate
water plants and supply their excrement to water, so positive maintenance is important to keep this system inorder, and 7) Hybrid treatment system did not show the hybrid effect on water purification, so it considered
important that environmental improvement level should be optimized.
Keywords: Chemical remediation materials, Mesocosm, Phytoplankton, Waterbloom, Waterplantis one of the most famous beach resort zone in Japan,
facing to the Pacific ocean. The climate is calmthrough a year, and it’s cool in summer and warm in
winter. Fishery and farming is prosperous.
Thousands of people visit to this beach resort
especially in summer, because of its closeness from
Tokyo metropolitan and Narita International Airport.

INTRODUCTION
The Hasunuma seaside park, is locating in
Kujyukurihama Coastal Line in Chiba prefecture,
Japan, where is the very famous long beach crowdedwith many attendance person/tourists, especially insummer season. However, as an eutrophication has
been progressed in recent years in this park pond,
Aoko, the water bloom of harmful cyanophyceae,
such as Microcystis aeruginosa and Anabaena
spiroides, became observed in every summer. It is
important that the basic information about thesuccession of phytoplankton community forprevention the eutrophication of water environment[1][2]. In this study, water quality improvement bywaterplant was investigated using experimental
mesocosm
system.
Waterplant
purification
technology is expected as one of the most efficientmethod from the viewpoint of cost and the impact tonatural ecosystem [3]. Four years experiment andobservation was conducted to compare thewaterplant purification and chemical remediationmaterials for their ability of water purification.

Outline of Hasunuma Seaside Park Pond
Outline of Hasunuma seaside park pond is shownin Fig.1. The surface area of this pond is about
10,380m2, and the pond capacity is about 7,000m3.
Hasunuma village is so influenced on the Kuroshio
current (the Japanese current) that the climate iswarm and much rain with an average air temperature
is about 14.7℃ and a rainfall is about 1,224mm. The
park area is 38.3ha, pond volume is 6,747m3, andwater depth is 0.65m in average. As for in the waterof this boat pond excessive the collection water andthe phosphor acid from the surroundings/the springwater from the Pacific Ocean that contains 1.0-1.5
mg/l of PO4-P, the eco-balance which can beindicated as N/P mass ratio in this pond is under P
surplus condition [4]. Phytoplankton requires N and
P as their nutrient salts for its growth, and it isenough for water bloom forming cyanophyceae, that
is Aoko, to grow massive in this pond.

MATERIALS AND METHODS
Outline of Kujyukurihama Coastal LineKujyukurihama coastal line (about 55km length)468

SEE-Mie, Japan, Nov. 19-21, 2015

Design of Experimental Mesocosm
To investigate waterplant purification possibility
to eutrophicated water bodies, experimental
mesocosm system (2m×2m×0.5m) were set up in
eutrophicated brackish park pond locating
Kujyukuruhama coastal line, Japan. The outline ofmesocosm system was shown in Fig.2. This park
pond is so much eutrophicated that massive Aoko
formed by Microcystis aeruginosa and Anabaena
spiroides appear every summer. This phenomena
leads many problems to citizen as water use [5]. To
compare the ability of water purification as N, P,
COD and Chl.a removal, eight mesocosm systems
were established. Those are; Run 1: control (water
only), Run 2: control (water and sediment), Run 3:
chemical remediation materials (MgO) sprinkled,
Run 4: chemical remediation materials (CaO)
sprinkled, Run5: waterplant treatment (Eichhornia
crassipes), Run6: waterplant treatment (Nasturium
officinale), Run7: hybrid treatment (MgO +Eichhornia crassipes), and Run8: hybrid treatment(MgO + Nasturium officinale). These experimental
series were shown in Table 1. Experimental culture
was started in Aug.2003, and continued to 2007 (4years long). Sampling was conducted once a month,and water quality analysis was conducted inlaboratory as soon as possible. Parameters foranalysis were pH, DO, Cl-, T-N, NO3-N, NO2-N,
NH4-N, T-P, PO4-P, COD, Chl.a, phytoplankton
flora and zooplankton fauna.

Fig.1 Outline and location of Hasunuma seaside
park pond

Fig.2 Outline of experimental mesocosm system

Table 1 Experimental series in this study

Restraint Mechanism
Waterplant purification
Waterplant purification technology is considered
as one of the bio-environmental engineering
technology [3]. There has been much experimentand discussion about this technology, and thecharacteristics for water purification of waterplant
species were made clear [6]. Eichhornia crassipes iswidely known as one of the harmful waterplant as its
irregular growth in eutrophicated water bodies
against navigation of fishery and so on. On the other
hand, its ability for adsorption of nutrient salts isvery high, and it expected to be very essential forwater purification under optimum treatment.
Nasturium officinale is known as one of the famousplant for food. It is also utilized in biotope (forexample, Lake Kasumigaura, Japan) to purify lakewater. These two waterplant are shown in Fig.3. The
mechanism for water purification of these waterplant
is considered as i) adsorption of nutrient salts, ii)
shade of sun light and iii) allelopathy effect.

a) Eichhornia crassipesb) Nasturium officinale

Fig.3 Waterplant applied to water purification

Fig.4 Chemical remediation material
469

SEE-Mie, Japan, Nov. 19-21, 2015

The quantity of waterplant was adjusted as
0.25kg/m2 of Eichhornia crassipes and 0.5kg/m2 of
Nasturium officinale, respectively.

mesocosms. This phenomena is due to theeutrophication of water quality in Run 2, that is,
control. Though the restraint of COD and that of
Chl.a showed almost same succession pattern, thismeans COD is depending on Chl.a which indicates
phytoplankton quantity. That is, the organic matter
existing in water in mesocosm system is considered
to be mainly phytoplankton.

Chemical remediation materials
Chemical remediation means the purification
technology for eutrophicated sediment using somechemicals such as MgO, CaO and so on [7]. The
most efficient merit of this technology is inmaintenance-free and low cost. On the other hand,
this method has demerit as large impact toecosystem. For example, CaO fixes PO4-P
effectively, but washes out NH4-N from sedimentlayer at the same time. In addition, it makes pH
higher, and not only microorganisms but also fish,
waterplant, macrobenthos and so on are damaged.
The optimum pH for MgO and CaO reaction is 7
and 9, respectively. The quantity of chemical
remediation materials in this study was adjusted as
1kg/m2 of MgO and 0.5kg/m2 of CaO, respectively.
The quantity of these chemicals was determinedwith consideration of the optimum quantity to obtain
most effective restraint of nutrient elution fromsediment layer. The chemical remediation materials
were shown in Fig.4. The chemical reaction of thesechemical remediation materials are described below.

Succession of Biota in Mesocosm
In all treated mesocosm system, Aoko
(Microcystis aeruginosa and Anabaena spiroides)
did not appear, the other hand, non-treatedmesocosm system (Run 1 and Run 2) was dominatedby cyanophyceae, that is, Microcystis aeruginosa
and Anabaena spiroides. In other words, every
treatment technology in this study indicated therestraint effect against the irregular growth ofphytoplankton. CaO sprinkling treatment (Run 4)
showed the most effect for water purification with Pelution controlling in long-term observation, but biodiversity for phytoplankton and zooplankton becamepoor because of its too purificated water body. MgO
sprinkling treatment (Run 3) showed long-term
effective P-elution control, and phytoplankton flora
was not so poor as that in CaO sprinkling treatment.
Large size zooplankton such as Philodina
erythrophthalma and Brachionus angularis, wereobserved in case of water glass purification system(Run 5, Run 6, Run 7 and Run 8), because of thestructure of waterplant roots for rich niche
construction. The diversity index (Shannon Index;H’) for phytoplankton flora was higher undercomplicated community structure such as
phytoplankton, zooplankton and waterplants. Hybrid
treatment system (Run7 and Run 8) did not show the
hybrid effect on water purification effect, so it
considered
importantthatenvironmental
improvement level should be optimized. Actual
restraint mechanism of each purification technology
in each mesocosm is shown in Fig.9.

Mg2+ + HPO42- + 3H2O ⇔ MgHPO4･3H2O↓ (pH 7)
Mg2+ + NH4+ + PO43- + 6H2O
⇔ MgNH4PO4･6H2O (MAP)↓ (pH 7)
Ca2+ + HPO42- ⇔ CaHPO4↓ (pH 9)
RESULTS AND DISCUSSION
Restraint Rate of Nitrogen and Phosphorus
The restraint rate (%) of T-N and T-P as resultsof mesocosm experiment was shown in Fig.5 andFig.6, respectively. Run 5, Run 6, Run 7 and Run 8
were planted waterplant in the initial stage, but after
the first year passed, waterplant was dead except for
Run 4. From this fact, it was made clear that thewaterplant purification technology requires properand delicate management. From these figures, Run 3,
Run 4, Run 7 and Run 8 showed effective restraintof nutrient salts.

Environmental Factors
Waterplant purification system (Run 5, Run 6,
Run 7 and Run 8) was disturbed by birds as predator,that is, immigration birds such as Anasplatyrhynchos ate waterplants and supply theirexcrement to water, so positive maintenance isimportant to keep this system in order. Furthermore,pine tree as prevent-sand wall is generally planted
around seaside park pond. This tree, Pinus
thunbergii, releases much pollen into the air inspring season, and these pollen are poured into thelake water to supply nutrient salts such as nitrogenand phosphorus. In fact, water surface of every
mesocosm were covered by pollen and colored inyellow. So, to keep the experimental system in order,

Restraint Rate of COD and Chl.a
The restraint rate (%) of COD and Chl.a as
results of mesocosm experiment was shown in Fig.7
and Fig.8, respectively. From these figures, Run 8
showed negative-effective restraint of COD in theinitial period. Chl.a restraint rate was negative in all
mesocosms in the middle period. Both COD and
Chl.a restraint rate recovered in the last period in all
470

SEE-Mie, Japan, Nov. 19-21, 2015

○ Run 3

● Run 4

△ Run 5

▲ Run 6

□ Run 7

■ Run 8Fig.5 Succession of restraint rate of T-N in each mesocosm system○ Run 3

● Run 4

△ Run 5

▲ Run 6

□ Run 7

■ Run 8

Fig.6 Succession of restraint rate of T-P in each mesocosm system○ Run 3

● Run 4

△ Run 5

▲ Run 6

□ Run 7

■ Run 8

Fig.7 Succession of restraint rate of COD in each mesocosm system471

SEE-Mie, Japan, Nov. 19-21, 2015

○ Run 3

● Run 4

△ Run 5

▲ Run 6

□ Run 7

■ Run 8

Fig.8 Succession of restraint rate of Chl.a in each mesocosm system

Fig.9 Actual restraint mechanism of each purification technology in each mesocosm
the environmental factor such as pollen of Pinus
thunbergii should be considered.

study. Results obtained can be concluded as follows;
1) In all treated mesocosm system, Aoko
(Microcystis aeruginosa and Anabaena spiroides)
did not appear.
2) CaO sprinkling treatment (Run 4) showed themost effect for water purification with P-elution
controlling in long-term observation, but biodiversity for phytoplankton and zooplankton becamepoor because of its too purificated water body.

CONCLUSION
Four years experimental mesocosm experimentand observation was conducted to compare thewaterplant purification and chemical remediationmaterials for their ability of water purification in this472

SEE-Mie, Japan, Nov. 19-21, 20153) MgO sprinkling treatment (Run 3) showed
long-term effective P-elution control, andphytoplankton flora was not so poor as that in CaO
sprinkling treatment.
4) Large size zooplankton such as Philodina
erythrophthalma and Brachionus angularis, wereobserved in case of water glass purification system(Run 5, Run 6, Run 7 and Run 8), because of thestructure of waterplant roots for rich niche
construction.
5) The diversity index (Shannon Index; H’) for
phytoplankton flora was higher under complicatedcommunity structure such as phytoplankton,
zooplankton and waterplants.
6) Water plant purification system (Run 5, Run 6,
Run 7 and Run 8) was disturbed by birds as predator,that is, immigration birds such as Anasplatyrhynchos ate water plants and supply theirexcrement to water, so positive maintenance isimportant to keep this system in order.
7) Hybrid treatment system (Run7 and Run 8)
did not show the hybrid effect on water purification
effect, so it considered important that environmental
improvement level should be optimized.

conduct this study.
REFERENCES[1] Odum E.P., “Ecology”, Holt Rinehart & Winston,Inc., Massachusetts, 1963.
[2] Kurihara Y., “Ecology and ecotechnology inestuarine-coastal area”, Tokai University
Publishers (in Japanese), 1988.
[3] Fujita M. and Ike M., “Bio-environmental
engineering”, CMC Publishing, Tokyo (inJapanese). 2006.
[4] Murakami K., Narawa S., Ishii T., Taki K. andMatsushima,H., “Ecocycle management for onsite purification of eutrophicated lakes”, Proc. of
3rd IWA World Water Congress (enviro 2002),
CD-ROM, 2002.
[5] Murakami K., Ishii T., Taki K. and Matsushima
H., “Effect of environmental factors on
waterbloom in seaside park pond”, Ann. J. Civil
Eng.Ocean, JSCE, Vol.23, 2007, pp.627-632.(inJapanese).
[6] Moshir G.A., “Constructed wetland for water
quality improvement”, CRC Press, 1993.
[7] Amano Y., Taki K., Murakami K., Ishii T. andMatsushima H., “Sediment remediation forecosystem in eutrophicated lakes”, The
Scientific World, Vol.2, 2002, pp.885-891.

ACKNOWLEDGEMENTGreatly thanks to Sanmu Reagional Center of
Chiba Prefecture, Japan for their cooperation to473

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

DEVELOPMENT OF FUEL CONSUMPTION MODEL IN ESTIMATING
ENERGY DEMAND AND CO2 EMISSIONS FOR INTER-REGIONAL
ROAD TRANSPORT USING ROAD SEGMENTS AND O-D DATA
Marloe Sundo1, Karl Vergel2, and Ricardo G. Sigua3
Faculty, Department of Civil Engineering, University of the Philippines Los Baños, Philippines; 2,3Faculty,
Institute of Civil Engineering, University of the Philippines Diliman, Philippines

1

ABSTRACT
Given the increasing scientific understanding on the threat of global warming and depleting oil supply tomeet the demand, many countries are now finding ways to make energy consumption more efficient to reducegreenhouse gas emissions. Transport engineers and planners nowadays focused more on the development of a
new approach or tool that provides fast and reliable means of assessing different transportation strategies toachieve low-carbon transportation system. In this study, a new mathematical Origin-Destination (O-D) approachof estimating energy demand and CO2 emissions is presented using inter-regional passenger and freight flow
data. The lengths of three major road segments were used as independent variables to model fuel consumption
using full tank method. The estimated energy demand under BAU scenario was compared to four different lowcarbon policy scenarios. Study shows that the energy demand from inter-regional public buses and freight roadtransport under BAU scenario substantially increased from 0.48 million TJ in 2015 to 2.77 million TJ in 2050.
These findings equates to 35.20 Megatons and 205.60 Megatons of CO2 emissions in 2015 and 2050,
respectively. Results show that shifting to low-carbon alternative fuel such as CNG for buses and trucks provide
the highest reduction in overall inter-regional CO2 emissions as compared to other policy measures.
Simultaneous implementation of the three selected policy measures would substantially reduce the CO2
emissions by half (50.17%) in 2050.
Keywords:Energy Demand, CO2 Emission, Origin-Destination, Passenger Trips, Vehicle-Kilometer Traveland buses account for a significant share of 27%
worldwide [2].
In the Philippines, land-based transport is themost dominant mode of transport representing 98%
and 58% of passenger and cargo travel, respectively.
However, for land-based inter-regional travel,
95.88% of public mode of transport used buses and95.06% of freight transport used trucks. From 20002012, the country’s total number of registered motor
vehicles has doubled from around 3.7 million to 7.5
million. The total number continues to rise as
registration of new MVs increased by an annual
average of 6% from 2004 to 2013 [3].
The Philippine Government created several
policy measures to efficiently utilize its energy
supply and resources from the transport sector.
Administrative Order No. 126 Series of 2005 wasissued directing all sectors in the government toenhance the implementation of its energy
conservation program launched in August of 2004.
The primary objective is to make energy
conservation a way of life for every Filipino.
The government also launched the Natural Gas
Vehicle Program for Public Transport (NGVPPT)
designed to promote the utilization of compressed
natural gas (CNG) in the transport sector inconsonance with the goal of ensuring fuel supply

INTRODUCTION
One major concern pertaining transportation
planning and development is the implications to theoverall energy demand and emissions produced
during implementation and operation. Specifically,land transport from motor vehicles is considered oneof the leading consumer of energy and a major
contributor of greenhouse gas emission to theatmosphere not only in the country but also aroundthe globe.
Given the increasing scientific understanding of
the threat of global climate change and the decline ofoil production to meet the demand, many countries
are now finding ways to make energy consumption
more efficient to reduce greenhouse gas emissions.
Carbon dioxide (CO2) from the transport sector isby far considered as the major contributor of GHG
emission into the atmosphere accounting 38% of thetotal fuel consumed in 2000 [1].
IEA estimates that the global transport sector is
responsible for 23% of all energy-related carbon
dioxide (CO2) emissions since majority (94%) of thetransport sector is still oil-based. Although nearly
half (47%) of the total transport energy consumption
is in light vehicles mostly passenger cars, but trucks

474

SEE-Mie, Japan, Nov. 19-21, 2015

diversification and supply security and help improveurban air quality through the reduction of harmful
vehicular emissions [4].
To be able to assess effectively the impact ofdifferent plans and programs of the government in
its effort to fight against global warming,
appropriate methods or technique of estimatingenergy demand and emissions must be readily
available to the public. The Philippine government
currently used the top-down method in estimatingenergy demand as mandated under Memorandum
Circular No. 93-03-05 Series of 1993. However, thetop-down approach is considered not reliable incapturing the impact of different transport policy
measures particularly geared towards the reductionof energy demand and vehicle emissions from roadtransport at the regional level.
While, a limited number of studies in thePhilippines with emphasis on national energy
demand and CO2 emissions from the transport sector,
attempt to develop a new technique of estimatingenergy demand and CO2 emissions using interregional passenger and freight flow O-D data is
considered very valuable to provide efficientmethods of evaluating low-carbon measures[5],[6].
In order to address this gap, availability ofpractical approach in estimating inter-regionalenergy demand and CO2 emission must be sought toprovide fast and reliable result in the assessment ofstrategies to realize low-carbon transport in the
country.

In developing a generalized fuel consumption
models for buses and trucks, data from the result of
the fuel consumption validation surveys were used.
A regression analysis is then carried out using
lengths of road segments and average speed as
independent variables and total fuel consumption per
trip as dependent variables.
The study consider only buses and trucks inmodeling and estimating energy demand and CO2
emissions as these two modes of transport
dominated the share for all land-based public andfreight inter-regional travel with an average of
95.88% and 95.06%, respectively.
Traffic growth rates by region found in Volume
1 of the DPWH Manual were used to forecast
passenger trips to future scenario [7]. The
conceptual approach in developing energy demandand CO2 estimation model is shown in Fig.1.

OBJECTIVES OF THE STUDY
The general objectives of this study is to develop
a fuel consumption model for buses and trucks andpresent a new approach of estimating andforecasting energy demand and CO2 emissions for
the Philippine inter-regional road transport using
available origin-destination data. The study will also
develop a fuel efficiency model for buses and trucks
in relation to road segment classifications such asurban road, rural highway, and expressway, to be
used in estimating energy demand.
The study will also assess the potential
implications of selected policies in the overall
reduction of CO2 emissions from the Philippine roadtransport sector.

Fig. 1 Conceptual framework of the study
DEVELOPMENT OF FUEL CONSUMPTIONMODEL (FCM) FOR BUSES AND TRUCKS
Fuel Consumption Model for Large Bus
Eighteen data samples from the fuel validation
surveys were used to model fuel consumption forlarge buses using regression analysis. The firstmodel considers the different lengths of roadsegment, that is, urban road (UR), rural road (RR),
expressway (E), and average speed of the entire� ) as independent variables and fueltravel ( 𝑽𝑽
consumption as dependent variable. The result of theregression analysis for large bus yield high r-squareof 0.97 and t-statistics greater than 2.0 as shown in

STUDY METHODOLOGY
The general approach of this study is to estimate
inter-regional energy demand and CO2 emissions
Origin-Destination data. Parameters used for the
analysis are average vehicle kilometer traveled per
vehicle trip, annual passenger trips, occupancy
factor, load factor, and the distribution of vehicle
and fuel types.

475

SEE-Mie, Japan, Nov. 19-21, 2015

Table 6.1. To evaluate if the first model can still be
improved, the length of urban and rural roadsegments was combined. The result of the regression
analysis for the second model shows significant
improvements on the r-square, t-statistics, and pvalue as shown in Table 1, thus accepted as the final
model to be used in estimating fuel consumption forlarge buses.

summary of the resulting models are shown in Eq.
(2) to Eq. (4) below.
Proposed Fuel Consumption Model for Small Bus
𝑭𝑭𝑭𝑭𝑭𝑭𝑺𝑺𝑺𝑺 = 𝟏𝟏𝟏𝟏𝟏𝟏. 𝟓𝟓𝟓𝟓𝟓𝟓𝟓𝟓 + 𝟎𝟎. 𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏(𝑼𝑼𝑼𝑼 + 𝑹𝑹𝑹𝑹) −𝟎𝟎. 𝟐𝟐𝟐𝟐𝟐𝟐𝟐𝟐(𝑬𝑬𝑬𝑬𝑬𝑬𝑬𝑬𝑬𝑬) − 𝟎𝟎. 𝟖𝟖𝟖𝟖𝟖𝟖𝟖𝟖(𝑨𝑨𝑨𝑨𝑨𝑨𝑨𝑨𝑨𝑨𝑨𝑨𝑨𝑨)(2)
R2=0.95, n=12, Sum of Chi-Square of
2.8537<Critical value of 19.675 at 0.05 level ofsignificance and 11 degree of freedom.

Table 1 Result of first fuel consumption model forlarge buses, n=18
Variables
Intercept
UR
RR
E
�
𝑽𝑽

Coeff
44.455
0.323
0.326
0.305
-1.123t-Stat4.400
2.533
32.7184.730-4.208P-value
0.00070.02500.00000.00040.0010

Variables

Coefft-StatP-value

Intercept
UR+RR
E
�
𝑽𝑽

53.9090.318
0.329-1.2857.019
32.5225.760-5.8570.00000.00000.00000.0000

R2
Proposed Fuel Consumption Model for Large
Trucks𝑭𝑭𝑭𝑭𝑭𝑭𝑳𝑳𝑳𝑳 = 𝟑𝟑𝟑𝟑. 𝟖𝟖𝟖𝟖𝟖𝟖 + 𝟎𝟎. 𝟐𝟐𝟐𝟐𝟐𝟐(𝑼𝑼𝑼𝑼) +�)
𝟎𝟎. 𝟒𝟒𝟒𝟒𝟒𝟒(𝑹𝑹𝑹𝑹) + 𝟎𝟎. 𝟒𝟒𝟒𝟒𝟒𝟒(𝑬𝑬) − 𝟏𝟏. 𝟎𝟎𝟎𝟎𝟎𝟎(𝑽𝑽
(3)

0.97

R2=0.96, n=20, Sum of Chi-Square of 8.1142<
critical value of 31.144 at 0.05 level of significanceand 19 degree of freedom.

Table 2 Result of second fuel consumption model
for large buses
R2

Proposed Fuel Consumption Model for Small
Trucks0.98

𝑭𝑭𝑭𝑭𝑭𝑭𝑺𝑺𝑺𝑺 = 𝟑𝟑𝟑𝟑. 𝟒𝟒𝟒𝟒𝟒𝟒 + 𝟎𝟎. 𝟏𝟏𝟏𝟏𝟏𝟏(𝑼𝑼𝑼𝑼 + 𝑹𝑹𝑹𝑹) +�)
𝟎𝟎. 𝟏𝟏𝟏𝟏𝟏𝟏(𝑬𝑬) − 𝟎𝟎. 𝟕𝟕𝟕𝟕𝟕𝟕(𝑽𝑽(4)

R2=0.96, n=30, Sum of Chi-Square of
39.94682<Critical value of 42.557 at 0.05 level ofsignificance and 29 degree of freedom.

To check whether the actual or observed sample
frequencies are consistent from expected or
predicted frequencies derived from the proposedmodel (i.e., the observed fuel consumption data is
close to the predicted value), a chi-square test was
performed. Since the sum of the chi-square of thepredicted values of fuel consumption is 6.3326 andis less than the critical value of 27.587 at 0.05 levelof significance and 17 degree of freedom, it is safe
to conclude that the model can predict actual fuelconsumption for inter-regional travel.
Therefore, the proposed model for estimating
fuel consumption for large buses is shown in Eq. (1).

APPROACH OF ESTIMATING
DEMAND AND CO2 EMISSION

ENERGYIn estimating inter-regional energy demand andCO2 emission from the road transport sector, thestudy follows the ASIF theory in a more elaborate
approach. The modified formulas in estimatingenergy demand from the public and freight transport
sectors are shown in Eq. (5) and Eq. (6), where
Em(PT) is the estimated total inter-regional energy
consumption for public transport (buses) in TJoules,
while Em(Freight) is for freight transport (trucks) inTJoules.

FCMLB = 53.909 + 0.318(UR+RR)+ 0.329(E)�)- 1.285(𝑽𝑽(1)Where:FCLB : estimated fuel consumption for large bus
per trip in litersUR: length of urban road segment, km
RR: length of rural road segment, kmE: length of expressway segment, km�𝑽𝑽: average speed of road, kph

E m ( PT ) =Pmx ( Dm )( FCM i , j )(Ai ,m )(Bii ,m , j )(C j )
Oˆ m

(5)

W
Em ( Freight ) =  m x ( Dm )( FCM i , j )(Ai ,m )(Bi ,m , j )(C j ) (6)Zm

Pm is the constructed O-D table of annual
� m is thepassenger trips under vehicle category m; 𝑶𝑶
constructed O-D table of average occupancy of all
� m is the constructed O-D table of averagevehicles; 𝑫𝑫annual distance travelled in km; Ai,m is the modal
share for each vehicle type i and category m; Wm is

The development of the fuel consumption model
for small buses, large trucks with 3 or more axles,
and small trucks with only two axles were also
performed using the same criteria above and the476

SEE-Mie, Japan, Nov. 19-21, 2015

the constructed O-D table of annual gross tonnage of� m is constructed O-D table of
all commodity; 𝒁𝒁
average carrying tonnage per freight trip; Bi,m,j is thefuel composition factor; Cj is the energy conversion
factor; FCMi,j is the formulated fuel consumption
model; m is the vehicle category (i.e., public &freight transport); i is vehicle type (small bus, largebus, small truck, & large truck); and j is the fuel type.
In general, Pm and Wm are the expanded annual
passenger trips and commodity flows for public andfreight transport, respectively as a result of
expanding 10-hour sample data to 24-hour
population data.
Having estimated the energy demand for eachcategory m and fuel type j, it is now possible toestimate the total energy demand as the sum of all
categories as shown in Eq. (7).
ETJ (Total ) = ∑ Em ( PT ) j + ∑ Em ( Freight ) jjFig. 2 Computed inter-regional energy demand forbuses in 2015(7)j

Likewise, the total CO2 emissions for each fueltype j, in tones can also be computed by applying thecorresponding emission factor where EFj is theemission factor of fuel type j as shown in Eq. (8).
CO 2 Tons (Total ) = ∑ E m ( PT ) j ( EF ) j + ∑ E m ( Freight ) j ( EF ) j
j

(8)

j

Fig 3 Computed inter-regional energy demand forinter-regional for freight trucks in 2015

RESULTS AND ANALYSIS
Integrating fuel consumption models into Eq. (5)and Eq. (6), the inter-regional energy demand andCO2 emissions for buses and trucks can now be
estimated. Results of the estimation shows thatenergy demand from inter-regional public buses andfreight road transport under BAU scenario
substantially increased from 475,029.52TJ in 2015
to 2,774,695.28TJ in 2050. Consequently, theestimated CO2 emissions from inter-regional public
buses and freight road transport under BAU scenario
is 35.20 Megatons in 2015 and 205.60 Megatons in
2050.
Results of the study shows that inter-regional
travel from NCR to CAR registered the highest
energy demand for buses followed by Region V toNCR as shown in Fig 2.
The highest inter-regional energy demand for
freight trucks is from NCR to Region IV, followedby region I to NCR as indicated in Fig. 3.
Likewise, the computed 2015 inter-regional CO2
emissions for buses and trucks from the sevenregions in Luzon are shown in Fig.4 and Fig.5.
Results show that inter-regional travel from NCR to
CAR generates the highest CO2 emissions for buses
followed by Region V to NCR as shown in Fig.4,
while inter-regional travel from Region II to NCR
generates the highest CO2 emissions for freighttrucks followed by Region II to Region III as shownin Fig.5.

Fig. 4 Computed inter-regional CO2 emissions forbuses in 2015

Fig. 5 Computed inter-regional CO2 emissions for
freight trucks in 2015
477

SEE-Mie, Japan, Nov. 19-21, 2015

A fuel consumption model was developed using
regressions analysis and was used to estimate theCO2 emissions from the different policy measures
being selected. The estimated CO2 emissions fromthe selected policy scenarios were compared to thereference “BAU” scenario. The study shows that theshift to better fuel such as CNG for buses and trucks
provide a very substantial reduction of the estimatedinter-regional CO2 emission in Luzon compared theother selected scenarios.
Findings of this study will further strengthen thegovernment’s existing policies to promote theutilization of compressed natural gas (CNG) in thetransport sector under the Natural Gas Vehicle
Program for Public Transport (NGVPPT).

Implications of Selected Policy Scenarios on
Inter-Regional CO2 Emission
There were four selected policy scenarios to be
simulated and compared to the BAU scenario (S1).
These are the promotion of alternative fuel program(S2), revitalize the Philippine National Railway (S3),promote better logistic management for freighttransport (S4), and the combination of all three
scenarios (S5).
Under the promotion of alternative fuel program(S2), the goal is to have a gradual shift fromconventional fuel to CNG for trucks and buses by
20% and 35% by 2030 and 2050, respectively.
The revitalized Philippine National Railway (S3)
is projected to attract road-based public and freighttransport to switch to railway in 2030 by 25% and20%, respectively. Then continue to increase by
40% and 35% in 2050, respectively.
The study also assumed that through systematicand efficient logistic management, frequency oftravel can be reduced by at least 1 in every 5-6 trips,
thus resulting to at least 20% reduction in annual
vehicle kilometer travel (VKT).

ACKNOWLEDGEMENTS
The author would like to thanks the Departmentof Science and Technology for funding this researchthrough the Engineering Research and Development
Technology Grant.
REFERENCES[1] Fabian H, Gota S. CO2 emissions from the landtransport sector in the Philippines: estimates andpolicy implications, Paper presented at the 17th
Annual Conference of the Transportation
Science Society of the Philippines, September 4,
2009[2] Whyte K, Daly H, Gallachóir B. Modelling
HGV freight transport energy demand in Irelandand the impacts of the property construction
bubble. Energy (50), 2013, 245-251.
[3] 2013 Annual Report of the Philippine Land
Transportation Office, 2013, 17pp
[4] Department of Energy (DOE). Alternative fuels
program. Available at : http://www.doe.gov.ph/programs-projects-alternative-fuels/293-autolpg, 2011[5] Bayot G, Majarucon C, Sigua R. Analysis andupdate of the Philippine transport Energy
demand, Proceedings of Symposium on
Infrastructure
Development
andtheEnvironment, University of the Philippines,
Diliman, Quezon City, December 7-8, 2006,
12pp[6] Asian Development Bank. Reducing carbon
emissions from transport projects. Evaluation
Study. Reference Number EKB, REG 2010-16,
107pp.
[7] Department of Public Works and Highways(DPWH). Highway planning manual, Volume 1,
2004, 104pp[8] Guidelines for National Greenhouse Gas
Inventories.3.1-3.78.

Figure 6 Comparison of selected scenarios for interregional CO2 emissions
Comparisons of different scenarios show that
promotion to alternative fuel program provides amore significant reduction in CO2 emissions fromthe BAU scenario followed by the revitalized
Philippine National Railway system. The least
reduction of CO2 emissions can be seen from thebetter logistic management scenario as this only
involve freight vehicle populations. Results also
show that simultaneous implementations of all theselected scenarios substantially reduce the BAU
CO2 emissions in 2050 by half (50.17%).
SUMMARY AND CONCLUSION
The study presented a new technique andmethodology of estimating energy demand and CO2
emissions for public and freight transport using
inter-regional passenger and freight flow data.
478

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

INVESTIGATING THE LINKS BETWEEN LAND USE AND WATERQUALITY FOR FRESHWATER PEARL MUSSEL, MARGARITIFERAMARGARITIFERA, IN THE RIVER SOUTH ESK, SCOTLAND
Le Ma12School of Geographical and Earth Science, University of Glasgow, United Kingdom; 2School of Veterinary
and Life Science, Murdoch University, Australia

1

ABSTRACTThe Freshwater Pearl Mussel, Margaritifera margaritifera, is an endangered species and its population has
decreased rapidly over the last century. Scotland is the home to half of the known populations of M.
margaritifera. Land use is a significant factor affecting water quality as well as the distribution of freshwater
pearl mussels. Thirty eight sites in River South Esk were selected to investigate the impact of land use on water
conductivity, pH and the concentration of nitrate and phosphorus on the distribution of mussels. M.
margaritifera was more abundant in habitats in woodland with low and stable water nutrient level. Water
chemical analysis indicates that pollutant concentration is related to the vegetation of river catchment. River
water passing woodland has a relatively better quality. Overhanging boughs of trees create shadows which
attract mussels. Catchment of livestock pasture seems to have less significant chemical effects, but animal
activities may disturb the living of mussels and increase water turbidity. Water pollution in irrigated crops land isrelatively higher. Heather moorland is less concerned because of its inappropriate channel type for mussels.
Housing, roads and bridges seem to be avoided by the mussels. Margaritifera margaritifera did not show any
preference on the type of shadows. Living mussels has been discovered at the sites which have the shadows
created by overhanging branches or high riverbanks.
Keywords: Margaritifera margaritifera, Land use, Water quality, Unionoida, Woodland

bio-indictors for determining the health of a water
body [20], [21].
Unfortunately, despite their importance, thefreshwater mussels are also endangered throughout
the world. The Freshwater Pearl Mussel,
Margaritifera margaritifera was abundant andwidely distributed in Europe for thousands of years[22], [23]. However, populations of M.
margaritifera have decreased dramatically in recent
years [24], [25]. An earlier estimation has claimed
that M. margaritifera will be extinct by 2025 as aresult of overfishing and habitat degeneration [23],[26], [27]. Recent research has confirmed thepotential impact of land use on the recruitment ofjuvenile M. margaritifera [28].
This investigation attempted to discover the
relationship between riparian land use and thepresence of mussels in River South Esk, Scotland.
Additionally, selected parameters for waterchemistry were analyzed since the catchment land
use is also able to affect water quality.

INTRODUCTION
Land use surrounding a stream has a significant
influence on the abiotic and biotic conditions of thestream [1]. Land clearing will affect the water
quality of rivers [2], [3]. Consequently, the biota
within waterways also can be impacted [4]-[6].
Nowadays, human activity plays a major role indisturbing river catchments all over the world. Thus,a large number of aquatic species are under threat
due to human influences.
Freshwater mussels (Mollusca: Bivalvia:
Unionoida) are important for both local ecosystems
and humans. Firstly, mussels act as “ecological
generalists” and are able to benefit the biodiversity
and productivity of a freshwater community [7], [8].
The filter feeding function of freshwater mussels
directly improves water clarity and quality [7], [9],[10]. Furthermore, freshwater mussels help toenhance the nutrient transportation connecting thebenthic and pelagic layers of water body [11]-[13].
Moreover, shells of mussels also become shelters ofmany benthic species [14], [15]. Economically,
freshwater pearl mussels have been harvested as asource of pearls and mother-of pearls from prehistory [16]-[18]. And mussel meat has been taken
as a food source by people as well [16], [19].
Environmentalists have used freshwater mussels as

MATERIALS AND METHODS
Thirty eight sites were selected for visual survey.
Land use information was obtained from DigiMap®
and confirmed in fieldwork. A buffer zone up to
50m width and the vegetation within 5m from the479

SEE-Mie, Japan, Nov. 19-21, 2015

riparian was investigated in the survey. Main land
uses of River South Esk catchment were categorized
as four types: health moorland, livestock pasture,
woodland and irrigated crops land [29]-[31].
Channel and bank features were assessed during
fieldwork in spring-summer by using the method
employed by the Scottish Environment Protection
Agency (SEPA) [32]. The vegetation types within
the 5m width buffer zone were categorized as either
trees or grass.
Abundance of mussels was classified based on
the visible number of mussels [33]. Searching
started from the access point of river and continued
for up to 50 meters upstream unless the channel
condition was inadequate. Mussels were counted byvisual inspection to avoid disturbance. No mussels
were killed or taken out of the river in the fieldwork.
General water quality information was obtained
from [32]. Conductivity, Dissolved Oxygen (DO)and pH were measured at the site. Nitrate andphosphate levels were examined within 24 hours
after sampling. Water samples were collected at one
occasion.
All data analyses were conducted with R
software. The difference of mussel population, as
well as water chemical parameters, in the four typesof land use categories was analyzed by one-way
ANOVA. The linear relationships of the mussel
population, water chemistry and landscapecategories were analyzed by general linear
regression.

Fig. 1

Population of Margaritifera margaritiferawith 50m buffer zone land use: Heather
moorland(H-M),
livestock
pasture(Pasture), irrigated crops land (Crops) &Woodland (Woodland).

Water chemistry analysis also demonstrated thatthe pollution in woodland is relatively lower thanother types of land use (Fig. 2). Water nitrate,dissolved oxygen and conductivity performed to be
negatively affected by woodland (estimate
coefficient: N=-1.27, DO=-0.17, Conductivity=-0.57;
t-test t: N=-2.13, DO=-2.49, Conductivity=-2.57; ttest P: N=0.04, DO=0.02, Conductivity=0.015).
Difference of DO and conductivity in four strata ofland use was also statistically significant (ANVOA
DO: df=3, F=3.37, P=0.03; Conductivity: df=3,
F=5.65, P=0.003). Furthermore, trees in 5m bufferzone was advised to have positive impacts on
dissolved oxygen (estimate coefficient=0.18, t-test
t=2.64, t-test P=0.01, Fig. 3). Moreover,conductivity level in the 5m buffer zone with trees
was higher than the buffer zone with grass (ANOVA:
df=1, F=6, P=0.0187, Fig. 4). Unfortunately, the rest
statistical results concerning the relationshipbetween landscape and water quality were out of theconfidence interval.

RESULTS
The abundance of mussels was significantly
influenced by land use in the catchment, with moremussels found in woodland than in pasture or crops
land and no mussels found in heath moorland(ANOVA: df=3, F=8.63, P<0.001, Fig. 1). Linear
regression model suggested that woodland in 50m
width buffer zone could be the most significant
predictor for the distribution of mussels and apositive relationship might exit (general linear
regression: estimate coefficient=1.234 t-test t=1.959
P=0.06). Pasture, irrigated crops land and healthmoorland seemed to be in a negative relation to theabundance of mussels but did not show a statisticalsignificance (general linear regression: all t-test |t|<1
P>0.4). Statistical result did not illustrate a clear
relationship between vegetation type within the 5 mbuffer zone and the population of freshwater pearl
mussels, yet (ANOVA analysis: P=0.15, generallinear regression P=0.19). Additionally, habitat
assessment recorded that shading of either
overhanging boughs or river bank higher than 5m
was presenting in the sites where living mussels
were discovered.

Fig.2

480

Pollutant concentration in heather moorland(HM), livestock pasture (LP), irrigatedcrops land (IC) and woodland (WD).

SEE-Mie, Japan, Nov. 19-21, 2015

Fig. 3

Dissolved Oxygen of river water coinciding
with the landscape of 5m width buffer zone.

Fig. 6Abundance of Margaritifera margaritifera
and water quality.

Table 1: Water quality ranges in the surveyedmussel habitat
Chemical Indicator
N(NO 3 -) (mg/L)
P(PO 4 -) (mg/L)
DO (mg/L)
pH
Conductivity (μs/cm)
Fig.4

Water conductivity coinciding with thevegetation type of 5m buffer zone.

DISCUSSION
Woodland may be able to positively affect the
population density of Margaritifera margaritifera.
The concentrations of nitrates and phosphates werelower in the forested areas of the river which is sameas the conclusion in [34]. The largest population of
freshwater pearl mussels were discovered in thechannel within woodland in this research. Besides,
water salinity, a crucial factor affecting freshwater
mussels, was less variable when flowing throughwoodland. Furthermore, the DO level in woodland
was relatively stable while was not extremely high.
Other studies also have shown that organic andinorganic carbon nutrients were relatively lower inforested streams, possibly because of a reduction inwater turbidity [34], [35].
Other positive effects of woodland areassociated with the shadows created by overhanging
boughs and exposed roots [36]. Algal blooms may
be toxic to freshwater pearl mussels, and shady areasfrom trees, as well as lower dissolved oxygen in thisregion, can limit their occurrence [27], [36]. In thisand previous studies, no mussels were found insections of the river that flowed through heather
moorland and density of mussels was reduced inriver reaches in livestock pasture and crops land [30],[31]. Furthermore, all discovered mussels were in
the shade of trees or high bank in this project as in[30]. Thus, clearing of woodland can be detrimental

General linear regression only illustrated a clear
negative relationship between the mussel abundance
and water dissolved oxygen (estimate coefficient=0.63 t-test t=-2.258 P=0.03, Fig. 5). Other water
quality indicators demonstrated a range in the habitatof freshwater pearl mussels but did not have any
confident linear relation (Fig. 6). The variation rangeof selected water chemicals indicators was recorded
in Table 1.

Fig. 5Range
0.1~1.0
0.02~0.09
7.1~12
6.8~7.9
37.30~130.70

Linear regression of the abundance ofMargaritifera margaritifera and DO levelof river water.

481

SEE-Mie, Japan, Nov. 19-21, 2015

for the conservation of freshwater pearl mussels [37],[38].
In addition to the importance of water quality
and shading on mussel density, roads, bridges andhouses may have several negative impacts onmussels [39]. Mussels were also observed to avoid
these type of catchment in this survey. For instance,
runoff, sedimentation and disturbing can become aproblem although no such event was observed in thisresearch. However, these were reasons in the past
for large mortality in mussel populations and should
therefore be re-considered as an ongoing threat [40].
The water quality requirements of M.
margaritifera also may vary among populations as
indicated in [30]. Although it is suspected that M.
margaritifera is sensitive to water quality changes[26], [27], there are freshwater pearl mussels
inhabiting reaches which are classified as having
poor water quality by SEPA [41]. The water quality
results of this survey also did not strictly follow theconclusions proposed in previous studies (Table 2)[26], [42]. While the average nitrate concentration ofwater stayed within suggested levels, the averagelevel of phosphate exceeded the recommended range.
Moreover, DO level had a negative relationship with
the number of mussels. Mussels are able to adapt toenvironmental changes, especially when change is
gradual [39], so this variation is not unexpected.

[40], so the proposal for universal protection may bebetter than focusing on several selected species.
ACKNOWLEDGEMENTS
This project is supported by University ofGlasgow, Scottish Natural Heritage (SNH) and
Murdoch University. Lots of thanks are to Dr. Rhian
Thomas, Ms. Julia Hobson and Prof. Alan Lymbery
for the comments and drafting. Many thanks are to
Dr. Iain Sime for the record of mussels in previous
investigations. Thanks to Dr. A. McGowan, Mr. K.
Roberts and Miss R. Mitchell for the valuableassistance in fieldwork. Appreciation to all landlords
who gave me permission to investigate the river
channel located in their territories.
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Table 2: Nitrate and phosphate concentration inmussel habitat and target

Mean
Range
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0.35620.1~1.0< 0.5<1.0P(PO 4 -)(mg/L)
0.04870.02~0.09
<0.03
<0.03

CONCLUSION
This research has demonstrated that woodland
has positive effects on Margaritifera margaritifera.
Therefore, the protection of riparian woodland might
be important for the conservation and managementof freshwater pearl mussels. Land clearance in suchareas needs to be reconsidered with care. The
combination of large scale land use information andsmall scale microhabitat investigation is helpful for
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and the host fishes, trout and salmon. Moreover, themodel for protecting freshwater system is complex
482

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First Intern ational Conference on Science, Engineering & Environment, Tsu
City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

USE OF SI-PHYTOLITHS IN DEPOLLUTION OF MINING
INFLUENCED AREAS IN SEMI-DESERT TO DESERT REGIONS OF
THE CERRADO-CAATINGA, MINAS GERAIS, BRAZIL.
A LOW COST PROCESS.
Adolf Heinrich Horn1, Regynaldo Arruda Sampaio2, Heloiza Márcia Fernandes-Horn2, Ely Sandra Alves deOliveira2, Igo Fernando Lepsch3 & Essaid Bilal4
1

Federal University of Minas Gerais, IGC, 31.270-901 Belo Horizonte - MG, Av. Antônio Carlos, 6627, Brazil,
2
Federal University of Minas Gerais, ICA, 31630-900 Montes Claros - MG, A. Universitária, 1000, Brazil,
3
Federal University of Minas Gerais ICA, Montes Claros – MG, Brazil,
4
Ecole des Mines de St. Etienne, 42023 St. Etienne, Cedex 2158, cours Fauriel
ABSTRACT

Treating of metal contaminated areas became a very important problem with increasing industrial andagricultural activities. Many of the used methods are very expensive, need intensive human interaction or have avery negative influence on the cleaned regions. The use of Si-Phytoliths is a simple, low cost and a very effective
way to obtain good results in low contaminated or as the final process in highly contaminated places. The
method is based on the fact that plants produce Si-Phytoliths and trap significant quantities of heavy metals inthese amorphous to microcrystalline structures. The solubility of the Si-Phytoliths under tropical soil conditions
is lower than that of the heavy elements brought directly in the soil by wash-fall out, or by degrading of organicparts of the plants on the surface. In this way, it is possible to retain liberation to the environment from short tolong periods and attend environmental laws and norms. Initial tests with different plants like Ricinus comunis L.,
Andropogon arundinaceus Willd., Zea Mays L., Brachiaria sp. L. and Saccharum officinarum L. planted on
substrates with metal concentrations (Al, Fe, Mn, Ti, Zn, Cu, Pb, Cd, Ba, Hg, S) have shown that the plants
absorbed elements and quantities in the different parts like leaves, roots, stems, flowers and fruits. This allows aselective use due to contamination varieties and a possible economic use of parts of the plants and an effectiveplanning of the decontamination conditions.
Keywords: Si-Phytoliths, Soil contamination, Heavy metals, Decontamination, Mitigation,
introduction of strange compounds or plants. Often
it is necessary to take of the biological material anddeposit it on special places.
The use of Si-Phytoliths seems to be one of theless aggressive, low-cost and independent methods(table 2).
Different to the classic methods, the use of SiPhytoliths does not interfere in soils and it ispossible to use local plants.

INTRODUCTION
Contamination process
With the increasing population, the necessity formore raw materials and manufacturing products
increases significantly. With this increasing
activities also the intensity and the amount of
introduction of polluents increases. During thehistory a lot of environment disasters were
described and also an increase of health problems
due to the changes of environmental quality.
Mining, metallurgy or industrial process produces
waste material which is able to contaminate surface
areas and need to be disposed. The areas aroundthese sites often suffer with high metal contents.

Table 1: Used decontamination methods and theirproperties
MethodImpacttime
Contam.
type
Removing
Very
short
Inorg./org.,of soilstronghigh
Use oflow
intermediate Inorg./org.
biomass
Using of
Strong Short to long Inorg./org.
additivesto very
strongUse ofVery
Intermediate Inorg./org.
phytoliths
low
to longMedium tolow

Decontamination processes
A lot of decontamination methods are known. A
lot of them are very expensive, other are very
aggressive or need a longtime accompaniment(table 1). The conservative methods are very
aggressive, very expensive or need a big amount of
human intervention and monitoring. The effects arechanges in soil structure and composition, the485SEE-Mie, Japan, Nov. 19-21, 2015

After seeding no more intervention is necessary
only the heavy metal content of the soil needs to beverified time in time.

Figure 1: Phytolith forms of plants from CerradoCaatinga [14], [11] Left up to right down:
1st row: bulliform; parallelepipedal; cuneiform;
blocky; rondell;
2nd row: bilobate; cross; saddle; elongate;
3rd row: acicular; globular granulate; globularechinate; cone shape;

Table 2: Medium quantities of phytoliths in theused plants
Part of plant
Localization
Quantity
Surface, inside
500 ppm
Leaves/between cells
Inside/ between
300 ppm
Stem/trunkcells
Inside/ between
200 ppm
Fruitscells
Inside and
250 ppm
Roots
between cells
surface of roots,
800 ppm
External
leaves and trunk
Phytoliths

Figure 2: SiO 2 -Structure and possible sites ofmetal ions [1], [7];Phytoliths are inorganic material like SiO 2 ,CaCO 3 , (CaMg)CO 3 or other which are formed insome plants by precipitation of these materials in
amorphous ore microcrystalline structures. These
organelles are formed in and between plant cells
that give them their peculiar form. This form can beused for plant determination.
These particles are formed for different
purposes like to enhance structure, to create sharp
and hard tissue alimentation and probably also to
trap dangerous compounds. Figure 1 show there
different forms and where they are localized.
The relative high heavy metal content in the SiPhytoliths and their low solubility is the basic
concept of the use in long-term decontamination ofpolluted areas like deposits, well regions, mining
and industrial sites.
Figure 2 show the possibilities of metal trappingin the organic amorphous SiO 2 -structures.
Biomass and Phytolith production

authors [5] and [17]. The biomass for millet(Pennisetum sp. Schum.) is informed between
9000 and 15.000 kgha-1y-1 [13], [15], forAmaranthus spp. L. 2500 to 3000 kgha-1y-1 [2] andfor some grasses from 4000 to 6000 kgha-1y-1 [8].
All plants contain significant quantities of someheavy elements. The problem is that after
decomposition these quantities return to the soil.
The phytolith concentration varies from plant toplant. The grass used herehave around 9-30 kgha1 -1
y and the other plants around 35-65 kgha-1y-1.
This phytoliths can trap from 1 ppm (Hg) up to
0,05 % (Fe). This is an important amount for yearlyplants. Due to the solubility of SiO 2 (figure 3) thisamount returns very slowly to the soil, reducing inthis way its heavy metal concentration [4], [6], [9].
The next table 3 shows the heavy metal
maximum trapping in SiO 2 -modifications. The
biological opal due to its structural features, hishigh content of water and OH- and it openorganization can capture up to 200 g kg-1 of metal
ions like Al , Ca, Fe, K, Na, Cu, Zn, Ti, Zn and Hg.
These elements are fixed in the structure andclosed between the SiO 2 structures.

All plants produce biomass and distribute them tothe different parts. The production of biomass
depends on soil, weather and other physicalchemical factor and therefore differs very between

486

SEE-Mie, Japan, Nov. 19-21, 2015

Figure 4: Scheme of principle remediation
circulation of phytoliths, biomass and elements inthe biogenic and geological cycle.
The next table 3 shows the heavy metal
maximum trapping in SiO 2 -modifications. The
biological opal due to its structural features, hishigh content of water and OH- and it openorganization can capture up to 200 g kg-1 of metal
ions like Al , Ca, Fe, K, Na, Cu, Zn, Ti, Zn and Hg.
These elements are fixed in the structure andclosed between the SiO 2 structures.
MATERIALS AND METHODS
Soil
Figure 3: Solubility of the different SiO 2 modifications in relation to the pH.

We used collected soil from northern part ofMinas Gerais. This soil was mixtured with different
concentrations of heavy metals and put in 10l bags
(table 4).

Table 3: Principal properties and trapping
capacities of crystalline quartz, geological- andbiological opal [11], [10].* for Cerrado plants; **analyses of fifty opal specimen.
MineralDensity

Hardness
7,0
5,5-6,5

Impurities
g kg-1
traces50-150*H2O
g kg-1040-90Quartz
Plant
opal
Geol.
opal

2,65
1,5-2,3
1,2-2,95,5-6,5< 200**

2-10

Table 4: Physical-chemical properties of the usedsoil. (Laboratory of ICA-UFMG after EMPRAPA
methodology)
N
P
K
Na
Ca
%
%
%
%
%
3,24
0,75
3,36
0,02
2,21
Mg
S
Fe
Mn
Al
%
S
ppm
ppm Cmolc/dm3
0,26
1,93
44,8
195
0,2
Cu
Cd
Pb
Cr
Ni
ppm
ppm
ppm
ppm
ppm
147,5
1,27
36,53
50
24,7

Biomass and Phytolith cycles
During growing all plant produce biomass
distributed between its part and also different
amounts of phytoliths. During the decomposition
this material returns to soil were the biological partis reintegrated by decomposition, liberating theextracted metals. The phytoliths stay without
alteration for some thousand years and therefore
liberate metals very slowly (figure 4);

Used plants
For this initial tests to obtain information ofheavy metal uptakes several one year plants like
Ricinus comunis L., Andropogon arundinaceus
Willd., Zea Mays L., Brachiaria sp. L.
and Saccharum officinarum L. were used (figure
5).

Figure 5: Example of planted corn like used in theremediation tests.

487

SEE-Mie, Japan, Nov. 19-21, 2015

Table 6: Analytical results of Brachiaria
decumbens from substrates with element addition.
(Analyses done by ICC-OES at NGqA-UFMG)

Field tests
Table 5: Element concentration used in theexperiments with the different plants
Compoundg element /potg element /kg soil
BaCl 2
1
0,2
HgO
0,11
0,022
Pb(CH 2 COO) 20,20,04
Zn(CH 2 COO) 2
3,5
0,7
MnO 2
0,4
0,08
Cu(CH 2 COO) 2
1,00,2
FeCl 30,70,14Treatment
Soil/Fe
Soil/Mn
Soil/Zn
Soil/Cu
Soil/Ba
Soil/Hg
Soil/sludge
Pure soil

Fe
%
0,05
0,04
0,03
0,02
0,03
0,03
0,03
0,03

Mn
ppm
9
12
8
10
10
10
8
11

Cu
ppm
35
33
29
453
28
28
119
29

Zn
ppm
11
12
3
13
12
11
3
12

Ba
ppm
13
14
12
12
26
11
17
12

Preparation of the samples
The plant samples were separated in its, leaves,roots, fruits and stems and then send to laboratoryfor drying.
Laboratory
Figure 7: Element trapping of Al in Andropogonarundinaceus.

In the laboratory the phytolith preparation andseparation were done using process described by[16]. The separated phytoliths were opened bydissolving with mixtures of HNO 3 /HF/HCl and themetal concentrations in the filtered solutions
determined by analyses with
ICP-OESand
ICP-MS. Semiquantitave determinations in single
phytolith were carried out by using a microprobewith ed-analyzer. The analyses were done incomparison with national and international metal
standards.

Figure 8 Element trapping shown for Phytoliths of
Ricinus comunis.
DISCUSSIONRESULTSThe obtained results show that a significant
amount of metal ions can be trapped in SiPhytoliths of a variety of specific plants.
This concentration related to the biomass
production show that it is possible to clean areas
with considerable soluble metal contamination byusing this method of planting selected species of
local plants.

All analyses indicate the presence of significant
quantities of Al, Fe, Mn, Cu up to 103 ppm, S, K,
Ca, Cr, Zn and Pb (>10 ppm) and a lot of othertrace elements near the detection limits of theemployed methodologies.
Concentration of elements in phytoliths fromBrachiaria
decumbensandAndropogonarundinaceus (falso massanbará) grown on
substrate with or without sewage sludge addition.
The analyses were done with ICP-OES and ICPMS equipment. The results show significant
enrichment of some interest trace elements like Cu
and Zn.
Andropogon arundinaceus (Poacea) shows asignificant presence of Si, de S, K, Ca, Cr e
Fe (>10mgkg-1). Zn e Cu was found inconcentration near detection limits.
Ricinus communis show high Al, Fe, Ti and K(<500 mgkg-1). Only slightly differences in element
concentrations between the plants from pots withand without sewage sludge were observed.

Figure 9: Suggested remediation process using
phytolith rich local plants.

488

SEE-Mie, Japan, Nov. 19-21, 2015[8] FRANSCISCO, E.A.B.; CÂMARA, G.M.S. &SEGATELLI, C.R. Estado nutricional e
produção do capim-pé-de-galinha e da soja
cultivada em sucessão em sistema antecipado deadubação. Bragantia, 2007, 66:259-266.
[9] GUNNARSON, I. & ARNÓRSSON, S.
Amorphoussílicasolubility
andthethermodynamic properties of H 4 SiO 4 in therange of 0o to 340oC at P sat . Geochim. et
Cosmochim. Acta, 2000, Vol. 64, Issue 13:2295-2307.
[10] HORN, A.H.; LEPSCH, I.F.; SAMPAIO,
R.A.; RODRIGUES, M.N.; ALVARENGA,
A.C. & OLIVEIRA, E.S.A. Heavy metals andaluminum content inside silica phytoliths from
Ricinus comunis, Andropogon arundinaceus
Willd, Ricinus communis and Brachiaria
decumbens grown on soils added with sewage
sludge and heavy metal salts. 2014, 2p.
[11] LEPSCH, I.F.; RIBEIRO, J.M.; HORN, A.H.;CAVALCANTI, T.F.M.; RODRIGUES, M.N.
& COE, H.H.G. Morfologia, quantidade eanálise elementar de sílico-fitólitos em tecidosde Andropogon arundinaceus Willd crescida
em solo com e sem adição de lodo de esgoto.
XXXIV. Cong. Bras. Solo. Florianopolis, SC.
2013, 2p.
[12] Element - Issue 3 - The new CT 200h speakeris crafted from bamboo. http://www.lexusint.com/magazine/issue3/element/; Accessed at
25.3.2015[13] MORAES, R.M. de. Decomposição das
palhadas de sorgo e milheto, mineralização denutrientes e seus efeitos no solo e na cultura domilho em plantio direto. Lavras, UFL, Master
Thesis, 2001, 90p.
[14] MULHOLLAND, S.C. & RAPP G.JR. A
Morphological Classification of Grass SilicaBodies In: Rapp Gré. & Mulholland, S.C. (eds.)
1992. Phytolith Systematics; Emerging Studies.
Advances in Archaeol. and Mus. Sci., 1992, Vol.
1, p 65-89.
[15] OLIVEIRA, T.K.; CARVALHO, G.J. &MORAES, R.N.S. Plantas de cobertura e seus
efeitos sobre o feijoeiro em plantio direto. Pesq.
Agropec. Bras., 2002, 37:1079-1087.
[16] PARR, J.F.; LENTFER, C.J. & BOYD, W.E.
A Comparative analyses of wet and dry ashingtechniques for the extractions of phytoliths fromplant material. J. of Archaeol. Sci., 2001, 28:
875-886.
[17] USP-LCN Dinâmica de Ecossistemas-Cerrado.
http://www.ib.usp.br/~delitti/mestres.html;
Accessed at 15.3.2015

The relative simplicity of application and use,
the employment of local plants and the long timeprocess predestinate this method for cleaning ofsensitive biotopes in endangered environments.
ACKNOWLEDGEMENTS
We thank CNPq, CAPES, IGC-UFMG and
ICA-UFMG for financial and logistic support.
BIBLIOGRAPHIC REFERENCES[1] ALEXANDRE, A.; MEUNIER J.D.; COLIN, F.
& KOUD, J.M. Plant impact on thebiogeochemical cycle of silicon and related
weathering processes. Geochim. et Cosmochim.
Acta, 1997, Vol. 61. No. 3: 677-682.
[2] AZEVEDO, D.M.P. & NASCIMENTO H.T.S.
Potencial forrageiro de espécies para cultivo no
período de safrinha em solos de tabuleiros
costeiros. Teresina, Embrapa, 2002. 4p. (Com.
Téc. 148).
[3] COSTA, L. M. DA; SANTOS, R. F. DOS;SCHAEFER, E. G. R.; MOREAU, A. M. S.
DOS S. & MOREAU, M. S. Ocorrência decorpos siliciosos em horizontes superficiais desolos de diferentes ecossistemas. Rev. Bras.
Ciênc. Solo. 2010, Vol. 34, No. 3: 3-7.
[4] DANDURAND, J.L. & SCHOTT, J. New dataon the Solubility of Amorphous Silica in
Organic Compound-Water Solutions and a New
Model for the thermodynamic Behavior of
Aqueous Silica in Aqueous Complex Solutions .
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[5] BOER, C.A.; ASSIS, R.L.DE; SILVA, G.P.;
BRAZ, A.J.B.P.; BARROSO, A.L.DE, L.;.
FILHO, A.C. & PIRES, F.R. Biomassa,
decomposição e cobertura do solo ocasionado
por resíduos culturais de três espécies vegetais
na região Centro-Oeste do Brasil. Ver. Bras. Ci.
Solo, 2008, 32: 843-851.
[6] DOVE, P.; HAN, N.; WALLACE, A.F. &YOREO, J. J. DE Kinetics of amorphous silica
dissolution and the paradox of silica
polymorphs. Proceed. of the Nat. Acad. Sci.
2008, Vol. 105, No. 29: 9903-9908.
www.pnas.org[7]
FELIPE,
P.L.L.;
CECCHET,
F.A.;
BRUSTOLINE, L.; CALEGARI, M.R. &PESSENDA, L.C.R. Coleção de referência defitólitos da floresta ombrófila densa (Linhares;ES):
Subsídiospara
reconstrução
palaeoambiental. Reference collection ofphytoliths from Ombrophilous Dense Forrest(Linhares,
ES):
Supportforpalaeoenvironmental reconstruction. CENA-USP:
1971, 33p.

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First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

EFFECT OF SPEED ON EMISSIONS OF CONVENTIONAL AIR
POLLUTANTS IN URBAN ENVIRONMENT: CASE STUDY OF TRUCKEMISSIONS
Pantitcha Outapa1,2, Akira Kondo3, Sarawut Thepanondh1,21Faculty of Public Health, Mahidol University, Thailand,Center of Excellence on Environmental Health and Toxicology (EHT), Bangkok, Thailand,3
Graduate school of Engineering, Osaka University, Japan

2

ABSTRACT
Dynamic emission factors and emission inventories of CO, VOC, VOCevap., NOx, SOx and PM oftruck in Bangkok, Thailand were developed using IVE (International vehicle emission) model for the year 2012
to 2024. The year 2012 was chosen as base year since fuel quality had been improved from Euro II to Euro IV
standard from that year. Speed of truck driven in study area was chosen as variable parameter for sensitivity
analysis of its influence to the emissions of air pollutants because there are no further plans in upgrading or
improvement of fuel quality during this period. Truck’s Bangkok driving cycle was used as input data in the IVE
model. Average speeds used in the model simulation were varied from existing condition (15 km/hr) to the
maximum of 80 km/hr. It was found that an average speed of 40 km/hr was the optimal speed in reducing of air
pollutants emitted from truck. At this speed, reduction of emission factors of air pollutants as compared withcurrent average velocity of 15 km/hr were about 46%, 54%, 16%, 51%, 53% and 27% for CO, VOC, VOC evap.,
NOx, SOx and PM, respectively. Therefore, efforts in increasing average speed of at least to about 40 km/hr canbe used as a measure to achieve the sustainable transport particularly in the green logistic businesses.
Keywords: Emission factors, Emission inventory, Conventional air pollutants, Speed, IVE model

also affected by the driving patterns which dependon traffic conditions. Therefore, driving cycles havebeen developed to represent behavior andcharacteristics of driving patterns to support
estimation of mobile source emissions in manystudies.
There are two major alternatives to develop
driving cycle. Firstly, it can be computed fromvarious driving modes of constant acceleration,
deceleration and speed such as the New European
Driving Cycle (NEDC) and the Urban Driving Cycle(ECE-15). Secondly, it can be derived from actual
driving data and is referred as real world cycle. The
real world cycles are more dynamic, reflecting themore rapid acceleration and deceleration patterns
experienced during on road conditions [3].
Defining the speed limits based on the concept of
optimal speed of road transport systems has asignificant part in the speed management of vehicles[6], [7]. In the logistic business, trucks are importantvehicle type used for transporting of goods. There
are high variability with regard to trucks
characteristics, types and possible uses [8]. Trucks
potentially emit air pollutants such as carbon
monoxide (CO), nitrogen oxide (NOx), particulatematter (PM) and volatile organic compound (VOC).
These emissions generally relate to speed of thetruck. Generally, emissions of air pollutants frommobile sources are higher at lower average speeds,
less sensitive for mid-range speeds, and higher as

INTRODUCTION
Demanding of energy in the transport sector isincreased since Thailand started to transform its
economy to an industrialized country. The transport
sector has been the largest energy consuming sector
since 1995 [1]. In Thailand, manufacturing andmining sector and transport sector are about 70
percent of total energy use. Almost all energy usedby the transport sector comes from petroleum
products which represent 72 percent of the total
consumption of petroleum products and 76 percent
of transport energy are consumed in the road sector.
Truck transport is a dominant of Thailand’s freightof the logistics industry that was carrying over 95
percent of ton/km of freight [2]. In addition,
consumption of the fuel in the transport sector is also
produced an extremely large amount of pollutants
emissions. Almost all of the carbon monoxide (CO),75% of the hydrocarbon (HC) and volatile organic
compound (VOC), and 65% of the nitrogen oxide(NOx) are emitted from vehicles [3]. Pollutant
emissions from vehicles are determined by thevehicle's engine type and the fuel it uses that are thetwo most common engines including spark-ignition(gasoline engines) and diesel engines [4]. Emission
control technologies and the age of emission control
equipments are one of the factors that effected ofpollutants emissions [5].
Moreover pollutant emissions from vehicles are490

SEE-Mie, Japan, Nov. 19-21, 2015

converted to vehicle specific power (VSP) bin prior
be used in IVE model. The Fleet files in each year
were created from secondary data collection. An
information on average kilometer traveled, vehicle
models, fuel types and age of trucks were collected
as the secondary data and were used as input data in
Location file. Parameters which affect to the hot
stabilized emissions of trucks are trucks technology
distribution, VSP and engine stress distribution,
inspection and maintenance (I/M) scheme, fuelquality, altitude and meteorological condition(humidity and temperature).These parameters wereplaced in the model by using actual characteristic oftruck and study area. Warm-start and cold-startemissions were separately calculated in the IVE
model. These data were computed to obtain an
average emission rate expressed in the unit of g/kmof trucks.

speeds increased depend on the type of pollutants [7].
Results from a study of the US.EPA showed that
VOC and CO emissions rates normally drop as
speed increases. In addition, NOx emissions rates
turn up at higher speeds. However the emissions
rates at all speeds have been falling over time asnewer and more controlled vehicles enter the fleet[9].
This paper proposes the optimal speed in
reducing of air pollutants emitted from trucks in
Bangkok, Thailand. The dynamic emission factors
and emission inventories of conventional air
pollutants namely CO, VOC, VOCevap., NOx, SOx
and PM of trucks were developed using the IVE
model for the year 2012 to 2024. The year 2012 wasselected as base year in this study since it was thestart year which fuel quality in Thailand had been
improved from Euro II to Euro IV standard.
Bangkok driving cycle developed for truck was used
to represent driving pattern and characteristics in thisanalysis. Average speeds used in the model
simulation were varied from 15, 20, 30, 40, 50, 60,
70 and 80 km/hr.

60

Velocity (km/h)

50

METHODOLOGY

40
30

20
10

In this study, average speed of truck driven in
Bangkok was chosen as variable parameter forsensitivity analysis of its influence to the emissionsof air pollutants. We assumed that there are nofurther plans in upgrading or improvement of fuelquality which may affect to truck’s emissions.
Estimations of emissions were carried out from theyear 2012 to 2024 (12 years). Numbers of trucks in
the inventory period were forecasted using data of
average annual growth rate of truck in Bangkok.
This value of 4 % increasing from previous year wasderived from average of statistical data from the year
2000 – 2010. Moreover fleet characteristics of eachpredicted year were used taking into accounts theexisting regulated emission controls and fuelstandards in that year. A truck in this study isdefined by weight of more than 12 tons and wasnamed as heavy duty diesel truck. An average speedof 15 km/hr was used as BAU (Business as Usual)case. This study assumed that vehicular growth willbe estimated, with all new vehicles based on current
policies. The BAU case also assumed there will be
no considerable changes in environmental ortransport policies [10].
The IVE input data consist of a Location file anda Fleet file. Input data of the Location file include
truck’s Bangkok driving cycle, soak time, number ofstart up, fuel characteristics, and average velocity.
The Bangkok driving cycle of truck used in thisstudy was as shown in Fig. 1. This driving cycle was

0
0

100

200

300
Time (s)

400

500

600

Fig. 1 The truck’s Bangkok driving cycle, Thailand.
In BAU scenario, there were about 4% and 96%
of trucks in Bangkok driven by CNG (Compress
Natural Gas) and diesel (Euro IV standard) fuels,
respectively. Fleet technologies of trucks and theirindex number code used in IVE model in this study
were listed in Table 1. The IVE model has a total of1372 established technologies, and 45 non-definedtechnologies [11]. All technologies are set as index;
each index has an engine/vehicle description
including type of vehicle, fuel type, weight, air/fuelcontrol system, exhaust control system, evaporation
control system and vehicle age; depends on vehicle
kilometer travel. Conceptual diagram of emission
calculation process was as presented in Fig. 2.
RESULTS AND DISCUSSIONS
Number of trucks and speed limitedCriterion used in this study, which the truck age
doesn’t exceed more than 15 years was assumed inthis inventory. Average annual growth rate of trucks
of 4% is used to estimate total number of truck ineach inventory year. Results are as shown in Fig. 3.
Number of trucks is slightly decreased from 2013 to2024. Speeds of truck are varied from its existingvalue (15 km/hr) to the maximum of 80 km/hr.

491

SEE-Mie, Japan, Nov. 19-21, 2015

shown in Fig. 6.
Fig. 6 clearly illustrated that emission factors of
NOx was the most sensitive to changing of average
speed of truck. Almost 60% of NOx emission factor
was decreased from its BAU scenario when average
speed of 40 km/hr was applied in the calculation. At
higher speed (50-80 km/hr), emission factors werestill slightly decreased. CO and VOC emissions
were also greatly affected by the alteration of
average speed. However, SOx emission factor wasless sensitive to the changing of average speed oftruck. Maximum reduction rate of SOx emission was
about 25% from its BAU scenario when average
speed of truck was increased to about 80 km/hr.
These could be explained by the fact that mostly of
sulfur dioxide emissions were emitted as result of
conversion from sulfur contained in fuel. Unlikewith SO2 emissions, oxides of nitrogen were mostly
emitted as results of combustion activities (thermal
NOx).

Truck dynamic emission factors
Dynamic emission factors of air pollutants oftruck calculated from the BAU scenario (average
speed of 15 km/hr) were shown in Fig. 4. It was
found that NOx was the dominant pollutant having
the highest emission factor from truck as comparedwith other pollutants followed by CO, PM, VOC,
VOCevap. and SOx, respectively. Emission factors ofthese pollutants in the base year (2012) were 17.32,
5.19, 2.82, 1.01, 0.08 and 0.01 g/km for NOx, CO,
PM, VOC, VOCevap. and SOx, respectively.
IVE Model

Input data

The vehicle’s annual
travel distance andnumber registered

Emission factor (g/km)
of each pollutant from trucks
during 2012 to 2024
by vary average speeds(15-80 km/hr)

Table 1 Fleet technology of trucks
Index

Calculate VKT(Vehicle Kilometer
Traveled)

Vehicle Emission Inventory

996
997
998

Number of truck (thousands)

Fig. 2 Calculation process.

Meaning
Heavy duty fuel injected natural gas
vehicle with 3 way catalyst and Exhaust
Gas Recirculation (EGR).
Vehicles >33,001 lbs Gross Vehicle
Weight Rating (GVWR) and typically>60,000 lbs.

90
80

1132
1133

70
60
50

40

Heavy duty fuel injected diesel vehicle
certified to Euro II standards.
Vehicles >33,001 lbs GVWR and typically>60,000 lbs.

30

1140
1141
1142

20

10
0

Year

Heavy duty fuel injected diesel vehicle
certified to Euro III standards.
Vehicles >33,001 lbs GVWR and typically>60,000 lbs.

US.EPA reported the average in use emissions
from diesel heavy duty truck by using MOBILE 6
emission model [12]. Emission rates of NOx and CO
at the average speed of 64 km/hr (40 miles/hour)
were reported as about 13.78 and 3.70 g/km,
respectively. These values were higher thanemission rates obtained from calculation at the same
speed using IVE model in this study. These
differences can be explained by difference of driving
cycle, fleet characteristics and fuel quality in eacharea.
The optimal speed in this study was determinedbased on decreasing rate of emission factor. This
speed was also used as reference value to maintainspeed limits at higher than or on average equal to the
optimal speed [6].

Fig. 3 Number of trucks from 2012 to 2024.
Average speeds used in the model simulation
were varied from its existing condition/BAU (15km/hr) to the maximum of 80 km/hr. Temporalvariations of dynamic emission factors of eachpollutant at each average speed were shown in Fig. 5.
Generally, it was found that the lower average speedof the trucks is the higher of emission factor of air
pollutant, they emitted. In order to evaluate thedifference of emission factor obtained from
calculation using each average speed with the BAU
scenario, percentage of reduction of emission factorsof each air pollutants as compared with current
average velocity of 15 km/hr in BAU case were492

SEE-Mie, Japan, Nov. 19-21, 2015

CO

VOC

VOC evap.

NOx

SOx

VOCevap. emission factor (g/km)

20
18
16
14
12
10
8
6
4
2
0

(c) 0.14

PM

0.08
0.06
0.04

0.02

(d) 20.00

The first criteria was obtained from results of thisstudy which indicated that an average speed of 40
km/hr could yield significantly decreased of air
pollutants emitted from truck, though emission
factors were still slightly decreased at higher speed
than this level.
The second factor of selection of optimal speed
was speed limit of truck of not more than 60 km/hr
regulated in Thailand. Therefore, with the current
policy, trucks are not allowed to drive faster than
this level. However, by considering existing speed of
15 km/hr, and characteristics of Bangkok which is amega-city, we proposed that in practical, the optimal
average speed of truck in Bangkok can be raised up
to level of 40 km/hr and no driving over than 60
km/hr.
20 km/hr
60 km/hr

30 km/hr
70 km/hr

18.00
16.00

14.00
12.00
10.00
8.00
6.00

4.00
2.00
0.00

SOx emission factor (g/km)(e) 0.02
0.01
0.01
0.01
0.01
0.01
0.00
0.00
0.00

(f) 6.00

PM emission factor (g/km)

BAU
50 km/hr

40 km/hr
80 km/hr

7.00

CO emission factor (g/km)

0.10

0.00

Fig. 4 Dynamic emission factor of each pollutant as
BAU case.

6.00

5.00
4.00

5.00
4.00
3.00
2.00
1.00
0.00

3.00
2.00

1.00

Fig. 5 Trucks emission factors of each pollutant
from 2012 to 2024 are affected by average speed.

0.00

Truck dynamic emission inventories(b) 1.20

VOC emission factor (g/km)

0.12

NOx emission factor (g/km)

Emission factor (g/km)

In this study, an average speed of 40 km/hr
was selected as the optimal speed in reducing of air
pollutants emitted from truck. This selected value
was based on two major criteria.

1.00

Other objective of this study is to assess andelaborate total amount of emission in order to
identify factor influenced to emission inventory of
air pollutants. Dynamic emission inventories
indicate that factors influencing emission amounts of
air pollutants from trucks in Bangkok are Vehicle
Kilometer Travel (VKT), number of vehicles andemission factor [10]. The VKT of trucks in Bangkok
were estimated base on the VKT studied in urban

0.80

0.60
0.40
0.20

0.00

493

SEE-Mie, Japan, Nov. 19-21, 2015

area by [13]. Emission inventories of CO, VOC,
VOCevap., NOx, SOx and PM were calculated for theyear 2012 to 2024. Results were as shown in Fig. 7.
Emission inventory of VOC, NOx were slightly
increased from 2012 to 2015, and were significantly
decreased from 2015 to 2024. CO, SOx and PM wereslightly increased from 2012 to 2016, and weresignificantly decreased from 2016 to 2024.
Moreover, VOCevap was slightly increased from2012 to 2017, and was significantly decreased from2017 to 2024. These trends were relevant to numberof truck driven and their fleet technologies in eachyear. Results clearly indicated that NOx was the
major pollutant emitted from truck. Comparison ofemission inventory from proposed optimal speed(average speed of 40 km/hr), calculated results
showed that emission amount of CO, VOC,
VOCevap., NOx, SOx and PM were about 46%, 54%,
17%, 51%, 53% and 27% decreased from BAU
scenario (average speed of 15 km/hr), respectively.

Fig. 7 Trucks emission inventory from 2012-2024 as
BAU case.

parameter for testing its influenced to values ofemission factor. Results indicated that the higher of
average speed, the lower of emission factors of air
pollutants emitted from truck. Temporal analysis
during the year 2012 to 2024 clearly indicated thatdynamic emission factors of air pollutants had
decreasing tendency. Emission factor of NOx was
successfully decreased as a result of higher speed oftruck which could be explained by better control ofthermal NOx from increasing of combustion
efficiency. Average speed of 40 km/hr was proposed
as optimal speed for truck in this study. Two major
criteria were used to support this selection. Firstly, atthis proposed speed, there were dramaticallydecreased of emission factors of air pollutants ascompared with current fleet characteristics of truckin Bangkok (average speed of 15 km/hr). At higher
speed than this level (>40 km/hr), emission factors
were still slightly decreased. Secondly, speed limitof truck in Thailand is regulated as not higher than
60 km/hr. By considering that Bangkok is a megacity, this regulated speed limit may not appropriate
to use, practically. Other supporting of this proposed
was the maximum speed of truck from the survey oftruck driving cycle in Bangkok was 48 km/hr.
Therefore, average speed of 40 km/hr was selected
as optimal speed of truck in this urban area.
Emission inventory of air pollutants emitted fromtruck were also calculated using derived emission
factors obtain from this study. Results indicated thatamount of air pollutants emitted from trucks had
decreasing tendency. These reductions were resulted
by decreasing of emission factors which mostly due
to termination of old truck as well as replacing by
the new one with higher technology. By increasing
average speed from its current level (15 km/hr) tothe proposed optimal average speed of 40 km/hr,
emission amount of air pollutants were decreased.
Particularly, NOx emissions were decreased morethan 50% from their BAU scenario. However there
are many factors that affect to emission factors
including engine technology, vehicle age, level ofmaintenance, fuel quality and emission standard ineach area. These factors should be considered whenestimating emission rate from mobile sources.
The proposed optimal speed at 40 km/hr can bereached by improvement of highway system as well
as designated specific time period to allow
commuting of truck during the on-road off peak
period (from 22.00 – 05.00) when traveling in urban
and sub-urban areas should be strictly implemented.

CONCLUSIONACKNOWLEDGEMENTS

Emission factors of air pollutants from truck
driven in Bangkok, Thailand were developed using
the IVE model. It was found that NOx was the major
type of pollutant emitted from truck. Speed of truckin Bangkok driving cycle was used as variable

The authors greatly appreciate the support withdata from the Pollution Control Department and theLand Transport Department of Thailand. Financial
support of this research was granted by Researchand Researcher for Industrial, the Thailand Research

0
CO

VOC

VOC evap.

NOx

SOx

PM

Percentage of reduction

-10
-20
-30
-40

-50
-60
-70
-80
Average speed (km/hr)

Fig. 6 Percentage of reduction of trucks emission
factors comparing with BAU case are affected byaverage speed.
160000CO

VOC

VOCevap.

NOx

SOx

PM

Emission inventory (ton/year)

140000120000100000
80000
60000
40000
20000
0

494

SEE-Mie, Japan, Nov. 19-21, 2015

from, http://www.researchgate.net/profile/Shauna_Hallmark/publication/242273295_Role_of_
Passenger_Vehicle_and_Heavy_Truck_Speed_
Differences_in_Emissions_Modeling_tech_tran
sfer_summary/links/0f31752f24ed56533300000
0.pdf[8] Fontaras G, Martini G, Manfredi U, Marotta A,
Krasenbrink A, Maffioletti F, Terenghi R, andColombo M, “Assessment of on-road emissionsof four Euro V diesel and CNG waste collection
trucks for supporting air-quality improvement
initiatives in the city of Milan”. J. of Science of
the Total Environment, Vol. 426, April 2012,
pp.65-72.
[9] U.S. Department of transportation, “Transportation Air Quality Facts and Figures January2006” retrieved April. 2015 from http://www.
fhwa.dot.gov/environment/air_quality/publicati
ons/fact_book/page15.cfm[10] Outapa P and Thepanondh S, “Development of
Air toxic emission Factor and inventory of Onroad Mobile Sources”. J. of Air, Soil and Water
Research, 2014, Vol.7, pp. 1–10.
[11] International Sustainable Systems ResearchCenter, “IVE model users manual version 2.0”
retrieved Sep. 2014 from, http://www.issrc.org/
ive/[12] United States Environment Protection Agency(USEPA), “Emission Facts: Average In-Use
Emissions from Heavy-Duty Trucks” retrieved
May. 2015 from, http://www.epa.gov/otaq/
consumer/420f08027.pdf[13] Limanond Th, Pongthanaisawan J, Watthanaklang D, and Sangphong O, “An Analysis of
Vehicle Kilometers of Travel of Major Cities inThailand” retrieved Jan. 2014 from, http://www.
atransociety.com/2015/pdf/pdfSymposium2010/
download/ppt_day_1/(1)Dr.%20Thirayoot%20L
imanond.pdf

Fund. These studies were partially supported for
publication by the China Medical Board (CMB),
Faculty of Public Health, Mahidol University,
Thailand.
REFERENCES[1] Pongthanaisawan J, Sorapipatana C, andLimmeechokchai B, “Road Transport Energy
Demand Analysis and Energy Saving Potentials
in Thailand”, Asian J. Energy Environ., vol. 8,
2007, pp. 49–72.
[2] Thailand-World Bank Country Development
Partnership for Infrastructure, “THAILAND :MAKING TRANSPORT MORE ENERGYEFFICIENT” retrieved Jan. 2014 from, http://
siteresources.worldbank.org/THAILANDEXTN/Resources/333295-1253072771677/TH_
MakingTransportMoreEnergyEfficient_fullrepo
rt.pdf[3] Tzirakis E, Pitsas K, Zannikos F, and Stournas
S, “Vehicle Emissions and Driving Cycles :Comparison of the Athens Driving Cycle(ADC) With Ece-15 and European Driving
Cycle ( EDC)”, Glob. NEST J., vol. 8, 2006, pp.
282–290.
[4] Faiz A, Weaver CHS, and Walsh MP, “Airpollution from motor vehicles”, retrieved Jan.
2015 from http://www.un.org/esa/gite/iandm/
faizpaper.pdf[5] Takigawa A, Mieda A, andPeng Y,“REACTION BEHAVIOR OF C6H6 IN THE
THREE-WAY
CATALYTICCONVERTEREQUIPPED A GASOLINE ENGINE”,Int. J. of
GEOMATE, vol. 6, June. 2014, pp. 2–6.
[6] Hosseinlou HM, Kheyrabadi AH, andZolfaghari A, “Determining optimal speed
limits in traffic networks” retrieved April. 2015
fromhttp://dx.doi.org/10.1016/j.iatssr.2014.08.003[7] Center for Transportation Research and
Education (CTRE), “Role of Passenger Vehicle
and Heavy Truck Speed Differences in
Emissions Modeling” retrieved April. 2015495

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

ZOOPLANKTON AND PHYTOPLANKTON IN ALL ANOXIC LAYERS
OF LAKE FUKAMI-IKE

1

Hiromi Suda 1, Masaaki Tanaka 2, Megumi Nobori 1 and Akihiko Yagi 1
Faculty of Civil Engineering Department of Urban Environment, Aichi Institute of Technology, Japan
2
Faculty of Environmental and Information Sciences, Yokkaichi University, Japan

ABSTRACT
Lake Fukami-ike is a small monomictic and eutrophic lake, located in southern Nagano Prefecture in Central
Japan. An uncommon phenomenon of dissolved oxygen 0-1 mgL-1 from the surface to the bottom layer occurred
on 16 November, 2013. On November 2 (before all layers under the anoxic condition), Trichocerca similis(Rotatoria) etc. dominantly distributed from the surface layer to 5 m depth depending on distribution dissolved
oxygen. Tintinnopsis lacustris (Protozoa) was found in the bottom layer under the anoxic condition. The numberof cells (Synedra rumpens (Bacillariophyceae) and Crucigenia tetrapedia (Chlorophyceae)) abounded from thesurface to 5 m layer. On November 16 (all layers under the anoxic condition), Tintinnopsis lacustris (Protozoa)
distributed from the surface to the bottom layer. Phytoplankton were few in any layer at that time. Then,
Tintinnopsis lacustris continued to distribute from the surface to the bottom layer, and the genus Synedra(Bacillariophyceae) was found to have distributed uniformly from the surface to 6 m depth in the next
investigation on 21 December, when the dissolved oxygen concentration was about 10 mgL-1 from the surface tothe bottom layer. The changes in vertical distribution of Tintinnopsis lacustris from 2 to 16 November, seemed
to indicate that lake water was lifted from the bottom layer (Tintinnopsis lacustris living) when shift stagnation
periods to circulation periods.
Keywords: All layers, Anoxic condition, Zooplankton, Phytoplankton

stored at -20 ℃ until chemical analysis in thelaboratory. The filtrate was used for thedetermination of ammonium, nitrate, nitrite andphosphorous. Inorganic nitrogen (ammonium, nitrate,
and nitrite) was measured by ion chromatography
analysis (DKK-TOA CORPORATION, PCI-311S).
Total dissolved phosphorus was measured by the
molybdenum blue colorimetric method (Murphy andRiley, 1962).
Chlorophyll-a was measured by the fluorometricmethod (Holm-Hansen et al., 1965).
Water
temperature was measured with a thermistor
thermometer, and dissolved oxygen was determinedwith a DO meter.
Plankton samples were taken with a Van Dorn
water sampler (10L, Rigo Co., Ltd., Tokyo Japan)
every 1 m from the upper layer to the bottom layer.
When the water sampling in 7 m layer, take a slight
mud of bottom layer. All samples were preserved in
1% formalin in the field immediately, then counted
and identified by optical microscope (BX51,
OLYMPUS Optical Co., Ltd., Tokyo, Japan) in thelaboratory. The cells of phytoplankton andindividual zooplankton were counted using a ruled
line glass slide. Dominance was shown by the
numbers of cells and individuals.

INTRODUCTION
Lake Fukami-ike is a small monomictic andeutrophic lake. The studies in this lake were begun
from 1978, and it is continuing now mainly aboutwater quality roughly once a month. An uncommon
phenomenon occurred due to dissolved oxygen 0 - 1
mgL-1 from the surface to bottom layer on 16
November, 2013.
This paper describes the results of zooplankton
and phytoplankton distribution, nutrients, andchlorophyll-a in all layers in the anoxic condition,compared with the previous investigation (on 2
November) and the following investigation (on 21
December).
METHODS
Sampling analysis
Lake water samples were collected at the deepest
point with a hand-operation water pump connected
to a polyvinylchloride tube from every 0.25 m depth
during the period of water stratification from April
to October or from every 50 cm-1 m depth in othermonths.
A part of the water samples was filtered througha glass fiber filter (Whatman, GF/F, 47 mm)
immediately after the sampling. The samples were496

SEE-Mie, Japan, Nov. 19-21, 2015

Study site description
Lake Fukami-ike is a small monomictic andeutrophic lake, located in southern Nagano
Prefecture in Central Japan; north latitude 35°32′
55″77, east longitude 137°81′93″56, with asmall diameter: 150 m, 300 m, area 2.1 ha, volume
1.0 × 105 m3 and a maximum depth of 7.75 m (Fig.
1) (Yagi, 2009, 2010).
Circulation periods were in November to March,and stagnation periods in April to October; thedissolved oxygen concentration was zero in about
the 4 m to 5 m deeper layer in mid-summer (Yagi etal., 2009).

Fig. 1Bathymetrical map of Lake Fukami-ike.

Fig. 2

Vertical distribution of dissolved oxygen on
2 and 16 November, and 21 December.

Fig. 3

Vertical distribution of water temperatureon 2 and 16 November, and 21 December.

RESULTS
Zooplankton
Water temperature and dissolved oxygen
Vertical distribution of zooplankton on 2 and 16
November and 21 December was shown in Fig. 4.
Trichocerca similis (Rotatoria) and Bosmina
longirostris (Crustaceae) dominantly distributed
from the surface layer to 5 m depth. They distributed
depending on the sufficiently dissolved oxygen
concentration
layer.
Tintinnopsis
lacustris(Protozoa) distributed in the bottom layer (anoxic
condition), on 2 November.
On 16 November, Tintinnopsis lacustris(Protozoa), which distributed only in the bottom
layer on 6 November, distributed from the surface tothe bottom layer. Epistylis sp. (Protozoa) was foundin all layers the secondly.
On 21 December, Tintinnopsis lacustris
continued to distribute from the surface to thebottom layer; density (ind. L-1) was much the same
while dissolved oxygen was zero on 2 November.

Vertical distributions of dissolved oxygen on 2
and 16 November, and 21 December were shown in
Fig. 2. Vertical distribution of water temperature
was shown in Fig. 3.
Dissolved oxygen decreased to about zero about
6 m deeper, water temperature decrease (<15.5 ℃)
6 m deeper on 2 November; meaning in stagnation
periods.
On 16 November, the value were shown atnearly zero in all layer, water temperature wereconstantly at about 14 ℃ in all layers.
On 21 December, the value were constantly atabout 10 mgL-1 in all layers, water temperature wasconstantly about 7 ℃ 1 m; meaning in circulation
periods.

497

SEE-Mie, Japan, Nov. 19-21, 2015

Epistylis sp. (Protozoa) and Bosmina longirostris(Crustaceae) etc. were found.
From 16 November to 21 December, for about
one month, Tintinnopsis lacustris continued
distribution in all layers. At the next investigation(on 18 January, after about one month), Tintinnopsis
lacustris was not found.

Table 1

Vertical distribution of NH4-N, NO2-N,
NO3-N and PO4-P on 2 November.
(mg l-1)depth (m)
0
1
2
3
4
5
6
7
7.5

NH4-N
0.04
0.03
0.02
0.02
0.02
0.01
0.07
0.08
0.06

NO2-N
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00

NO3-N
0.31
0.34
0.42
0.33
0.37
0.37
0.00
0.00
0.00

PO4-P
0.02
0.02
0.01
0.02
0.01
0.01
0.12
0.79
0.91

Table 2

Vertical distribution of NH4-N, NO2-N,
NO3-N and PO4-P on 16 November.
(mg l-1)

Fig. 4 Vertical distribution of phytoplankton on 2
and 16 November, and 21 December.

Nutrients
Ammonium (NH4-N), nitrate (NO2-N), nitrite(NO3-N) and phosphorus phosphate (PO4-P) wereshown in Table 1-3.
On 2 November (during stagnation periods),
NH4-N and PO4-P concentrations were high (6 m
deeper layer), and the NO3-N concentration was 0 in
6 m deeper layer. On 16 November, NH4-N, NO3-N,
NO2-N and PO4-P concentrations were constantfrom 0 m to 7.5 m, except for NO3-N and PO4-P in
7.5 m.
On 21 December (during circulation periods), NH4N, NO3-N, NO2-N and PO4-P concentration wereconstant from 0 m to 7.5 m.
The concentrations were highest on 16
November in the range 0 m from 6.5 m, on 2 and 16
November, and 21 December, except for releasefrom bottom layer (in 6.5 m deeper layer) on 2
November (during stagnation periods).

depth (m)
0
1
2
3
4
5
6
7
7.5

NH4-N
0.90
0.19
1.00
1.05
0.95
0.75
1.10
-

NO2-N
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.01

NO3-N
0.30
0.26
0.29
0.28
0.27
0.28
0.30
0.43
0.07

PO4-P
0.01
0.02
0.01
0.00
0.03
0.05
0.01
0.02
0.19

Table 3

Vertical distribution of NH4-N, NO2-N,
NO3-N and PO4-P on 21 December.
(mg l-1)depth (m)
0
1
2
3
4
5
6
7
7.5

NH4-N
0.18
0.23
0.24
0.19
0.19
0.19
0.19
0.19
0.20

NO2-N
0.02
0.01
0.03
0.03
0.02
0.03
0.00
0.00
0.05

NO3-N
0.59
0.48
0.42
0.33
0.42
0.55
0.33
0.23
0.50

PO4-P
0.02
0.01
0.01
0.01
0.00
0.01
0.01
0.01
0.00

Chlorophyll-a
Vertical distributions of chlorophyll-a on 2 and16 November, and 21 December were shown in Fig.
5.
The values were about 60 mg L-1 at 0 m to 5 m,
about 200 to 400 mg L-1 (as bacterio chlorophyll-c)
in 5 m deeper on 2 November. The values constantly
ranged from about 10 to 20, except for about 200 mg
L-1 in 7.5 m on 16 November. The values constantly
498

SEE-Mie, Japan, Nov. 19-21, 2015

ranged from about 40 to 60 in all layers. The valuesof 16 November were low in the three investigations.

Fig. 6

Vertical distribution of phytoplankton on 2
and 16 November, and 21 December.
CONCLUSION

Fig. 5

Phytoplankton were few in any layer underanoxic condition on 16 November. It seemed thatphytoplankton cannot grow by exhaustion ofnutrients in the water column because theirconcentration was highest under the anoxic
condition. Dissolved oxygen in the water column
was not enough to live and use for growth.
Tintinnopsis lacustris was found in all layers
under anoxic condition. It seemed to have poor
tolerance of dissolved oxygen because they were
found the bottom layer on 2 November. The reason
that individuals increased on 16 November, andcontinued on 21 December is not well understood.
The changes in their vertical distribution from 2
to 16 November, seemed due to the lake water
lifting from the bottom layer (Tintinnopsis lacustrisliving) on November to all layers when shiftstagnation periods to circulate on periods. There islittle research on the vertical distribution of plankton,
nutrient, and chlorophyll-a, in the anoxic condition.
This paper is thus a valuable description of an
uncommon phenomenon.

Vertical distribution of Chlorophyll-aconcentration on 2 and 16 November, and
21 December.

Phytoplankton
Vertical distribution of phytoplankton on 2
November, 16 November and 21 December wereshown in Fig. 6.
The number of cells abounded from the surface
to 5 m layer; Synedra rumpens (Bacillariophyceae)
and Crucigenia tetrapedia (Chlorophyceae) were
dominant. It was the same as the vertical distributionof dissolved oxygen in the water column on 2
November. The peak in 7 m seemed to reflectsinking from the layer above and precipitated in thebottom layer. On 16 November, phytoplankton were
few in all layers. (The peak in 7 m seemed toconstitute sinking from the layer above andprecipitated in the bottom layer). On 21 December,
phytoplankton
with
genus
Synedra(Bacillariophyceae) distributed uniformly from thesurface to 6 m depth (The peak in 7 m seemed toconstitute sinking from the layer above andprecipitated in the bottom layer).

ACKNOWLEDGEMENTS
We are grateful to the Anan-cho authorities in
Shimoina-gun, Nagano Prefecture, who generously
provided research facilities. We especially thankSohey Hane and Seiya Kato for their assistance inthe field.

REFERENCES[1] Yagi, A., “Biological manganese cycle in theoxic and anoxic layers of Lake Fukami-ike”,
Limnology in Tokai Region of Japan, Vol. 43,
2010, pp. 51-60.

499

SEE-Mie, Japan, Nov. 19-21, 2015[2] Yagi A, Funahashi J, Nishio N, and Umemura
M, “Seasonal changes of methane and organicacid in Lake Fukami-ike”, Verh. Internat.
Verein. Limnol., Vol.30, 2009, pp.878-883.
[3] Murphy J, J.P. Riley, “A modified single
solution method for the determination ofphosphate in natural waters”, Analytica

Chimica Acta, Vol.27, 1962, p.36.
[4] Holm-Hansen O., et al., “Fluorometricdetermination of Chlorophyll”, J. of Cons.
Perm. Int. Explor. Mer, Vol.30, pp.3-15.

500

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

SUCCESSION OF EXOTIC GRASSES USED AS COVER PLANTS FOREROSION CONTROL ON CUT SLOPES, MT. SAKURAJIMA
Kentaro KONDO1, Taizo UCHIDA2, Daisuke HAYASAKA3, Jun TANAKA4, Akio SATO4 andTeruo ARASE5
1
Graduate School of Engineering, Kyushu Sangyo University, Japan; 2Faculty of Engineering, Kyushu Sangyo
University, Japan; 3Faculty of Agriculture, Kinki University, Japan; 4Japan Conservation Engineers Co., Ltd.,
Japan; 5Faculty of Agriculture, Shinshu University, Japan

ABSTRACTThe utilization of exotic grasses as cover plants for erosion control has received considerable attention inrecent years, particularly because these exotic grasses have the potential to become invasive. This study
examined succession of exotic grass communities that have been established on the cut slopes of the volcano, Mt.
Sakurajima. The results showed that although the exotic grasses, such as Cynodon dactylon, Festuca rubra andDactylis glomerata, that have been used for erosion control on the cut slopes were dominant for the first two
years, marked decreases were observed as the native herbaceous plant, Miscanthus sinensis, became dominant
after three years. By the sixth year, all of the exotic grasses vanished completely. This high rate of succession
would result in the suppression of exotic grass dispersal on Mt. Sakurajima. It was also suggested that thechemical properties of volcanic soils, and the bio-engineering technique employed on Mt. Sakurajima may
facilitate this high rate of succession.
Keywords: Cut slope, Erosion, Exotic grass, Succession, Volcano

biodiversity on volcanoes, particularly in the area ofsuccession and dispersal of exotic grasses used for
erosion control. The aim of this study was therefore
to examine the succession of exotic grasses that havebeen applied as cover plants for erosion control on
Mt. Sakurajima by surveying the vegetation andenvironmental characteristics of the cut slopes infour different districts.

INTRODUCTION
There are 110 active volcanoes on the islands ofJapan, which is located on the Pacific Ring of Fire[17]. Among these volcanoes, Mt. Sakurajima in
Kagoshima Prefecture in southwestern Japan is very
active, periodically erupting pumice, scoria and ash,and emitting volcanic gases [23], [30], [40]. As aresult of this activity, natural vegetation from thesummit to halfway down the slopes of the mountainis poorly established, causing soil erosion and thedevelopment of rills and gullies, and frequent debrisand mud-flows down the mountain [18-19], [27],[38]. To prevent and mitigate damage caused byerosion, and debris- and mud-flows, a large numberof check dams have been constructed from thefoothills to halfway up Mt. Sakurajima. In addition,
cut slopes resulting from the construction of thecheck dams have been covered with exotic grasses,
such as Festuca arundinacea, Cynodon dactylon,
Agrostis alba and Dactylis glomerata, for erosion
control. However, given the emphasis on conserving
biodiversity in recent years, concerns have arisen
regarding the utilization of these exotic grasses for
erosion control, particularly because they may
become invasive.
Numerous case studies have been conducted on
the application of exotic grasses to erosion control
on volcanic slopes (e.g. Mt. Sakurajima, Mt. Unzen
and Mt. Usu) [14], [19], [33-34]. However,relatively few studies have examined the plant

MATERIALS AND METHODS
Study Site
A total of 40 cut slopes of check dams weresurveyed in the four districts of Hattani-Sawa,
Saidou-Gawa, Hikinohira-Sawa and Matsuura-Gawa
on Mt. Sakurajima. Permission for the study was
obtained from the Forestry Agency, Ministry ofAgriculture, Forestry and Fisheries. The slopes inthe study area were located at 366 to 655 m above
sea level and their angles of inclination ranged from25 to 70°. The geological features of the slopes wereclassified as "Recent Ejecta", "Hikinohira Lava
Dome" or "Taisho I Lava Flow" [7]. Exotic grasses,
such as Eragrostis curvula, Festuca rubra, F.
arundinacea, C. dactylon, A. alba and D. glomerata,
have been introduced in this area for use as coverplants for erosion control on cut slopes using a bioengineering technique known as the Stabilization
Method (Stabila Kouhou in Japanese), which is amethod employed for aerial seeding work.
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SEE-Mie, Japan, Nov. 19-21, 2015

According to data from the AutomatedMeteorological
Data
Acquisition
System(AMEDAS) for the years 2005 to 2014, the surveyed
area is situated in the laurel forest zone (warmtemperature zone); values of Kira’s Warmth Index[24] ranged from 158.9 to 172.0, and annual
precipitation ranged between 1,530 and 2,942 mm.

bio-engineering technique had been undertaken on
the slope (NYE), and soil chemistries on the slopes.
The NYE was calculated as shown in Eq. (1).
NYE=YVS - FY

Where, YVS and FY are the year of the vegetation
survey and the fiscal year in which the bioengineering
techniquewas
implemented,
respectively. The soil chemistries (pH, EC, carbonto-nitrogen ratio (C/N), cation exchange capacity(CEC), ignition loss (IL), NH 4 -N, NO 3 -N and P 2 O 5 )were analyzed on soil samples that were collected ineach quadrat (approx. 500 ml of soil around theroots of the dominant plant species).

Vegetation Survey
Surveys of the vegetation on cut slopes were
performed at the end of September in 2013 and 2014.
Three survey quadrats (10,000 or 40,000 cm2 ) wererandomly placed on each cut slope. The species
composition of the plants in each quadrat wasrecorded and then scored using the Braun-Blanquet
cover-abundance scale [3]. The plant nomenclatureused in this paper followed that of Iwatsuki (1992),
Miyawaki (1994), Baba (1999) and Shimizu (2003).
All of the recorded plant species were categorized as
native or non-native, and herbaceous or woody
plants based on published literature [2], [16], [32],[35].
In addition, environmental variables considered
likely to affect the succession of vegetation on cut
slopes were also investigated, containing the numberof years that had elapsed since the Stabila Kouhou
XXXXXs

Miscanthus sinensis
C (n =3)(1)

Data Analysis
The Braun-Blanquet cover-abundance scale (r, +,I, II, III, IV, and V) was transformed as follows: r
and + were taken as 0.1%; I as 5.0%; II as 17.5%; III
as 37.5%; IV as 62.5%, and V as 87.5%.
The cut slopes were classified into vegetation
types based on their species composition and twoway indicator species analysis (TWINSPAN). In
addition, a canonical correlation analysis (CCA) was
performed to clarify the relationship between the
XXX

Table 1 Plant coverage for each type classified by TWINSPAN.

1

Vegetation types

B (n =14)

Species

A

B

C

n =23

n =14

n =3

1

<Non-native herbaceous plants>
Trifolium repens
Erigeron annuus
Cynodon dactylon †Festuca rubra †Dactylis glomerata †A (n =23)

r
r
I
I
II

r
r

1

Dactylis glomerata

1

2

3

Division level

Fig. 1

Fig. 1

Classification of vegetation on
cut slopes by TWINSPAN
using species composition(plant coverage data, %).
Cut levels of 0, 20, 40, 60 and
80 were employed in theanalysis.

<Native herbaceous plants>
Fallopia japonica
Artemisia indica
Lespedeza juncea
Dennstaedtia hirsuta #Miscanthus sinensis<Native woody plants>
Rhaphiolepis indica
Eurya japonica
Pinus thunbergii
Ligustrum japonicum
Rhododendron kaempferi
Duschekia firma
Indigofera pseudotinctoria
Albizia julibrissin
Boehmeria spicata
NYE ‡

r
r
r
+

r
r

r
III

V

r
r
r
r
r
r
r

r

r

r
r
r
r

2.0 ± 1.1‡†rr

5.8 ± 1.6‡#‡

6.7 ± 2.9‡

, exotic grasses as cover plants for erosion control; , fern, and , mean and standard
deviation. In vegetation types Roman numerals and other symbols for each species
indicate plant coverage classes, defined as follows: r, under 5%; +, under 10%; I, under
20%; II, under 40%; III, under 60%; IV, under 80%, and V, above 80%.

502

SEE-Mie, Japan, Nov. 19-21, 2015

Table 2 Summary of CCA on Axes 1 and 2.
Eigenvalues
Cumulative percentage of species variance
Species-environment correlations
P -values by Monte Carlo permutation test

Axis 1

Axis 2

0.59
22.4
0.81
0.02

0.39
37.2
0.72
0.01

Axis 2
3vegetation types and environmental variables, suchas pH, C/N and P 2 O 5 of soil, excluding NYE. The
statistical software package PC-ORD (ver. 4.0 for
Windows, MjM Software Design, USA) was used
for TWINSPAN and CCA.

pH

EC

1

NO3-N
P 2O 5C/N

RESULTS-3-2

Vegetation Type on Cut Slope

2
IL

NH4-N

Types

CEC

3
Axis 1-1

The TWINSPAN classified the vegetation on 40
cut slopes into three vegetation types, based on their
species composition (Fig. 1). Type A, which was
found on 23 cut slopes, could be separated fromother types by the indicator species, D. glomerata.
At the second division level, the remaining types
were separated into Type B (n=14) and Type C(n=3), respectively, based on the indicator species,
M. sinensis.
The species that dominated Type A were theexotic grasses, C. dactylon, F. rubra and D.
glomerata that had been used as cover plants for
erosion control (Table 1). Conversely, M. sinensis,
which is a native herbaceous species, was dominant
in Types B and C. However, the coverage of M.
sinensis in Type C was larger than that in Type B,
and also exotic grasses were not observed in Type C.
The average NYE was 2.0 years for Type A, 5.8
years for Type B, 6.7 years for Type C.
Relation between Vegetation
Environmental Variables

2: Type A (n=23)-2: Type B (n=14): Type C (n=3)-3Fig. 2
Fig. 2

CCA biplot of vegetation types.
Arrows indicate the direction and relative
influence of environmental variables in theordination.

NYE vs. Component Species
The relationship between NYE and component
species is shown in Fig. 3. Within two years of thebio-engineering technique, most of the species on
cut slopes were exotic grasses used as cover plants
for erosion control, such as C. dactylon, F. rubra
and D. glomerata (96.9% of total). However, these
species decreased remarkably after the third year,
and native herbaceous plants, mostly M. sinensis(98.7% of total), were dominant. Native woody
plants were also observed after about three years,
and non-native herbaceous plants including exotic
grasses for erosion control vanished totally after six
years.

andA total of 37.2% of the variance in the CCA was
explained by Axes 1 and 2, whose eigenvalues
indicated 0.59 and 0.39, respectively (Table 2).
Monte Carlo permutation test showed that each axis
was significantly affected by environmental
variables (P<0.05).
Axis 1 approximately divided vegetation types
into Type A and the others; Type A wascharacterized by mostly positive scores, while Types
B and C had negative scores (Fig. 2). Meanwhile,
Axis 1 showed a strong correlation with positiveenvironmental variables such as NO 3 -N, IL, P 2 O 5
and CEC, and negative environmental variables suchas NH 4 -N.
Incidentally, no obvious relationship between
vegetation types and Axis 2 was observed.

DISCUSSION
Succession of Cut Slope Vegetation
Despite the large number of studies that havebeen published on succession after volcanic
eruptions [1], [4], [8], [22], [29], [36-37], [41],503SEE-Mie, Japan, Nov. 19-21, 2015

Cumulativeaplant
Cumulative plant coverage (%)

100
xxxxx

[34]; however, no additional fertilizer has been
applied to the cut slopes of Mt. Sakurajima.
Decline of Exotic Grasses

50

The exotic grasses that have been used as coverplants for erosion control were dominant for the firsttwo years after the bio-engineering technique (Fig.
3). However, these plants declined rapidly thereafterand native herbaceous plants became dominant fromthe third year onward. By the sixth year, the exotic
grasses vanished completely. Typically, exotic
grasses on slopes start to decline six to ten years
after the bio-engineering technique [11], [20-21],[46], but they can remain dominant for more thanten years, occasionally persisting for more than 20
years on slopes [26], [44-46].
Consequently, the disappearance of the exotic
grasses on the cut slopes of Mt. Sakurajima is
considered to have occurred in quite a short periodof time.

0
1

2

3

4

5

66

77

88

99

10
10

NYE
: Non-native herbaceous plants(exotic grasses used for erosion control): Non-native herbaceous plants (others): Native herbaceous plants (Miscanthus sinensis): Native herbaceous plants (others): Native woody plants

Fig. 3

Relationship between NYE and component
species.

CONCLUSION
Balancing the application of exotic grasses toerosion control against the need for the conservationof biodiversity is important. We consider that an
optimal balance was achieved in this regard on theslopes of Mt. Sakurajima; coverage of exotic grasses
used as cover plants was high shortly after the bioengineering technique, which would be effective for
erosion prevention. However, these exotic grasses
declined and vanished much earlier than was
expected, and then native plants became establishedat these sites, which would also result in the
suppression of exotic grass dispersal.
It is proposed that, in combination with thechemical properties of volcanic soils, the bioengineering technique "with little or no nutrient(fertilizer)" is well suited to using exotic grasses for
erosion control on volcanoes such as Mt. Sakurajima.

relatively little research has been conducted on the
succession of exotic grasses used for erosion control
on volcanoes.
The findings of this study showed that thevegetation on volcanic slopes consisted of three
types (Types A, B and C), which had average NYE
values of 2.0, 5.8 and 6.7 years, respectively (Fig. 1
and Table 1). This indicates that the succession of
cut slope vegetation after the bio-engineering
technique on Mt. Sakurajima is likely to occur in theorder of Type A, Type B and then Type C, whichmeans that exotic grasses used for erosion control
on cut slopes on Mt. Sakurajima would be replacedby native plant communities dominated by M.
sinensis.
The high NO 3 -N, P 2 O 5 , CEC and IL levels
observed at the study sites may have facilitated thegrowth of Type A plants compared to Type B andType C plants (Fig. 2). Indeed, the demand of exotic
grasses for nutrients is typically very high, and soil
nutrients are major growth limiting factors in these
species [5-6], [9], [11], [42-43], [46]. Conversely, M.
sinensis-dominated grasslands can be maintained
under oligotrophic conditions without fertilizer
application [10], [13], [25], [39].
We consider that the succession of cut slope
vegetation after the bio-engineering technique on Mt.
Sakurajima is driven by a progressive decrease insoil nutrients. This decrease in soil nutrients would
result from chemical properties of volcanic soils, e.g.
N, CaO and K 2 O leaching, and fixation of P 2 O 5 [9],[12], [15], [28]. In addition, typically, the Stabila
Kouhou bio-engineering technique requires therepeated application of additional fertilizer [31],ACKNOWLEDGEMENTS
We are grateful for the assistance of the staff ofKyushu Regional Forest Office. We also thank themembers of Laboratory of Plant Ecology at Kyushu
Sangyo University.
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First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

ASSIMILATIVE CAPACITY OF AIR POLLUTANTS IN AN AREA OF
THE LARGEST PETROCHEMICAL COMPLEX IN THAILAND
Apiwat Thawonkaew1,2, Sarawut Thepanondh1,2, Duanpen Sirithian1,2 and Lasita Jinawa1,2
1Faculty of Public Health, Mahidol University, Thailand,
2
Center of Excellence on Environmental Health and Toxicology, Bangkok, Thailand.

ABSTRACT
Assimilative capacities of sulfur dioxide (SO2) and oxides of nitrogen (NOx) in the largest petrochemicalindustrial complex in Thailand were evaluated in this study. AERMOD dispersion model was simulated tocompute for ground level concentrations and spatial distributions of SO2 and nitrogen dioxide (NO2) within aradius of 5 km from Maptaphut industrial area. Emission input consisted of 419 stacks which total amount of
2,071.82 and 2,163.66 g/s of SO2 and NOx were used as baseline emissions. Maximum hourly average andannual concentrations predicted at 8 ambient air quality monitoring stations in the study domain were used toevaluate an assimilative capacity of these pollutants. Emissions of SO2 and NOx were adjusted to the limit thatpredicted concentrations will not exceed their ambient air quality standards. Results indicated that in order toachieve both hourly and annual standards, NOx emissions must be reduced by at least 40% from its baseline
value. As for SO2, emissions can be increased up to about 130% from current level. Results of this study
indicated that an existing regulation in controlling individual emission source by using emission standard isinsufficient. Analysis of air pollution as area-based approach by taking into consideration entire emission sources
can support for better planning and management of pollution.
Keywords: AERMOD, Emission rate, Maptaphut, Assimilative capacity, NOx, SO2

industrial activities of the MA [6]. NO2 and SO2 are
generally two main air pollutants well known tohave adverse effects on human health, particularlyon the respiratory system.
The government has encouraged the studying on
the air emissions assimilative capacity using air
dispersion model in this area [7]. Efforts have been
made to assess status of air quality using both direct
measurement and predicted data from air quality model[8]. Evaluation of assimilative capacity of air pollution
in this area can assist in area-based management ofpollution problems together with individual emission
source control through the implementation of emission
standards.
This study evaluated assimilative capacities ofsulfur dioxide (SO2) and oxides of nitrogen (NOx).
AERMOD dispersion model was simulated tocompute for ground level concentrations and spatial
distributions of these pollutants within study area.
Emission input consisted of stacks which total
amounts of emission rate were used as baseline
emissions. The maximum hourly average and annual
ground level concentrations were predicted and werecompared with the Thai’s ambient air quality standards
for SO2 and NO2. Predicted data at 8 ambient air
quality monitoring stations in the study domain wereused to evaluate an assimilative capacity of thesepollutants. Emissions of SO2 and NOx were adjusted
to the limit that predicted concentrations will not

INTRODUCTION
Maptaphut industrial area (MA) in Rayong
province, Eastern region of Thailand. It wasestablished in 1988 as part of the Thai’s government
policy to develop the eastern seaboard [1]. Main
industries found in the Maptaphut industrial area arepetrochemical industry, metal processing, oil
refining, gas separation, electricity generation, andseaport [2]. The development and operation of the MA
has occasionally brought out local environmental problems(e.g., air, wastewater, groundwater contamination,
hazardous wastes), among which air pollution appears
seriously perceived [3]. Importance is air Pollutant
the such, including nitrogen dioxide (NO2), sulfur
dioxide (SO2), carbon monoxide (CO), particulatematter, volatile organic compounds (VOC), andothers.
In order to support air quality management in theMA, the Thai’s government declared the MA as apollution controlled zone in 2009 [4]. This
designation requires the Industrial Estate Authorityof Thailand and entrepreneurs to seek for proper
measures to limit and control emissions to theenvironment [5]. NO2 and SO2 are air pollutants
required by the government for consideration whenassessing the impacts of an industrial facility inorder to acquire a permit for operation in the MA.
Furthermore, they are also required parameters to beassessed when planning for future expansion of507

SEE-Mie, Japan, Nov. 19-21, 2015

exceed their ambient air quality standards.

level closed to ground level. Upper air data (daily
values) which describe conditions at higher altitudein the atmosphere also be used in the model. Boundary
layer parameters used by AERMOD, which arerequired as input to the AERMET processor, include
albedo, Bowen ratio, and surface roughness [12]. The
gridded data needed by AERMAP was selected from
Digital Elevation Model (DEM) data and the terrain
data was collected during the Shuttle Radar
Topography Mission (SRTM3). The terrain data werepre-processed with AERMAP prior to modelling in
AERMOD.
In this study, a comprehensive Cartesian receptor
grid extending to 5 km from the center of the emission
source was used in the AERMOD modeling to assess
the maximum ground-level pollutant concentrations.
The Cartesian receptors grid (14.5 km × 14.5 km
domain) has a uniform spacing of 500 m. Eight
discrete receptors were set in the modelling domain.
The receptors were labelled as Health Promotion
Hospital Maptaphut (HMTP), Field Crops ResearchCenter (FCRC), Ban Ta Kuan Public Health Center(BTKH), Wat Nong Fap School (WNFS), Muang Mai
Maptaphut (MMTP) , Map Chalut Temple (MCLT),Ta Kuan Temple (TKTP) and Chum Chon Islam(CCIL) as shown in Fig 1. The receptors wererandomly selected to represent sensitive receptors
such as residential area, schools, health care centers
etc.

METHODOLOGY
The study domain was designed to encompass
the entire Maptaphut industrial area (MA) and its
vicinity in Rayong province Thailand, covering an
area of 10 × 10 km2 with a horizontal grid spacing of
500 m. This modeling domain currently includes
five industrial estates namely Map Ta Phut, East
Hemaraj, Asia, Padaeng and RIl industrial estates[9].
Spatial distribution of these industrial estates in the
study area was as shown in Fig 1.
AERMOD is a steady-state Gaussian plumemodel. It is a refined dispersion model for simple
and complex terrain for receptors within 50 km of amodelled source. The AERMOD modelling systemused in this study was run with a commercial
interface, AERMOD View (Version 8.7). Thismodel was intensively validated for its ability inpredicting ground level concentration of SO2 andNO2 in this study area [10], [11].
The meteorological parameters data input wereprepared over one years (1st January 2013 to 31th
December 2013). Data used in this study weregenerated by Mesoscale Meteorological Model(MM5) in TD-6201 format file. Data were then preprocessed using AERMET processor. The required
meteorology data for AERMOD are surface data(hourly values) which describe conditions at theFig. 1

Study domain in a radius of 5 km from Maptaphut industrial area
(yellow dots represent the position of receptors; red dots represent the position of point sources)508

SEE-Mie, Japan, Nov. 19-21, 2015

Stack emission data (Table 1 and Table 2) wereobtained from the database for MA, which wascompiled and reported by the Office of Natural
Resource and Environment Policy and Planning [13].
These data consisted of stack height, stack diameter,
stack exit temperature (Kelvin), stack exit velocity(m/s) and emission rate (g/s). These emission datacomprised of 419 stacks covering entire stacks in the
study area.
Determination of assimilative capacities of sulfur
dioxide (SO2) and oxides of nitrogen (NOx) werecarried out by simulation of AERMOD dispersion
model. Ground level concentrations and spatial
distributions of these pollutants were analyzed as
outputs of the simulation. Maximum hourly average
and annual concentrations predicted at 8 ambient air
quality monitoring stations in the study domain wereused to evaluate an assimilative capacity of thesepollutants. Emissions of SO2 and NOx were adjusted
to the limit that predicted concentrations will not

exceed their ambient air quality standards.
RESULTS
Assimilative capacities of sulfur dioxide (SO2)and oxides of nitrogen (NOx) in this study were
determined as value of total emission of air pollutant
which its predicted ground level concentration was
not higher than the Thai’s ambient air quality
standard [14]. The values of 780 and 100 µg/m3
which are designated ambient air quality standard of
SO2 were used to compare with predicted one hour
and annual concentration, respectively. As for NO2,
predicted 1 hr and annual concentrations werecompared with the values of 320 and 57 µg/m3(ambient air quality standards for NO2), respectively.
Simulated results in an existing condition andpredicting assimilative capacities of these pollutants
were summarized in Table 3.

Table 1 Physical parameters of stacks

Stack emission group

NumberofstacksHeightMean±SD (m)Diameter
Mean±SD(m)

Exit
Temperature
Mean±SD (K)Exit Velocity
Mean±SD(m/s)

Petrochemical industry(PETROCHEM)

307

33.30 ± 16.02

1.28 ± 0.88

450.44 ± 150.94

11.76 ± 8.13

Power plant (PP)45

48.78 ± 33.00

3.91 ± 1.65

408.31 ± 33.97

20.45 ± 6.15

Oil refinery (Refinery)26

21.60 ± 27.81

0.75 ± 0.92

74.21 ± 102.01

4.11 ± 4.80

Metal industry (Metal)

28

32.83 ± 17.23

1.59 ± 1.46

553.32 ± 233.06

11.4 ± 6.45

Gas Separate Plant
(GSP)

13

59.31 ± 47.80

2.69 ± 0.77

460.68 ± 27.37

24.48 ± 12.12

Table 2 Emission rates of SO2 and NOx
SO2a (g/s)

NOxa (g/s)

Stack emission group
Mean±SD

Total

Mean±SD

Total

1.14 ± 4.06

349.241.38 ± 2.25

428.98

Power plant (PP)29.88 ± 153.67

1344.48

34.26 ± 100.12

1541.74

Oil refinery (REFINERY)

19.64 ± 37.67

309.774.09 ± 6.86

109.49

Metal industry (METAL)

1.91 ± 4.77

53.5

0.74 ± 0.96

20.73

Gas Separate Plant (GSP)

1.14 ± 0.83

14.83

4.82 ± 1.73

62.72

-

2071.82-2163.66

Petrochemical industry(PETROCHEM)

Total

notes : a maximum measured/estimated emission rates

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SEE-Mie, Japan, Nov. 19-21, 2015

Modeled results indicated that annul average
concentrations of NO2 at every receptor points were
not exceed its annual standard in the existing
emission rate. However, predicted maximum 1-hr
average concentrations at FCRC, WNFS and MCLT
stations were higher than 320 µg/m3 which is set as
ambient standard for 1-hr average of NO2. These
predicted values were about 488, 392 and 364 µg/m3
at WNFS, MCLT and FCRC, respectively. Therefore,
in order to achieve attainment of air quality in thisarea, emissions of NOx must be decreased from its
current level. Results from model simulation
indicated that at emission rate of about 1296.54 g/s,
predicted 1-hr average ground level concentration of
NO2 at every receptor points will be compiled with
its environmental standard. Predicted maximum 1-hr
average can be achieved by about 44 % reduction
from current emission rate of NOx from petrochemicaland Power plant (formerly 1970.72 g/s as 1103.60
g/s). This value was corresponded to about 40 %reduction from current emission rate of NOx(2163.66 g/s). Comparisons of pollution maps ofNO2 annual average concentration in an existing
condition with its predicted assimilative capacity(total emission rate of 1296.54 g/s) were aspresented in Fig 3.

SO2
In an existing condition, there were about
2071.82 g/s of SO2 emitted from entire study area.
The maximum 1 hr and annual average
concentration were predicted as about 339 and 28.35µg/m3 at MCLT and HTMP, respectively. These
values were not exceed ambient air quality standard
of SO2. Therefore, there are still rooms forincreasing of emissions of SO2 in this area. It was
found that in this case, emission rate of SO2 could be
increased up to about 4765.19 g/s or about 130 %from its existing condition. At this level, themaximum 1 hr average ground level concentration
was predicted as 779.70 µg/m3. The maximum
annual concentration at HTMP station was predicted
as 62.22 µg/m3. These predicted concentrations were
not exceeded their ambient air quality standards.
Comparisons of pollution maps of SO2 annual
average concentration in an existing condition (total
emission rate of 2071.82 g/s) with its predictedassimilative capacity (total emission rate of 4765.19g/s) were as illustrated in Fig 2.
NOX

Table 3

Predicted maximum hourly and annual average concentrations at receptor sites in the study domain
SO2

Receptor

Hourly std. ≤ 780(µg/m3)

NO2
Annual std. ≤ 100(µg/m3)

Hourly std. ≤ 320(µg/m3)

Annual std. ≤ 57(µg/m3)current

130%
increasedcurrent

130%
increasedcurrent

40%
reducedcurrent

40% reduced

HMTP

236.14543.13

28.35

65.22

290.00184.60

31.91

21.27

FCRC

337.85777.05

9.29

21.37

364.00239.65

13.16

7.89

BTKH

235.90542.57

20.08

46.18

238.00150.39

17.67

11.53

WNFS

330.43760.00

7.91

18.19

488.00300.29

10.66

6.47

MMTP

304.56700.48

21.18

48.70

312.00197.35

38.44

24.17

MCLT

339.00779.70

9.50

21.85

392.00250.19

17.12

10.57

TKTP

208.43479.39

16.59

38.16

228.00144.58

15.27

9.76

CCIL

261.04600.39

20.25

46.57

287.00181.34

33.70

21.59

510

SEE-Mie, Japan, Nov. 19-21, 2015

Fig. 2

Annual average concentration of SO2 for normal emission rate and 130% emission rate increasing

Fig. 3 Annual average concentration of NOx for normal emission rate and 40% emission rate decreasing frompetrochemical & chemical industries and power plant
Maptaphut area indicated that mostly of NO2 at
WNSF were contributed by petrochemical industrial
and Power plant group (about 91 %) [9], [15].
Therefore, efforts in reducing NOx emissions should
be given to those petrochemical factories in thisindustrial complex. As for SO2, the values ofmaximum 1-hr and annual average concentrations atreceptors predicted under current emission rate were
below the Thai ambient standard for SO2. It wasestimated that emission rate of SO2 could be increased
up to 4765.19 g/s in order to attain ground level
concentration of SO2 within its environmental standard.
These emission amounts corresponded to about
130 % increasing from current SO2 emissions in thisstudy area. Results of this study revealed that anexisting regulation in controlling individual emission
source by using emission standard may insufficient.
Analysis of air pollution as area-based approach bytaking into consideration entire emission sources can
support for better planning and management of

DISCUSSION AND CONCLUSION
This study focused on analysis of assimilative
capacities of sulfur dioxide (SO2) and oxides ofnitrogen (NOx) in the largest petrochemical industrial
complex in Thailand. AERMOD dispersion model was
simulated to compute for ground level concentrations
and spatial distributions of SO2 and nitrogen dioxide(NO2). Results indicated that under current emissionrate, predicted maximum NO2 concentration (1-hraverage) was higher than its ambient air quality
standard. Therefore, emissions of NOx must be
reduced from its existing level. Evaluation ofcarrying capacity indicated that emission rate ofNOx in the entire area must be reduced to the levelof about 1296.54 g/s in order to attain NO2 groundlevel concentrations within the environmental
quality standard. This amount corresponded to about
40% decreased from current total emission rate. A
study on source contribution of NO2 concentration in

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SEE-Mie, Japan, Nov. 19-21, 2015

pollution in the study area as well as can be used forfurther implementation in other industrial complex
areas.

[6] Vassana dumrongdee S, A Final Report,
Development of a Strategic Environmental
Framework towards Eco Industrial Town : A
Case Study of Map Ta Phut, Rayong Province,
Thai Health Promotion Foundation (ThaiHealth), September 2011.
http://www.tuhpp.net/files/SEF.pdf. Accessed
July 11, 2015.
[7] Thepanondh S, Jitbantoung N, Assimilative
capacity analysis of air pollutants over the
Dawai industrial complex. International journalof environmental science and development.
2014. pp. 161-164.
[8] NESDB. The studying on the Assimilative Capacity on
the Map Ta phut Industrial area, 2011 edition. Bangkok,
Thailand. 2011.
http://www.nesdb.go.th/Portals/0/eco_datas/area/data/data_0135200511.pdf. Accessed May 5, 2015.
[9] Chusai C, Manomaiphiboon K, SaiyasitpanichP, Thepanondh S. NO2 and SO2 dispersion modelingand relative roles of emission sources over Map Ta
Phut industrial area,Thailand. Journal of the Air &Waste Management Association. 2012. 62(8). pp.93245.
[10] Jittra N, Thepanondh S. Performance evaluationof AERMOD air dispersion model in Maptaphut
industrial area, Thailand, Environmental Scienceand Information Application Technology. Conference.
2015, pp. 225-228.
[11] Tunlathorntham S, Thepanondh S. A study of
AERMOD tiering approach for prediction of
nitrogen dioxide in Maptaphut industrial area,
Thailand, Environmental Science and Information
Application Technology. Conference. 2015, pp.
230-233.
[12] US EPA, AERMOD: Description of Model
Formulation; Final technical report, 2004, pp. 1-91.
[13] ONEP. Stack Emission Database for the Map Ta
Phut Industrial Area. Bangkok, Thailand. 2013.
http://www.onep.go.th/eia/. Accessed January 7, 2015.
[14] PCD. Ambient Air Standards of Thailand. 2015.
http://www.pcd.go.th/info_serv/en_reg_std_airs
nd01.html. Accessed January 12, 2015.
[15] Khamyingkert L, Thepanondh S. Source
Contribution Analysis of ambient NO2
concentration in Maptaphut industrial complex
Thailand. International Conference on Environmental
Research and Technology. Conference. 2015, pp.
44-48.

ACKNOWLEDGEMENTS
The authors sincerely thank the Pollution Control
Department, the Thai Meteorological Department,
the Industrial Estate Authority of Thailand and the
Office of Natural Resources and Environmental
Policy and Planning for providing input data used inthis study. This study was partially supported for
publication by the China Medical Board (CMB),
Center of Excellence on Environmental Health andToxicology (EHT), Faculty of Public Health,
Mahidol University, Thailand.
REFERENCES[1] Thepanondh S, Toruksa W. Proximity analysis
of air pollution exposure and its potential risk. J.
of Environmental Monitoring. Vol. 13, 2011,
pp. 1264-1270.
[2] Industrial Estate Authority of Thailand. 2015.
http://www.ieat.go.th/ieat/index.php/en/
and
http://ereport.ieat.go.th/main/default/index.
Accessed April 23,2015[3] SST, Current Situation, Important Pollutions
Issues, and Solutions and Additions in Map Ta
Phut and Neighboring Areas Solving the
Problem in Following Paragraph 2, Article 67 of
the Thai Constitution (in Thai). Subcommittee
on the Study of Pollutions and the Technical
Addition to the Reduction and Elimination of
Pollutions in Map Ta Phut and Neighboring
Areas. 2010.
http://www.publicconsultation.op-m.go.th/
rubfung67/proposal6.pdf . Accessed May 8, 2015.
[4] ONEP. Pollution controlled zone in 2009,
Thailand. 2009.
http://www.onep.go.th/neb/6.%20Laws/data/ann
oucement_neb/neb_annoucement32.pdf
Accessed January 10, 2015.
[5] PCD. Thailand State of Pollution Report 2007.
Bangkok, Thailand, 2008.
http://infofile.pcd.go.th/mgt/Report_Eng2550.p
df?CFID=40597&CFTOKEN=13393920
Accessed May 8, 2015.

512

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

SMALL-SCALE IRRIGATION PRACTICES AND TRADITIONAL
COMMUNITY WATER MANAGEMENT IN TAKHAR, AFGHANISTAN
Asim Ayoub and Shigeko Haruyama
Graduate School of Bioresources, Mie University, Japan

ABSTRACTIn the result of irrigation infrastructures destruction and the existence of 90% traditional irrigation system,
while the efficiency of irrigation network system is workable in only 25-35% of all system, the usage potential
irrigation water for agriculture is less than potentiality volume of water resource in Takhar, Afghanistan. This
study aims to find out the condition and problems of traditional community water management in northeasternpart of Afghanistan and find out the relationship and deference between government and traditional irrigation
community management in the area. In-depth interview and fill-up questionnaire survey with water masters(Mirabs) and farmers was done respectively in the two districts, and we found that some efforts in recent years
have been done to rehabilitate irrigation infrastructures and reforming the social institutions aiming to improvethe efficiency of water management and distribution systems, but the results of field survey are not efficientbecause only those are fully controlled by government having the Water User Associations is a little improved,
and the rest of private local Water User Associations are still suffering from technical, social and managerial
constraints. We clarified that water shortage, unfair water allocation and management and conflict over water use
are the major problems, especially for middle and downstream users of traditional system. In the study area theirrigation has been using for long time in the area, but management of water and irrigation system is still old, due
to wasting water and non-efficient water management water shortage is common in most areas. Thus, to savewater and use it efficiently to insure sustainable agriculture development, appropriate irrigation practices andwater harvesting is necessary to minimize the water use.
Keywords; Irrigation system, community water management, water resources, Afghanistan
water is dependent to the social and geographicalcondition of the area in Afghanistan. For example; inNangarhar province, Janikhel canal, have no official
water management system, but the Mirab system,and the irrigation water is managed in the group of
canals by Mirab and support from shora which is thevillage council of elders. A Mirab is used only,
when water shortage occurs and disputes likely tohappen in use of water for summer crops. Unsuitable
irrigation method in drought years, the limited water
resource in summer, water shortages due to intake
and conveyance losses are the problems in Tuyan
and Ghorak canals of Herat province in west ofAfghanistan.
In Ghazni province, there is no Mirabs available
except in lower Ghazni River valley, where water
shortage used to occur. Instead of Mirab, shora ofelders manage the distribution of water in 24-hr(shab o roz) turns, the water in upstream areas rotate
in every 4–5 days and downstream 1–2 times/monthat peak [4]. In all part of Afghanistan in spring as
water is a constraint, allocation of water istraditional and known by all population, but the oldwater allocation and distribution system, water
stealing and wasting water during applying irrigation
lead to water shortage and conflict. In study area
70% of irrigation canals, irrigate area less than 500
ha. There for clarifying and finding the problems ofthese systems would help to take a further step in

INTRODUCTION
From Afghanistan’s 26 million population, 80%
living in rural area depending on agriculture sector
for managing their livelihoods in an arid/semi-arid
climatic zone, development and stability ofagriculture, water resources and water management
have been given high importance in Afghanistan’s
National Development Strategy [1]. Afghanistan has
65 million ha but only 12% or 7.9 million ha isarable land, which by considering the population
growth and cultivated area from 1980 to 2013,
population has been increased almost by double
from 14 to 26 million and the cultivated area has
been decreased from 3.3 to 3.2 million ha, besidethat irrigated crop area has been decreased from 2.5
to 2.01 million ha [2].
Generally, Afghanistan has two kinds of irrigationwater management, as the existing law on the use ofwater describes, the traditional or private irrigation
system, which is called Mirab locally, and the otheris government irrigation system. A relatively simple
classification system for developing more detailed
analysis through describing of system types andproviding case study examples in Herat and Kunduz
provinces of Afghanistan is done by Afghanistan
Research and Evaluation Unit, which is an important
start for environmental problems [3].
Variety in irrigation system and the management of513

SEE-Mie, Japan, Nov. 19-21, 2015

improving the irrigation system efficiency.
The importance of large-scale irrigation is obvious
and comparatively is more profitable than small ones.
But, in terms of empowering the local community,
small-scale irrigation is suitable as it covers small
land available in the rural areas. Access to small
scale irrigation enables the households to insure
increased and stable production, consumption andimprove the food security status [5].
In the study area, limited access to water resources
and conflicts over water likely to happen, during the
dry years are important problem. This study aims toclarify irrigation system both government irrigation
system and the local traditional irrigation system,and to find the community water management
problems in the study area.

The study area is located in Taluqan Sub-Basin oneof the Panj-Amu River Basin which has the highest
storage volume of water resource in Afghanistan.
Taluqan Sub-Basin covers 1,300,000 ha ofcatchment area. From the four rivers which drain in
Takhar province, the Kokcha River has the highest
volume of water followed by the Taluqan River
shown in (Fig.3). Accordingly, it’s found that
Taluqan River having 51.4 m3/sec mean yearly
discharge is used the most in irrigating agriculture
lands, which irrigate 78,437 ha in Taluqan and otherneighbouring districts of Takhar province (Fig.3).

STUDY AREA
Afghanistan is located in central Asia and due tothe rugged mountainous relief, the climate ranges
from arid in the south and southwest to semi-arid in
the other parts, the Mt.Hindu-Kush and Pamir aremoderately humid. Precipitation ranges from lessthan 100 to 500mm and the annual temperature
ranges from -20 to 45 ℃, the evapotranspiration rate
is between 5 to 10 mm/day [1]. Takhar province (Fig.
1) is a part of the north-eastern fluvial plains of
Afghanistan with permanent rivers and fertile
lowlands. The population was 933,000 in 2012, and
85% of population is in agriculture sector andpoverty rate is 39 %. The climate differ from cold
winters (-23℃) to hot summers (35-40℃). The total
area of Takhar province is 1,245,700 ha, from the allarea 473,817 ha is agriculture land dividing by
185,268 ha irrigated land and 288,549 ha rain-fed
land. However the average yearly precipitation inthis province is 415mm.

Fig.2.1 Afghanistan Major River Basins

Taluqan
FarkharFig.1 Study Area

More than 80% of the Afghanistan’s water
comes from Snow-melt of the Mt. Hindu-Kush insummer. Water resources in the country are divided
into five major river basins which every basin
consist of several watersheds. The Amu basinaccounts 48.12million m3/y (57%), the Kabul River
21.6million m3/y (26%), the Northern 1.88million
m3/y (2%), the Harirud-Murghab 3million m3/y
(4 %), and the Helmand 9.3million m3/y (11 %)Fig.2, of the annual water discharge [6].

7,000

90,0006,000

80,00070,0005,000

60,0004,000

50,0003,000

40,00030,0002,000

20,0001,000

10,0000

0KokchaRiver

TaluqanRiver

Bangi River Namakab
River

Yearly Runnoff

Irrigated Area

Fig.3 Water Resources and Irrigated Land in Takhar

514

Irrigated Area (ha)Runoff, (million m3)

Fig.2.2 Location of Taluqan Sub-Basin in Panj-Amu
River Basin

SEE-Mie, Japan, Nov. 19-21, 2015

METHODOLOGY AND DATAManagement of Irrigation System and System
Operation and Maintenance

We used the following two methodologies as,questionnaire survey in the field and statistical data
analysis, the statistical data, such as, water resources
including river discharge and precipitation from2006 to 2013, and canals structure condition andirrigation system were collected from Irrigation andAgriculture Department of Takhar province. For
primary data, we visited field from 10 to 25 May
2015 conducting questionnaire
survey incommanding area of Nahr Said, Shorab, Nahr
Chaman and Shengan canals in Taluqan and Farkhar
districts of Takhar province. Table.1 is showing data
for analysis of our study. In the study area, there arequite few written data and we asked the local offices
to collect manual data.
The field survey was conducted by using two
method of data collection, in-depth interview with
key informants (Mirabs) and fill-up 50 questionnaire
sheets with farmers, the questions include personnel
information, irrigation and agriculture practices
which covers problems of irrigation, agriculture andwater management system in the area. Even the
security and lack of database in local governmentorganizations were important constraint for datacollection. Data entry and analysis; the collected
data was entered to the datasheets and Arc GIS
version 9.3 is used for analysis the condition and thegeographical distribution maps.

A-Irrigation Scheme in the River Morphology

80
70

180
160
140
120
100
80
60
40
20
0

60
50
40
30
20
10
0

River Discharge, M3/s

Rainfall & Temperature ( mm and ℃)

Irrigation water for surveyed canals is obtained
from the Taluqan River unless the Shorab Canalfrom Namak ab River, both tributaries has different
mean monthly flows. The average monthly flow datamasks the pattern of daily and flood flows and moreparticularly the water availability for abstraction for
irrigation.

Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec
River Discharge

RainfallTemperature

Irrigation time

Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec

Fig.4 Relationship between river discharge, temperature
rainfall and Irrigation Time

Table.1 Data
Number
Data
PeriodSource1
Mean Monthly River Discharge 2008-2013 Ministry of Energy and Water
2
Cultivated and Irrigated Area 1980-2013
Central Statistics Office3
Precipitation and Temprature 2006-2014
Ministry of Agriculture
4
Population
1980-2013
Central Statistics Office5
Sattelite Image
2004
Google650 questionnaire sheets
2015
Questionnaire survey

Flow chart of studymm

Fig.5 DEM of Takhar Province

The average precipitation is 415mm/year, rainfall
is moderate mostly in winter and decreases
dramatically in mid spring-summer, while theagriculture crops require water in start of spring andwhole summer, specially rice paddy need waterwhere, there is no rainfall in summer (Fig.4).
Therefore, the only water resource which isavailable for agriculture especially for rice paddy issurface water resources by means of irrigation.
Fig.5 is DEM data analysis and this data showing
the morphology of the study area. The north part isfluvial plain and the south part is mountains and therivers water source point’s starts from the top of

RESULTS
We got the four results from our study, which is
explained such as; Irrigation Scheme in the River
Morphology, The Irrigation System Canal,
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SEE-Mie, Japan, Nov. 19-21, 2015

mountains as result of snow in summer time.
These weirs are reconstructed every year or when
they are damaged by floods. And suitable intake
sites are utilized by a number of canals with theirintakes running parallel to each other. In Takhar
province almost all of irrigation infrastructures have
old traditional foundation, which has been
constructed more than 100 years ago by local people.
Unless in recent years, some irrigation intakes havebeen constructed or rehabilitated by foreign donors,
in the surveyed area we found that 53% of canal
intakes mean 25 out of 47 irrigation canals still havethe traditional foundation. The largest and modern
one of the canals is named Shahrawan Canal having
concrete intake and 6 modern controlling gates(Photo.1), is one of the government irrigation systemcanals which have 38.6 m3/sec discharge and irrigate
19,325ha in Taluqan district, this canal is managed
by Irrigation Department, as the result of survey
shows that there is no problem of water shortage
because its command area is calculated and theenough water resource is provided (Fig. 7).
From the surveyed area in Taluqan district,villages covered by Shorab canal have the worst
condition and the survey result shows that thoseusing the Shorab irrigation canal, Fig. 7 give thehighest positive answer to the problems during
applying of irrigation water including water shortage
and over flooding of farm. As photo (1) shows thecondition of Shahrawan canal and photo (2) shows
the condition of Shorab canal. But still in bothtraditional and government owned canals thetransition of water from diversion weirs/intakes tofarm fields is one of the important matters, because
large water losses and soil losses are experienced.
For the long canal systems losses, flow duration,interval and rates; result in poor water distribution,
also the zigzag shaped canals and streams results
lots of water wastage, it’s also found that almost allof respondent give negative answer to the irrigation
training participation.

B-The Irrigation Canal System
The irrigation system is divided into private or
traditional and government systems; private
irrigation systems in most cases have existed forgenerations and have withstand many social andphysical changes, in Takhar province there is 208
private system and 1 government irrigation system.
The traditional water management system ischaracterized by the following key features; A) the
local community-based irrigation structures which
the construction and maintenance is done by the
local community financial and social capital. B) The
management and distribution is done by local water
masters (locally called Mirab) whom they areelected or selected by the community as per theirexperience and trust at water management in local
level and who is responsible for maintenance,
enforcement of local norms, and conflict resolution
too. C) The water allocation regime is primarily
based on landownership and share of contribution to
the infrastructure maintenance.
The survey result shows that land slopes in the
Taluqan plain have the gradient of 0.03 resulting flatarea, giving large river meandering formation that
affects large areas of agriculture land each year
continually. The conveyance distances from canal
intake to command area are quite short, just along
the canal. almost all canals supply more than one
village, and some similar intakes are used for mostof canals in study area unless those are improved
such as Said and Chaman canals, but only the
Shorab canal which is destroyed by flood, water
being abstracted by means of traditional temporary
diversion weirs built from soil, stones, timber andgrass that extend at a flat angle into the river (Fig 6).

2

1

Photo 1 Shahrawan intake

3

Photo.2 Shorab intake

4

Shahrawan Canal intake

1

Said Canal intake

2
3
4

Chaman Canal intake
Shorab Canal intake

Photo 2 Sorab Intake

Photo 4 The boy provide waterfrom Chaman canal to Shorab
canal commanded area

Fig.6 Map of canal system in surveyed area

516

Photo 3 Shorab Main canalSEE-Mie, Japan, Nov. 19-21, 2015

Although flow data would indicate that sufficientwater is available within the source river for
irrigation throughout the year, but water availability
in the canals is affected by following hydrologicalfactors that reduce the amount of water that can bediverted into the canals and farms. Low flows at
start of spring irrigation season between March andApril and the high flows of longer duration with
diurnal variations due to snow melt between May
and August affecting by too much water in the mid
spring, and frequent damage to diversion weirs andintakes at peak demand times, which necessitatecontinual rebuilding and repair intakes and canals tokeep water flowing to the field at a time when
farmers need. Even the double-cropping pattern“winter wheat / summer rice” is by far common in
the study area, due to agro-ecological constraints(insecure water flow in summer, often heightened bysalinity) a large number of farmers specially Shorab
Canal users grow rice or wheat as single crops andto a lesser extent, other crops such as mung bean.

the study area is decreased. As decreasing thenumber of conflict in Said Canal from 2006 to 2012,is a good result of WUA (Fig.8), as well Figure.9
shows the organizational chart of the recently
established Water User Association. Hierarchically,
the Mirab is positioned in a lower level of WUA, but
still have an important role in water management,
operation and maintenance of the system under thesupervision of WUA members and or the Taluqan
Sub-Basin authority.
15
10
5
0
2006

2007

2008

Nahr Said

2009

2010

2011

Shorab2012

Nahr Chaman

Fig.8 Reported case of conflict on water
12

Board Chief

10
8

Assistant

6

Finance

4
The Traditional Chart

2
Administration

0
Nahr said

Shorab

Water shortage

Supervasion

Mirab

shahrawan Nahr chamanover flooding of the farm

Assistant

Local Elders

Fig. 7 Problems during irrigation in surveyed area
Fig. 9 The Organizational chart of WUA in Takhar

C-Management of Irrigation Systems
D-System Operation and Maintenance

Prior to publishing the water law in 2009, irrigation
systems has been managed and controlled by central
government and its agencies as a centralized method
through Mirab system. Although in most of thevillages and canals arrangement of water right andwater management was done only by Mirabs whomthey were appointed by local people and completely
were dependent to people. The 2009 water law of
Afghanistan is based about the Integrated Water
Resources Management (IWRM) for reforming thewater sector by decentralized decision-making via
multi-stakeholder platform, aiming to develop theirrigation system, as far Mirabs also take animportant role in the operation and management ofwater. Later, the participatory water management
programed and the Water User Associations has
established in 2006. The survey show that 25% ofcanals in Takahr province have the WUA, whichhave an important role in operation and maintenance,water allocation, water distribution and conflict
resolution. As a result of establishing WUA, thenumber of reported cases of conflict on water use in

In the Mirab system, each main canal has a Mirab,
and most communities elect their own kok bashi as
an assistant of Mirab to handle on-farm water
distribution. Farmers and villagers are aware of theirwater rights and Mirabs are traditionally elected inlate March or early April. On-farm water is allocatedon the basis of a local measure, Paw-ab or Qulba,
which relates seed application to land area, similar to
the juftgaw system in Herat. The presence of thissystem of measurement indicates old establishedirrigation systems. Routine cleaning is carried out
annually before the start of the irrigation season in(February/March). But in the government irrigation
system canals and those have Water User
Association the discharge and catchment area ismeasured in fixed places, and the irrigation water
distributes as per 3-3.5 litter/ha, in the times water isexcess or water shortage occurs, the water isallocated according to the area considering the above
norm.
517

SEE-Mie, Japan, Nov. 19-21, 2015

to consider water availability and water demand inquantity and quality and should have a friendly
impact to the environment. To achieve these goal
technical facility, sociology of local people,
economic and agriculture practices are importantmatters to be considered. Technical support andconstruction of modern foundations in addition to
introduce modern irrigation systems and the water
management are necessary to be considered forsustainable and appropriate use of water in Takhar
province.
References;[1] Afghanistan National Development Strategy
Secretariat,
Afghanistan
National
Development Strategy, 2007, pg# 508[2] Afghanistan Central Statistics Organisation,
Afghanistan Statistical Year Book, 1980 and2013.
[3] Bob Rout, How the Water Flows: A Typology of
Irrigation Systems in Afghanistan, Afghanistan
Research and Evaluation Unit, 2008, pg#80[4] Ian McAllister Anderson, Water Management,
Livestock and the Opium Economy, Afghanistan
Research and Evaluation Unit, 2006, pg#99[5] Abonesh Tesfaye, The impact of small-scale
irrigation on household food security: The case ofFiltino and Godino irrigation schemes in Ethiopia,
Irrigation and Drainage Systems 2008, Volume 22,
Issue 2, pp 145-158[6] Favre and Kamal, Watershed Atlas ofAfghanistan, first edition, 2004, Governmentof Afghanistan, pg#59[7] Ministry of Agriculture and Livestock, Kabul,
Afghanistan, http://mail.gov.af/en[8] Ministry of Energy and Water, Kabul,
Afghanistan, http://mew.gov.af/en[9] Constitution of Water Users Association, Draftedby Taluqan Sub-Basin Department office, Takhar,
Afghanistan, 2006

CONCLUSION
By the following four results from our study,
which is explained such as; Irrigation Scheme in theRiver Morphology, The Irrigation System Canal,
Management of Irrigation System and System
Operation and Maintenance, we conclude the study.
Due to a high dependency of agriculture toirrigation, irregular river regime and practicing 90%
traditional irrigation system and non-mechanized
agriculture, Afghanistan is facing deficit inagriculture production every year. However thegovernment and foreign policy makers are trying to
introduce and to practice modern irrigation andagriculture methods, but still the results are notefficient, view points and practices in agriculture
and irrigation systems are still old and traditional.
The major use of water is for irrigation and its
supplying need is increasing steadily due topopulation growth and climate change. This study
showed that the irrigation has been using for longtime in the area but management of water andirrigation system is still old, which results water
shortage due to wasting water and non-efficientwater management. In the surveyed area 53% ofcanal intakes mean 25 out of 47 irrigation canals still
have the traditional foundations. The survey shownthat only 25% of canals in Takahr province have theWater User Association, which have an importantrole in operation and maintenance, water allocation,water distribution and conflict resolution. For
example, the conflict on water cases is decreased by
75% in Said Canal.
Thus, to save water and use it efficiently to insuresustainable agriculture development we recommend
to appropriate irrigation practices and water
harvesting is necessary to minimize the water use.
Sustainable water management for agriculture aims

518

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

EVALUATING ON THE DEFORMATION OF TIDAL REGIMEINDUCED BY SEA LEVEL RISING IN COAST ON MEKONG RIVER
DELTA
1Nguyen Huu Nhan1, Shigeko Haruyama 2
Institute of coastal and offshore Engineering, Vietnam Academy for water Resources, Vietnam;
2
Graduate School of Bioresources, Mie University, Japan

ABSTRACTThe problem of deformation tidal regime at coast of Mekong Delta induced by sea level rising (SLR) had notstudied, while its solving is urgent need for explaining real changes of inundated regime here and for building
databases for studying many processes in Mekong Delta impacted by climate change (CC) and SLR. The statisticalmethod had used for analyzing hourly water level records with 27 years long for evaluating real SLR, changes ofamplitude and phase of 67 tidal waves at 9 points in coast of Mekong Delta. The shallow water hydrodynamic
numerical model with flexible mesh had used for evaluating deformation of main tidal waves (M2, S2, K1, O1) inspace. The study results show that: (1) SLR is causing severely negative impacts on Mekong River Delta; (2) The
average rate of real SLR here is 3,4-4,1 mm/year; (3) The semi-diurnal tidal waves and shorter are more sensitive to
SLR than diurnal tidal waves and longer; (4) The deformation rate of amplitude of semi-diurnal tidal waves is 12mm/year; (5) The phase of all tidal wave is more early with rate is 2 minutes/year; (6)The real water level here havebeen impacted by “double” effects of SLR: rise of mean level and deformation of tidal waves, so the tidal peak isrising larger than tidal foot and mean level, and inundation in Mekong Delta is becoming deeper and longer. The
results are bases to explain changes in inundated regime and generating databases to predict SLR impacts in Mekong
Delta.
Keyword: Mekong delta, Sea level rising, Deformation of tidal regime, Tidal wave, Numerical Modelpictures of Z fluctuations and flooding dynamics in
MD and its coast (and another processes as:
inundation, erosion, salinity intrusion, distortion of
ecosystems, destroy of mangrove, changing micro
landform, etc.); (2) Prepare model detailing (downscaling) SLR scenarios in MD.

INTRODUCTION
Sea level rise (SLR) increases the mean waterlevel (Z) by value of SLR. For depth water area,
D>>SLR, where D is sea depth, the SLR hardly
affects on all kinds of sea current and sea wave,
including tidal waves. However, in shallow water ascoast and estuaries of Mekong Delta (MD), SLR
significant impacts on them by mechanisms: (1)increasing phase speed of tidal wave; (2) Changing
its direction; (3) Reducing the impact of tidal current
resistance; (4) Causing flooding in the formerly dry
coastal areas, leading to change the resonance andspatial interference of the tidal waves in river
estuaries, shallow bays, lagoons, mangrove forests,
delta and sub-delta geomorphology, etc. In otherwords, SLR will induce to deformation of tidal
regime related with many other processes in coast of
MD. Therefore, study tidal deformation induced by
SLR is a very important issue. Some studies [1, 5]
have given the compelling evidence of thedeformation of the tidal regime by SLR. In recent
years in Vietnam (VN), phenomena of SLR has been
mentioned extensively [3, 4, 5], but the deformationof the tidal regime due to SLR timetable has notbeen sufficient attention level. The quantitativeevaluation of tidal deformation by SLR for coast andestuaries of MD, has not been studied. The
quantifying the tidal deformation by SLR is needed
to have the scientific basis to: (1) Explain the real

METHODOLOGY
There are 2 basic models [2, 5] for evaluating
SLR impact on tidal regime: The harmonic analysis
model (HAM) and shallow hydrodynamic model(HDM). HAM is the main method of study. HDM
has overcomes some disadvantages of HAM, but it
is limited in accuracy. It is considered auxiliary
method. Optimal method is combining both methods
to eliminate the disadvantages of each model inseparately application [1, 5]. HAM will used toanalyzing series of measured Z data to study tidal
regime and evaluating impact of SLR on it with thebasic advantages are: (1) it has high authenticity inresults; (2) it has able to remove non-tidal factors inmeasured Z records (subsidence, error in benchmarkof measured datum, rainfall, flooding of MekongRiver, evaporation, wind surges...) because theseevaluations are based only on ranges of Z
fluctuations with fixed given tidal periods. HDM
had used for predicting Z fields separately for main
tidal waves M2, S2, K1 and O1 for background
scenario (1990) and some B2 scenarios of SLR for519

SEE-Mie, Japan, Nov. 19-21, 2015∂hv

finding differences between them used to evaluate
SLR impact on tidal regime too.
HAM uses assumptions that Z(x,y,t) at eachlocation (x, y) and time t is a linear superposition of
tidal waves and other non-tidal components, so:Z ( x, y , t ) =a0 ( x, y ) + Z 0 ( x, y, t ) +

∂t
∂
∂x

N

∂huv
∂x

+

∂hv 2
∂y

=
− fuh − gh

xy

∂t
∂
∂x

+

∂x

+

∂hvu
∂y

= fvh − gh

∂

xx

∂y

+
(3)

∂x

(

)

, Txy =
A

+

(4)

(6)

∂v

2A
(7)
 , Tyy =∂y ∂y ∂x 

Where η is the surface elevation; d is the stillwater depth; h=η+d is the total water depth; u and v
are the depth average velocity components in the x
and y direction; f=2ωsin(φ) is the Coriolis parameter(ω is the angular speed of earth and φ the geographic
latitude); g is the gravitational acceleration; A ishorizontal eddy viscosity; cf is the drag coefficientwith M is Manning coefficient in DHI’s meaning [1].
The boundary conditions are following:- At ocean open boundary lines: Z varied along
boundary lines will be given;- At closed boundary lines: set normal depth
average velocity component to zero;- At open cross-sections of Mekong and Bassac
rivers: will be given the discharges;- At open cross-sections of other small rivers: Z
will be given.
Initial condition is given (u,v) and Z fields overwhole computed domain at moment t=0.
The above HDM had solved by numerical finite
volume method on flexible mesh. An explicit Euler
scheme is used for time integration with time step ∆t.
There is approach for treatment of the moving
boundary problem [1, 5] with 3 parameters ∆d1, ∆d2
and ∆d3 are depths defined the element of computed
mesh is drying, flooding or wetting. The procedure
for solving the HDM includes 5 steps:- Generate computed flexible mesh
- Update all input data on computed mesh;- Calibrate parameters and input data.
- Valid outputs.
- Apply HDM to simulate needed scenarios forevaluating deformation tidal waves induced by
SLR

∂η τ
− +
∂x ρ
bx

0

( hT ) + ( hT )ρ0yy∂h ∂u ∂hv++=0
∂t ∂x ∂y

For given location (x, y) with unchanged
conditions, H and δ are true constant. However,these parameters may be deformed due to thechanges of terrain, location depth, current regime
and SLR this deformation is objective of present
study. Tidal constants H and δ had been found by
invert problem from eq. (1), when there are needed
records of Z (left side) continued for enough longtime period. This is the content of the HAM to studychanges of (H, δ, a0) over time, thus quantitative
assessing the change of a0 (relating with SLR) andchanges of H, δ (deformation of tidal regime). HAM
is actually a kind of statistical model. HAM has
following features: (1) reliability high in evaluationof parameters H and δ; (2) objectivity because
results are not dependent on the Z fluctuations
caused by non-tidal reasons and landmark status of
measuring stations. The invert problem of eq. (1),
HAM, can be solved by many methods, of whichleast square algorithm had applied because it is aclassic and standard method [5].
The HDM is one module of DHI’s model
MIKE21/3 coupled model FM [1], which two
horizontal momentum equations for the x- and ycomponent (u,v), respectively2

τ by( hT ) + ∂y ( hT )

Txx =
2A

∂hu

∂y

−

∂

Where:- Ωi=2π/Ti is frequency of the tidal wave iwith period Ti (from 3 hours to 1 year)with following notes:- N is number of tidal waves, N=67;τb  - Hi and δi are amplitude and initial phase of= c=
u ub , τ b (τ bx , τ by ),f b
ρ0tidal wave i, called tidal harmonic constants;- a0 is the average water level at position (x,gy) above datum;=ub (=u , v ), c f2- Z0 is combine sum from non-tidal water
Mh1/ 6level fluctuations;∂u ∂u ∂v - fi and θi are the astronomical constants.

∂hu

∂η

and continuity equation is written as(1)

f i (t ) H i ( x, y ) cos[(Ωi t + θi (t ) − δ i ( x, y )]
∑
i =1

+

(2)

xy

520

SEE-Mie, Japan, Nov. 19-21, 2015

Oceanographic Administration (NOAA) provided at:www.ngdc.noaa.gov/mgg/global/relief; (2) DTM
database from some Vietnamese agencies andscientific research organizations; (3) Vietnamese
Navy maps of scale 1:100,000. For area closed tocoast and river branches, the original bathymetricdata includes many bathymetric survey maps ofscale 1:10,000 and 1:25,000 for all branches of the
Dong Nai and Mekong rivers included their mouths
and coastal zone. All coastlines of computed domain
had defined by the set of present GIS maps andsatellite Landsat and Google Earth images. All input
data at ocean boundaries O1, O2, O3, O4 and O5
had been generated by tool for predicting tidal waterlevel combined from 67 tidal waves or separated for
only one tidal wave. Input data at R1 and R2
includes measured water discharge (Q) data throughcross-section at My Thuan bridge and cross-section
at Can Tho bridge. Input data at R3 is measured Z at
Nha Be station (Ho Chi Minh City). Data for model
calibration and validation are measured data
included: Q, (u,v) and Z at all Mekong River mouths
and coast of MD [5].

INPUT DATABASE
HAM used 9 series of measured hourly Z
database from 1984 to 2010 at stations: Vung Tau,
Vam Kenh, Binh Dai, An Thuan, Ben Trai, My
Thanh, Ganh Hao (in east coast), Ong Doc and Xeo
Ro (in west coast). Their locations are shown on fig.
1. The quality of measured data at very good for
applying HAM by all aspects as: measured
frequency, completeness, continuity, length of thestring data and accuracy.
The HDM is working the computed domain
covered whole East Sea (see fig. 1) with following(natural) boundaries:- The closed land boundary is shorelines;- The open ocean boundaries consist: (1) the
Taiwan Strait (O5) in north side; (2) Luzon Strait(O4), North Palawan Strait (O3), South Palawan
Strait (O2) in east side; (3) the SingaporeSingkawang Strait (O1) in south side.
- The river ocean boundaries consist (1) Crosssections of Mekong River at My Thuan Bridge(R1), (2) cross-section of Bassac river at Can Tho(R2); (3) cross-section Nha Be Port (R3).
Their locations are shown at fig.1.
The computed flexible mesh had been generatedby Mike zero tool. It had been corrected by model
calibration to have final computed mesh at fig. 1.

MODEL CALIBRATION AND VALIDATION
HAM has no parameters, so there is no need incalibration. The accuracy of the harmonic constantdata generated by HAM are validated by comparing
Z calculated by the eq. (1) without Z0 with measured
Z in September, 2009 and January, 2010 at 9 stations
shown above. The comparison shows that: (1) The
correlation coefficient between them > 0.94 at the 7
stations on east coast and closed to 0.85 at 2 stations
on west coast; (2) There is a pretty good fit between
calculated and measured data. The reason of
discrepancy between calculated and measured data
is mainly due to the measured Z is combined, while
computed data is pure tide (not including Z0).
HDM has 7 parameters needed calibration
included: M, A, ∆t, ∆d1, ∆d1 and ∆d3 and mesh. The
measured data (September 14-23, 2009) included Q
through cross-sections at main 7 river mouths, (u, v)
at 6 point and Z at 9 stations in coastal zone of MD
used for comparing with HDM computed data
during calibration. The results of their comparison
had given in [5]. The comparison shows that there isa fine agreement between the measured andsimulated combined Z, Q and (u,v) in range, phaseand direction. The correlation coefficients between
the measured and simulated Z are > 0.92 at the 7
stations on east coast and near 0.83 at 2 stations onwest coast, between the measured and simulated Q
are closed to 0.86 at main 7 river mouths andbetween the measured and simulated (u,v) are >0.81
at 6 point in MD. The reasons of discrepancy
between them are mainly due to the measured data isfull combined, while computed data is not included
impacts of some facts, especially, the baroclinic

Figure 1. Computed domain; Flexible mesh;bathymetry data; Location of open boundaries;
Location of measured Stations in coast of MD.
All kinds of input database should be digitizedon computed mesh. The original bathymetric datafor depth of sea includes: (1) Digital terrain model(DTM) on grid 0,25 minutes from U.S.
521

SEE-Mie, Japan, Nov. 19-21, 2015

effect of seawater at estuarine and coastal zone. Also,
computer numerical model is always only
approximate real world.
The results of model calibration are set of valuesof parameters of configured model as following:
M is 44 for depth domain. M is varying
from 44 to 48 in coast zone with fine sand withsimply terrain. It changes from 33 to 44 in area
closed to shoreline zone and river regions. In
mangrove area and area closed to it, M is varying
in range of 20-33.
∆t is 2s, that number CLF is always <1;
A has range of 100-400 m2/s for depth
domain and 1-100 for coast shallow zone and river
regions;∆d1=0.005m, ∆d2=0.05m and ∆d3=0.10m
are optimal values;
The computed domain and mesh arepresented at fig.1 are optimal for running HDM on
PC;
Initial condition: (u,v) and Z fields overwhole computed domain are set to zero.
The measured Z data (January 1-31, 2010) at 9
stations (see fig. 1) in coastal zone of MD is used tocompare with HDM computed data for model
validation. The detail results of comparison between
the measured and simulated data had given in [5]and show that there is a fine agreement between themeasured and simulated data in ranges and phasewith correlation coefficient is > 0.91 in east coastand 0.81 in west coast. The reasons of differences
between them are the same as described above.
The calculated data Z by both model, HAM and
HDM, are agreed each together [5].

Ong Doc
Xeo Ro1996-2011
1984-2011

14
27

4.3
4.6

4.3
4.4

3.8
4.2

All measured Z data have been processed by
HAM for finding (H, δ) of 67 significant tidal waves
at 9 stations and 27 years. On fig. 2 and fig. 3 areshown typical picture on changes of (H, δ) of tidal
wave M2 during time.
The space changes of H of tidal wave M2
induced by SLR are known by comparison the its
maps in 2009 and 2050 (for SLR of scenario B2)
presented on fig. 4 and fig. 5. Using theseevaluations, we had built the tool for down-scaling Z
for a scenario of SLR as that is shown on fig. 6 andfig. 7.

Figure 2. The trends of changes of H of tidal
wave M2 with time (year) at east coast of MD

REULTS
The average speeds (mm/year): ∆Zmx, ∆Zavg and∆Zmn of changes in yearly maximum, average andminimum of Z for full measured period of length L(year) had been evaluated and presented in table 1.
Figure 3. The trends of changes of δ of tidal
wave M2 with time (year) at west coast of MD

Table 1. The average speeds of changes yearlymaximal, average and minimal Z at 9 stations.
StationnameMesuaredperiodL, ∆Ζmx ∆Ζavg ∆Ζmn
year

Vung Tau

1984-2011

27

8.1

3.2

1.4

Vam Kenh

1984-2011

27

Binh Dai

1984-2011

27

9.5
9.6

7.7
5.8

5.6
4.1

An thuan
Ben Trai
My Thanh
Ganh Hao

1984-2011
1984-2011
1987-2008
1987-2011

27
27
20
24

11.2 11.2
11.9 5.2
12.7 11.8
13.8 7.9

8.3
4.5
8.1
5.8
Figure 4. The map of H of tidal wave M2 in 2009522

SEE-Mie, Japan, Nov. 19-21, 20151990) and its computed values in some years
Coefficients in
H, cm
regression equations
αβ1975 1990 2050
Vung Tau 0.117
75
73 75 82
Ganh Hao 0.119
91
89 91 98
Vam Kenh 0.11874
72 74 81My Thanh 0.119
89
87 89 96
Binh Dai
0.118
72
70 72 79
Ben Trai
0.118
78
76 78 85
An Thuan 0.11974
72 74 81
Xeo Ro0.046
15
14 15 18
Ong Doc
0.045
11
10 11 14
Stationname

Figure 5. The map of H of tidal wave M2 in 2050

DISCUSION
Measured data for 27 past years show that Z has
trend increased over time and tidal peak is coming
earlier than past time. The ∆Zmx, ∆Zavg and ∆Zmn intable 1 are combined by many effects, included SLR.
Among 9 stations, the Vung Tau and Ong Doc arelocated outside space impacted by Mekong Riverfloods, infrastructural development and urbanization
in MD, therefore ∆Zmx, ∆Zavg and ∆Zmn here had
induced mostly by pure SLR. So, ∆Zmx is
8.1mm/year in east coast and 4.3 mm/year in west
coast; ∆Zavg is 3.2 mm/year in east coast and 4.3mm/year in west coast; Zmn is 1.4mm/year in east
coast and 3.8 mm/year in west coast. The differencesof ∆Zmx, ∆Zavg and ∆Zmn here mean that tidal regime
in coast of MD is deformed by SLR. And, power ofthese differences in east coast is bigger than in west
coast.
It is synthesized as a result of the impact called"double" effect of SLR on tidal regime: it raises themean sea level together increases range of Z
fluctuation (see fig. 6). This effect at east coast withsemi-diurnal tidal regime of big range is bigger thanwest coast with diurnal tidal regime of small range(compare data on fig.6 and fig.7). The tidal phasespeed increases too. With these effects, the risk ofcoastal flooding (depth, scope and duration offlooding) in coastal zone of MD is stronger overtime, leading to many other negative impacts. To
quantify the impact of SLR on the tidal regime, needto establish its impact separately for each tidecomponent with removing influence of all non-tidal
factors by combined using HAM and HDM.
The analysis results give following comments:- The semi-diurnal waves M2, S2, N2, K2 are quitesensitive to SLR.
- In east coast of MD, the H of these tidal waves isincreasing with rate of about 0.3% per year. For
example, the this rate for H of M2, S2, N2 and K2
respectively is 1.2-2.0 mm, 0.5-0.7mm, 0.4-0.5
mm and 0.2-0.4 mm, per year.
- In west coast, their H is increased with relative

Figure 6. The “double” effect of SLR on tidal
regime in east coast of MD

Figure 7. The “double” effect of SLR on tidal
regime in west coast of MD
The values of coefficients α and β in linear
regression equations for predicting H of M2 (from1990 year) in time. Example, Some computed valuesof H of M2 in 1075 (past time), in 1990 (backroundscienario) in 2050 (fulutre time with Scenario B2)
are shown in table 2.
Table 2. The coefficients α and β of linear regression
equations for predicting H of M2 (related from523

SEE-Mie, Japan, Nov. 19-21, 2015

speed of 0.4%, specifically for wave M2: 0.40.5mm per year, S2: 0.2-0.3mm per year, N2: 0.1
mm per year and K2: 0.1 mm, per year.
- The diurnal waves K1, O1, P1, Q1 is insensitive
to SLR. Their amplitude H virtually unchanged.
Especially, in west coast, H of K1 is declining at
a rate 0.15 mm per year.
- The H of the tidal waves with period <14 hours
will increase over time, in meanwhile, the tidal
wave with period > 20 hours will be littlechanging, in particular, on the west coast of MD,
H is reduced.
- The features of impact SLR on tidal regime inwest coast may shift nature of tidal regime infuture: from diurnal tide now to semi-diurnal tidein 2050, because the range of tidal fluctuations isvery small and H of K1, O1, P1, Q1 is decreasingover time, while H of M2, S1, N2, K2 isincreasing with time.
- δ of all tidal waves is earlier with increasing SLR- The changes of δ at west coast bigger than east
coast. Reason of this picture is: the tidal phasespeed at west coast is increased more quickly thaneast coast, because the tidal waves arepropagating from East sea to west coast have topass wide shallow zone, so SLR impact on tidal
phase longer and stronger, therefore changes in δ
in west coast are bigger than east coast.
- In east coast of MD, δ decrease 0.25-0.31o peryear for the semi-diurnal waves and 0.15-0.2o peryear for the diurnal waves. Thus, after 50 years,
the δ would be earlier about 16-17o (>1 hour)- In west coast of MD, δ decrease 0.4-0.6o per yearof semi-diurnal and around 0.15-0.3o per year. So,after 50 years, the tidal peak will come to west
coast sooner than currently about 2 hours.
So, the impacts of SLR on tidal regime in coastof MD include 3 main mechanisms: raising meanwater level on value of SLR, changing the range ofwater level fluctuations and increasing phase speedof tidal propagation in shallow water of coastal zone
and river mouths of MD. These effects are different
for east and west coasts of MD. They generate“double” effects on water level regime as shown on
fig. 6 and fig.7. These facts are scientific base fordetail down-scaling water level database SLR
scenarios for MD.

become clear that semi-diurnal waves and shallow
tidal waves are more sensitive to SLR than diurnal
waves and long tidal waves (include storm surgewave). These mechanisms may change tidal regime
at shallow water region with small range of waterlevel fluctuations as west coast of MD.
The results are scientific bases for explaining
real situations of water level regime and negativechanges in inundated regime induced by sea
flooding in coastal zone and river basins in MD.
They are also scientific bases for “down-scaling”
and generating needed boundary water level
databases at Mekong river estuaries and coastal zone
in modeling processes in MD with CC conditions.
In short word, the impacts of SLR on tidal
regime in coast of MD are deforming it leaded to“double” effects on water level regime. Based on
results of this study, we can build tool fordownscaling water level database with any SLR
scenarios. Generally, the evaluations established byboth model HAM and HDM are trusted to apply
practice. However, these models had used without
any changes of study domain topography for longtime. So, in this meaning, the study results havesome limits. It is problem for next study step.
ACKNOWLEDGEMENTS
Authors express kind thank to Vietnam Academyof Water Resources for support in using computermodel MIKE 21/3 coupled Model FM for runningmany simulations and some measured data formodel configuration.
REFERENCES[1] DHI. MIKE 21/3 Coupled Model FM. User
Guide. Published by Danish Hydraulic Institutewith software MIKE 21. 2009. 65pp.
[2] Ferla M. Long time variation on sea level and tidal
regime in the lagoon of Venive. J. Coastal
Engineering. Vol. 57, Apr., 2006, pp. 1279-1399.
[3] Le Thi Viet Hoa, Nguyen Huu Nhan, Eric
Wolanski, Tran Thanh Cong, Haruyama Shigeko.
The combined impact on flooding in Vietnam's
Mekong river delta of local man-made structures,
sea level rise, and dams upstream in the rivercatchment. J. of Estuarine Coastal and Shelf
Science,. Vol. 71, Feb., 2007, p. 110-116.
[4] MONRE of Vietnam. The Vietnamese scenariosof climate change and sea level rise. Published by
Vietnamese Government. 2012. 120 pp. (inVietnamese).
[5] Nguyen Huu Nhan. A research on tidal
deformation induced by sea level rising in coastalzone of South Vietnam. Project final report ofVietnam Academy of water resources. 2012, 428
pp (in Vietnamese).

CONCLUSION
The sea level rise is causing severely negative
impacts on coastal zone of South Vietnam withincrease of its power over time. The study showsthat SLR impacts on the water level fluctuations incoast of MD is not simple. The both measured data
and modeled data evidence that this impact
generates "double" effect: raising the mean level
higher, increasing range of water level fluctuations
bigger and decreasing its initial phase earlier. It is524

SEE-Mie, Japan, Nov. 19-21, 2015[6] Wolanski, E. and Nguyen Huu Nhan.
Oceanography of the Mekong River Estuary. pp.
113-115 in Chen, Z., Saito, Y. and Goodbred, S.L.,

Mega-deltas of Asia-Geological evolution andhuman impact. China Ocean Press, Beijing, 2005,
268 pp.

525

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

SOLIDIFICATION/STABILIZATION OF NONVALUABLE RESIDUEFROM WASTE PRINTED CIRCUIT BOARD ASSEMBLY
Sunisa Tesanan1, Suphaphat Kwonpongsagoon1*, and Premrudee Kanchanapiya2
Department of Sanitary Engineering, Faculty of Public Health, Mahidol University, 420/1 Ratchathewi,
Bangkok 10400 Thailand; Center of Excellence on Environmental Health and Toxicology (EHT), Bangkok
10400 Thailand
2
National Metal and Materials Technology Center, National Science and Technology Development Agency,
Ministry of Science and Technology, 114 Phahonyothin Rd., Klong 1, Klong Luang, Pathumthani 12120
Thailand1

ABSTRACTThe process of copper recovery from waste printed circuit board assembly (PCBA) has remained a large
fraction of solid waste called “NonValuable Residue (NVR)”. This residue is considered to be a hazardous waste
because Pb, Cu, and Sb exceed the regulatory levels. Solidification/Stabilization (S/S) treatment technique isselected to improve waste characteristics before disposal of in hazardous waste landfills. In this study, a cementbased solidification/stabilization was used to treat NVR. Unconfined compression strength test (UCS) andtoxicity characteristic leaching procedure (TCLP) were mainly used for physical and chemical characterizationof the solidified/stabilized products. After curing for 28 days, the compressive strength and heavy metalleachability (Pb, Cu, Sb) were tested. The results showed that the compressive strength of blank sample was
20.75 MPa while compressive strengths of the solidified/stabilized NVR products were 7.36, 4.17 and 1.35 MPafor 20%, 30% and 40 wt% of NVR, respectively. All experimental mixture ratios satisfied the UCS requirements(0.35 MPa). In addition, the concentrations of Pb, Cu, and Sb in the TCLP leachate of all solidified/stabilized
NVR products were lower than the limit value and the original waste. This study indicated that cement-based S/Streatment process was able to improve heavy metal immobilization and subsequently minimize potential
environmental impacts in landfill disposal.
Keywords: NonValuable Residue (NVR), Waste Printed Circuit Board Assembly (PCBA), Heavy Metals,
Solidification/Stabilization

In general, the waste PCBA comprises about 40
wt.% metallic fractions (MF) and 60 wt.% nonmetallic fractions (NMF) [4]. Several precious
metals such as copper, gold, and silver are found inthese wastes [5]. For nonmetallic fraction (NMF) the
material compositions varies with the source andtype of waste PCBA [6]. According to Yokoyama
and Iji [7], the NMF consisted of glass fiber (65wt%), cued epoxy resin (32 wt%), and impurities,e.g., copper and solder. The major economic force
for recycling waste PCBA is the value of the MF,
especially copper, gold, and silver [6]. At present,
Thailand can recover only copper from waste PCBA
[8]. The process of copper recovery from waste
PCBA has remained a large fraction of solid waste
residues. In this study, so called “NonValuable
Residue (NVR),” which contains a variety of metals,e.g., gold, silver, lead and nickel and other toxic
substances, including Brominated Flame Retardants(BFRs), could contaminate and is consequently
harmful to the environment and humans. Most
hazardous/industrial solid wastes are treated by
combustion or secured landfilling. These waste
management methods can cause enormous damage

INTRODUCTION
Nowadays the growing demand for technology
and innovation has caused an immense amount ofwaste generation. Besides demand, one fact is thatthe lifespan of more products is decreasing;
therefore, the large volume of waste stream is
rapidly increasing. Waste electrical and electronicequipment (WEEE) or electronic waste such as
computers, TVs, fridges, washing machines and cell
phones is one of the fastest growing waste streams inmany countries. According to the Department ofIndustrial Works report, in 2014 WEEE in Thailand
generated over 20 million units, and had a trend toincrease about 10% every year [1]. A main
component in the electrical and electronic equipment(EEE) is printed circuit board assembly (PCBA)
described as printed circuit boards mounted withvarious components such as semiconductor chips
and capacitors. Although the proportion of PCBA ispresent only 3 to 6% of the WEEE total weight [2],[3], it has been discarded as waste in large amounts
followed by an immense consumption of EEE
products.
526

SEE-Mie, Japan, Nov. 19-21, 2015

to the environment if not properly treated. The
combustion of the NVR could cause the formationof highly toxic polybrominated dibenzodioxins anddibenzofurans while landfilling of the NVR would
lead to secondary pollution caused by heavy metals
leaching to the groundwater [4], [9]. Therefore,
before disposing NVR as hazardous waste bylandfilling, it must be stabilized and solidified.
The solidification/stabilization (S/S) is a widely
accepted technology for the immobilization of
hazardous substances before their disposal such as
heavy metals contained in waste. Cement
stabilization/solidification is one of the most popular
S/S techniques due to its low cost and wideavailability [10], [11]. As can be found in otherstudies, the cement-based S/S is used to immobilize
heavy metals in different waste types, for example,
Pb and Zn in metallurgical dust [12], Cu, Zn and Ni
in plating sludge [13], and Ba in sludge [14]. To datefew studies have been conducted on thesolidification/stabilization of electronic waste or
waste PCBA. To reduce the leachability of the heavy
metals contained in NVR and minimize the potentialof environmental impacts, this paper aims to study
the efficiency of the stabilization and solidificationof heavy metals contained in NVR from the waste
PCBA using Portland cement.

mixer and was cast in steel cubical molds at thedimension of 5x5x5 cm. Each mixture gave three
cubical samples. After casting for 24 hours, thesamples were removed from the molds and cured inwater for 28 days. After curing 28 days, the cubicalsamples were ready for further analyses, e.g.,
unconfined compressive strength. For X-ray
diffraction analysis, all blank samples andsolidified/stabilized products had to be crushed topowder before the process of analysis.
Methods of Analysis
The chemical composition of the NVR powder
was analyzed by X-ray fluorescence (XRF) andparticle size of NVR was measured using laser
particle size analysis (Mastersizer). Moreover, thecrystalline phases and microstructures in the blanksample and solidified/stabilized NVR products wereidentified using X-ray diffraction (Rigaku) and
Scanning electron microscopy (Hitachi SU8030).
Unconfined compressive strength analysis
The compressive strength of solidified/stabilized
products was tested in accordance with ASTM C109
[15]. After curing 28 days, three cubical samples ofeach mixture were tested using the unconfinedcompression machine (ADR-Auto V.2.0, ELE
International) and average value of compressive
strength was reported.

MATERIALS AND METHODS
Materials and Sample Preparation
The powder material of NVR carried out in thisstudy was obtained from the electronic waste
recycling plant in Thailand. This powder remained
from the copper recovery process of waste printed
circuit board assembly using mechanical andphysical methods. The PCBAs were mainly
dismantled from waste televisions and computersfrom a wide range of models and manufacturers.
These derived PCBAs were single-sided boards withsingle-sided layer of copper. According to therecycling process using mechanical and physicalmethods of this plant, the size of PCBA was reduced
by primary and secondary roll crushers and rod mill,respectively. After that, copper was separated fromthe material using a shaking table. PCBA scrap fromthe shaking table was divided in three parts: head(high density, medium (medium density), and tailparts (low density). A large fraction of fine particles
coming from the tail part was NVR, waiting for
further treatment and disposal. This NVR material
was collected and used in this study.
In this study, the NVR powder was used toreplace ordinary Portland cement (OPC) at a rate of0, 20, 30 and 40% by weight of the binder. All four
mixtures used a water to cement ratio of 0.75, andthe ratio of sand to cement was 2.75. Each mix
proportion was simply blended in a mechanical

Toxicity characteristic leaching procedure (TCLP)
The metal leaching of solidified/stabilized NVR
products at curing time for 28 days was assessedusing the toxicity characteristic leaching procedure
as defined by the U.S. EPA [16]. The sample wascrushed to reduce the particle size to less than 9.5
mm. The crushed sample was extracted using acetic
acid solution (pH 2.88+0.05) at a liquid to solid ratioof 20:1. The extraction vessels were rotated in an
end-over-end fashion at 30+2 rpm for 18+2 h. The
leachate was filtered through a 0.8 µm membranefilter to remove suspended solids and was used toanalyze Pb, Cu and Sb present in the leachate by
Inductively Coupled Plasma Mass Spectrometry(ICP-MS) following the method 3010 [17].
RESULTS AND DISCUSSION
Fig. 1 shows the particle size distributions ofordinary Portland cement and NVR. The particle
size analysis showed specific surface area was 1.17
m2/g of OPC and 0.28 m2/g of NVR. The mean
particle size of OPC and NVR was approximately 21µm and 208 µm, respectively. In addition, 90% of
OPC and NVR particles size were smaller than 48.7
µm and 475 µm, respectively. The results of the527

SEE-Mie, Japan, Nov. 19-21, 2015

the NVR powder from waste PCBA of this study
was not a potential pozzolanic material. This may
resultintheworst
performancesofsolidified/stabilized cubes.

particle size analysis showed that the actual finenessand specific surface areas of OPC were much morethan the NVR powder. This indicated that thereaction of NVR powder could occur slowly whencompared with the reaction of cement powder. The
result of chemical compositions of the NVR in thisstudy is presented in Table 1. It is obvious that thehighest concentration was bromine (Br). Many
heavy metals were found in NVR powder; with thehighest concentrations being Pb, Sn, and Cu, inorder. According to Thailand Notification of the
Ministry of Industry B.E. 2548 (2005) on Disposalof Wastes or Unusable Materials [18], any waste or
unusable material that contains or contaminateshazardous materials or exhibits hazardous
characteristics including flammable, corrosive,
reactive, toxic or having the specified constituentsequal or exceeding the Total Threshold Limit
Concentration (TTLC) as listed in the Annex 2, isdefined as “Hazardous Waste”. The results ofchemical compositions of NVR powder in Table 1
show that the concentration of Pb, Cu and Sb
exceeded the limit values. Therefore, the NVR
powder in this study was identified as a hazardous
waste.

Table 1 Chemical compositions of NVR powder
Compositions

NVR

Regulation
limit*

Elements (mg/kg)
Br
32,800n/aPb
12,3001,000
Sn12,100n/aCu
11,800
2,500
Zn
3,250
5,000
Sb
2,760
500
Ba
2,730
10,000
Ni
966
2,000
Ag
164
500
Co
43
8,000
Oxides (%)
Al2O3
9.62
SiO2
6.35
Fe2O3
1.63
CaO
0.97
MgO
0.40
SO3
0.12
Note: *Thailand Notification of the Ministry ofIndustry B.E. 2548 (2005) on Disposal ofWastes or Unusable Materials: Annex 2
n/a: not available
Unconfined Compressive Strength
The average compressive strength of solidified/stabilized products compared with blank samples
after curing 28 days is shown in Fig. 2. Blank
samples (without NVR) exhibited compressive
strength of 20.75 MPa while compressive strength of
20%NVR, 30%NVR and 40%NVR products were
7.36, 4.17 and 1.35 MPa, respectively. The results
indicated that the percentage of NVR loading
affected compressive strength. The compressive
strength decreased when the amount of NVR
increased. This was similar to several studies thatinvestigated the effect of cement-waste ratio oncompressive strength of solidified/ stabilized waste[19], [24]. According to Malviya and Chaudhary[25], the solidified products with a compressive
strength less than 1 MPa were weak because they
contained importantly less cementitious materials. In
Fig. 2, compressive strength of all solidified/stabilized
NVR products was more than 1 MPa. This indicatedthat all solidified/stabilized samples of this study
were relatively strong.
Replacement of cement with NVR powder at therate of 20 wt.% had the highest compressive strength
when compared with 30 and 40 wt.% replacement.
The decrease of cement proportion in the mixture

Fig. 1 The distribution of NVR particle size
Dashed line: OPC and solid line: NVR
According to many other studies on the
improvement of the quality of concrete in terms ofstrength, durability, and cost reduction, many waste
products from natural and industrial process, e.g.,silica fume, pulverized fuel ash, blast furnace slag,bagasse ash, rice husk ash, and sheanut shell ash,have been tested and are suggested to be pozzolanicmaterials or having pozzolanic properties that can beused in concrete paste and mortar [19]-[21].
Pozzolan is defined as a material with an amorphoussiliceous or siliceous and aluminous content thatreacts with calcium hydroxide in the presence ofwater to form cementitious hydration products [22].
Based on the ASTM C 618 standard [23] and related
research [20], [21], a good pozzolanic performanceis likely to contain high SiO2 or SiO2+Al2O3 or
SiO2+Al2O3+Fe2O3 content, at least 70 wt%. As seenin Table 1, among all oxide compounds, thepresence of Al2O3, SiO2, and Fe2O3 is low. Hence,528

SEE-Mie, Japan, Nov. 19-21, 2015

but the peak of portlandite (Ca(OH)2) was lower
when the NVR was added at a higher rate. The
highest peak was SiO2, which is found in all samples
because SiO2 is a main component of ordinary
Portland cement and sand [10], and the NVR powderin this study. In addition, Scanning Electron
Microscope (SEM) investigation illustrated anothermicrostructure to improve strength development,
called “ettringite”, a small needle-like crystal, inboth cement paste and NVR paste (see Fig.4). It is
obvious that ettringite was formed and observed in
cement paste more than in NVR paste. Thisconfirmed
less
stiff
and
less
durablesolidified/stabilized NVR products in this study.

causes a decrease of main products of the hydration
reaction from Portland cement. This can be
explained in that the main products of the hydration,
calcium silicate hydrate (C-S-H) and calcium
hydroxide (Ca(OH)2), are the main carriers ofstrength in hardened cement [19], [26]. This is inaccordance with the following peaks of portlandite(Ca(OH)2) by XRD analysis in Fig. 3.

(a)Fig. 2 Averagecompressive
strengthofsolidified/stabilized NVR products compared withblank sample
5 µm

(b)

5 µm

Fig. 4 SEM micrographs of samples atmagnification of x10,000: (a) cement paste and (b)NVR paste(a)(b)

Fig. 3 XRD result for blank and solidified/stabilized
products after curing 28 days.1: Portlandite (Ca(OH)2), 2: Quartz (SiO2), and 3: Calcite (Ca(CO)3)
The XRD patterns of blank and solidified/stabilized
samples are shown in Fig. 3. Characteristic peaks ofquartz (SiO2), portlandite (Ca(OH)2) and calcite(CaCO3), which can be found in mortar structure,are present in the XRD result. It can be seen thatquartz (SiO2) and portlandite (Ca(OH)2) are major
crystalline phases in blank samples. Similarly, XRD
patterns also appear in solidified/stabilized samples

Fig. 5 Solidified/stabilized products. (a) blanksample and (b) solidified/stabilized NVR productMoreover, all cubical samples containing NVR
powder were observed to begin swelling andcracking during casting for 24 hours. (as seen in Fig.
5), and stopped afterwards. Regarding the swellingof those cubical samples, it was found that the height529

SEE-Mie, Japan, Nov. 19-21, 2015of these samples increased between 0.5 and 1.1 cm(or 10 to 22%) when compared with the blanksample. According to Aubert et al. [27], swellingand cracking can lead to loss of compressive
strength for solidified/stabilized waste. This can be
explained in that the swelling and cracking resulted
from air voids in solidified/stabilized waste. In thisstudy, 40% NVR powder replacement was thehighest content that could be added in the mixture
because it revealed a very poor performance ofmortar setting. However, the compressive strengthof all solidified/stabilized NVR products meets the
U.S. EPA requirements of unconfined compressive
strength at 0.35 MPa for disposed solidified/stabilized waste in landfills [28].

concentrations in the leachate extract, except Pb and
Sb in the leachate from 40%NVR replacement.
CONCLUSION
The NVR powder from waste PCBA in thisstudy was considered to be a hazardous waste
because Pb, Cu, and Sb exceeded the regulatorylevels, specified by Thailand Notification of the
Ministry of Industry B.E. 2548 (2005) on Disposalof Wastes or Unusable Materials. This study
primarily showed that the maximum amount of NVR
powder that could be added in the mixture was 40%
by weight of binder. After curing for 28 days, thecompressive strength and heavy metal leachability(Pb, Cu, Sb) were tested. The results showed that all
experimental mixture ratios satisfied the UCS
requirements (0.35 MPa). Moreover, concentrationsof heavy metals in TCLP leachates for all
solidified/stabilized NVR products were below theregulation level specified by the U.S.EPA. It can beconcluded that the cement-based solidification/
stabilization treatment technique is effective forimmobilization of heavy metals in NVR powder
from waste PCBA.

Toxicity Characteristic Leaching Procedure Test
(TCLP)TCLP test was generally used for chemical
characterization of the solidified/stabilized NVR
products, and to determine the efficiency ofimmobilization of heavy metals inthesolidified/stabilized products. In this study, Pb, Cu
and Sb were selected as target substances formeasurement because these heavy metals weredetected at high concentrations in the original
material and exceeded the regulation limits asmentioned above. Table 2 shows the metal
concentrations in TCLP leachates of solidified/stabilized NVR samples after curing for 28 days.
The results showed that the concentration of Pb in
the leachate of all solidified/stabilized NVR samples
was lower than the limit value specified by thestandard of the U.S. EPA [29]. This means that thecement-based solidification/stabilization technique iseffective for immobilization of heavy metals in NVR
powder. For Cu and Sb, the U.S.EPA does not
specify in the TCLP leachate.

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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Table 2 Metal concentrations in TCLP leachates
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Concentration (mg/L)

Pb
Cu*
Sb*
Regulatory limit
5
Blank
ND
0.13
ND
20%NVR
0.20
0.60
0.24
30%NVR
0.71
1.26
0.27
40%NVR
0.11
2.26
0.14
Note: * Not specified in the leachate from TCLP testby the U.S.EPA
ND: Not detected

According to Ucaroglu and Talinli [24], when
the amount of waste in the mortars increased, theheavy metal concentrations in leachate from thesolidified/ stabilized products increased. In Table 2,
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mixture, the higher the level of Pb, Cu and Sb
530

SEE-Mie, Japan, Nov. 19-21, 2015

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[28] U.S.EPA,
Stabilization/solidificationof
CERCLA and RCRA wastes, EPA/625/689/022, May 1989.
[29] Federal Register, Environmental Protection
Agency-40 CFR Parts 261, 1986.

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SUCCESS OF FUEL QUALITY IMPROVING POLICY IN REDUCINGEMISSIONS AND AMBIENT CONCENTRATIONS OF BENZENE:CASE STUDY OF BANGKOK, THAILAND
Lasita Jinawa1,2 and Sarawut Thepanondh1,2
Faculty of Public Health, Mahidol University, Thailand,
2
Center of Excellence on Environmental Health and Toxicology (EHT), Bangkok, Thailand.
1

ABSTRACTThe Thai’s policy in improving of fuel quality to the changing of emissions and concentrations of air
pollutants in Bangkok is evaluated in this study. Benzene content in gasoline had been decreased from 3.5%
(EURO II standard) to less than 1.0% (EURO IV standard) since the year 2012. The IVE (International Vehicle
Emission) model was applied to develop emission factor of benzene taking into consideration actual fleets andcharacteristics of vehicles in Bangkok. These vehicles consisted of passenger car, motorcycle, van and pick up,
taxi, bus and truck. Then, emission inventory of benzene emitted from mobile sources was calculated. It was
found that about 83% of total emissions of benzene were contributed from motorcycle (43%) and passenger car(40%). Emission amounts were reduced from 1.32 x 103 ton/year to 0.57 x 103 ton/year as resulted fromchanging of fuel quality from EURO II to EURO IV standard. AERMOD dispersion model was used to simulateambient ground level concentration of benzene prior and after implementing this policy. Results revealed
significantly reduction of benzene concentrations in Bangkok’s environment. Spatial distribution of benzene
pollution map illustrated that areas having annual concentration higher than 1.7 µg/m3 (the Thai’s air quality
standard for benzene) were still only found in traffic-congested zone of the central business district in themetropolitan area.
Keywords: Benzene, IVE, AERMOD, Emission rate, Bangkok
areas is from mobile source since traffic emissions
dominate as major source in the city [4].
This study assessed amount of benzene emissions
and concentrations from mobile sources in trafficcongested zone of the central business district in the
Bangkok metropolitan area, Thailand. Fuel quality in
Thailand has been improved from EURO II to EUROIV standard since the year 2012. Major improvement
was reducing benzene content in gasoline from 3.5%
(EURO II) to less than 1.0% (EURO IV). Therefore,
the years 2011 and 2013 were selected as reference
years for comparison in this study. Emission factorsof benzene of each type of vehicle in these years
were derived from the study by Thepanondh S. [5].
This study developed dynamic emission factors,
based on travel distance information, for air toxic
compounds from vehicles using the IVE (International Vehicle Emission) model. Then, emission
inventories, based on dynamic emission factors, weredeveloped using a bottom up approach for the period
from the year 2009 to 2024. Emission factors ofbenzene emitted from each type of vehicle driven in
Bangkok area were developed using their current andplanned fleet and fuel characteristics of vehicles [6].
Emission factors of each type of vehicle in the EURO II
and EURO IV scenarios were as presented in Table 1.

INTRODUCTION
Information from the Department of Land Transport, Ministry of Transport indicated that the cumulative
number of vehicles in Thailand, registered in December
31, 2013 were 34,624,406. Among these, the numbersof cumulative registered vehicles in Bangkok were
8,216,859 or approximately 23.7% of the cumulative
number of vehicles registered nationwide [1].
Benzene is carcinogenic to human (Group1) [2].
Benzene generally found in petroleum products, suchas gasoline and diesel fuel. This air toxic is emitted
from gasoline service stations, motor vehicle exhaustand fuel evaporation, the burning of coal and oil, andvarious other sources. Mobile (i.e., cars, trucks, motorcycles
and airplanes) are a major source of benzene. The
increasing numbers of motor vehicles are the major
cause of the high roadside benzene levels along thebusy road [3].
Status of benzene measured in Bangkok indicatedthat benzene concentrations were higher than its annual
ambient air quality standard (1.7 µg/m3). In addition, it
is found that level of air pollution is generally higher
than other area of the country. It is well known thatthe major emission source of air pollution in Bangkok

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SEE-Mie, Japan, Nov. 19-21, 2015

Table 1 Emission factor of benzene used in thisstudy

METHODOLOGY
In this study, the study domain covered area 4×4
km2 in the traffic-congested zone of the central business
district in the Bangkok metropolitan area, Thailand.
Six major roads located within the modelling domain
were included in this study. They were Phahonyothinroad, Phayathai road, Dindaeng road, Rachawithiroad, Rama-VI road and Makkasan road. Figure 1
illustrated a map of the study area. Characteristics ofeach road in study area were presented in Table 2.

Emission factor (g/km)
Type of vehicle
EURO IIEURO IV
passenger car
0.01510.0072
motorcycle
0.04010.0048van and pick up
0.000445
0.000407
taxi
0.01820.0162bus
0.00430.0044truck
0.00960.0095
Remarks: These emission factors were calculated
from IVE model [5]Table 2 Characteristics of each major road in study
area in 2013.

These emission rates were used as input data to
predict its ground level concentration using air quality
dispersion model. AERMOD dispersion model version
8.8.9 was used to simulate ambient ground level
concentration of benzene prior and after implementing
the Thai’s policy in improving of fuel quality in theyear 2012 (changing of fuel quality from Euro II to
Euro IV standard). Spatial distributions of benzene
concentration in the study area were illustrated aspollution map. Sensitivity analysis of effectivenessof implementing fuel quality improvement policy
was carried out by identifying differences of modeled
results from simulation of with and without thispolicy.

Road

Length(km)

Widthof theroad(m)Phahonyothin
PhayathaiDindaeng
Rachawithi
Rama-VI
Makkasan

1.65
1.82
2.01
1.61
1.26
1.15

21
21
28
21
17.5
21

Fig.1 Map of the study area.

533

Traffic
density(vehicle
per day)
60,40072,03364,557
20,35756,067403

SEE-Mie, Japan, Nov. 19-21, 2015

Emissions and concentrations of benzene fromvehicles in the study area were evaluated. Thesevehicles consisted of passenger car, motorcycle, vanand pick up, taxi, bus and truck. The receptor used
as locations to predict ground level concentration ofbenzene consisted of 6 receptors. They werePhramongkutklao hospital (PMK H.), Queen Sirikit
National Institute of Child Health (Child H.), Suan
Sunti Phap Park (SSP park), Phayathai 2 hospital,
Ratchathewi District Office (RCT off.) and Rajavithi
hospital as shown in Fig.1.
Composited emission factor of vehicles were
derived from calculation of the IVE model using an
actual fleet and fuel characteristic of each type of
vehicles in Bangkok. The International Vehicle
Emissions (IVE) model is a computer model designned to estimate emissions from motor vehicles. Itsprime purpose is for use in developing countries. The
model predicts local air pollutants, greenhouse gas
emissions, and toxic pollutants. The IVE model has
been developed as a joint effort of the University ofCalifornia at Riverside, College of Engineering–
Center for Environmental Research and Technology(CE-CERT), Global Sustainable System Research(GSSR), and the International Sustainable Systems
Research Center (ISSRC). Funding for model
development was provided by the U.S. Environmental Protection Agency [5].
Numbers of each type of vehicles driven on eachroad in the year 2013 were summarized in Fig.2.
These data were obtained from direct vehicle counting
from these streets [7],[8]. It was found that motorcycle
and passenger car were dominant types of vehicle
within the study area.
80,00060,00040,00020,0000of vehicles on the road. The weekday-weekend profiles
were also considered in this simulation.
RESULTS AND DISCUSSION
As for estimation of emission amount of benzene,
results indicated that its total emissions weredecreased from 1.32×103 ton/year (using emission
factor of the year 2011) to 0.57× 103 ton/year (using
emission factor of the year 2013). This amount was
about 43% reduced from its EURO II fuel quality
standard scenario. About 83% of total emissions ofbenzene were contributed from motorcycle (43%)
and passenger car (40%).
AERMOD was used to simulate ambient groundlevel concentration of benzene prior and after
implementing of measures to change the fuel quality
from Euro II to Euro IV standard. Model was
simulated covering the whole period of the year
2013. Annual concentrations of benzene at each
receptor sites were computed. Figure 3-4 illustrated
the spatial distribution of areas having benzene
annual concentration higher than 1.7 µg/m3 (theThai’s air quality standard for benzene). Results
clearly indicated significant reduction of benzene
ground level concentration within study area from
implementation of fuel quality improvement policy.
Predicted results of annual concentration ofbenzene at receptor positions also revealed thedecreasing trend when EURO IV standard had been
implemented. Annual benzene concentrations at every
receptor were predicted to be within the level ofbenzene air quality standard. Results from this study
were coincided with significantly reduction of benzene
concentrations obtained from direct measurement in
Bangkok’s environment. The maximum benzene
annual concentration measured as 11.1 µg/m3 in2011 was dramatically decreased to 3.58 µg/m3 in2013 at the same location [10]. These findings
strongly supported that the implementation of
measures to improve the fuel quality from Euro II to
Euro IV standard was one of a success policy in
reducing both emission and concentrations ofairborne benzene in Bangkok metropolitan area.
In addition, ozone and photochemical oxidants
are one of the major air pollutants which Bangkok is
faced at present. These pollutants together withvariation of meteorological conditions can affect totemporal distribution and dissipation of benzene.
Evaluation of natural dissipation of benzene is alsointerested to identify natural contribution of thiscompound. Therefore future study to evaluate
influences of these factors and relationship between
air toxics and photochemical oxidants are very muchinterested. These further studies can assist in
elucidating atmospheric chemistry of air pollutantsfor better management of policy to tackle thisproblem.

Taxi
MC
Truck
Bus
VP
PC

Fig. 2 Proportion of each type of vehicle in study
street (vehicle per day)
Data were then used to predict ambient air
concentrations of benzene by using the AERMOD
dispersion model version 8.8.9. AERMOD model(AMS/EPA Regulatory model) is a steady-statemodel which assumes that a plume disperses in thevertical and horizontal directions resulting in Gaussianconcentration distributions [9]. Model was simulated
taking into consideration diurnal variation of number

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SEE-Mie, Japan, Nov. 19-21, 2015

Fig. 3 Spatial distribution of benzene pollution map (EURO II scenario)

Fig. 4 Spatial distribution of benzene pollution map (EURO IV scenario)

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SEE-Mie, Japan, Nov. 19-21, 2015

Fig. 5 Comparison of predicted annual concentrations of benzene (µg/m3)
Environmental Health and Toxicology (EHT), Facultyof Public Health, Mahidol University, Thailand.

CONCLUSIONSThe Thai’s policy in improving of fuel quality
was evaluated to elaborate for its success in reducing
emissions and concentrations of benzene in Bangkok’s
air. Benzene content in gasoline had been decreased
from 3.5% (EURO II standard) to less than 1.0%
(EURO IV standard) since the year 2012. The IVE
model was applied to develop emission factor ofbenzene using actual fleet and fuel characteristics ofvehicles in Bangkok. These vehicles consisted ofpassenger car, motorcycle, van and pick up, taxi, bus
and truck. Then, emission inventory of benzene
emitted from mobile sources was calculated. It was
found that about 83% of total emissions of benzene
were contributed from motorcycle (43%) andpassenger car (40%). Emission amounts were reduced
from 1.32 x 103 ton/year in the EURO II scenario toabout 0.57 x 103 ton/year in the EURO IV scenario.
Annual ground level concentrations of benzene
emitted from mobile sources were predicted using
AERMOD dispersion model. A traffic-congested
zone of the central business district in the Bangkok
metropolitan area was selected for this evaluation.
AERMOD model was simulated to predict ambient
ground level concentration of benzene prior andafter implementing the EURO IV policy. Results
revealed significantly reduction of benzene concentrations
in Bangkok’s environment. This study indicated thesuccess and effectiveness of implementing fuelquality improvement policy in managing benzene
pollution in Bangkok metropolitan area.

REFERENCES[1] Department of Land Transport. Transport statistics
sub-division, Planning division: Transport
statistics.2013.
http://apps.dlt.go.th/statistics_web/statistics.html.
Accessed January 3, 2015.
[2] International Agency for Research on Cancer.
Agents classified by the IARC Monographs,
Volumes 1-112. 2012. Retrieved January 26,
2015,fromhttp://monographs.iarc.fr/ENG/Classification/Li
st_of_Classifications_Vol1-112.pdf.
[3] Truc, V. T. Q., and Oanh, N. T. K., “Roadside
BTEX and other gaseous air pollutants in relation to emission sources”, J. of Atmospheric
Environment, Vol. 41, Nov. 2007, pp.76857697.
[4] Ongwandee, M. and Chavalparit, O., “Commuter exposure to BTEX in public transportation
modes in Bangkok, Thailand”, J. of Environmental Sciences, Vol. 22, Mar. 2010, pp. 397404.
[5] Thepanondh S., “Development of emission
factors for air pollutants and greenhouse gases
from vehicle for establishment of appropriate
mitigation policy and measures in the transportation sector in Thailand”, 2009, pp. 4(1)6(27).
[6] Outapa P. and Thepanondh S., “Development of
Air Toxic Emission Factor and Inventory of Onroad Mobile Sources”, J. of Air, Soil and Water
Research, Vol. 7, December. 2014, pp. 1-10.
[7] Department of Traffic and Transportation,
Bangkok Metropolitan Administration, Thailand.
Traffic density at road junctions in Bangkok.
2013.

ACKNOWLEDGEMENTS
The authors greatly appreciate the support with datafrom the Department of Land Transport and theDepartment Traffic and Transportation, Bangkok
Metropolitan Administration, Thailand. This study waspartially supported for publication by the China
Medical Board (CMB) and Center of Excellence on
536

SEE-Mie, Japan, Nov. 19-21, 2015[10] Pollution Control Department. Report on
situation and management of air pollution andnoise problems year 2013. Pollution Prevention
Department, Ministry of Natural Resources andEnvironment, Bangkok, Thailand.
[11] Saeaw N. and Thepanondh S., “Source
apportionment analysis of airborne VOCs using
positive matrix factorization in industrial andurban areas in Thailand”, J. of Atmospheric
Pollution Research, Vol. 6, Jan. 2015.

[8] The Environmental Impact Assessment (EIA)
report; MRTA-PURPLE line Bang Sue-Samsen
sectionproject,(2013).
http://dzygroup.com/demo/eia/projectdetail.php?
id=6962. Accessed April 20, 2015.
[9] U.S.
Environmental
Protection
Agency(USEPA), 2004. AERMOD: DESCRIPTION
OF MODEL FORMULATION (EPA-454/R03-004), Office of Air Quality Planning andStandards Emissions Monitoring and Analysis
Division Research Triangle Park, North
Carolina.

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Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

WINTER URBAN HEAT ISLAND MAGNITUDES OF MAJOR
AUSTRALIAN CITIES

1Melissa Neave1, Scott Rayburg2,
Centre for Urban Research, RMIT University, 2Swinburne University of Technology

ABSTRACTThe Urban Heat Island (UHI) effect is a common phenomenon observed in cities around the world. Thisphenomenon can best be described as an increase in the temperature of urban areas relative to their surroundings.
This effect ranges from 1 or 2oC up to 11oC or more depending on a variety of factors. This study seeks todetermine the relative magnitude of the UHI effect in five major Australian cities during the winter season. To
achieve this, the study considers three weather stations in each city: one in a high density urban area, one in a
medium density urban area and one in a nearby very low density urban/rural area. In all cases, the elevation was
kept approximately constant (within 100 m) to ensure that observed temperature differences could be largely
attributed to urban heat variations alone. For each station, temperature data were collected every 30 minutes overa three day period. The data where then plotted and maximum, minimum, and average temperature differences(and the times of those differences) were recorded. The data show that all of the cities investigated showed astrong winter heat island effect with the magnitude ranging from about 3oC up to 8oC. The largest temperature
differences typically occurred near dawn (about 6 am) and overnight. It was also observed that during the day,the high and moderate density urban areas could have temperatures either higher or lower than the rural areas, acondition consistent with other global observations of the UHI effect.
Keywords: UHI; climate change; weather stations; daily temperature

impacts, perhaps the most significant is a rise in heat
related illnesses. Indeed many illnesses have beenshown to be related to heat ranging from therelatively benign (e.g., heat rash) to the potentiallyfatal (e.g., heat stroke). These heat related illnesses
are most dangerous for the young and old and thosewith compromised immune systems. In addition,
those without access to cooling are also particularly
susceptible, which can make this an environmental
justice issue [8]-[9]. The environmental impacts of
UHIs can also be significant and include an increasein energy demand in cities (predominantly as a resultof increased demand for cooling energy), an increasein pollution (associated with the rise in energy use),and heightened chemical weathering rates [10].
The magnitude of UHIs vary from place to place
and according to a variety of climatic and otherfactors. Observed UHIs magnitudes from around theworld range from 0.4°C to as high as 14°C [11]-[12].
These values are strongly influenced by the degreeof urbanization, the amount of greenspace,seasonality, time of day and other factors (so that,for example, the highest observed UHI values may
have only occurred for a brief period of time on asingle day during a particular season). According tocurrent research, the highest UHI magnitudes occur
overnight and during summer when conditions areclear and winds are low [13]-[18]. A limitation ofmost of the studies on the UHI phenomenon is afocus on only one city at a time. In addition, most

INTRODUCTION
Globally, cities and urban populations are
growing rapidly. As cities expand and develop, they
become increasingly warm relative to surrounding
areas. This phenomenon is known as the “urban heatisland” (UHI) effect [1]-[2]. This temperature
difference can lead to significant complications inurban areas including an increase in the magnitudeand frequency of heat waves, an increase in urban
pollution and energy use, and heat related illnesses
and fatalities. These problems are likely to be
exacerbated by global warming, which is likely to
see Earth warm by an additional 2oC or more by theend of this century [3].
The causes of this temperature difference
between urban areas and adjacent and/or
surrounding non-urban areas are multifaceted. These
include: a high percentage of low albedo andimpermeable surfaces (such as roads, footpaths andbuildings); a loss of vegetation (which would
normally help to cool the area via shading andevapotranspiration); the geometry of the urban
landscape which creates a canyon effect that traps
heat and prevents it from escaping; and higher mean
pollution levels (than surrounding areas) which canalso promote warming and/or trap heat [4]-[7].
As previously mentioned, UHIs can cause
numerous problems in cities. These include bothsocial and environmental impacts. In terms of social
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SEE-Mie, Japan, Nov. 19-21, 2015

the average maximum and minimum temperaturesare 24.6 oC and 18.7 oC, respectively. The averageannual rainfall for Melbourne is 650 mm and theaverage maximum and minimum temperatures are
19.9 oC and 10.2 oC, respectively. The averageannual rainfall for Brisbane is 900 mm and theaverage maximum and minimum temperatures are
26.5 oC and 16.3 oC, respectively. The averageannual rainfall for Sydney is 1200 mm and theaverage maximum and minimum temperatures are
21.7 oC and 13.8 oC, respectively.
In each city, three Bureau of Meteorology
weather stations were selected. These included one
in a high density part of the city (population density
greater than 2,000 persons per km2), one in a
medium density part of the city (population density
approximately 500 persons per km2), and one in a
low density part of the city or its surroundings(population density less than 50 persons per km2)
(Table 1). Stations were also selected to minimise
elevation differences between them (as elevation canhave a strong control on temperature independent ofurbanization influences). Consequently, stations
from all cities had elevation differences of less than
40 m except Melbourne where the maximum
elevation difference was 100 m (Table 1). Fromthese stations, temperature data were collected every
30 minutes over a period of three days in earlyAugust 2015.

studies focus on collecting data in summer alone.
This limits our ability to compare the relative
strength of the UHI phenomenon during winter andbetween cities.
To address these problems, this study considers
the magnitude of the UHI in five Australian cities
over a three day period in the winter of 2015. Data
are considered in terms of urban density, city size,and geographic position within Australia. The resultsof this study will help to clarify the magnitude of
UHIs in winter and what might be driving observed
patterns in UHI intensity.
SITE DESCRIPTION AND METHODSThis study was undertaken in Australia’s fivelargest cities, namely Adelaide, Brisbane,
Melbourne, Perth and Sydney (Fig. 1). These cities
were chosen because of their large populations andhigh urban densities. As of June 2014, thepopulation, from largest to smallest of these cities
was: Sydney with 4.8 million (density = 9,295 perkm2); Melbourne with 4.4 million (density = 14,105
per km2); Brisbane with 2.3 million (density = 7,188
per km2); Perth with 2.0 million (density = 3,112 perkm2) and Adelaide with 1.3 million (density = 1,814
per km2).

Table 1. Weather station characteristics for the 15
locations included in this study.
Stations
Density Elevation
Lat.
Long.
(m)
Adelaide
NoarlungaHigh
55.0-35.16138.51
Adelaide
Medium48.0-34.92138.62
Edinburgh
Low
16.5-34.71138.62
Brisbane
Brisbane
Archerfield
Amberley
Melbourne
Melbourne
Olympic
Park
Viewbank
Melbourne
AirportFig. 1 The locations of the five largest Australian
cities that were sampled in this study.
In terms of average climate, Adelaide and Perthare classified as having hot dry summer orMediterranean climates (Koppen classification ofCsa), Melbourne is classified as having a temperate
oceanic climate (Koppen classification of Cfb), andBrisbane and Sydney are classified as having warm
temperate/humid subtropical climates (Koppen
classification of Cfa).
The average annual rainfall for Adelaide is 545
mm and the average maximum and minimum
temperatures are 22.3 oC and 12.2 oC, respectively.
The average annual rainfall for Perth is 850 mm and

Perth
Perth
PearceJandakot
SydneyObservatory
Hill
Bankstown
Richmond

539

High
Medium
Low

8.1
12.5
24.2

-27.48-27.57-27.63153.04153.01152.71High

7.5-37.83144.98

Medium
Low

66.1
113.4

-37.74-37.67145.10144.83High
Medium
Low

24.9
40.0
30.0

-31.92-31.67-32.1

115.87116.02115.88High

39.0-33.86151.21

Medium
Low

6.5
19.0

-33.92-33.6

150.99150.78

SEE-Mie, Japan, Nov. 19-21, 2015

For each city, temperature data were plotted on asingle graph to compare temporal differences
between stations. Then temperatures were comparedacross stations by subtracting the temperature fromeach station from that of the other two stations in thesame city. This allowed for computations of average,
maximum and minimum temperature differences(and the time that the maximum and minimum
temperature difference occurred) between stations.
Note: for the purposes of this study, night wasclassed as the hours between 6:00 pm and 6:00 am.
RESULTS AND DISCUSSION

Fig. 3 Temperature comparison for three weather
stations in Brisbane in the winter of 2015.

Temperature data for each city and summary
differences between stations are presented in Figs. 26 and Table 2. For Adelaide (Fig. 2), thetemperatures for all three stations are very similar
during the day while at night some separation
becomes apparent. Generally speaking, the low
urban density weather station shows the coolest
nighttime temperatures, although at times it has
temperatures similar to the medium urban density
station. According to Table 2 the highest daytime
temperature differences occur between the high andlow urban density sites and equate to 3.7oC and
4.3oC for daytime and nighttime temperatures,
respectively. The maximum temperature difference
was observed at 9:00 pm.

Melbourne temperature patterns are presented inFig. 4. In Melbourne, the medium urban density andlow urban density sites typically plot very close to
one another and only clearly separate over onenighttime period (with the low density site showing
cooler temperatures for this particular instance).
Meanwhile, the high urban density site tends to plot
higher that the other two sites, indicating it iswarmer overnight but with similar daytime
temperatures to the other two. The maximum
daytime and nighttime temperature differences were
3.0oC and 2.7oC, respectively, with these occurring
at 6:30 am and 1:30 am, respectively (Table 2).

Fig. 4 Temperature comparison for three weather
stations in Melbourne in the winter of 2015.

Fig. 2 Temperature comparison for three weather
stations in Adelaide in the winter of 2015.

In Perth (Fig. 5) there is little separation between
the three stations during the day or overnight.
However, some minor nighttime temperature
variations are apparent on one of the study nights.
The maximum daytime and nighttime temperature
differences are 3.7oC and 3.6oC, respectively (Table2) and these occur at 7:00 am and 3:00 am,
respectively.

For Brisbane (Fig. 3) the separation between
stations was much more pronounced. Here daytime
temperatures remain similar but nighttime
temperatures display a clear trend with the highest
urban density site being the warmest and the low
urban density site the coolest. The maximum
daytime and nighttime temperature differences wereboth 9.1oC which were recorded at 6:30 am and18:30 pm, respectively (Table 2).

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For the five cities that were studied in thisresearch the maximum temperature differences
tended to occur either overnight or in the very earlymorning (around 6:00 am being the most commontime). In most cases, the maximum daytime andnighttime temperature differences were similar toeach other but occurred at similar times (again being
very close to the segregation time between day andnight as adopted in this study which was 6:00 am).
Perhaps, then, it is more useful to say that the
maximum temperature differences for all cities
occurred during the coolest parts of the day whiletemperatures were mostly similar during the hottest
parts of the day.

Fig. 5 Temperature comparison for three weather
stations in Perth in the winter of 2015.
The final city investigated was Sydney and thesedata are presented in Fig. 6. Here very clear
differences between stations can be observed, withthe highest urban density site being warmest at night
and the lowest urban density site being coolest atnight. The medium urban density site plots in the
middle of the other two. During the day,temperatures are generally similar for all sites,
although there is some tendency for the high urban
density site to be cooler than the other two sites
during the hottest part of the day. According toTable 2, the maximum daytime temperature
difference is 7.5oC and this occurs at 11:30 am while
the maximum nighttime temperature difference is
8.0oC which occurs at 6:00 am.
The results of this study clearly show that there
is an obvious and apparent winter UHI effect evident
in all five major Australian cities. The UHI
magnitude varied from a high of 9.1oC in Brisbane
to a low of 2.6oC in Melbourne. In terms of themagnitude alone, Sydney and Brisbane displayed
very similar patterns, exhibiting obvious differences
between sites and high absolute temperature
differences between sites. In contrast, Adelaide,
Perth and Melbourne were similar to one another,
exhibiting more similar temperatures throughout the
day and comparatively minor absolute temperature
differences.

Table 2. Summary statistics for the comparisons between thehigh, medium and low urban density weather stations for eachof the five largest cities in Australia.
Day
Night
Adelaide
Avg
Max
Min
Avg
Max
Min
High - Med -0.25
1.70-1.60 0.94
3.40
-0.80
High - Low
0.19
3.70
-1.90 1.69
4.30
-0.50
Med - Low
0.44
2.20
-0.90 0.75
2.60
-1.30
BrisbaneHigh - Med
High - Low
Med - Low

0.51
1.84
1.33

3.60
9.10
7.50

-2.60
-2.20
-2.00

1.55
5.10
3.55

3.80
9.10
7.40

-2.10
-2.30
-2.70

MelbourneHigh - Med
High - Low
Med - Low

0.76
0.57
-0.19

1.70
3.00
2.10

-0.20
-1.10
-2.20

0.86
1.33
0.46

1.80
2.60
1.60

-0.20
0.30
-0.80

Perth
High - Med
High - Low
Med - Low

0.33
0.43
0.10

3.50
3.70
3.90

-1.70
-1.30
-1.50

0.28
0.71
0.43

2.70
3.60
2.40

-1.80
-1.50
-1.00

SydneyHigh - Med
High - Low
Med - Low

-0.01
0.74
0.75

3.60
7.50
4.90

-2.80
-2.70
-2.70

2.27
4.65
2.38

5.00
8.00
6.70

0.20
0.20
-2.20

CONCLUSION
This study investigated 30-min temperature data
for five Australian cities over a three day period in
winter. Within each city three sites, representing
high-, medium- and low-urban densities, were
examined. All five cities exhibit evidence of theurban heat island phenomenon, with the high-density
regions routinely recording the highest temperatures.
This result was most pronounced for the more
northerly cities of Brisbane and Sydney, but wasalso evident in the more southerly cities of Adelaide,
Melbourne and Perth.
In all five cities, the maximum differences
between high- and low-urban density settings wereobserved to occur in the coldest part of the day

Fig. 6 Temperature comparison for three weather
stations in Sydney in the winter of 2015.

541

SEE-Mie, Japan, Nov. 19-21, 2015

(overnight or early morning). In comparison, during
the warmest time of the day, temperatures betweensites tended to converge. These findings indicate thatthe urban heat island phenomenon is evident evenduring winter months but that the impacts reflect
lower rates of overnight cooling. This suggests thatthe urban fabric is retaining heat more effectively
than non-urban landscapes and may help to explain
why summer temperatures in urban settings are often
comparatively high. It is not just a matter ofincreased rates of energy capture during the daylight
hours, but also retention of that energy overnight.

Environmental Research, Vol. 132, pp. 212219.
[9] Williams, S, Nitschke, M, Sullivan, T, Tucker,
GR, Weinstein, P, Pisaniello, DL, Parton, KA& Bi, P 2012, “Heat and health in Adelaide,
South Australia: Assessment of heat thresholds
and temperature relationships”, Science of the
Total Environment, Vol. 414, pp. 126-133.
[10] Tumanov, S, Stan-Sion, A, Lupu, A, Soci, C &Oprea, C 1999, “Influences of the city of
Bucharest on weather and climate parameters”,
Atmospheric Environment, Vol. 33, no. 24, pp.
4173-4183.
[11] Lokoshchenko, MA 2014, “Urban 'heat island'in Moscow”, Urban Climate, Vol. 10, no. P3,
pp. 550-562.
[12] Santamouris, M 2015, “Analyzing the heatisland magnitude and characteristics in one
hundred Asian and Australian cities andregions”, Science of the Total Environment,
Vol. 512-513, pp. 582-598.
[13] Figuerola, PI & Mazzeo, NA 1998, “Urbanrural temperature differences in Buenos Aires”,
International Journal of Climatology, Vol. 18,
no. 15, pp. 1709-1723.
[14] Magee, N, Curtis, J & Wendler, G 1999, “Theurban heat island effect at Fairbanks, Alaska”,
Theoretical and Applied Climatology, Vol. 64,
no. 1-2, pp. 39-47.
[15] Morris, C & Simmonds, I 2000, “Associations
between varying magnitudes of the urban heatisland and the synoptic climatology in
Melbourne, Australia”, International Journal of
Climatology, Vol. 20, no. 15, pp. 1931-1954.
[16] Unger, J, Sümeghy, Z & Zoboki, J 2001,“Temperature cross-section features in an
urban area”, Atmospheric Research, Vol. 58,
no. 2, pp. 117-127.
[17] Pal, S, Xueref-Remy, I, Ammoura, L, Chazette,
P, Gibert, F, Royer, P, Dieudonné, E, Dupont,
JC, Haeffelin, M, Lac, C, Lopez, M, Morille, Y& Ravetta, F 2012, “Spatio-temporalvariability of the atmospheric boundary layer
depth over the Paris agglomeration: An
assessment of the impact of the urban heatisland intensity”, Atmospheric Environment,
Vol. 63, pp. 261-275.
[18] Vardoulakis, E, Karamanis, D, Fotiadi, A &Mihalakakou, G 2013, “The urban heat islandeffect in a small Mediterranean city of highsummer temperatures and cooling energy
demands”, Solar Energy, Vol. 94, pp. 128-144.

ACKNOWLEDGEMENTS
The authors gratefully acknowledge theAustralian Bureau of Meteorology for providing
data for this project.
REFERENCES[1] Meehl, GA & Tebaldi, C 2004, “More intense,
more frequent, and longer lasting heat waves in
the 21st century”, Science, Vol. 305, no. 5686,
pp. 994-997.
[2] Kinney, PL, O'Neill, MS, Bell, ML & Schwartz,
J 2008, “Approaches for estimating effects ofclimate change on heat-related deaths:
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2006, “Remote sensing image-based analysisof the relationship between urban heat islandand land use/cover changes”, Remote sensingof environment, Vol. 104, no. 2, pp. 133-146.
[4] Kim, Y-H & Baik, J-J 2005, “Spatial andtemporal structure of the urban heat island inSeoul”, Journal of Applied Meteorology, Vol.
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[5] Kleerekoper, L, van Esch, M & Salcedo, TB
2012, “How to make a city climate-proof,
addressing the urban heat island effect”,
Resources, Conservation and Recycling, Vol.
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[6] Qiu, G-y, Li, H-y, Zhang, Q-t, Chen, W, Liang,
X-j & LI, X-z 2013, “Effects of
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Agriculture”, Journal of Integrative Agriculture,
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BL, Kurn, DM, Sailor, D & Taha, H 1995,“Mitigation of urban heat islands: materials,
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542

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

MULTIVARIATE GEOSTATISTICAL MODELING OF THE SOIL
SPECTROMETRY AND CHEMISTRY FOR CHARACTERIZING THE
SOIL SALINIZATION IN EAST DAKHLA OASIS, EGYPT
Alaa A. Masoud a, Mohamed M. El-Horiny a,b, Mohamed G. Atwiaa, Katsuaki Koike baGeology Department, Faculty of Science, Tanta University, 31527 Tanta, Egyptb
Department of Urban Management, Graduate School of Engineering, Kyoto University, Japan
ABSTRACTPeriodic monitoring of soil salinity levels is necessary for preventing and mitigating land degradation in arid
environments. Twenty-five topsoil samples (0–20 cm) were collected in the study area. Soils were highly saltaffected that ranged from 0.523 to 53.9 dSm−1 The soil pH ranged between 4.2 and 8.91, with an average of
7.718, suggesting slightly alkaline soils. Soil reflectance curves show two deep absorption features at 1415 nm
and 1915 nm. As the salinity levels increase, the absorption features become deeper, broader, and more
asymmetrical. This suggests an increase in the soil moisture content with increasing salinization. This
relationship is confirmed from the parameters (depth and width) of the absorption band centered at 1415 and1915 nm and the soil EC. The best coefficient of determination of the soil salinity can be achieved for depth (R2= 0.57 & 0.52) and for width (R2 = 0.70 & 0.56) at 1415 and 1915 wavelengths. Multivariate statisticaltechniques showed that two main factors accounted for 75.57% of the data variance governed the variability ofthe soils. The first and second factors accounted for 54.94% and 13.36% of the total variance respectively.
Cluster analysis recognized three distinctive soil salinity patterns; their spatial distribution is consistent with thegeology, and the urban and agricultural practices. The first class (14 observations) exhibited non saline soils (<2dS m−1) to slightly saline (2–4 dS m−1) that dominated in the northern zone. The southern zone included thesecond (6 observations) and third (13 observations) classes which exhibited saline to highly saline soils (> 4 dS
m−1). The southern zone is dominated by intensive evaporation/evapotranspiration, unmanaged sewage
trenching, extensive land use changes and hence prevailing salinization processes.
Keywords: Soil Spectrometry, Salinization, Factor analysis, K-means Clustering; Dakhla Oasis, Egypt

could even make growing the crops rather difficult.
This research focuses on the use of the multivariate
statistics; factor analysis and K-means clustering,and the geostatistical semi-variogram modeling ofsoil chemistry data to identify the most influential
factors controlling soil salinization, with a special
emphasis on the relationships among soil properties
and major and trace element concentrations in theeastern part of Dakhla Oasis, Egypt.

INTRODUCTION
Soil degradation by salinization in Egypt's vast
deserts is one of the problems that has recently
received attention for research [11]. Drought, which
is a natural phenomenon, is a significant driving
force for soil degradation in the Western Desert of
Egypt as precipitation is much less thanevapotranspiration rates.
Salinization has a very bad effect on soil
conditions and made many productive areas infertilein arid and semi-arid regions, posing serious socioeconomic and environmental implications. In theseregions, evapotranspiration commonly exceeds theprecipitation that is already insufficient to maintain aregular percolation of the rainwater through the soil.
This is in addition to the irrigation with salt-ladenwater of soils with low permeability that mostly
leads to a slow but progressive and excessive
accumulation of salts [6]. This accumulation brings
drastic changes in soil physical and chemical
properties [12] and affects directly the soil salinityand pH levels and hence adversely influences theplant productivity. Some areas of Dakhla Oasis
contain enough salts so that they can significantly
alter the physical and chemical soil properties and

DATA AND METHODS
Study Area
The study area is located in the central part of theWestern Desert of Egypt (Fig.1). It lies between
latitudes 25◦ 24' &25◦ 36' N and longitudes 29◦ 10'& 29◦ 23' E, 190 km to the West of Kharga Oasis. It
contains highly fertile lands, it is rich with water andit supports a higher population than Kharga Oasis.
The present work focused on the east of Dakhla(Teneida and Balat villages).
The climate of Dakhla Oasis is hot and dry, witha high rate of evaporation, a high level of solar
radiation (sunshine), and no rainfall. The aridity
index used by the United Nations Environment543

SEE-Mie, Japan, Nov. 19-21, 2015

claystone. Quaternary deposits are of continental
origin and varying from fresh deposits to eolian
sediments. These deposits include sand dune,
alluvial, playa and inland sabkha deposits [5].

Program [14], indicates that this district lies in a
hyper-arid region, with an annual rainfall close to
0.0 mm.

Fig. 2. Geological map of Dakhla oasis [4].
Hydrogeologically, the Nubian Sandstone
Aquifer System is composed of different water
bearing
stratalaterally
and/orverticallyinterconnected. Dakhla Basin is the largest and mostimportant basin in Egypt. It consists of three water
bearing formations with confining layers in-between.
These aquifers, from top to bottom, are Taref,
Sabaya and Six Hills Sandstone aquifers. (Fig. 3).
Fig. 1. Map showing the location of study area,
topography, and soil samples.
Geomorphologically, the investigated area
exhibited three main geomorphologic units [7].
These units are the high plateau, the depression andthe structural plain. The high plateau bounds the
Dakhla depression from the north, and includes theplateau surface and the escarpments subunits. The
depression represents controlled structurally anderosionally low topographic area. The structural
plain results from the merging of the Dakhla
depression gradually to the south into an extensive
elevated plain.
Geologically, the exposed sedimentary rocks
ranging in age from Late Cretaceous to Quaternary[4]. The Upper Jurassic–Campanian sequence isrepresented by sandstone and clay, known by the
Nubia Sandstone [13].The Nubia Sandstone overlies
directly the basement rocks. It is subdivided into
different rock units which can be described fromolder to younger as following; Six Hills Formation,
Abu Ballas Formation; Sabaya Formation; Maghrabi
Formation and Taref Formation. The CampanianTransgression include from the base Mut formation,
it is composed of variegated shale, siltstone andFig. 3. Simplified cross sections of selected locationsin the east of the Dakhla oasis based on the well logs.
Location of boreholes are shown on figure 1.
Sampling and Chemical Analytical Techniques
Thirty three soil samples were collected during afield campaign carried out February 2014. At eachsampling site, a composite surface sample wasformed by mixing five sub-samples taken at 30-m
square corners and the mid-point of the square fromthe top soil (0–20 cm) and was analyzed. The
electrical conductivity (EC) was measured for thesoil saturated paste extracts (1:2 by weight) using.
Direct Soil Conductivity meter model HI 98331.
Soil pH was measured in a 1:2 soil/distilled water544

SEE-Mie, Japan, Nov. 19-21, 2015

suspension using a pre-calibrated glass electrode of
HORIBA D-53 pH meter at a resolution of 0.01.
Some major and trace elements concentrations(wt %) were measured by using the XRF.

sampling density in an efficient way compared withthe simpler methods as well as it provide aprobabilistic estimate of the interpolation quality
itself [2].

Soil Spectrometry

Table 1: Descriptive summary statistics for the soil
chemistry data.

Soil samples were scanned and absolutereflectances were recorded in the region 400–2500
nm at 0.1 nm spectral resolution, using FieldSpec-3
spectroradiometer (Analytical Spectral Devices,
Boulder, Colorado USA) at room temperature.
Reflectance is calibrated against a white panel ofknown reflectance. All spectral measurements werecarried out in a dark room to avoid contamination bystray light. For better inter-comparison and spectral
identification the raw spectra were subjected tocontinuum-removal.

Variable
EC
pH
Zn
Zr
Ag
Cd
Sn
Sb
Ti
Mn
Fe
Cl
Al
Si
P
S
K
Ca
V
Cr
Ni
Pb

Factor Analysis
Factor analysis (FA) using principal component
was applied to the datasets. Successful multivariate
statistical analyses rely greatly on the optimal
selectionofvariables,
particularly
their
independence and comparable relevance [6]. The
selection of variables in the present study was
primarily directed towards achieving a compromise
between including a sufficient number of variables
to ensure an accurate representation of soil quality
whilst selecting a representative subset of variables
that is large enough to capture the spatial variabilityof soil chemistry and the processes that control it.
Twenty two variables (EC, pH, Cl, Ca, K, Zn, Zr,
Ag, Cd, Sn, Sb, Ti, Mn, Fe, Al, Si, P, S, V, Cr, Ni
and Pb) were selected for FA.

Min.
0.523
4.210
0.002
0.001
0.007
0.009
0.011
0.011
0.021
0.008
0.051
9.040
0.160
0.223
0.006
0.050
0.357
0.383
0.007
0.005
0.001
0.000

Max.
53.900
8.910
0.010
0.032
0.019
0.024
0.032
0.035
0.471
0.196
5.243
52.0305.440
22.130
0.138
2.690
2.646
4.654
0.040
0.019
0.011
0.001

Mean
15.202
7.718
0.004
0.017
0.013
0.017
0.022
0.024
0.250
0.058
2.308
27.1792.427
10.111
0.039
0.512
1.347
2.892
0.025
0.012
0.004
0.001

St. Dev.
14.876
0.822
0.002
0.007
0.004
0.005
0.006
0.007
0.120
0.043
1.218
12.408
1.607
7.473
0.030
0.531
0.638
1.060
0.008
0.003
0.002
0.000

RESULTS AND DISCUSSIONS
Soil Chemistry
Soil salinity across the depression ranges from 0.52
dS/m to 53.9 dS/m with an average of 15.2 dS/m
indicating highly salt-affected soils. EC distribution
map, showed a gradual southward salinization (Fig.
4). The majority of the collected soils have sandy
texture; however, little samples have silty and clayey
sandy texture. The samples that had the highest
salinity levels had clay loam textures, indicating thatsalinity increases with increasing clay content,
which may increase the crusting potential of thesoils [10], decrease soil permeability, and lead topoor aeration of the soil. According to theclassification of arid lands [15], hyper-arid regions
have aridity index (P/ETP) of <0.03, where P is theprecipitation and ETP is the evapotranspiration.
Dakhla region has an aridity index of <0.001 [8],which is far less than the limit of hyper-arid regions(P/ETP < 0.03). The high groundwater table could
be another reason triggering soil salinization [3].
Soil salinization is also attributed to human activities,
notably the abuse of water resources. The irrigation
practice in Dakhla is one important reason forhuman-induced (secondary) salinization. The lack of

K-means Cluster Analysis
K-means clustering is applied to the soil
chemitry datasets (Table 1). Cluster analysis helps ingrouping objects (cases) into classes (clusters) on thebasis of similarities within a class and dissimilarities
between different classes. It is an iterative process
whereby the data are initially partitioned randomly,
and iteratively reassigned to a cluster based on thenearest distance to the cluster’s centre. The
procedure terminates when there is no reassignmentof any data from one cluster to another [16]. Setting
the optimal number of clusters is a challenging task
in using a partition algorithm, like K-means [16].
Geostatistical Modeling
For the estimation of the spatial distribution of
the soil electrical conductivity and some traceelements concentrations to soil quality, ordinary
kriging (OK) and semi-variogram modeling wasapplied. Kriging is appraised for building theattribute data layers as it adequately model the low
545

SEE-Mie, Japan, Nov. 19-21, 2015a well-developed drainage system leads torecharging groundwater with agricultural drainage tothe degree that the water table occurs at the surface(Fig. 5). Impacts of this severe salinization involve
not only the destruction of soil physical structure but
also impairing the soil ecosystem as well.

moisture content [1], [9] with increasing salinization.
This relationship is confirmed on Fig. 7 from theparameters (depth and width) of the absorption band
centered at 1415 and 1915 nm and the soil EC. The
depth versus width variation and hence the shape of
the absorption feature can be best determined (R2 =0.76) at 1415 nm with varying salinity levels (Fig. 7).
Also, the best coefficient of determination of the soil
salinity can be achieved for depth (R2 = 0.57) andfor width (R2 = 0.7) at this 1415 nm (Fig. 8). The
results therefore confirm that the salt abundances ofthe studied slightly saline soils of the silty clay loam
and sandy loam textures can be spectrally
differentiated by the magnitude of the reflectancespectra and specifically by the shape of the OH
absorption feature at 1915 nm.

Fig. 4. The electric conductivity, (EC) of soil
samples in Dakhla oasis.

(a)
(a)

(b)

(c)

Fig. 5. Ground pictures of Dakhla depression; a) a
salt crust at a barren soil area, b and c) drainage
water seeps to low-land regions in the depression
forming artificial canals and their margins affectedby salinization.
Spectral Characteristics of Soils(b)

The basic constituents that strongly affect soil
reflectance characteristics are the clay content, Fe–
Al oxides, organic matter, moisture, and the clay
type [1]. Reflectance and the continuum-removed
spectra of the studied soil samples are shown on Fig.
6. The absorptions of iron oxide are prominent at
425–500 nm and 850–900 nm. The absorption peaks
were strongly associated with OH features of freewater at 1415 and 1915 nm and clay lattice OH
features at 1425 and 2200 nm. As the salinity levels
increase the magnitude of the relative reflectances
decreases (Fig. 6a). Also, the water absorption
features become deeper, broader, and more
asymmetrical. This suggests an increase in the soil

Fig. 6. Raw spectra of soil reflectance (up) and thecontinuum-removed (down) with their sample
number (SN) and corresponding EC (dS/m).
Factor analysis
The results of the factor analysis using theprincipal components and varimax rotation arepresented in Table 2. The first three factors witheigenvalues exceeding 1.6 were selected since theyaccount for 75.57% of the total variance, which is
sufficient to give a good idea of data structure.
Variables attained the largest squared cosines of the546

SEE-Mie, Japan, Nov. 19-21, 2015selected factors are chosen. Therefore, FA is
assumed to adequately represent the overall varianceof the dataset. F1 accounted for 54.94% of thevariance strongly negatively loaded with EC (-0.88)
and Cl (-0.59), and positively loaded with Sb (0.95),
Sn (0.97), Cd (0.98), Ag (0.96), Si (0.93), Ti (0.87),
Al (0.88), Zr (0.85), Fe (0.88), Mn (0.52), Ca (0.68),
P (0.63), V (0.83), Cr (0.53), Ni (0.67) and Pb (0.47).

Table 2: Factor analysis of the studied soil chemistryparameters (observations = 33).
Variable
F1
F2
F3 communality-0.88 -0.06 0.28
EC
0.95
pH
-0.46 0.77 0.16
0.95
Zn
0.54 -0.61 0.19
0.91
0.85 -0.10 -0.28
Zr
0.92
0.96 0.13 0.05
Ag
0.99
0.98 0.11 0.01
Cd
0.99
0.97 0.16 0.02
Sn
0.99
0.95 0.16 0.02
Sb
0.99
0.87 0.36 -0.02
Ti
0.99
0.52 0.23 0.22
Mn
0.88
0.88 -0.20 0.11
Fe
0.99
-0.59 0.43 0.38
Cl
0.88
0.88 0.24 0.18
Al
0.98
0.93 0.28 0.16
Si
0.99
0.63 -0.43 0.36
P
0.95
S
-0.18 -0.77 0.43
0.95
K
0.22 0.54 0.68
0.96
0.68 0.08 -0.51
Ca
0.89
0.83 -0.08 -0.03
V
0.87
0.53 0.10 -0.07
Cr
0.78
0.67 -0.49 0.27
Ni
0.90
0.47 -0.02 0.04
Pb
0.79
Eigenvalue
12.09 2.94 1.60
Variability (%) 54.94 13.36 7.28
Cumulative % 54.94 68.30 75.57
NB:Values in bold correspond for each variable tothe factor for which the squared cosine is the largest

Fig. 7. Spectral depth versus width of the water
absorption band centered at 1415 and 1915 nm.

(a)

(b)

Fig. 8. Soil salinity versus a) width and b) depth of
the water absorption band centered at 1415 and 1915
nm.

Fig. 9. Spatial distribution of variables in the space
defined by F1 versus F2 of the factor loadings.
Cluster Analysis

This clustering of variables associated with F1
signifies that contamination and salinization is the
major process controlling the soil chemicalvariability and connotes salinity enhancement
arising most likely from mineral dissolution. The
second factor explained 13.36% of the total varianceis found to be strongly negatively loaded with Zinc
Zn (-0.61) and sulfur S (-0.77) and positively loadedwith pH (0.77). Spatial distribution of the variablesin the spaces defined by F1 and F2 confirms thegrouping of factors affecting the variability (Fig. 9).

The results of the Cluster analysis recognized
three distinctive soil chemical patterns; their spatial
distribution is consistent with the geology, and theurban and agricultural practices. The spatial
distribution (Fig. 10) and the descriptive statistics(Table 3) of the three detected classes signify thespatial variability of the soil chemistry among theclasses. The first class (14 observations) exhibitednon saline soils (<2 dS m−1) to slightly saline (2–4
dS m−1) that dominated in the northern zone. The
547

SEE-Mie, Japan, Nov. 19-21, 2015

southern zone included the second (6 observations)and third (13 observations) classes which exhibitedsaline to highly saline soils (> 4 dS m−1). The
southern zone is dominated by intensive
evaporation/evapotranspiration, unmanaged sewage
trenching, extensive land use changes and hence
prevailing salinization processes.

Fig. 10. Map showing the soil chemistry patterns of
the Dakhla oasis.
Table 3: Statistics of the three classes detected from the k-means clustering analysis.

Mini.

Class 1 (n=14)
Max.
Mean

St. dev. Mini.

Class 2 (n=6)
Max.
Mean

St. dev.

Mini.

Class 3 (n=13)
Max.
Mean

St. dev.

EC
0.5230 5.1200 2.1069 1.7095 30.3 53.9
40.38333 9.372602 10.4900 26.3000 18.2383 4.9648
pH
4.2100 8.3100 7.4379 1.0078 7.96
53.9
8.331667 0.405385 6.9900 8.8500 7.7908 0.5888
Zn
0.0028 0.0098 0.0050 0.0018 0.0018 0.0031 0.002467 0.000651 0.0017 0.0053 0.0033 0.0011
Zr
0.0089 0.0316 0.0221 0.0054 0.0014 0.0127 0.00705 0.004367 0.0085 0.0203 0.0142 0.0033
Ag
0.0136 0.0186 0.0169 0.0013 0.0071 0.0127 0.008825 0.001333 0.0089 0.0123 0.0107 0.0010
Cd
0.0183 0.0241 0.0216 0.0016 0.009 0.0135 0.011408 0.0019
0.0115 0.0170 0.0141 0.0016
Sn
0.0236 0.0323 0.0281 0.0028 0.0109 0.0184 0.01415 0.002983 0.0146 0.0212 0.0176 0.0018
Sb
0.0274 0.0346 0.0312 0.0023 0.0111 0.0193 0.0153
0.003477 0.0162 0.0226 0.0188 0.0019
Ti
0.1415 0.4706 0.3477 0.0978 0.0206 0.22695 0.119492 0.081143 0.1289 0.2902 0.1965 0.0499
Mn
0.0357 0.1961 0.0817 0.0437 0.0083 0.04325 0.02609 0.012705 0.0207 0.1516 0.0470 0.0410
Fe
1.4737 5.2433 3.2623 1.0073 0.0505 1.9626 1.009867 0.791317 0.8480 2.6668 1.7717 0.6098
Cl
9.0400 15.6500 11.9650 2.9681 34.49 52.03
42.80167 6.485117 24.6100 47.1500 34.0642 6.8658
Al
1.8200 5.4400 4.0079 1.0371 0.1595 1.2521 0.79088 0.425039 0.6208 1.9153 1.2505 0.4524
Si
9.4400 22.1300 17.7757 4.3708 0.2225 4.6282 2.51535 1.689343 2.7683 7.0500 4.8400 1.3576
P
0.0383 0.1382 0.0651 0.0277 0.013 0.014
0.01350.000707 0.0062 0.0389 0.0171 0.0090
S
0.0511 2.6900 0.4456 0.6606 0.1306 1.3625 0.865633 0.518203 0.0498 0.8694 0.4028 0.3092
K
0.5281 2.6458 1.6117 0.7155 1.1317 2.3386 1.6595
0.392494 0.3573 1.5243 0.9275 0.3818
Ca
2.2655 4.6537 3.5070 0.7541 0.3831 2.4781 1.4607
0.836451 1.7314 4.1569 2.7961 0.7426
V
0.0204 0.0400 0.0319 0.0051 0.0068 0.0219 0.0154
0.00551 0.0143 0.0314 0.0204 0.0058
Cr
0.0092 0.0192 0.0130 0.0032 0.0049 0.0123 0.00879 0.003229 0.0069 0.0169 0.0112 0.0029
Ni
0.0032 0.0105 0.0048 0.0018 0.0012 0.0026 0.00198 0.000545 0.0015 0.0063 0.0028 0.0013
Pb
0.0005 0.0013 0.0008 0.0002 0.0003 0.00045 0.000375 0.000106 0.0004 0.0008 0.0006 0.0001
NB: Values in bold correspond for the largest mean of each variable among the clusters.
with OH features of water. As the salinity levels
increase, the absorption features become deeper,
broader, and more asymmetrical. This suggests anincrease in the soil moisture content. This
relationship is confirmed from the parameters (depth
and width) of the absorption band centered at 1415
and 1915 nm and the soil EC. The best coefficient ofdetermination of the soil salinity can be achieved for
depth (R2 = 0.57 & 0.52) and for width (R2 = 0.70
& 0.56) at 1415 and 1915 wavelengths.
Two main factors accounted for 75.57% of thedata variance governed the variability of the soils.

CONCLUSIONS
Physical and chemical properties of soils play amajor role in the evaluation of different geochemicalsignature, soil quality, discrimination of land use
type, soil provenance and soil degradation. Thirty
three topsoil samples (0–20cm) were collected in the
study area. The EC ranged from 0.5 to 53.9 dSm−1;
with an average of 15.2 dS/m indicating highly saltaffected soils. Reflectance of the studied soil
samples show two deep absorption features at 1415
nm and 1915 nm, which were strongly associated548

SEE-Mie, Japan, Nov. 19-21, 2015

The first factor accounted for 54.94% of the variancestrongly negatively loaded with EC (-0.88) and Cl (0.59), and positively loaded with Sb (0.95), Sn(0.97), Cd (0.98), Ag (0.96), Si (0.93), Ti (0.87), Al(0.88), Zr (0.85), Fe (0.88), Mn (0.52), Ca (0.68), P(0.63), V (0.83), Cr (0.53), Ni (0.67) and Pb (0.47).
The second factor explained 13.36% of the total
variance is found to be strongly negatively loadedwith Zinc Zn (-0.61) and sulfur S (-0.77) andpositively loaded with pH (0.77). Results clarified
soil quality degradation due to salinization andcontamination consequently resulted from thetraditional irrigation practices (Flooding irrigation
system) in Dakhla oasis which are not quite suitable
due to the arid climate.
Cluster analysis recognized three distinctive soil
chemical patterns; their spatial distribution isconsistent with the geology, and the urban andagricultural practices. The clustering techniqueprovides a context for better and easier decision
making by managers with guidelines for optimal soil
resource planning activities. The results of thisresearch could help to prioritize areas where futuresustainable development plans should be focused byaltering the agricultural and irrigation management
practices.

Egypt“ J. of Journal of Geocarto International,
Vol.30 (2), 2015, pp. 1-26.
[9] Masoud AA,“Predicting salt abundance inslightly saline soils from Landsat ETM+
imagery using Spectral Mixture Analysis andsoil spectrometry”.Geoderma Vol.217-218,
2014, pp.45–56.
[10] Mills AJ, Fey MV, Grongroft A, Petersen A,
Medinski TV, “Unravelling the effects of soil
properties on water infiltration: segmented
quantile regression on a large data set from arid
south-west Africa”. Aust. J. Soil Res. Vol.44,
2006, pp.783–797.
[11] Nawar S, Buddenbaum H, Hill J, Kozak J,“Modeling and Mapping of Soil Salinity with
Reflectance Spectroscopy and Landsat Data
Using Two Quantitative Methods (PLSR and
MARS) ”. Rem Sens. Vol.6, 2014, pp. 1081310834.
[12] Qadir M, Ghafoor A, Murtaza G, “Amelioration
strategies for saline soils”: a review. Land
Degrad. Dev. Vol.11, 2000, pp.501–521.
[13] Russeger J,“Kreide und Sandstein” Einfluss on
Granit antfletzteren, Neues Jahrb. Mineralogi
ABd., 1837, pp. 665-669.
[14] UNEP(UnitedNations
Environment
Programme),“World Atlas of Desertification”
2ED. UNEP, 1997, London.
[15] UNESCO. “Map of the World Distribution of
Arid Regions”. MAB Technical Note 7, 1979.
[16] Weatherill G, Burton PW, “Delineation ofshallow seismic source zones using K-meanscluster analysis, with application to the Aegean
region”. Geophys. J. Int. Vol.176 (2), 2008,
pp.565–588.

REFERENCES[1] Bowers S, Hanks RJ, “Reflectance of radiantenergy from soils”. Soil Sci. Vol.100, 1965,
pp.130–138.
[2] Burrough PA, McDonnell RA. “Principles ofGeographical Information Systems”. 1998,
Oxford University Press, Oxford.
[3] Chhabra R. “Soil salinity and water quality”.
Balkema Pub., 1996, VT, USA.
[4] Conoco, “Geologic Map of Egypt. Egyptian
General Authority for Petroleum (UNESCO
joint map project) ”, 20 sheets, scale 1:500 000,
1987,Cairo, Egypt.
[5] Ebraheem MA, Riad S, Wycisk P and Sefelnasr
AM. “A local-scale groundwater flow model forgroundwater resources management in Dakhla
Oasis, SW Egypt”. J. of Hydrogeology. Vol.12,
2004, pp.714–722.
[6] Fovell RG, “Consensus clustering of US
temperature and precipitation data”. J. Clim.
Vol.10 (6), 1997, pp.1405–1427.
[7] GhoubachiS
Y,“Hydrogeologicalcharacteristics of the Nubia sandstone aquifer
system in Dakhla depression, Western Desert
Egypt” M.Sc Thesis, Faculty of Science , Ain
Shams Univ., 2001, p260
[8] Hereher ME, Ismael H.“The application of
remote sensing data to diagnose soil degradationin the Dakhla depression - Western Desert,549

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

NUMERICAL ANALYSES ON OCCURRENCE OF THERMALCONVECTION IN A FLOWING SHALLOW GROUNDWATER
Junichiro Takeuchi, Makoto Kawabata, and Masayuki Fujihara
Graduate School of Agriculture, Kyoto University, Japan

ABSTRACT
Occurrence of thermal convection could change groundwater flows significantly, and the phenomena also
alter solute transport. Especially, in a case of a shallow groundwater, it might affect surface water quality since itinteracts surface waters such as lakes and marshes directly. Hence, it is important to grasp conditions that induce
thermal convection for groundwater management. In this study, the conditions for the onset and decay of thermal
convection in a flowing shallow groundwater are investigated with numerical experiments. Through the analyses
on the computed results by using the attractor reconstruction technique, three types of flow regime were found. It
was indicated that not only the Rayleigh number, which is a well-known influential factor, but also groundwaterflow rate affects flow regime.
Keywords: Density-Driven Flow, Rayleigh Number, Bifurcation, Fixed Point, Limit Cycle

coverage and the other is cold water intrusion. Then,
this study is aimed at identifying conditions foroccurrence of thermal convection under those twosituations through systematic numerical experiments
and subsequent analyses.

INTRODUCTION
In a field of geothermal dynamics, spatially andtemporally large scale phenomena in groundwatersuch as thermal convection and circulation rooted inmagmatic heat sources have been main target ofresearch interest. Typically, its objective domain
ranges from a few kilometers to tens of kilometers,
and the time scale ranges from hundreds tothousands of years e.g., [1], [2]. Recently, thermal
dynamics in a relatively shallow groundwater isactively investigated for the following reasons. One
reason is that temperature distribution in a shallow
ground-water could be an important clue forunderstanding subsurface structure and groundwater
flow, e.g., [3]. Another is that attention is increasing
to the geothermal heat pump technology as one ofalternatives for clean energy [4]. Generally, it isconsidered that thermal convection rarely happens ina shallow groundwater except for around heatsources such as hot springs. However, it is reported
that few weeks or months scale thermal convection
could occur under some conditions such as agroundwater under snow coverage and intrusion ofsnowmelt water into groundwater [5]. Tortuous
groundwater flows by density-driven flow couldchange solute and heat transports drastically, and so
it is essential to grasp the onset, growth, and decayof the density-driven flow for groundwater
management. When a certain physical condition
varies continuously, occurrence of such qualitativechanges in groundwater flow regime is considered asbifurcation in the nonlinear dynamics [6], andhydrodynamic stability has been one of the central
problems of fluid mechanics [7].
In this study, two situations which could set up
thermal convection are targeted: one is snow

MODEL DESCRIPTION
Governing equations
A vertical two dimensional coordinate system
where x and z are the horizontal and verticallyupward directions, respectively, are used in thisstudy. To reduce the number of parameters includedin the governing equations, a dimensionless version
is employed here. The major part of the derivation of
the dimensionless equations for groundwater flow
and thermal transport is based on Holzbecher (1998)[6] and Kawabata et al. (2015) [8].
The final version of the governing equation forgroundwater flow with variable water density is
described with the stream function under following
assumptions: incompressibility of water, rigidity of
the aquifer, absence of sources or sinks, and theBoussinesq approximation.
∂  µ r ∂Ψ  ∂  µ r ∂Ψ 
∂θ
(1)
− Ra

=

+
∂X  κ zr ∂X  ∂Z  κ xr ∂Z 
∂X

with

Ra =

γ Hgκ 0 ∆ρ
,
µ0 D
∂Ψ
∂Ψ 
,−
 ,
∂X 
 ∂Z


W)
(U ,=

T

θ=

550

(2)

T − Tmin,Tmax − Tmin

T

(3)
(4)

SEE-Mie, Japan, Nov. 19-21, 2015=
ρ (θ ) ρ (Tmin ) − ∆ρθ ,(5)µ (θ ) = µ (θ ) µ0 ,(6)

κ x = κ κ0 ,

(7)

r

r
x

Regarding the temperature, initial conditions inwhich some perturbation is added on the linearchange from θbtm to θtop are given as illustrated inFig. 2. When the Rayleigh number is smaller than
4π 2 , which is the critical number for the onset of
the Benard convection [5], relatively large
perturbation is given to confirm convergence to astable fixed point. On the other hand, when theRayleigh number is greater than or equal to 4π 2 ,relatively small perturbation is given to avoid
persistence to an unstable fixed point.

κ z = κ κ0rz(8)
where X and Z are the dimensionless coordinates
for x and z , respectively; Ψ is the dimensionlessstream function; Ra is the Rayleigh number; ρ is
the water density, which is assumed to be
represented as a proportional relationship with thedimensionless temperature θ ; µ is the viscosity ofwater; µ r is a relative value based on the
representative viscosity µ0 ; κ x and κ z are theintrinsic permeability in the x and z directions,
respectively; κ xr and κ zr are relative values based on
the representative intrinsic permeability κ 0 ; H isthe representative length, which is the height of an
objective domain in this study; g is the gravitational
acceleration; γ is the ratio between water and bulk
thermal capacities; D is the thermal diffusivity; U
and W are the dimensionless velocity in the X andZ directions, respectively; T is the temperature,
Tmax and Tmin are the maximum and minimum
temperatures in the domain.
The dimensionless version of the governing
equation for thermal transport is described asfollows.

Numerical model
The standard Galerkin finite element method is
employed for spatial discretization of the governing
equations (1) and (9), and the Crank-Nicolson
method is used for the time evolution of thegoverning equation (9), in which the lumped mass
matrix approximation is used. The validity of thenumerical model was confirmed [8] by the Benard
convection, and Henry and Elder problems, which
are standard benchmark problems for density-driven
flow [9]. When the flow velocity is large comparedwith the diffusivity, finer computational meshes areused so as to limit the maximum local Peclet numberin the domain to unit.

∂θ∂  ∂θ  ∂  ∂θ   ∂θ
∂θ 
=
+W

+

 − U (9)∂τ ∂X  ∂X  ∂Z  ∂Z   ∂X
∂Z 

NUMERICAL EXPERIMENTS
Computational settings

where τ is the dimensionless time.
In addition to the governing equations (1) and (9),auxiliary boundary and initial conditions for thedimensionless stream function and temperature areimposed. In this study, a rectangle domain in which
groundwater is flowing horizontally unless thermal
convections occur is considered. From a part of the
top Γ 2 of the domain, cold water intrudes into theaquifer as illustrated in Fig. 1. For both of the stream
function and temperature, the Dirichlet-typeboundary conditions are given to the top and bottomof the domain, and the Neumann-type boundary
condition in which ∂Ψ / ∂v =0 and ∂θ / ∂v =0 ,where ν is the outward normal unit vector to theboundary, are given to the sides of the domain (Fig.
1). The values of the stream function on the top areconstant Ψ top and Ψ top +Ψ ent on Γ 1 and Γ 3 ,respectively, except for the cold water intrudingzone Γ 2 , where the value changes linearly fromΨ top to Ψ top +Ψ ent . With respect to the temperature,θ ent is given to the water intruding zone Γ 2 , andθtop is given to the others Γ 1 and Γ 3 in the top. To
the bottom boundary Γ 0 , constant values of Ψ btm
and θbtm are given to the stream function andtemperature, respectively.
As an initial condition for the stream function, ahorizontal flow condition where the stream functionchanges linearly from Ψ btm to Ψ top is given.

To investigate the onset of the instability and thesubsequent
growth anddecay,
numerical
experiments are conducted under various physicalconditions regarding the Rayleigh number and thebasal groundwater flow velocity. Here, two cases are
considered: one is groundwater flow without cold
water intrusion, which is referred to as Case 1, andthe other is case with cold water intrusion, which is
4
H
3

4
H
3

16
H
3

1

2

3

Cold water
intrusion zone

H

4

Groundwater
outflow zone
4

8
H
3

H

0

8H
Fig. 1 Objective domain

551

SEE-Mie, Japan, Nov. 19-21, 2015referred to as Case 2. Case 1 is supposed to be snow
coverage on saturated ground, and Case 2 is
supposed to be waterlogging for soil puddling in
spring. The Rayleigh number Ra ranges from 0 to100, and Ψ top ranges from 0 to 20. As the
combination of these two variables varies,
simulations are conducted to investigate whether
some instabilities such as thermal convection andfluctuation occur or not. For Case 1, Ψ ent is set as 0;and θbtm , θtop , and θ ent are set as 1.0, 0.0, and 0.0,
respectively. For Case 2, Ψ ent is set as 2; and θbtm ,θtop , and θ ent are set as 1.0, 0.5, and 0.0, respectively.
The domain is assumed to be homogeneous andisotropic, and so the relative values κ xr and κ zr for
the intrinsic permeability are given as unit. The
relative value µ r for the viscosity is determinedfrom the following functional relationship totemperature in unit °K [5].
µ (T ) =10−3 {1 + 0.015512 ( T − 293.15 )}(10)outflow zone (Fig. 1). The number of time series
data used to obtain the variance is 400, which is
sufficiently-long data compared with the cycle
length obtained from our preliminary simulations.
When the solution converges to a steady state, thevariance decreases and asympotically becomes zero.
By contrast, if the solution fluctuates regularly or
irregularly, the variance does not converge to zero.
In addition to the moving variance, behaviors of
the stream function and temperature in a node are
analyzed with the attractor reconstruction, which isone of non-linear-data analysis techniques, and atime series data is transformed into a trajectory in a
2-D phase space [10]. In the attractor reconstruction,
the coordinates of each point in the trajectory is
generated from a time series data as( χ (τ ), χ (τ + τ D ) ) with the time delay τ D , whereχ (τ ) is a time series data of the stream function or
the temperature in the node. If a time series data
oscillates like a sinusoidal wave, the trajectory
becomes a circle when the time delay is given as aquarter of the cycle.

Analysis on computed solutions
To evaluate computed results quantitatively
whether the stream function and/or the temperature
in a certain point fluctuate or not, moving variance iscalculated on each node in the two sampling zones,
the cold water intrusion zone and the groundwater

Results
Firstly, the computed results for Case 1 are
discussed. The temperature distributions when552

SEE-Mie, Japan, Nov. 19-21, 2015

top = 16

1

1

D

)

1

( +

Ra = 30

1

0

0
0

1

0
0

1

0
0

1

1

1

0
0

1

1

0

1

0
1

1

1

( +

D

)

1

Ra = 40

top = 12

top = 8

top = 4

top = 0

1

0

0
1

0

0
1

1

0

0
1

1

0

0
1

1

D

( +

Ra = 50

)

0
1

0

0
0

1

0
0

1

0
0

1

0
0

1

0

1

: Initial point

Fig. 5 Trajectories of temperature in phase space in Case 1
top

=0

top

=8

top

= 16

Type 1

Type 2Type 31

top (-)

Temperature (-)

0

20

0
0

2
Time (-)

4

0

50

100

Ra (-)

Fig. 6 Temporal changes of temperature
in Case 1 ( Ra = 50 )
τ = 4 are shown in Fig. 3, and the corresponding
stream functions are shown in Fig. 4. The condition
where Ψ top = 0 corresponds to the one for the
Benard convection, and so thermal convection
occurs if the Rayleigh number is greater than 4π 2 ,40 and 50 in this case. From Fig. 4, it is found thatweak circulations occur even in the condition where
Ra = 30 and Ψ top = 0 . It is considered that theobtained result is in the middle of the convergence tothe steady state. When the horizontal groundwaterflow is given, the waves by thermal convection are
carried by the horizontal flow and new waves ariseat the upstream end continuously. It is found thatlarger Rayleigh number is required to keep thermal
convection as the basal groundwater flow ( Ψ top )increases. Figure 5 shows the trajectories oftemperature on the node where the moving varianceis maximum in the groundwater outflow zone undereach condition. Three types of trajectory are found:convergence to a point without a spiral e.g., in a caseof Ra = 50 and Ψ top = 0 ; convergence to a point

Fig. 7 Classification of computed conditions in Case 1

with a spiral, e.g., in a case of Ra = 50 andΨ top = 16 ; and asymptotic approach to a limit cyclewith a spiral, e.g., in a case of Ra = 50 and Ψ top = 8 .
Here these three flow regimes are referred to Type1,
Type 2, and Type 3, respectively. Figure 6 shows the
temporal change of temperatures of the above
typical three cases. The temporally fluctuating
graphs of Ψ top = 8 and Ψ top = 16 correspond to thespirals in Fig. 5. These qualitative transformations of
the trajectories imply bifurcations. In the case of
Ra = 30 , which is under the critical value 4π 2 , thestable fixed point in Ψ top = 0 transforms to a stable
spiral, when some non-zero value is given to Ψ top .
In the cases of Ra = 40 and 50, which are over thecritical value, the stable fixed point transforms to an
unstable spiral and a limit cycle is formed, when asmall non-zero value that does not exceed athreshold is given to Ψ top . If a value beyond thethreshold is given to Ψ top , the unstable spiraltransforms to a stable spiral and the limit cycle also
disappears. It is found that the threshold depends on
553

SEE-Mie, Japan, Nov. 19-21, 2015

the Rayleigh number. Figure 7 shows theclassification of each computed condition into thesethree types.

554

SEE-Mie, Japan, Nov. 19-21, 2015

top = 0

top = 8

top = 41

top = 121

top = 161

1

Ra = 40( + D)

1

0

0
0

0

1

1

0

0

1

0

1

1

1

0

1

0

1

1

1

Ra = 50( + D)

1

0
0

0

0

1

0

0

1

0

0

1

0

0

1

0

(a) Cold water intrusion zone
top = 0

top = 4

top = 81.0

top = 121.0

top = 161.0

1.0

Ra = 40( + D)

1.0

1.0

0.5
0.5
1.0

1.0

0.5
0.5
1.0

1.0

0.5
0.5
1.0

1.0

0.5
0.5
1.0

1.0

1.0

0.5
0.5

1.0

0.5
0.5

1.0

0.5
0.5

1.0

0.5
0.5

1.0

Ra = 50( + D)

0.5
0.5
1.0

0.5
0.5

(b) Groundwater outflow zone
Fig. 10 Trajectories of temperature in phase space in Case 2

Secondly, the obtained results of Case 2, whichis the case of the cold water intrusion into flowing
groundwater, are discussed in the same way with
Case 1. Figures 8 and 9 show the temperature andstream function distributions of typical patterns after
a sufficient time in Case 2. From these figures, twopatterns of flow regimes are found: steady and: Initial point

unsteady flow regimes. The steady ones are foundwhen the Rayleigh number is smaller than or equal
to 40, or when basal groundwater flow is large evenin higher Rayleigh number. Under such conditions,Fig. 10 indicates the trajectories converging to apoint without a spiral (Type 1) and with a spiral(Type 2). The unsteady flow regimes, in which
555

SEE-Mie, Japan, Nov. 19-21, 2015

Cold water intrusion zone

Groundwater outflow zone

rate is an important factor that determines flow
regime as well as the Rayleigh number.

1

Temperature (-)

Type 1

Type 2Type 3

top (-)

0

0

20

0

2
Time (-)

4

0

50

100

Ra (-)

Fig. 11 Temporal changes of temperature
in Case 2 ( Ra = 50 , top = 8 )Fig. 12 Classification of computed conditions in Case 2

REFERENCES[1] Yusa Y, “Numerical experiment of groundwater
motion under geothermal condition –Vying
between potential flow and thermal convective
flow-”, J. Geothemal Res. Society Japan, Vol. 5,
1983, pp. 23–38 (in Japanese).
[2] Travi Y, Pizard P, and Betton M, “Temperatures
and thermal gradients in the Senegalese
Maastrichtian aquifer: simulated test on theireffect on flow discharge”, J. Hydrology, Vol.
187, 1996, pp. 333-350.
[3] Uchida Y and Sakura Y, “Subsurface
temperature profiles in the Nobi Plain, central
Japan”, Bull. Geol. Surv. Japan, Vo1. 50，pp.
635-659 (in Japanese).
[4] Fujii H, Inatomi T, Itoi R, and Uchida Y,“Development of suitability maps for groundcoupled heat pump systems using groundwaterand heat transport models”, Geothermics, 36,
2007, pp. 459-472.
[5] Yoshimura Y, Takeuchi J, Buma N, andFujihara M, “Analysis of effects on
groundwaterflow
byinfiltration-watertemperature”, in Proc. JSIDRE, 2013, pp. 402403 (in Japanese).
[6] Holzbecher E, Modeling Density-Driven Flowin Porous Media, Springer, 1998, p. 286.
[7] Drazin PG and Reid WH, Hydrodynamic
Stability 2nd ed., Cambridge University Press,
2004, p. 605.
[8] Kawabata M, Takeuchi J, and Fujihara M,“Numericalanalysisofdensity-driven
fluctuation in groundwater caused by saltwater
intrusion”, in Proc. PAWEES-INWEPF2015, in
print.
[9] Ackerer PH, Younes A, and Mose R, “Modelingvariable desity flow and solute transport inporous medium: 1. Numerical model andverification”, Transport in Porous Media, Vol.
35, 1999, pp. 345-373.
[10] Strogatz SH, Nonlinear Dynamics and Chaos
2nd ed., Westview Press, 2015, p. 513.

waves are carried by the basal groundwater flow, arefound in the remaining conditions. In addition,different types of fluctuation are found in the cold
water intrusion zone and the groundwater outflow
zone as shown in Figs. 10 and 11. For instance, inthe cases of Ra = 50 and Ψ top = 8 the trajectory
approaches toward a single loop and traces it in thecold water intrusion zone (Fig. 10 (a)), while thetrajectory traces a double loop in the groundwater
outflow zone (Fig. 10 (b)). Figure 11 also shows thatthe temporal change in the cold water intrusion zone
is a periodic function which has a single peak in one
cycle, and that in the groundwater outflow zone is aperiodic function which has two peaks in one cycle.
The classification of the computed conditions isshown in Fig. 12. It is found that flow regimes
change from Type 3 to Type 2 as Ψ top increases inthe same way with Case 1.
CONCLUSION
In this study, conditions for onset and decay ofthermal convection induced by temperature
differences between the top and bottom of domain
and cold water intrusion from the ground surface ina shallow groundwater were investigated throughnumerical experiments. The computed results wereanalyzed with the attractor reconstruction, which
visualizes a time series data in a 2-D phase space asa trajectory. From the obtained trajectories, three
types of behavior were found: convergence to apoint without a spiral, convergence to a point with aspiral, and asymptotical approach toward a loop.
These correspond to a stable fixed point, a stable
spiral, and a limit cycle, respectively, and thetransformation from one state to another corresponds
to bifurcation when some parameter (condition)varies continuously. In this study, it is found thatflow regime changes from a stable spiral to a limit
cycle when the Rayleigh number increases, and thatit changes from a limit cycle to a stable spiral when
the basal groundwater flow rate increases. Fromthese results, it is indicated that groundwater flow556

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

UTILIZATION OF RICE STRAW BIOMASS IN THE PRODUCTION
OF BIODEGRABLE GEOTEXTILE
Rolando P. Javellonar1 and Victorino T. Taylan2
Faculty, College of Engineering and Technology, Romblon State University
Odiongan, Romblon, Philippines
2
Faculty, College of Engineering, Central Luzon State University
Science City of Munoz, Nueva Ecija, Philippines

1

ABSTRACTThe Philippines produces about 18.52 billion kilograms of rice straw annually. Of this amount, about 95% or
17.1 billion kg is left and burned in the field which emits greenhouse gases that contributes to global warming
and climate change. Rice straw can be recycled and converted into geotextile like rice straw mat and net toenhance its environmental importance and economic potential. Rice straw mat was prepared using a binder
while rice straw net was prepared by making a straw twine and then into rope by spinning two twines. Finally,rice straw rope was weaved to form a net. Physical properties of the developed rice straw geotextile revealed
that the developed rice straw mat had higher water absorption capacity (328.5%) and percentage swelling(17.5%) compared to rice straw net with only 167.3% and 1.8%, respectively. On the contrary, rice straw net
recorded higher tensile strength of 2.0 kN/sq. cm when wet and 1.95 kN/sq. cm when dry as compared to ricestraw mat with 1.08 kN/sq. cm when wet and 1.02 kN/sq. cm when dry. The observed water absorption capacityof rice straw mat and rice straw net as well as tensile strength of rice straw net exceeded the standard genericspecification values set by the Department of Public Works and Highways for geotextile as erosion control
material. Hence, both the developed rice straw geotextiles can be utilized as ground cover for soil erosion
mitigation or an alternate erosion control material in areas where coco coir net is not available.
Keywords: Rice Straw, Rice Straw Mat, Rice Straw Net, Biomass, Geotextile

straw geotextiles are the most effective geotextiles in
reducing relative runoff and soil loss rate [4].
Therefore, considering its abundance, being
inexpensive and biodegrable agro-waste resource,
rice straw is most appropriate material in the
production of geotextile like rice straw mat (RSM)
and rice straw net (RSN). With the conversion ofrice straw into geotextile products, it can not only beutilized as ground cover for mitigation of soil
erosion but likewise, environmental degradation
brought about by pollution and climate change canbe minimized if not totally eliminated.
Rice straw mat and net are cost effective,
environmentally and eco-friendly material as groundcover for erosion control. When used as groundcover, it will not only stabilize the top soil but also
helps in the establishment of vegetation for surface
cover and improves soil physical structure andcondition when decomposed into organic matter.
Furthermore, when used as mulch for upland crops,
RSM is perceived to have a better soil moistureretention capability as compared to raw rice straw asmulching material because RSM is more dense andcompact. Most importantly, the development of thistechnology will open a new opportunity to small
farmers as they can sell their rice straw to augment
their income or process into geotextile as means of

INTRODUCTION
In the Philippines, about 18.52 billion kilogramsof rice straw is generated annually [1]. Of thisamount, about 95% or 17.1 billion kg rice straw isleft and burned in the field [2] which emits
greenhouse gases (GHG) that contributes to global
warming and eventually, climate change. The
remaining portion is either utilized as feed forlivestock, mulching material, substrate for biofertilizer production, bedding for mushroom culture
and others. Most farmers consider rice straw as
nuisance in the field because it does not rot easilyrot, thus causes obstruction during farm operations.
It then became a traditional practice of the farmers toburn their rice straw after harvest as an easy meansof disposal. However, burning of rice straws emit
greenhouse gases (GHG) and pollutes theatmosphere [3].
Rice straw is an agro-waste material which whenrecycled and utilized in the production of rice straw
geotextile (RSGT) will enhance its environmental
importance and economic potential. Moreover,
RSGT can be utilized as ground cover for slope
stabilization and erosion control. Just like the cococoir and other biomass, rice straw can be developed
into geotextile mat and net for erosion control. Rice
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SEE-Mie, Japan, Nov. 19-21, 2015

livelihood project to alleviate unemployment in the
countryside.
Additionally, the utilization of rice straw in the
production of geotextile mat and net will likewise
pave the way for the development and introductionof new technology out of rice farming by-product. It
is in this context that this study was undertaken to
demonstrate the potential of rice straw biomass asmaterial in the production of biodegrable geotextile.

twining, a straw rope was likewise made bymanually spinning two twines together. The size ofstraw rope produced approximated the coco coir net(CCN) which has an average thickness of 7.0 mm.
After the roping process, the straw rope was weaved
into net following the conventional open weave
pattern. The approximate mesh size of the developed
rice straw net was 2.0 x 2.0 cm. In a related study
on coco coir net, mesh opening of 2.0 x 2.0 cm wasfound to be the most effective in minimizing top soil
erosion [7].

Objectives of the Study
Generally, the study aimed to utilize rice straw
biomass in the production of biodegrable geotextile
as slope protection for soil erosion mitigation.
Specifically, it attempted to: 1) develop RSM and
RSN geotextile as slope protection for soil erosion
mitigation; 2) Determine the technical specifications
and physical properties of the developed RSM and
RSN, and; 3) Determine the life span of RSM and
RSN geotextiles.

Physical Property and Technical Specification
After the development of RSM and RSN
geotextiles, samples were characterized and thensubjected to laboratory testing to determine its
physical properties and technical specifications. The
physical property tests undertaken were: swelling
percentage (Sp), water absorption (Wa) and tensile
strength (Ts). Tensile strength is defined as a stressmeasured as force per unit area or the maximum
load that a material can support without fracture
when being stretched, divided by the original crosssectional area of the material; Sp describes theamount of increase or degree of expansion on thesize of the material when wet while Wa relates to thecapability of the geotextile to absorb water. Of thethree properties, Wa plays a vital role in the selectionof geotextile. Geotextile with higher Wa is more
preferred as erosion control material since it canabsorb and hold more water.
The formula for the determination of Ts and Waof both the RSM and RSN were adopted from themethods set by the Philippine Standard Association(PhilSA) of 1980. On the other hand, measurementof thickness of rice straw mat and rice straw net wasundertaken before and after soaking in tap water atroom temperature for 24 hours using a caliper.
Measurement of each property was done in three
trials.
Swelling Percentage (Sp) was computed using
Eq. (1):

MATERIALS AND METHODS
Preparation of Rice Straw Mat
Rice straw mat was prepared using anapproximate mass of 600g of dried rice straw/sq m.
This quantity was based on the amount of rice straw
as mulching material for garlic which is about 6
tons/ha or equivalent to a thickness of 5-12
centimeters of straw mulch [5]. Rice straw mat was
prepared manually using centrifuged rubber latex asbinder. Rubber latex is a protective fluid contained
beneath the bark of the Hevea brasilienesis rubbertree. It is a cloudy white liquid similar in appearance
to cow milk.
Rice straw was spreaded evenly in a clean
concrete pavement or board. Spreading of rice straw
was done so that individual grid of straw interlaid
with each other at random direction. It was reported
that random fiber architecture was the most effective
in reducing sediment concentrations, sedimentyields, and frequency of rill initiation [6]. While
spreading the rice straw, rubber latex as binder was
sprayed evenly at the rate of 750 ml/sq. m. After
which, the rice straw was immediately covered withboard and densified by applying a pressure
approximately 100 kg/m2 atop the board for 12-24
hours. Densification was done so that individual ricestraw will be bound properly and achieves an evenflat surface.

S p  [(df  di) / di]100(1)where: Sp = swelling percentage, %di = initial thickness, mm
df = final thickness, mm
Water absorption (Wa) was calculated using Eq.
(2):

Preparation of Rice Straw Net

Wa  [( wf  wi) / wi]100

In the preparation of rice straw net, straw twine
was first made by manually spinning two or morestraws together. Straw was continuously added untila twine of desired length was produced. After

where: Wa = water absorption, %wi = initial weight, g
wf = final weight, g

558

(2)

SEE-Mie, Japan, Nov. 19-21, 2015

The
physicalproperties andtechnical
specifications of the developed RSGT werecompared to the commercial coco-coir geotextile
based on the criteria for geotextile as erosion control
material set by the Department of Public Works andHighways (DPWH).

The technical specification of the rice straw mat
and net is presented in Table 1. The developed RSM
has a thickness (t) of 4.1 mm while RSN has rope
diameter (dr) and twine diameter (dt) of 7.2 and 3.6mm, respectively. The rope thickness or diameter of
RSN was based on the average thickness of thecommercial CCN while RSM was based primarilyon the recommended amount of rice straw (6tons/ha) as mulching material.
The developed RSN had higher mass (m) anddensity (d) of 1,078 g/sq. m and 0.30 g/cu cm,
respectively as compared to RSM with mass of only
641.6 g/sq. m and a density of 0.16 g/cu cm. The
higher mass and density of RSN were attributed to
its thickness and the manner the rice straw rope wasprepared wherein a pair of twine was tightly twisted
to form a rope. When twisted, it becomes more
dense, and heavier.
The mesh opening of RSN was based on thecommercially available CCN. Though it might not
be as effective as the RSM in intercepting anddissipating the kinetic energy of falling rain becauseof the presence of openings, its design is perceived
to be more appropriate as ground cover for soil
erosion mitigation in combination with hydroseeding. The mesh openings in between rope serveas spaces for weeds to grow. Further, when laid on
the ground as surface cover, these openings in
between ropes will act as miniature dams orreservoirs to collect rainwater and trap sediment. As
a result, the occurrence of surface runoff and theeventual transport of soil particles downhill will begreatly delayed and reduced.

Life Span of the Rice Straw Geotextile
Rice straw mat and net were subjected into actual
field condition to determine its life span as groundcover. Life span refers to the life expectancy orlength of serviceable life of the RSGT when exposedin adverse weather condition as surface cover.
Before the onset of rainy season, samples of RSM
and RSN geotextiles were laid out on the side slopeof a mountain as ground cover and allowed toundergo the natural process of degradation.
Life span was determined by means of monthly
monitoring starting from the first month of
installation and onward. Ocular inspection wasundertaken to assess qualitatively the physicalappearance and condition of the RSM and RSN.
RESULTS AND DISCUSSION
Two types of rice straw geotextile weredeveloped, namely: RSM and RSN (Figs. 1a and1b). Rice straw mat is a nonwoven mat. It was
prepared using rubber latex as binder. On the other
hand, RSN was prepared following the three steps:
twining, roping and weaving or netting.

Table 1 Technical specifications of rice straw
geotextile
Itema

RSGT**CCN Geotextile*
RSM
RSN
400
700
900
t
4.1
7.2
10
10
10
dr
n/a
7.2
5
5
5
dt
n/a
3.6
n/d
n/d
n/d
m
642.6 1,078
400
700
900
d
0.16
0.30
0.11 0.19 0.25
Ms
n/a
2x2
2x2 2x2 2x2
t- Thickness, mm
dr - Diameter of rope, mm
dt-- Diameter of twine, mm
m- Mass, g/sq m
d - Density, g/cu cm
Ms - Mesh size, cm x cm
* - Adopted from DPWH Standard GenericSpecificationfor
Coconet
Bio-Engineering
Solutions, Item 622** - average of three trials
n/a - not applicablen/d - no datab

Fig. 1 The developed rice straw geotextile, a) RSM
and, b) RSN.
Technical Specifications of Rice Straw Mat andRice Straw Net

559

SEE-Mie, Japan, Nov. 19-21, 2015

generic specification values set by DPWH for
coconet geotextile (Table 2).
The observed increase in the breaking resistanceof the rice straw geotextile when wet could be due tothe effect of moisture that makes the rice straw
fibers more firm, strong and resilient when wet.
Moreover, the variation in strength between RSM
and RSN was due mainly on the method of
preparation.
Although tensile strength has less bearing in
influencing erosional effectiveness, this property ofgeotextile however is very important on the aspectof serviceable life. Life span depends largely on the
durability and strength of the material. When thegeotextile is durable and strong, then it follows thatit can withstand adverse weather condition and canstay longer. Other considerations for tensile strengthis whether the material is strong enough so as not tobreak during the installation process and can be usedin very high flow velocity conditions.

Physical Properties of Rice Straw Mat and Rice
Straw Net
Table 2 shows the physical properties of the
RSM and RSN geotextiles. In terms of water
absorption (Wa) capacity, it was noted that RSM
absorbed more water at 328.5% of its dry weight
while RSN absorbed lesser amount at 167.3% of its
dry weight. The relatively higher water absorption
capacity of RSM could be attributed to its lower
density.
Less dense material tends to absorb more water
because it has more void spaces to accommodate
greater amount of water. Since RSN is denser, it haslesser void spaces, hence, absorbed lesser amount ofwater. The capability of geotextile to absorb morewater is an important factor to be considered in theselection of erosion control material as groundcover. When water absorption capacity of geotextile
is high, more water will be held. When more water
is held by a certain geotextile, it greatly helps indelaying the occurrence of surface runoff.
As to swelling percentage (Sp), RSM registered ahigher swelling of 17.5% as compared to RSN with
only 1.8%. Percent swelling is a property associatedwith water absorption such that when a certain
geotextile has a higher water absorption capacity
then it follows that its swelling percentage is also
higher and vice versa. As explained earlier, thelesser swelling percentage on RSN was attributed to
the nature of preparation of rice straw rope.

Percentage of Ground CoverTable 3 presents the percentage of ground coverof the rice straw and coco coir geotextiles. It can benoted that RSM had the highest percentage ofground cover (99.16%) followed by RSN (51.8%)
and the least was coco coir net (48.9%).
The higher percentage of ground cover for the
RSM was due mainly to the method of preparation
wherein a mass of individual straw was randomly
arranged to form a bonded-rice straw matrix mat
with almost no opening. On the other hand, thelower percentage of ground cover for the RSN and
CCN was attributed to its physical characteristics as
net with a designed mess opening of 2 cm x 2 cm.

Table 2 Physical properties of rice straw geotextile
Item

RSGT

CCN
GEOTEXTILE*
400
700
900
163
146
132
n/d
n/d
n/d

RSM
RSN
Wa 328.5 167.3
Sp
17.5
1.8
Ts
dry
1.02
1.95
1.6
1.6
1.6
wet
1.08
2.0
n/d
n/d
n/d
Wa - Water absorption, %Sp – Swelling percentage, %Ts - Tensile strength, kN/cm2* - Data adopted from DPWH Standard GenericSpecificationfor
Coconet
Bio-Engineering
Solutions, Item 622. Note the CCN data are thestandards set by DPWH
- no data

Table 3 Percentage of ground cover of rice straw
mat, rice straw net and coco coir net
Area of Area of
the Soil Covered
Test
surface
Box
sq cm
sq cm
RSM
800
793.3
RSN
800
414.4
CCN
800
391.2
* - average of three trials
Geotextile

Area
without
Cover
sq cm
6.7
385.6
408.8

CoveredSurface*
%
99.1
51.8
48.9

The percentage of ground cover of any geotextile
plays a vital role in minimizing soil losses. The
greater the percentage of ground covers ofgeotextiles, the lesser the impact of falling rain to
the soil. With greater coverage, it becomes more
effective in intercepting and dissipating the kinetic
energy of rain drops which is responsible indetaching and splashing away soil particles. In a
related study on loosely woven rice straw mat, it was

Furthermore, it was observed that both rice straw
geotextiles exhibited higher tensile strength (Ts)when wet. Rice straw mat had tensile strength of
1.08 kN/cm2 when wet while 2.0 kN/cm2 for RSN.
When dry, RSM and RSN had tensile strength of
1.02 and 1.95 kN/cm2, respectively. It can be notedthat water absorption of RSM and RSN as well as
tensile strength of RSN exceeded the standard
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SEE-Mie, Japan, Nov. 19-21, 2015

observed that once runoff occurred, even with goodmulching, a certain degree of suspended solids was
likely to remain because small particulates insuspension were neither filtered nor deposited easily[8].

under actual field condition should be undertakenusing RSM and RSN as ground cover for soil
erosion control vis-à-vis other erosion control
materials being used by DPWH.
ACKNOWLEDGEMENTLife Span of Rice Straw Mat and Net
The financial and technical support from the
Department of Science and Technology (DOST)
through the Engineering Research and Development
for Technology (ERDT) Scholarship Program are
gratefully acknowledged.

Based on the actual field condition, it wasobserved that RSM and RSN can last up to 3 and 4
months, respectively. After these periods, RSM and
RSN started to deteriorate. It should be noted
however that by the time RSGTs deteriorated,surface vegetation is already established.
The relatively short life span of rice straw
geotextile could be due to its very low lignin content
which ranges only from 3-4.4% [9]. Lignin is acomplex chemical compound most commonly foundin plant tissues making them rigid and woody and isbelieved to be responsible in slowing down
decomposition process. Nevertheless, for immediate
surface protection, this seemingly shorter life spanof RSM and RSN is just enough to serve its purpose
as ground cover to prevent erosion especially when
they are utilized in combination with hydro-seeding.
It was reported that short-term erosion control isfrequently achieved by using erosion control
blankets, spray-emulsion products, and straw
mulches while long-term control is best done bywell-established vegetation [10].
In some aspect, the early degradation of RSGT
can be advantageous. When decomposed andconverted into organic fertilizer, it will serve as plant
nutrient to boost the growth and development of
surface vegetation.

REFERENCES[1] Elauria JC, Quejas RET, Cabrera MI, Liganor
RV, Bhattacharya SC and Predicala NIJ. 1999.
Biomass as energy source in the Philippines.
RERIC International Energy Journal: Vol. 21,
No. 1, June 1999.
[2] Gadde B, Menke C, and Wassmann R. 2009.
Rice straw as a renewable energy source inIndia, Thailand, and the Philippines: Overall
potential and limitations for energy contribution
and greenhouse gas mitigation. Retrieved
August 8, 2011 from http://wenku.baidu.
com/view/35743feb998fcc22bcd10d52.html.
[3] Magcale-Macandog DB. 2007. Methane
emission from major rice ecosystem in Asia.
Paper presented during the 4th Workshop on
GHG Inventory in Asia (WGIA), Jakarta
Indonesia, February 13-14, 2007.
[4] Smets T. 2009. Effectiveness of biologicalgeotextiles in reducing runoff and soil loss
under different environmental conditions using
laboratory and field plot data. GeophysicalResearch Abstracts,Vol. 11, EGU2009-1564-1,
2009. EGU General Assembly 2009.
[5] http://www.da.gov.ph/tips/garlic.html. Garlic.
Retrieved, May 18, 2011.
[6] Sutherland RA and Ziegler AD. 2007.
Effectiveness of coir-based rolled erosion
control systems in reducing sediment transport
from hill slopes. Geomorphology Laboratory,
Department of Geography, University of
Hawaii,2424 Maile Way, Honolulu, HI 968222223, USA.
[7] Angara EV, Escueta SC, Rotaquio EL, Barrogo
LH, Gallego RJ, Resueňo MA, Agbayani EA,Teňoso KD and Sagabain KJDL. 2010. Field
testing of bio-engineering techniques using geotextile and bio-logs to mitigate soil slope
erosion in Maria Aurora National Highway.
ASCOT Research International Journal,
Volume 3, December 2010. Aurora State
College of Technology, Baler Aurora 3200
Philippines.

CONCLUSION
Rice straw is a potential biomass material thatcan be utilized in the production of geotextile
products like rice straw mat and rice straw net
because it is abundant and readily available,
biodegrable and environment-friendly. When
converted into geotextile, rice straw will enhance its
economic value and environmental importance.
Rice straw mat has higher water absorption
capacity of 328.5% and swelling thickness of 17.5%
than rice straw net with absorption capacity of
167.3% and swelling thickness of 1.8%. As totensile strength RSN has higher with 2.0 kN/cm2
when wet and 1.95 kN/cm2 when dry as compared to
RSM with 1.08 kN/cm2 and 1.02 kN/cm2 when wet
and dry, respectively.
Based on the observed physical properties andcharacteristics, both RSM and RSN are highly
recommended as surface cover for soil erosion
mitigation. In addition, it exceeded the standard
generic specification values set by DPWH for
coconet geotextile. However, a follow-up study561

SEE-Mie, Japan, Nov. 19-21, 2015[8] Won CH, Choi YH, Shin MH, Lim KJ, Choi,
JD. Effects of rice straw mats on runoff andsediment discharge in a laboratory rainfall
simulation. Retrieved, August 10, 2012 fromhttp://dx.doi.org/10.1016/j.geoderma.2012.06.0
17.
[9] http://www.carrb.com/94rpt/ RiceStraw.htm).

[10] Benik SR, Wilson BN, Biesboer DD, Hansen
B and Stenlund D. 2003. Performance oferosion control products on a highway
embankment. Transaction of the ASAE,
46(4): 1113-1119.

562

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Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

THE SEVERAL TYPES OF INVOLUNTARY BODY MOVEMENT
CAUSED BY THE ELECTROMAGNETIC WAVESEMITTED BY CELL PHONES
Yoshiro Fujii
Shin Kobe Dental Clinic, Hyogo, Japan

ABSTRACT
Cell phone use has increased considerably in recent years. These devices have facilitated communication on a
global scale. However, there have been a number of reports of health problems related to the electromagnetic
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). The
subjects’ abnormal involuntary body movements, caused by electromagnetic waves emitted by cell phones are
sometimes observed. Such movements can lead to a severe accident, e.g. falling from a platform. The
movements are classified into several types, i.e. the subject’s leaning away from the cell phones, subject’s
leaning close to them, subject’s spine bending and subject’s body moving right and left, or back and forth. The
underlying mechanism remains unknown but decreased blood flow within the brain has been proposed. The
author has often reported prevention of such symptoms using dental techniques, e.g. replacing the dental
materials which attract harmful electromagnetic waves with safer materials. However, the reasons why thesetreatments were so successful remain unknown. The mechanism behind such involuntary movement should beresearched immediately, and the regulation of using electronic devices should be considered to prevent severe
issues e.g. falling from train platforms onto the rails.
Keywords: Cell phone, Personal computer, Electromagnetic waves, Electromagnetic hypersensitivity,
Involuntary body movement
INTRODUCTIONMETHOD
With the development of a technology-basedsociety, the opportunity to use electronic devices,such as cell phones and personal computers, has
become increasingly widespread and has enabledcommunication on a global scale [1, 2]. However,there have been many reports pertaining to healthproblems resulting from the electromagnetic waves
emitted by such electronic devices [3-10].
Physically unpleasant symptoms including
headache, fatigue, tinnitus, dizziness, memory loss,
irregular heartbeat, and whole-body skin lesions
caused by exposure to electromagnetic waves arerecognized as electromagnetic hypersensitivity(EHS) [11-15]. The author reported that scoliosis
could develop by exposure to electromagnetic
waves [16]. The author also reported how asubject’s involuntary movements, caused byelectromagnetic waves, were treated using a gold
alloy dental inlay [17]. In current report, the author
has tried to classify the subjects’ abnormal
involuntary body movements, caused byelectromagnetic waves emitted by an active cell
phone.

One hundred subjects (20 male and 80 female)
were seen in the author’s dental clinic. The
subjects were irradiated by electromagnetic waves
emitted by a cell phone which the subject had. If
the subject shows an involuntary body movement,
it will be classified.

Result15 subjects out of 100 showed an involuntarybody movement. They could be classified into 5
different types (Type 1~5). Type 1 defined as the
subject’s leaning away from the electronic devices(Figure 1), Type 2 as subject’s leaning close tothem (Fig.2), Type 3 as subject’s spine bending(Fig.3), and Type 4 as subject’s body moving rightand left, or back and forth (Fig. 4,5).
10 subjects (66.7%) showed Type 1, one
subject showed Type 2 (6.7%), one subject showedType 3 (6.7%), and two subjects showed Type 4(13.3%). One subject (6.7%) showed irregularmovement, for example, sometimes showed Type
1 but sometimes Type 2, which was defined as
Type 5. The difference between the sexes wasn't
clear.
563

SEE-Mie, Japan, Nov. 19-21, 2015of the subject.

Fig.4aFig.1 Type 1 defined as the subject’s leaning awayfrom the cell phone.

Fig.4b
Fig.2 Type 2 as subject’s leaning close to the cell
phone.

Fig.4a, b Type 4 as subject’s body moving rightand left, or forth and back

Discussion
15% of subjects showed an involuntary
movement. It seemed to be one of the symptoms of
EHS.
The underlying mechanism remains
unknown so further studies are required but
decreased blood flow within the brain has been
proposed [4]. The current result shows that 15
people out of 100 (15.0%) showed an involuntary
movement. The group which showed involuntarybody movement was able to be classified to Type 1(6.7%), Type 2 (6.7%), Type 3 (6.7%), Type 4(13.3%), and Type 5 (6.7%) respectively. However,confidence over such ratios are debatable because
the cell phones which were used in this experimentFig.3 Type 3 as subject’s spine bending (The cell
phone is not shown in this picture. There is anactive cell phone about 2m away from the left side564

SEE-Mie, Japan, Nov. 19-21, 2015

were varied, so electromagnetic waves emitted by
the cell phones were also varied. It's different in
the strength of the radio wave and the quality
depending on the models of the cell phones.
Moreover, the environment of electromagnetic
waves also changes based on the place where theexperiment is performed and the position of thecorresponding relay station. The number ofsubjects was also small. More research is required.
Such movements sometimes occur in front of
personal computers or other electronic devices.
Although, there are a lot of indefinite factors forthis field, the mechanism behind such involuntary
movement should be researched immediately, andthe regulation of using electronic devices should
be considered to prevent severe issues e.g. fallingfrom train platform.

in Welders and Other Workers Exposed toHigh Levels of Magnetic Fields. Epidemiology,
14, 2003, pp. 420-426.
[7] Ahlbom, A. Neurodegenerative Diseases,
Suicide and 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 andAcute 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
health ascribed to electromagnetic field
exposure--a questionnaire survey. Int J Hyg
Environ Health, 207, 2007, pp. 141-150.
[10] Edelstyn, N. and Oldershaw, A. The acuteeffects of exposure to the electromagnetic fieldemitted 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, 1991, pp.241-256.
[12] Rubin, G.J., Das Munshi, J. and Wessely, S.
(2005) Electromagnetic Hypersensitivity: A
Systematic Review of Provocation Studies.
Psychosom Med, 67, 224-232.
[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 Phones Increases Allergen-specificIgE Production. Allergy, 60, 2005, pp. 838-839.
[16] Fujii, Y. Do dental implants cause scoliosis?:
A case report. Personalized Medicine Universe,
1, 2012, pp. 79-80.
[17] Fujii, Y. Gold alloy dental inlay forpreventing involuntary body movements
caused by electromagnetic waves emitted by acell phone. OJAPr, 2, 2014,37-43.

CONCLUSION
Involuntary movement due to the electromagnetic
waves emitted by cell phones classified 4 types
mainly. Although the reason why such involuntary
movements occur has not clarified yet, revealing it
may be very important to research the mechanismof EHS. The regulation of using electronic devices
should be considered to prevent severe issues e.g.
falling from train platform.

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
as a Complex and Dynamic Phenomenon, The
Information Society, 19, 2003, pp. 315-326.
[3]http://www.holisticdentistry.net/blog/2013/07/e
ntry_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
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[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

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Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

STATE OF AMBIENT AIR QUALITY IN MARRAKECH CITY
(MOROCCO) OVER THE PERIOD 2009 – 2012
Manal Inchaouh1; Mohamed Tahiri1; Bouchra El Johra2 and Rachid Abboubi2
Faculty of Science Ain chock; University Hassan ΙΙ of Casablanca; Morocco;
2
National directorate of Meteorology of Casablanca; Morocco1

ABSTRACTThe strong urbanization and the socio-economic development of a city causes potential effects on its
environment ; Our study focuses on air quality in the city of Marrakech, it’s the first integral study done for thatcity. We will give a synthesis of air pollutants measurement results; conducted in the city over the period 20092012; in order to determine the spatial and temporal variations of major pollutants (NOx; SO2; O3; PM10)
measured at the air quality monitoring stations; as well as weather parameters which are essential to understandthe dispersion of the pollution. The results showed that the NOx levels are depending on the local emissions
density and the nature of the road network. The concentrations of SO2 are low compared to the Emission Limitvalues (ELV) admitted; this is owing to the weak industrial activity and the use of less polluting fuel (350 ppm
diesel).As of the particles (PM10); specially related to traffic; industry and natural sources; their levels exceed thethresholds limits on all sites. The city is also subject to photochemical pollution mainly due to its geographicallocation (strong sunlight). During the spring and summer;the concentrations of O3 reachs alarming levels withsignificant overshoot periods for the permitted limits. This study allows us to establish a first approach of thestate of Marrakech air quality without assessing the contribution of each source; which requires further study toidentify the phenomenon.
Keywords: Atmospheric Pollution; Marrakech City; Air Quality; Atmo-Maroc Index
Morocco (official population of 1070838 people in2010); is located in the central Haouz plain boundedby the mountains of the High Atlas in the south; theprovince of Safi north; Chichaoua and Safi in theeast and El Kelaa des Sraghna west. The area
represents uniform moderate altitude topography;
the only reliefs are formed by the hills of Gueliz andKoudiat Al Abid north. The average altitude is at
465 m. the climate is semi-arid; Annual average oftemperature is 22°C with ranges of -7°C and 46.6°C
observed over several years. The height of annual
rainfall is estimated at 240 mm with an uneven
distribution (related to reliefs). Relative humidity isof 73% in January and 33% in July and may cancel
during this month when dry winds blow. winds areusually calm; from the west and northwest. In
summer ; there is drying winds Chergui and Sirocco
from the east and the south; with an annual cumul of
about 39 days centered on July.Known for its golfcourses; parks and monuments; the city experience
rapid industrial expansion and population growth
due to rural exodus. The economy of the region ismainly based on the agriculture and livestock;
tourism (550000 tourists in January 2013); craft(45% of national handicrafts exports); industrial
sector witch is mainly composed of agro-industries;
chemical; Para chemical and processing industries.

INTRODUCTION
Man introduced substances in the atmosphere(gas or dust) that create a disturbance in thechemical balance of the air components. Air
pollution is a sensitive issue; since it affects thehealth; the environment and economic interests.
Morocco's socio-economic development has resulted
from the increase of its gross domestic product(GDP); population growth and modernization andextension of cities that required the increase of theindustrial fabric; sustained energy consumption andintensification of transport. This situation has
created serious impacts on the air quality. Air
pollution is also a complex issue; firstly; the various
pollutants have heterogeneous sources ; different
effects and requires different solutions and;secondly; their sources and locations are inherently
variable. Marrakech city known for its pleasantclimate; begins to suffer from the problem of air
pollution; the emissions generated on the main
roads; by industrie or craft units; is increasingly
feeling ; pollution peaks are often recorded in someneighborhoods. This study aims to assess the overall
state of air quality in Marrakech and to identify themain pollutants responsible for its deterioration.
STUDY AREA

Consumption of fuels
Marrakech city (31° 37 'North; 8° 02' West) ; thefourth largest city and first tourist destination in

Table 1 and 2 represents annual consumption of566

SEE-Mie, Japan, Nov. 19-21, 2015

different fuels and the volumes distributed by theservice stations in Marrakech city .
Table 1 Annual consumption of fuel in Marrakech

setting down the air quality standards and air
monitoring arrangements. The developments ofpollutants will be presented by temporal profiles foreach pollutant and the air quality index (AtmoMaroc index) for each site for the period 2009-2012.

fuels
Annual consumption
propane5;29 Ktoe*
butane64 Ktoefuel oil
58;6 Ktoewood
360 000 T
Source: Ministry of Energy and Mines (MEM) 2009
*Ktoe: Thousand tons of oil equivalents

RESULTS AND DISCUSSIONS
Meteorological data
The dispersion of pollutants depends on weather
conditions. The strongest winds favor the dispersionof pollutants and low winds favor their accumulation
at local levels [1]. Figure 1 represents the average ofwind frequency and speed over the period 20092012. Wind roses shows a clear predominance ofwesterly winds with a high speed (above 9 m/s);
which are the most dispersive winds; followed bymedium-speed winds (4-9 m/s) and moderate-speed
winds (2-4 m/s) mainly from the east and which
promotes the accumulation of pollutants.

Table 2 Volumes distributed by service stations
consumption
Afriquia
(m3)

Total

Shell

ZIZ Petrom

Unleaded

15329

9072

9166

96

3650

37313

Gasoil40800

24408 26560

1940

13381

107089Total(m3)

Source: Ministry of Energy and Mines (MEM) 2009
Road infrastructures

2009 70% N

Table 3 Road network in Marrakech

35%
W

National roads Regional roads Provincial roads
152;706
67;786
313;715
Source: Regional Directorate of Public Works

70%

2011
Number
236
6104
2486

0%

80%

W

E

W

] 0; 2 [m/sFig. 1
Air quality monitoring network in Marrakech has
three permanent fixed stations; ST1 (Jamae Lafnae)
located in the center of the town; ST2 (Mhamid)
located at about 2km from Marrakech-Menara
airport and ST3 (Daoudiat) located in a residential
area. These stations are equipped with automatic
physical-chemical analyzers enable to provid realtime concentrations of pollutants in hourly time
steps. The information is then transmitted to thecentral station and processed in the air quality database through the XR software.

E

0%

S

Monitoring network Description

S
N

30%

0%

MATERIALS AND METHODS

E

0%2012 60%

N

40%
W

N

35%
E

S

Table 4 Distribution of vehicles by typeType of Vehicle
motorcycle
Passenger car
Commercial vehicles
Source: Regional transport Delegation

2010

S

[2; 4 [m/s[4; 9 [m/s>= 9 m/s

Wind roses of Marrakech (2009 – 2012)

Temperature influences the vertical dispersion ofpollutants. When the air in the ground becomes
colder than at altitude then it is a "thermal inversion"situation; cold air remains trapped under the warm
air mass that form an atmospheric cover andprevents vertical dispersion of pollutants and favors
their concentration near the ground [2]. Temperature
also affects the chemistry of pollutants; cold reduces
the volatility of some gas and the summer heatpromotes the photochemical formation of ozone .
humidity plays an important role in theformation process of some pollutants such sulfuricand nitric acids (acid mist) and their elimination(wet deposition).a study [4] showed that the highest
concentrations of ions SO42-; NO3-; NH4+ and H+ are
observed during high humidity periods. Figure 2

Pollutants studied
To assess the impact of emissions on air quality;
we consider the following pollutants: NO2; SO2;
PM10 and O3; these latter are regulated by the decree567

SEE-Mie, Japan, Nov. 19-21, 2015shows the monthly average evolution of temperatureand relative humidity; overall sites; the temperature
increases gradually to a maximum during thesummer while relative humidity decrease. The
highest values are shown in Daoudiat site given toits geographical nature (elevation of 450 m).
T(°C)

RH%

30
20

50

10

60
40
20
0

2009

Fig. 2

Dec

Nov

Oct

Sep

Aug

Monthly mean of Temperature and Relative
Humidity for the period (2009- 2012)

204,5

2010

2011

2012

200
100
2010

2011

2012

In normal situations; NO2 levels increases during
the cold season; This is due to many emissions(heating + frequent use of vehicles). The seasonal
averages (Fig. 5) are significantly higher during thewinter; with low and variable winds. And also
during the summer because of the importance oftraffic and tourist activities over the area; associatedwith the increase of temperature and solar radiations
that promotes NO2 formation.

200
0
2009

300

Fig. 4 NO2 - Annual trends of (a) hourly averages
and (b) 98 percentile of hourly average

NO2 (µg/m3)

230,9

2012

Jamae Lafnae
MhamidDaoudiat
limit value for health protection (200μg / m3)

2009

mm 339,4
264,1

2011

0

Precipitation allows atmospheric leaching ofsoluble particles and gases by folding them down to
the ground and diminishing the concentrations ofpollutants [3]. When rainfalls are short and intense;
leaching effects is reversible and the levels ofpollutants increase rapidly when the rain stops.
However; when it rains for several hours this effects
is quite significant and pollutant levels remain low
long time before recovering. The annual
accumulation (Fig.3) experienced a significant drop
(about 40%) in 2012 compared to 2009 .
400

2010

(b)

RH% MhamidT(°C) jamae lafnae
T(°C) Daoudiat

NO2(µg/m3)

RH% jamae lafnae
RH% Daoudiat
T(°C) Mhamid

Jul

Jun

May

Apr

Jan

Feb

0
Mar

0

Jamae Lafnae
MhamidDaoudiat
limit value for health protection (50μg / m3)

(a)

100

NO2(µg/m3)

40

local weather conditions; especially in winter; may
explain the most significant changes. limit values forhealth protection in Mhamid and the annual limit
value P98 (200 ug / m3) in Jamae lafnae areexceeded in 2012.The Daoudiat site is the least
polluted site given its distance from major roads.

50
40
30
20
10
0

Jamae Lafnae

winterFig. 3 Total annual Precipitation

MhamidspringDaoudiatsummerautumnFig.5 NO2 - Seasonal averages (2009-2012)

Pollutants data analysis

Figures 6 and 7 shows the weekly and daily
profiles of NO2. levels are rather higher on
weekdays than weekends with pollution tip in
midweek. On the daily profile; the morning peakobserved between 8 and 10am is characteristic of thehuman activity resumption. The decline in theafternoon could be explained by the formation ofozone from the interaction of NO2 with solar
radiations. A second peak is observed between 7 and9pm corresponding to the evening returns.

Nitrogen oxides (NOx)NO2 ( (µg/m3)

NOx includes nitrogen dioxide (NO2) andmonoxide (NO); these precursors of photochemicalsmog comes mainly from combustion processes(industry; transport…); it is generally accepted that70-75% of emissions in urban areas comes fromvehicles [5]. Near the emission sources theconcentrations of NO are larger than those of NO2
but NO is rapidly oxidized into NO2 here theemissions are expressed as NO2-equivalent. Figure 4(a) and (b) demonstrates that the situation has
evolved during the study period. In Jamae lafnaesites directly affected by vehicle emissions andMhamid affected by Marrakech-Menara Airport
traffic; annual levels have increased since 2009;40

jamae lafnae

MhamidDaoudiat

Wed

Frid

30
20
10
0
Sun

Mon

Tues

Thur

Fig.6 NO2 - Weekly profil (2009-2012).
568

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SEE-Mie, Japan, Nov. 19-21, 2015

Mhamid15

Daoudiat

SO2 (µg/m3)

Jamae Lafnae

30
20
10

SO2 (µg/m3)

SO2 is mainly emitted by using sulfur-containing
fossil fuels and some industrial processes. Emissionsof SO2 in fossil fuels burning represent around 70 to
80 million tons per year at the world level [6]. This
gas is transformed in contact with air humidity tosulfuric acid and contributs to acidification;
depletion of natural environment and deteriorationof buildings. Figure 9 (a) and (b) represent theannual evolution of SO2; levels tends to increasesince 2009 over all measurement sites but remain
relatively low compared to the regulatory thresholds.
SO2 (µg/m3)
SO2 (µg/m3)

20

2010

2011

2011

2012

SO2 (µg/m3)

The levels of SO2 vary with the seasons; seasonal
profil (Fig.9) show increases levels during the coldseason. episodes of high concentrations are usually
met in winter ;firstly; the weather conditions are lessdispersive and; secondly; energy needs and therefore
emissions are higher (domestic heating…).
Mhamid15

Jamae Lafnae

MhamidDaoudiat

10
5
00
01
02
03
04
05
06
07
08
09
10
11
12
13
14
15
16
17
18
19
20
21
22
23
00

2012

Fig. 8 SO2 - Annual trends of (a) hourly averages
and (b) 99;2 percentile of hourly average

Jamae LafnaeSat

O3 is a secondary pollutant that depends in its
formation and evolution on both of the state of theoriginal primary pollution in the atmosphere andambient weather conditions [2]; O3 is formed fromprecursors during the movement of polluted air
masses under the effect of solar radiations; it follows
that in general; the highest values are not recorded inareas where primary pollutants are emitted (cities
and industrial areas); but in the surrounding and thenear rural areas and downwind of agglomerations[7;8]. This pollutant is harmful for the health it
causes in high concentrations inflammation andbronchial hyperreactivity ;irritation of nose andthroat usually occur; accompanied by breathingdifficulty. Eye irritation are also observed. Sensitive
subjects (children; chronic bronchitis; asthma ...) are
more sensitive to ozone pollution [9] . Annual
average of O3 are presented in Figure 12.the levels
decrease gradually in 2010 and 2011; the year 2012
saw a significant increase; this is mainly due toclimatic variations; particularly to sunlight (hightemperatures). Table 6 presents; in chronologicalorder; overtaking reference values for O3.

0

15

Frid

Thur

Ozone O3

10
2010

Tues

Fig.11 SO2 - Daily profil (2009-2012)

Jamae Lafnae
MhamidDaoudiat
limit value for ecosystems protection (20μg / m3)

2009

Mon

0

Jamae Lafnae
MhamidDaoudiat
limit value for health protection (125μg / m3)

2009

30

Wed

5
Sun

Sulfur dioxide (SO2)(b)

Daoudiat

Fig.10 SO2 - weekly profil (2009-2012)

Fig.7 NO2 - Daily profil (2009-2012)

100
75
50
25
0

Mhamid00(a) 125

jamae lafnae

10

00
01
02
03
04
05
06
07
08
09
10
11
12
13
14
15
16
17
18
19
20
21
22
23
00

NO2 (µg/m3)40

O3 (µg/m3)

200

Daoudiat

Jamae Lafnae
MhamidDaoudiat
Information threshold (200µg/m3)

150
100
50
0
2009

10

2010

2011

2012

Fig. 12 O3 - Annual trends (2009-2012)5

Tab 6. Number of exceedences of regulatory values

0
winterspringsummerautumnNumber of days exceeding Number of 3 consecutive days
averages on 8 hours (1) exceeding the daily average (2)Fig.9 SO2 - Seasonal averages (2009-2012)

jamae lafnae Mhamid Daoudiat

On the weekly profile (fig.10);a slight decrease isobserved during the weekend similarly to the
reduction of traffic.The daily profile (fig.11) reveals
morning and evening increases related to humanactivity. morning peak is observed between 8 to 10
am and a second strongest peak between 8 and 9pm.

jamae lafnae

Mhamid

2009
8
42
14
62
2010
4
1
58
14
20
2011
7
20
2012
12
118
26
11
112
(1) Limit value for health protection: 110μg / m3
(2) Limit value for vegetation protection : 65μg / m3

569

Daoudiat

58
91
54

SEE-Mie, Japan, Nov. 19-21, 2015

100
80
60
40
20
0

Jamae Lafnae

MhamidDaoudiatsummerwinterautumnspring

PM10 (µg/m3)

and suddenly worsen diseases such as asthma andcardiovascular events [11]. Annual average (Fig.16)
shows a very high values over all sites. limit value
for health protection is greatly exceeded.

O3 (µ/m3)

jamae lafnae

Mhamid

50
2010

2011

2012

Fig. 16 PM10 - Annual trends of 99;2 percentile ofhourly average
Seasonal evolution of PM10 (Fig.17) shows agreat difference between the cold and warm
seasons .in winter the rain allows the leaching of theatmosphere causing a drop of levels; while the dry
and hot summer favors the accumulation andformation of secondary particles. This often results
in reduced visibility; the atmosphere becoming more
"opaque". Wind also promotes the dispersion of thepollution but depending on its strength; can recover
the suspended particles in the air. weekly profile(Fig.18) is characterized by a decline on theweekend related to the reduction of traffic ;anadvanced pollution observed on Thursday.

Daoudiat

80

Jamae Lafnae

MhamidDaoudiat

60
40
20
winter

Mon

Tues

Wed

Thur

Frid

Sat

MhamidPM10 (µg/m3)

Jamae Lafnae

springsummerautumnFig. 17 PM10 - Seasonal averages (2009-2012)

Fig.14 O3 - weekly profil (2009-2012)
O3 (µg/m3)

100

0
Sun

100

150

2009

Fig.13 O3 - Seasonal averages (2009-2012)
70
60
50
40
30
20
10
0

Jamae Lafnae
MhamidDaoudiat
limit value for health protection (50μg / m3)200

0PM10 (µg/m3)

O3(µg/m3)

O3 levels depends on the weather conditions(temperature and irradiation; prolonged sunshine;
low humidity and wind speed).these conditions are
met in summer. Figure 13 shows that the levels werehigher during the warm season. O3 has a life span ofa few days; so it can be transported far from its
production area; during the weekend it accumulates
significantly in the lower troposphere where it
reaches a maximum of about 10% more than during
weekdays. This phenomenon; known under the term"sunday effect" was already mentioned in somestudies; including one on Long Beach in Los
Angeles [10].O3 levels in air layers near the groundis always determined by the formation-degradation
process.Figures 14 and 15 illustrates the weekly anddaily profils ; the week is marked by an increase ofO3 during the weekend while the daily profile showsa single typical peak as "bell" in the afternoon(around 2 pm) that persists at high levels for several
hours before decreasing at 5 pm.diurnal evolution is
generally less pronounced because of the absence ofnight degradation processes.

Daoudiat

50

80

jamae lafnae

MhamidDaoudiat

Wed

Frid

60
40
20
0

0
00
01
02
03
04
05
06
07
08
09
10
11
12
13
14
15
16
17
18
19
20
21
22
23
00

Sun

Mon

Tues

Thur

Sat

Fig. 18 PM10 - weekly profil of (2009-2012)
Fig.15 O3 - Daily profile (2009-2012)
The daily profile (Fig.19) is marked by a"double-hump curve"; morning peak (from 9 to11am) and evening peak (from 6 to 8pm). At
Daoudiat site the peaks are shifted by about 2 hours
from those of other sites; it seems that other sourcesof pollution than traffic are attributable to thisobservation (Industrial activity in surrounding areas).

Particulate matter PM10

PM10 (µg/m3)

PM10 comes mainly from combustion.in urban
areas it comes from traffic (emissions ; tires wear..)and domestic heating; their levels are also linked tophysical mechanisms such as resuspension (strongwind) or accumulation during stable weather periods.
in Marrakech; the resuspension is responsible for alarge share of PM10 emissions owing to the dry andwindy atmosphere of the area. Due to their small
size; fine particles are able to penetrate deep into therespiratory tract and reach the lungs.Short exposures
may cause coughing; bronchial irritation andinflammation. particles can also affect lung function

100

Jamae Lafnae

MhamidDaoudiat

50

00
01
02
03
04
05
06
07
08
09
10
11
12
13
14
15
16
17
18
19
20
21
22
23
00

0

Fig. 19 PM10 - weekly profil (2009-2012)

570

SEE-Mie, Japan, Nov. 19-21, 2015shows this influence especially on daily profiles
where departure and returns hours are marked
overall sites. This shows that the surroundings areas
are subject to a very importante road activity both in
winter (domestic traffic) than in summer (tourist
traffic).The results of this study highlights on the
agglomeration scale, the reciprocity of backgroundpollution and traffic proximity phenomena
particularly due to the density of the structuring road
network. It also highlights the geographical areas
where efforts shall be particularly made to clip thehigher levels of the air pollution.

Atmo-Maroc Index
Air pollution can result from a several
substances; what makes complex the issue and theunderstanding of synthetic information .air quality
Index is a function that transforms the air quality
data (expressed as concentrations of several
pollutants measured over different time; in different
stations) in a single value and generally single
dimensionless which represents or characterizes the
air quality of a homogeneous area [12]. Atmo-Maroc
Index is an air quality indicator developed by the
National directorate of Meteorology in order to havea synthetic information of air pollution in towns withover 100 000 inhabs. This index is compiled fromthe daily concentrations of four typical pollutants for
air pollution phenomenon: SO2; NO2; O3 and PM10.
For each of the above pollutants; an air quality subindex (from 1 to 10) is daily calculated from therecorded data.

References[1] Diaf, N., Bouchaour, M., Merad, L., Benyoucef,
B., 2003. "Parameters affecting the dispersionof gaseous pollutants". Tlemcen University Rev.
Energ. Ren ICPWE: (2003) pp.139-142.
[2] El MELKI, Taoufik. "Thermal inversions andair pollutant concentrations in ground-level baseof Tunis" (2007): pp.105-129.
[3] Arnaud Q, Leaching of the atmosphere by rain:
microphysical approach. Diss. Blaise Pascal
University -Clermont-Ferrand II, (2012).
[4] Munger, William J., Jacob, Daniel J., Waldman,
Jed M., et al. Fog water chemistry in an urban
atmosphere. Journal of Geophysical Research:
Oceans (1978-2012), 1983,88.C9,pp.5109-5121.
[5] Lal, Shishir, and R. S. Patil. "Monitoring of
atmospheric behavior of NOx from vehiculartraffic." Environmental
monitoringandassessment 68.1 (2001): pp.37-50.
[6] Guy L."Impact of fossil energies on theenvironment". 5. Villette Meetings "energy: aconcept of the uses of the issues", (1994), Paris.
[7] Ballaman, Richard. "The Transport and Ozone
Pollution as in Switzerland». Science of thetotal environment 134.1 (1993): pp.103-115.
[8] Brönnimann, Stefan, and Urs Neu. "Weekendweekday differences of near-surface ozone
concentrations in Switzerland for different
meteorologicalconditions." Atmospheric
Environment 31.8 (1997): pp.1127-1135.
[9] Doumont, D., and F. Libion. "Health impact ofdifferent pollutants: what effects on short,medium and long term?" RESO-UCL Unit ofHealth Education (2006).
[10] Elkus, Barbara, and Kent R. Wilson.
"Photochemical air pollution: weekendweekday differences."Atmospheric environment(1967)
11.6 (1977): pp509-515.
[11] Reddy, M. K., & Sumathi, M."Air quality statusof respirable particulate levels at selected traffic
junctions along the section of lateral highway inHyderabad." JournalofEnvironmental
Protection 2.05 (2011): p.662.
[12] Garcia, J., Colosio, J., & Jamet, P. "Air quality
indexes", Ecole des Mines de Paris, (2001)

Tab 7. sub-indices Scale for Atmo-Maroc Index
index
quality

1
very
good

2;3

4;5

6;7

good mean mediocre

8;9
bad

10
very
Bad

General trends
Figure 20 represent the average trends of the air
quality index for each site in 2012.
Air Quality in Jamae Lafnae is generally good(over 60%);in Mhamid the index reflect theobservations made on the various pollutants (PM10and NO2). The year 2012 recorded much higher
concentrations of NO2 than normal and induces bad
air quality (37%). at Daoudiat air quality is meanand sometimes bad because of the high levels ofparticulates and photochemical pollution (O3).
(a)
19
%

(b)
37
%

8
10 %
%
64
%

7
%

30
%
27
%

(c)
14
%

10
%

29
%

48
%

Fig 20. Air quality indices for (a) jamae lafnae ;(b)Mhamid and (c) Daoudiat in 2012
CONCLUSION
The present study has highlighted the pollutants
mainly related to traffic.The air quality can be
described as generally good for certain pollution
indicators (NO2 and SO2), but remains worrying forPM10 and O3, although the traffic is not the only
parameter that may affect the pollutant
concentrations, it still seems to have a major impact
since the difference between measured values in thethree measurement sites. Temporal trends also571

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

STUDY ON REMOVAL OF RADIOACTIVE MATERIAL FROMMARINE AND LAKE MUD
Keiichiro Shibata1, Hidenori Yoshida2 and Naomichi Matsumoto3
Faculty of technology, Kagawa University, Japan; 2,3 Kagawa University, Japan

1

ABSTRACTThe serious nuclear disaster in the Fukushima Daiichi nuclear energy plant of the Tokyo Electricity Power
Company was occurred by the tsunami which was caused by the Great East Japan Earthquake on March 11,
2011. The radioactive materials emitted by the disaster were widely diffused in and around Fukushima
prefecture including the Pacific Ocean by wind, rain and a flow of river. It can’t be always said that there is norisk of the condensation of radioactive materials in human’s body by ecological chain if fish take in radiation in
the ocean contaminated by the radioactive materials. However the effective decontamination methods of theradioactive materials are not developed and the decontamination is less-advanced. The establishment of a new
decontamination method is urgent need and indispensable in light of disadvantageous effect on ecologicalsystem. Thus, in this study, it is aimed to establish a new decontamination technology of radioactive materials
deposited on seabed or lake bed. In particular, the new adsorption material which can adsorb radioactive
materials is developed and the new method which can move them from the bottom sediment is proposed. The
results obtained from various tests with or without the water circulation and the adsorption material indicate thatthe water circulation is effective and that the adsorption material has a great deal of potential in thedecontamination of radioactive materials. It is expected that the proposed method and the developed adsorption
material are efficient to remove radioactive materials from seabed or lake bed when they are expansively applied
to the real decontamination.
Keywords: aeration, adsorbent, decontamination, radioactive material

INTRODUCTION

radioactive materials by ecological chain in caseecological system is exposed to radiation. If marine
and lake were polluted by radioactive materials, thedecontamination for them should be urgent. Thus, inthis study, the decontamination method forradioactive materials without dredging mud inmarine and lake is proposed with keeping in mind of
the shortage of the intermediate storage facilities forthe sand polluted by radioactive materials.

The serious nuclear disaster in the Fukushima
Daiichi nuclear energy plant of the Tokyo Electricity
Power Company was occurred by the tsunami which
was caused by the Great East Japan Earthquake on
March 11, 2011. The decontamination of radioactive
materials which were emitted and spread by thedisaster is urgent business(Ref. [2]). However an
efficient and effective technique of decontamination
has not been established.
As for a past study in terms of decontamination inhydrosphere, for example, there is the method inwhich the polluted mud is dredged. Concretely
speaking, the bottom deposit is resuspended by a jet
blast. The resuspended solids which is stirred up by
the jet blast is collected in fluid. At the same time,
aerobic is promoted by the stirring. However, in thismethod, there is the view that the radioactive
materials can be diffused widely in hydrosphere.
Additionally, it will be difficult to secureintermediate storage facilities enough forhydrosphere. Basically, in a factual issue, the present
situation is that the decontamination is nowhere insight. The decontamination situation for marine andlake is more or less same as that for land. Especially,in hydrosphere, it is possible that human take in

EXPERIMENT AND ANALYSIS
There are two issues in terms of thedecontamination in hydrosphere, the nonproliferation and volume-reduction of radioactive
materials. In this study, the new adsorption material
which can adsorb radioactive materials is developed
and the new method which can move them from thebottom sediment is proposed so as to solve the issues.
To be more precise, the new adsorption sheet which
consists primarily of hydroxyapatite (HAp) is
developed and the aeration is employed for theconvection of fluid. The HAp is made of burnt fishbones. The adsorption tests were conducted toconfirm the adsorption property of the HAp. First,
5.0 mg of strontium is added into 300 ml of purewater or sodium chloride fluid. The sodium chloride
is 3 % concentration in the solution to be close to572

SEE-Mie, Japan, Nov. 19-21, 2015that in seawater. Secondly, 6~7g of the HAp which
is set in the net for drain is soaked in the pure wateror the sodium chloride fluid. There is two types of
specimens; one is uncontrolled immersion test andvalidity and availability of contamination; one is the
specimen in which only the sheet is set, another isthe specimen in which the sheet and the convective
device are set, and the other is the specimen inwhich nothing is set. And they are left for a given
length of time. After the tests, the cesium orstrontium contained in Toyoura sand is extracted bywashing the sand. For the extracted water solution,
cesium is analyzed by AAS to measure its remained
amount of the pure water, and the strontium isanalyzed by ICP-AES (Inductively-coupled Plasma
Atomic Emission Spectrometry) to measure its
remained amount of the sodium chloride solution.
The availability of convective method andadsorption sheet are examined by the comparison ofremained amount of three type specimens.

Fig. 1 Hydroxyapatite (HAp).
another is stirred by a screw agitator during theimmersion so as to take the flow in river or marine
into account. The immersion time is 24 hours. It isnoted that same tests for cesium were not conductedsince both cesium and sodium belong to alkali metal
which makes it difficult to analyze the quantity ofcesium by AAS (Atomic Absorption Spectrometer).
Table 1 shows the test results of adsorption test for
HAp, respectively. The HAp was employed as anadsorbent because it is confirmed that the HAp has

Table 1. Results of adsorption test for HAp(1 day)Screw
Immersion

Residual ratio(%)
SodiumPure water
chloride fluid
4.39
26.51
16.87
17.81

TEST FOR CESIUM ADSORPTION
The results of the immersion tests in which theadsorption performance of cesium by the HAp sheet
is examined with changing the immersion time areshown and are discussed. In the tests for cesium,

Fig.2 Schematic of aeration test.
enough adsorption performance. The adsorption
tests by which cesium and strontium are adsorbed
are conducted with the developed sheet and the
proposed method to examine their validity andavailability.
First, Toyoura sand is laid at the bottom ofcylindrical chamber to simulate the decontaminationin marine or lake. In the test, 200 g of Toyoura sandwhich has uniform size of grains is utilized so as tokeep the reproducibility of tests. Secondly, 38.1 mgof cesium or 5.0 mg of strontium is added into thesand, and the adsorption sheet and the convection
device are set on the sand (see Fig.2). Subsequently,
pure water is poured into the chamber to simulate
the decontamination in lake, and sodium chloride
fluid is poured into the chamber to simulate thedecontamination in marine. As for specimens, three
types of the specimen are prepared to evaluate theFig.3 Residual ratio of cesium for 4 weeks.

Fig.4 Residual ratio of cesium for 13 weeks.

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SEE-Mie, Japan, Nov. 19-21, 2015

only pure water is utilized as for the solution. The
remained amount of cesium in the water after 4
weeks and 13 weeks from the start of immersion are
shown in Table 2. Figs. 3 and 4 show the ratio of theremained amount of cesium to the initial additive
amount of cesium after 4 weeks and 13 weeks fromthe start of immersion, respectively. The ratio isdecreased during 9 weeks of their interval. However,
not only the test with both the sheet and the aeration
but also the test with neither of them show thesimilar tendency in terms of the decrease of the ratio.
Such a phenomenon as the decrease of ratio may becaused by the change of temperature and humidity.
Since the reason why the remained amount of
cesium in the water for the specimen left
uncontrolled is decreased with time is unclear, theeffectiveness and availability of the sheet or theaeration are not discussed. Hereafter, the additional
tests such as the increase of specimens under varied
conditions and the extension of immersion time are
required.

are utilized as the solution. The tests time are 1 week,
4 weeks and 13 weeks. The other conditions of

Fig.6 Residual ratio of strontium for 4 weeks.

Table 2 Test results for cesium
4 weeks

No aerationno adsorbent
No aeration
use adsorbent
Use aeration
use adsorbent

Remainedamount(mg)Residualratio(%)

14.76

38.74

15.85

41.61

12.42

32.60

Fig.7 Residual ratio of strontium for 13 weeks.
strontium adsorption test are same as those ofcesium adsorption test. The remained amount ofstrontium in the solution after 1 week, 4 weeks and
13 weeks from the start of immersion are shown in
Tables 3, 4 and 5. Figs. 5, 6 and 7 show the ratio of
the remained amount of strontium to the initialadditive amount of solution after 1week, 4 weeks
and 13 weeks from the start of immersion,respectively. According to the figures, the residual
ratio of strontium is relatively low in the case of 4
weeks immersion test with pure water and extremely
low in the case of 13 weeks immersion test withpure water. The residual ratio decreases withincreasing test time in the pure water case. On theother hand, that is relatively low in the case of 1
week immersion test with sodium chloride solution.
As the reason, it is possible that the strontium whichfirmly adhered to the soil is liberated from the soil
into the solution. This phenomenon occurs in thecase of abundant Na ion (Na+). Additionally, theconvective method may have the space to be
improved. The strontium liberated from soil passes
through the HAp sheet when the aeration is
performed on the sheet. However, the strontium
liberated into sodium chloride solution has lesschance to pass through the HAp sheet. Therefore, itis needed to exam the setting method for the HApsheet so as to adsorb cesium or strontium in not only
soil but also solution effectively.

13 weeks
No aerationno adsorbent
No aeration
use adsorbent
Use aeration
use adsorbent

11.70

30.70

11.87

31.15

10.44

27.40

TEST FOR STRONTIUM ADSORPTION
The results of immersion tests in which theadsorption performance of strontium by the HApsheet is examined with changing the immersion time
are shown and are discussed. In the test forstrontium, pure water and sodium chloride solution

Fig.5 Residual ratio of strontium for 1 week.
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SEE-Mie, Japan, Nov. 19-21, 2015use adsorbent

Table 3 Test results for strontium for 1 week

CONCLUSIONS

Pure water
Remained
Residualamount(mg)ratio(%)
No aerationno adsorbent
No aeration
use adsorbent
Use aeration
use adsorbent

2.79

55.74

2.42

48.47

2.19

43.86

In this study, a new decontamination method is
proposed without dredging mud in marine and lakewith considering the shortage of the intermediatestorage facilities for the sand polluted by radioactive
materials. To examine the validity and availability ofthe developed material and the proposed method, theadsorption tests by which cesium and strontium areadsorbed by the developed adsorption sheet are
conducted. From the test results, it is found that thedifference between the residual ratio of strontium inthe tests with the HAp sheet and the convective
device and the residual ratio of strontium in the testwith nothing is larger than the difference of theresidual ratios of cesium in the both tests. From here
onwards, the following two knowledge are obtained.
One is that most of strontium are existed in the fluid;
pure water and sodium chloride solution. Another isthat cesium is strongly adhering to Toyoura Sand.
As has already stated, the possibility that thestrontium is not effectively adsorbed in theexperimental environment in this study is not denied.
Therefore, the additional issues such as theextension of immersion time and the increase of test
specimen should be examined in near future. Whileat the same time, the settings of the HAp sheet
should be also discussed. More to the point, in thisstudy, the number of test is not enough since thelongest terms of immersion test are 13 weeks for
cesium and strontium. In concrete terms, the longer
immersion test, 26 and 52 weeks immersion tests,
are required. Alternatively, the residual ratios ofstrontium in the pure water case and the sodium
chloride fluid vary with time Therefore, the different
methods for each should be examined as future tasks.
This work was supported by JSPS KAKENHI Grant
Number 24520507.

Sodium chloride solution
No aerationno adsorbent
No aeration
use adsorbent
Use aeration
use adsorbent

3.29

65.81

2.41

48.20

2.05

40.93

Table 4 Test results for strontium for 4 weeks
Pure water
Remained
Residualamount(mg)ratio(%)
No aerationno adsorbent
No aeration
use adsorbent
Use aeration
use adsorbent

2.58

51.56

1.98

39.66

1.62

32.47

Sodium chloride solution
No aerationno adsorbent
No aeration
use adsorbent
Use aeration
use adsorbent

3.76

75.29

3.69

73.82

2.85

57.00

Table 5 Test results for strontium for 13 weeks

REFERENCES

Pure water
Remained
Residualamount(mg)ratio(%)
No aerationno adsorbent
No aeration
use adsorbent
Use aeration
use adsorbent

3.13

62.67

1.60

31.93

0.22

4.40

[1] Ishibashi, M., Ueda, S. and Yamamoto, Y.

(1969): The Contents of Strontium andStrontium-90 in Shallow-water Deposits,
Journal of the Oceanographical Society of Japan,
25(5), 233-238.
[2] Ishiyama, S. and Yamaguchi, K. (2013):
Investigation ofActualConditionofContaminated Soil in Regulation Pond
Conducted by Underwater Radiation Measuring
Instrument Installed in Remotely-Operated
Vehicle(Second Field Test in Fukushima), The
Japan Society of Mechanical Engineers, 79(799),
269-276.
[3] Shigeta, H., Enomoto, T. and Sugihara, T.
(2013): Development of a Medical Grinding

Sodium chloride solution
No aerationno adsorbent
No aeration
use adsorbent
Use aeration

3.47

69.42

3.53

70.69

2.74

54.82

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SEE-Mie, Japan, Nov. 19-21, 2015

Tool Considering Material Properties of Wet
Bone for Minimally Invasive Surgery, The
Japan Society of Mechanical Engineers, 79(804),
258.

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First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

A COMPARISON OF THE SHADING EFFECTIVENESS OF TWO
TYPES OF TREE CANOPY SHAPE IN PENANG, MALAYSIA
Julia Md. Tukiran1, Jamel Ariffin2 and Abdul Naser Abdul Ghani3
School of Housing, Building and Planning, Universiti Sains Malaysia, Malaysia

1,2,3

ABSTRACT
Shade trees provide a cooling effect by blocking sunlight, increased ambient air humidity and provide shadeduring the day. All trees cannot offer relief from the heat in the same amount. This study compared the shading
effectiveness of two types of canopy shape (rounded and spreading) in the landscape of Universiti Sains
Malaysia, Penang. There are four species selected for this study. Field measurement of microclimate conditions
under the tree canopy and open spaces were repeated on a sunny day. The effect of trees shade on air
temperature, surface temperature, relative humidity, solar radiation and solar transmission were also comparedand related to the leaf area index (LAI). It was found that the air temperature under the canopy could be reduced
between 0.67 °C to 2.55 °C, while the surface-soil temperature can be reduced between 3.23 °C to 8.15 °C. Treespecies with higher LAI values, Swietenia macrophylla (Big leaf mahagony) and Tabebuia rosea (Tecoma)
provide significantly more cooling than the other species. Reduction of surface temperature is positively
correlated with leaf area index. This study shows that shade tree in tropical climates are helpful in improving theoutdoor thermal comfort, cooling ground surface by encouraging more latent heat and reduces air temperature byencouraging more evapotranspiration. Thus, the selection of tree species with higher leaf area index value canmaximize the benefits they provide to the surrounding area.
Keywords: Shade trees, Tree canopy, Microclimate, Cooling effect, Heat island mitigation

ground surface temperatures [9][10][11]. Previous
study it was found that constant tree shade canreduce mean radiant temperatures by 5°C – 7°C andconcrete surface shaded permanently by a bank oftrees can be cooled by up to 20°C in the summer inManchester, UK [12]. Study by numericalsimulations suggest that increasing tree cover by
25% would increase summer temperature by 3.3°5.6°C in Sacramento and Phoenix [13]. A single
layer of leaves allow some visible and infrared
radiation to be absorb 50%, whilst reflecting 30%
and transmitting the other 20%. Meanwhile, all trees
can filter approximately 80-90% of incoming
radiation, referring on their leaf density,
arrangement and type of leaf [14]. Study reported acomparison of two type of tropical tree species
found that the average heat infiltration of Messua
ferrea L. is 97% whilst that of Hura crepitans L. is
86% [14]. Thus, this will affect comfort of people
sitting or walking in the shade, namely that mostaffects a person’s thermal comfort as quantified bymeasures such as their perceived or physiologicallyequivalent temperature (PET) [15].
The effect of shade trees on urban microclimate
can divided in five major effects such as shading
effect, ground temperature effect, surface
temperature effect, wind effect and reflection effect[16]. Vegetations that have more density value havea greater heat infiltration value [14]. Shading effectof shade trees depends on tree characteristic and

INTRODUCTION
Shade tree planting is one of strategy to reduceheat islands and improve community comfort in
three
ways
such
as
throughshading,
evapotranspiration and wind shielding [1][2]. Treesin the urban environment have great potential withmany functions such as modulating the microclimate,
reducing air and noise pollution, providing a habitatfor urban wildlife and improving aesthetic values ofurban area. In hot humid climate, high intensity ofsolar radiation and low wind velocity are theproblems experienced by users of open space. Treecan provide relief from high temperature at two
spatial scales. Firstly at the microscale through a
direct shading effect below canopy, where byincoming solar radiation is intercepted by the canopy
and may be either absorbed or reflected. Secondly at
the local scale through evaporative cooling, whereenergy is used for dominated by larger scale warmer
and drier surroundings [3].
Many studies have been reported about themeasurement and evaluation to tree design aspects inproviding significant impact to landscape character,
improving the microclimatic performance of built
environments, adapting patterns to climate change,
and reducing energy consumption and temperature
control [4][5][6][7][8]. During the day, shade trees
also indirectly reduce heat gain in buildings byaltering terrestrial radiation and ultimately reducing
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SEE-Mie, Japan, Nov. 19-21, 2015

configuration. Physical aspects such as geometry of
the canopy, height, density and branching structure,colour of tree leaves and leaf covers are the main
components that create shade as well as moderate
the microclimate [7][17][18][19]. Moreover for
roundhead and pyramidal canopy have a greater
shade area than columnar [16]. Shade effectivenessis also related to the leaf area index (LAI), which isdefined as a dimension less value of the leaf area perunit ground area. It is the key measure used tounderstand and compare plant canopies [20]. The
shade performance of each species is different, andtheir effectiveness in filtering radiation will
influence microclimate modification. Thus, it isimportant to investigate the differences between
species to understand the impact of each tree species
on outdoor comfort [7][17][19].
This study is set out to evaluate the differences incooling effect of two types of tree canopy shapetrees in Penang, Malaysia and to investigate how
physical characteristics of trees might affect theirperformance on a sunny day. The objective of thestudy are to evaluate the relationship between
physical characteristic (tree height, crown height,
crown area, crown diameter and LAI) of tree, andobserved differences in microclimate conditions
under the tree canopy and open space.

materials and open space and not interfered by shadeof any buildings.
The trees studied were localized at the Universiti
Sains Malaysia, Gelugor, Penang, Malaysia (latitude
5.3569°N, longitude 100.3014°E). Samples of theselected S. macrophylla were located at an open
space near to the Desasiswa Tekun building. These
trees were 10-15 years old and planted randomly.
The location of the selected T. Rosea species was at
a green space near to the Dewan Tuanku Syed Putra,
Lecturer Theatres S, T, U & V and the School of
Biological Sciences buildings. The trees were 10-15
years old and planted in row. Meanwhile, samples ofthe selected F. decipiens were located at an open
space near to the Desasiswa Restu building. The
trees were 10 years old and planted in a row. Lastly,
the location of the selected D. oliveri species wasalong Desasiswa Tekun Avenue. The trees were 10
years old and planted in row.
Measurement Procedure of Solar Radiation,
Solar Transmission, Air Temperature, Relative
Humidity and Surface Temperature
All measurements were carried out for each tree
at 10.00 am, 12.00 pm and 2.00 pm during the statedperiod. Only five samples for each type of tree wereused and a total tree for measurement was about 20
samples. All measurements were taken over a four
day period, namely 14th and 28th of February and 3rd
and 5th of March 2015.
The measurements under the tree canopy weretaken first. Solar radiation and solar transmission
were done using the solar power meter (TES-1333).
Air temperature and relative humidity measurements
were taken using the (Extech’s 45160) 3-in-1 Pocket
Hygro-Thermometer-Anemometer. Infrared thermometer (IRtek IR60) was used in measuring groundsurface temperature in each tree sample andmeasurement were taken at 1m height. Solar power
meter (TES-1333) and (Extech’s 45160) 3-in-1
Pocket Hygro-Thermometer-Anemometer attached
to a tripod stand 1m above the ground. All
measurements were carried out under the tree
canopies and the data were recorded manually. All
instruments were placed equidistant from the tree
trunk and canopy drip line along each of the fourmain compass points (north, south, east and west).
The measurements in the open were taken after
each set of measurements under the canopy had been
completed. The measurements were done using thesame set of instruments, approximately 2 m awayfrom the canopy drip line and taken at one point foreach tree.

METHODS
Tree and Site Selection
One of criteria for the choice of species wasthose among the most used in tree planting programsby the city council in Penang, Malaysia. The study
focused on two types of tree canopies such as
roundhead and spreading canopy. All data on trees
within the Universiti Sains Malaysia campus weregathered according to tree selection criteria. The
selection parameters were divided into two parts, (i)tree physical characteristic and (ii) microclimate
condition. The first part comprises several sub parts
considered in defining the parameters; tree types,
foliage and structural geometry, tree crown and tree
maturity. Second part for microclimate condition
divided to sub parts namely; site condition withequal environment, ground surfaces and no shadingby other trees or buildings.
There four species were identified these weredivided into two categories of shape; two species ofroundhead, i.e., Swietenia macrophylla (big leaf
mahagony) and Filicium decipiens (fern tree), andtwo species of spreading canopy, i.e., Tabebuia
Rosea (tecoma) and Dalbergia oliveri (tamalan) (Fig.
1). All tree samples were selected based on thefollowing criteria which is similar height, tree size
(medium size), age ranging from 10 to 20 years,
evergreen, similar microclimatic condition, groundspace cover at least 60-70% turf and 30-40% otherMeasurement Procedure of Leaf Area Index
The measurement of LAI using indirect method
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SEE-Mie, Japan, Nov. 19-21, 2015

P=0.011). Post hoc analysis shows that of all species,
D. oliveri had the shortest but widest canopy. Mean
air temperature reduction was 3.697% (StD=0.850).
One-way ANOVA showed that there were no
significant differences between the species in air
temperature reduction (F(3,16)=1.931, P=0.165). The
mean surface temperature reductions were 16.507%(StD=1.340). One-way ANOVA showed that there
were not significant differences between the species(F(3,16)=1.032, P=0.405). The mean solar radiation
filtrations were 81.892% (StD=1.848). One-way
ANOVA showed that there were not significant
differences between the species (F(3,16)=1.544,
P=0.242). The mean leaf area indexes were 2.096
m²/ m² (StD=0.508). One-way ANOVA analysis
showed that there were significant difference
between species (F(3,16)=13.481, P=0.000). Post-hoc
analysis showed that the S. macrophylla hadsignificantly higher leaf area index than T. rosea, F.
decipiens and D. oliveri. The mean transmissivity
were 12.206% (StD=1.317). One-way ANOVA
showed that there were not significant differences
between the species (F(3,16)=1.762, P=0.195). The
mean shade areas were 104.80m² (StD=29.579).
One-way ANOVA showings significant differences
between the species in shade area (F(3,16)=5.254,
P=0.010). Post-hoc analysis showed that the S.
macrophylla shade area significantly more thanother species.

which is canopy analysis systems basedhemispherical image analysis. It involves a lot ofsteps from photography to LAI calculation.
Hemispherical photographs of a single tree were
capture using a digital camera high resolution,
Canon EOS 60D Kit with fish eye lens with a fieldof view of 180° was used. The camera was mounted
on a sturdy tripod at 1.0 m height to characterize thecanopy without the interfering presence ofunderstory vegetation. The camera was leveled to
face exactly the vertical using a bubble level. The
top of the camera (position of the flash socket) wasorientated to magnetic north using a compass.
Photographs were taken without direct sunlightentering the lens in the early morning, late afternoon
or on overcast days [21][22]. Therefore, allmeasurements were done early morning before 9.00
am and it’s taken over a one day, namely the 18th of
May 2015. This study is using free software forcomputing LAI from hemispherical photograph,
namely WINPHOT by Hans ter Steege [20][23]. The
hemispherical photograph was then imported to
Paint program to convert from format (.jpeg) to 256
Color Bitmap (*.bmp,*.dib). Finally, the image wasthen opened in WINPHOT to compute and analyze
for getting LAI value.
Measurement Procedure of Shaded Area
To measure amount of shaded area by using
computer simulation, main thing need create 3
dimensional of the tree form. Firstly, digital
photographs of a single tree were capture using a
digital camera. It was taken at 10 m away from thecentre of the tree and held at the eye level of thephotographer. Snap point were done in two option
either from north, northwest and northeast or south,
southeast and southwest according to the site
conditions. The image was transferred to a computerand by using AutoCAD 2011 software to generate
the skeleton of the tree. This skeletal drawing wasthen imported to SketchUp software to convert fromformat AutoCAD files (.dwg) to 3DS file (.3ds). The
skeletal drawing was then transferred to ECOTECT2011 to generate a 3D modelling of the tree and also
conduct Shadow Analysis for each tree. Simulatedshaded area for all trees was running on the 4th of
May 2015 at 10.00 am, 12.00pm and 14.00 pm.
Thus, this was the best time to compare allmeasurements.

Fig. 1

Tree species (a) D. oliver, (b) F. decipiens,(c) T. rosea and (d) S. macrophylla.

Relationship between solar radiation filtrationand (transmissivity, leaf area index, shade area,
air temperature and surface temperature)

RESULTS

Dalbergia oliveri

The four species had quite different physicalcharacteristic,
one-way
ANOVA
showings
significant differences between the species in treeheight (F(3,16)=39.142, P=0.000), crown height(F(3,16)=35.580, P=0.000), crown diameter (F(3,16)=6.363, P=0.005) and crown area (F(3, 16)=5.203,

The results show that tranmissivity (t= -19.585,
P=0.000, R²=0.992, SEE=0.123), shade area
(t=5.080, P=0.015, R²=0.896, SEE=0.449) and airtemperature reduction (t=5.652, P=0.011, R²=0.914,
SEE=0.408) are significant factors for solar radiation
filtration but no significant for LAI (t=1.946,
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SEE-Mie, Japan, Nov. 19-21, 2015

P=0.147, R²=0.558, SEE=0.925) and surface
temperature reduction (t=1.911, P=0.152, R²=0.549,
SEE=0.935). The increase solar radiation filtration
percentage
corresponds
tothedecreasetransmissivity percentage value of D. oliveri canopy.
In addition, the increase solar radiation filtration
percentage corresponds to the increase value of
shade area, LAI, air temperature reduction andsurface temperature reduction of D. oliveri canopy.

percentage value of S. macrophylla canopy. In
addition, the increase solar radiation filtration
percentage corresponds to the increase value of LAI,
shade area, air temperature reduction and surface
temperature reduction of S. macrophylla canopy.
DISSCUSSION
Tree physical characteristic and shade area

Filicium decipiens

The sampled tree species showed significant
differences in their canopy size and shape, and thesedifferences also show in significant differences
between the shade areas produced by the tree
canopies. This because the taller trees, such as S.
macrophylla had narrower canopies, while theshorter trees such as D. oliveri had wider canopies.
Statically relationship through the correlation
between the amount of shaded areas and radiation
filtration is not significant (r=0.289, P=0.217). The
results indicated that there is significant difference inthe mean amount of shaded area of D. oliveri(103.732m²), F. decipiens (83.340m²), T. rosea(94.452m²) and S. macrophylla (137.680m²). Basedon ECOTECT analysis results and observation, theroundhead canopy of S. macrophylla and the
spreading canopy of D. oliveri provide a broader
shaded area than that of T. rosea and F. decipiens.
Shade coverage is important especially in tropicalenvironments during the middle of the day when thesun position overhead for longer duration and it ishottest. Shade characteristics for each tree depend on
the form of the canopy and branching of the species,
the amount of leaf cover, growing location and theangle of the sun.

The results show that tranmissivity (t=-14.755,
P=0.001, R²=0.986, SEE=0.227), LAI (t=3.434,
P=0.041, R²=0.797, SEE=0.878), air temperature
reduction(t=34.913,
P=0.000,
R²=0.998,
SEE=0.097) and surface temperature reduction(t=3.454, P=0.041, R²=0.799, SEE=0.874) aresignificant factors for solar radiation filtration but nosignificant for shade area (t=2.144, P=0.121,
R²=0.605, SEE=1.225). The increase solar radiation
filtration percentage corresponds to the decreasetransmissivity percentage value of F. decipiens
canopy. In addition, the increase solar radiation
filtration percentage corresponds to the increasevalue of LAI, shade area, air temperature reduction
and surface temperature reduction of F. decipiens
canopy.
Tabebuia rosea
The results show that tranmissivity (t=-13.039,
P=0.001, R²=0.983, SEE=0.385), LAI (t=15.869,
P=0.001, R²=0.988, SEE=0.317), shade area
(t=5.136, P=0.014, R²=0.898, SEE=0.935), airtemperature reduction (t=7.679, P=0.005, R²=0.952,
SEE=0.644) and surface temperature reduction(t=7.993, P=0.004, R²=0.940, SEE=0.619) aresignificant factors for solar radiation filtration. The
increase solar radiation filtration percentage
corresponds to the decrease transmissivity
percentage value of T. rosea canopy. In addition, theincrease solar radiation filtration percentage
corresponds to the increase value of LAI, shade area,
air temperature reduction and surface temperature
reduction of T. rosea canopy.

Air temperature and surface temperature
The outcome shows that the mean air
temperature reduction of D. oliveri (3.070%), F.
decipiens (3.574%), T. rosea (3.930%) and S.
macrophylla (4.214%). Meanwhile, results for themean surface temperature reduction of D. oliveri(16.126%), F. decipiens (15.858%), T. rosea(16.964%) and S. macrophylla (17.082%). Meaning
that, SM and T. rosea are more reduction in air
temperature and surface temperature than F.
decipiens and D. oliveri. Air temperature reduction(r=0.778, P=0.000) and surface temperature
reduction (r=0.690, P=0.001) are show positive
relationship and significant factors for LAI. Meaning
that, S. macrophylla and T. rosea has thicker
branching, twigs and leaves that can create a higher
LAI value provide greater surface cooling. Shadetrees can contribute to significant reductions insurface temperatures and this will have effect of
reducing heat storage in the paved surface. Thiscondition will increase latent heat, promote more
evapotranspiration and reduce surrounding air

Swietenia macrophylla
The results show that tranmissivity (t=-10.313,
P=0.002, R²=0.973, SEE=0.261), LAI (t=10.521,
P=0.002, R²=0.974, SEE=0.256), shade area
(t=7.269, P=0.005, R²=0.946, SEE=0.946) and airtemperature reduction (t=6.036, P=0.009, R²=0.924,
SEE=0.434) are significant factors for solar radiation
filtration but no significant for surface temperature
reduction (t=2.463,P=0.091, R²=0.669, SEE=0.905).
The increase solar radiation filtration percentage
corresponds to the decrease transmissivity
580

SEE-Mie, Japan, Nov. 19-21, 2015

temperature, this should help improved the urban
heat island effect.

leaves are usually paripinnate (12–45cm long) andare made up of 3–6 pairs of lanceolate or ovate
leaflets are asymmetrical (5–12cm long x 2–5cmwide). This provide more multiple layers of leaf
throughout the branching and twigs will promote
more reflection and absorption of incoming solar
radiation and helps in reducing transmission ofradiant heat under the canopies. Shaded trees with ahigher LAI should contribute more of reducing theurban heat island. In addition, for F. decipiens
canopy has a dense spreading crown with leaves(13-17cm long) and small oval leaflets (1.8-3.0 longx 1.2-1.8cm wide) that are alternately arranged, andit provides a less multiple layer and low density ofleaf cover. So for the tree with better radiation
filtrations are significantly relate with branching
habits and leaf distributions characteristics.

Solar radiation
All trees have the ability to filter solar radiation.
The results indicated that the mean solar radiation
filtration of D. oliveri (81.052%), F. decipiens(81.266%), T. rosea (82.016%) and SM (83.234%).
Thus, S. macrophylla and T. rosea are more
effective in solar radiation than F. decipiens and D.
oliveri. Meaning that, S. macrophylla and T. rosea
has thicker branching, twigs and leaves that cancreate a higher LAI value, less canopy transmissivity
and made the best contribution in blocking radiationfrom reaching the ground surface. On the other hand,
D. oliveri have spreading and an open crown withdroopy and feathery compound leaves, this condition
will allow more radiant heat passed through the
canopy. That means, D. oliveri provide some shadefrom solar radiation, but the effect is not sufficientdue to higher radiation transmission and reflection
when compared to S. macrophylla.

CONCLUSION
This paper set out to illustrate the shading
effectiveness of two types of tree canopy shape in
hot humid regions. All trees, namely D. oliveri, F.
decipiens, T. rosea and S. macrophylla have ability
to vary solar radiation due to their physicalcharacteristic. Physical characteristics related tohigher LAI values contribute to tapping moreincoming solar radiation. Study have shown thatsome physical characteristics likes foliage cover,branching habit and types, size and arrangement ofleaves play important roles in improving efficiency
in radiation reflection and absorption. Study findthat species with a higher LAI, higher solar radiation
filtration, less transmissivity, such as S. macrophylla
and T. rosea, do reduce air temperature and surface
temperature and increase relative humidity morebecause they cast a denser shade. These effect isthought to increase when this species is planted inclusters and its will help in producing cool islandeffects in city areas. Meanwhile for species provides
less LAI value, less solar radiation filtration andhigher transmissivity, such as D. oliveri, due to theless dense branch habit and small size of leaves.
However, physical characteristic of D. oliveri withspreading structure of the canopy create more shade,especially during overhead sun. Thus, the study
suggest that D. oliveri is suitable for planting inparking area or open space because this tree require
a wider shade but can tolerant moderately reduced
radiant heat. Finally, this knowledge can be
implementing by professionals in urban planningand design to offer better outdoor thermal comfort
and contribute to energy budgets of buildings andhumans in tropical urban climate environments.

Transmissivity
The results indicated that the mean transmissivityof D. oliveri (12.920%), F. decipiens (12.482%), T.
rosea (12.242%) and S. macrophylla (11.182%).
There was a significant negative correlation between
solar radiation filtration and transmissivity (t=22.500, P=0.000, R²=0.966). The increase solar
radiation filtration value corresponds to the decreasetransmissivity value. A lower value of transmissivity
is considered a suitable condition. This means thatthe transmissivity of the S. macrophylla and T. rosea
canopy is better than F. decipiens and D. oliveri.
This indicated that the S. macrophylla and T. rosea
canopy provides greater density of branching andtwigs than F. decipiens and D. oliveri. A higher
reduction of light intensity and glare due toobstruction from branching will create better shade
and could increase human comfort.
Leaf area index (LAI)
The outcome shows that the mean LAI of D.
oliveri (1.702m²/m²), F. decipiens (1.842m²/m²), T.
rosea(2.052m²/m²)
andS.
macrophylla(2.790m²/m²). This means that the foliage cover andsurface area of S. macrophylla and T. rosea is denser
and higher than F. decipiens and D. oliveri.
Correlation results show positive relationships arestrong and significant between solar radiation
filtration and LAI for S. macrophylla and T. rosea.
Therefore, it can filter solar radiation and light more
effectively than the latter. Based on images of leaf
sizes and branching, it is evident the most of the S.
macrophylla canopy has dense rounded crown with

ACKNOWLEDGEMENTS
Our sincere appreciation goes to lab assistance
Mohd. Faizal Md. Nasir and Nurulhuda Zakaria
581

SEE-Mie, Japan, Nov. 19-21, 2015

from Environmental Lab at School of Housing,
Building and Planning, USM for providing
instruments and services during the fieldmeasurement process.

[13]

[14]
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First International Conference on Science & Environment,
Tsu City, Nov. 19-21, 2015, ISBN: 978-4-9905958-3-8 C3051

EXAMINING THE SIX WELL KNOWN EQUATIONS FOR

ESTIMATING REFERENCE EVAPOTRANSPIRATION IN
HERAT, AFGHANISTAN
1

Homayoon Ganji1 Takamitsu Kajisa1 Masaaki Kondo1 Behroze Rostami1
Graduate School of Bioresources, Mie University, 514-8507 Kurima-machiya-cho 1577, Tsu, Japan

ABSTRACT
Herat province as a semi-arid area, having strong winds which are known as “120-day winds” needs to beinvestigated with aim for discovering the best method for estimating the reference evapotranspiration (ET0)which has the most accuracy and is adaptable in the area. In this research, an examining has been done between
six well known methods based on their performances under the given climatic condition in the Herat provinces.
Pan evaporation (Epan) is considered as indicator to compare with Penman-Monteith, which is the only methodthat includes a variable of wind, Thornthwaite, and Hargreaves, and Hamon, Net radiation and solar radiation
methods. 8 years data from 2006 to 2013 is used to show the seasonal climatic variations as well the year 2009
data is used to compare the six methods between each other. The ET0 estimated values by six methods have beencorrelated with Epan estimated value, using Pearson’s correlation (R) methods. Based on p-value, all of the six
methods are found significant to be used for measuring the ET0. The Penman-Monteith method is showing thehighest R. Hence, by considering the Mean Squire Error (MSE) calculation, the Penman-Monteith method has
the lowest value which suggests the best measuring of the ET0. The secondary smallest MSE was shown for
Hargreaves. The yearly ET0 of Hargreaves was larger than the Epan, while the yearly ET0 of Penman-Monteith
was smaller than Epan. Therefore, in a case the aim is not accuracy but design, the Hargreaves might not beignored.

Keyword: 120-day winds, Pan Evaporation, Reference Evapotranspiration, Herat, Afghanistan

performances under the given climatic condition in
the world. In this study, only six models are selected
to estimate the ET0 for Herat, Afghanistan.
Penman-Monteith, the United Nations Food andAgriculture Organization (FAO) has introduced amodel for estimating of the standard ET0 which is
known as Penman-Monteith model Eq. (1) Table 1[2]. The accuracy of the FAO model is as high asrecommended sole method of calculating ET0, if therequirement set of data are available [2]. The only
limitation to the Penman family of models, theyrequire many meteorological inputs, thereby limiting
their utility in data-sparse areas [7], [4].
Thornthwaite (1944) defines ET0 as “the water
loss which will occur if at no time there is a
deficiency of water in the soil for use of vegetation”[16]. As this method requires only monthly averagetemperature, is considered to be popular method [13]According to the Mintz and Walker (1993), theThornthwaite method has been developed totemperature measured under potential conditions andin only overestimate the potential evaporation in arid
regions if air surface temperature is applied Eq. (2)Table 1.

INTRODUCTION
Evapotranspiration (ET) is defined as physicalprocesses whereby liquid water vaporized into theatmosphere from evaporating surfaces [2], [11] and[15]
ET is the most significant component of thehydrologic budget, apart from precipitation [7].
Accordingly, in arid and semi-arid areas, ET isimportant as well. The ET varies according toweather and wind conditions. Because of thisvariability, water managers who are responsible forplanning and adjudicating the distribution of water
resources need to have a thorough understanding of
the ET process, and knowledge about the spatial andtemporal rates of it.
ET is defined in different concepts as one of theconcepts is called potential or reference
evapotranspiration (ET0). The concept of the ET0 isused to introduce the evaporative demand of theatmosphere apart from the crop type, cropdevelopment and management practice [2].
Many different methods for measuring the ET0
have been developed based on their daily583

SEE-Mie, Japan, Nov. 19-21, 2015

This method is the basic form of the 24PAN model,
which is also described by Fontenot, R. L. (2004)
Table 1.
Homan Method is also known as one of thesimplest methods that are applicable for estimating
the ET0 in monthly base or yearly bases. According
to the Haith and Shoemaker (1987), this method
requires only average number of daylight hours per
day and saturated vapor pressure. The Eq. (5) is used
for this method which was given by [8] Table 1.
Finally, FAO-56PM was simplified by Irmak etal. (2003) as expressing a multi-linear regressionfunction that only net radiation (Rn) and solar
radiation (Rs) are needed as requires input
parameters for estimation Eq. (6)-(7) Table 1.

The Hargreaves-Samani (1985) is one of theolder ET models which are introduced by Allen andHargreaves Eq. (3) [9] Table 1. The requirement
component for this model is simpler than thePenman-Monteith. The Hargreaves’s ET0 model
requires only measured temperature data. Thismodel is seen to be less impacted than Penman-type
methods when data are collected from arid or semiarid and non-irrigated sites.
A method was described by Doorenbos andPruitt (1977) through which evaporation isconverted to ET0. This method described by Allenet al. (1991), known as FAO 24 Pan Evaporation(24PAN). In order to estimate ET0, the measured pan
evaporation is adjusted by a coefficient Kp Eq. (4).
Table 1 Deferent models’ equations
Model
FAO Penman-Monteith(56PM)
Thornthwaite

Equation
𝟗𝟗𝟗𝟗𝟗𝟗𝟎𝟎. 𝟒𝟒𝟒𝟒𝟒𝟒∆(𝑹𝑹𝒏𝒏 − 𝑮𝑮) + γ
𝒖𝒖 (𝒆𝒆 − 𝒆𝒆𝒂𝒂 )𝑻𝑻+
𝟐𝟐𝟐𝟐𝟐𝟐 𝟐𝟐 𝒔𝒔
𝑬𝑬𝑬𝑬𝟎𝟎 =∆ + γ(𝟏𝟏 + 𝟎𝟎. 𝟑𝟑𝟑𝟑𝒖𝒖𝟐𝟐 )𝟏𝟏𝟏𝟏 𝑻𝑻𝑻𝑻 𝒂𝒂 𝑵𝑵
𝑰𝑰
𝑬𝑬𝑬𝑬𝟎𝟎 = 𝟏𝟏𝟏𝟏 × �� � �� �𝑰𝑰𝟏𝟏𝟏𝟏 𝟑𝟑𝟑𝟑
𝟏𝟏𝟏𝟏

𝑰𝑰 = � �
𝒊𝒊=𝟏𝟏Hargreaves-Samani 1985
(H-S)

𝑬𝑬𝑬𝑬𝟎𝟎 = 𝟎𝟎. 𝟎𝟎𝟎𝟎𝟎𝟎𝟎𝟎 (𝑻𝑻𝒎𝒎𝒎𝒎𝒎𝒎𝒎𝒎 + 𝟏𝟏𝟏𝟏. 𝟖𝟖)(𝑻𝑻𝒎𝒎𝒎𝒎𝒎𝒎 − 𝑻𝑻𝒎𝒎𝒎𝒎𝒎𝒎 )𝟎𝟎.𝟓𝟓 𝑹𝑹𝒂𝒂

Homan Method

Net radiation (Rn)
Solar radiation (Rs)

𝑬𝑬𝑬𝑬𝟎𝟎 =2

𝑻𝑻𝑻𝑻 𝟏𝟏.𝟓𝟓𝟓𝟓𝟓𝟓
�𝟓𝟓𝒂𝒂 = (𝟒𝟒𝟒𝟒𝟒𝟒𝟒𝟒𝟒𝟒𝟒𝟒 + 𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏𝟏 − 𝟕𝟕𝟕𝟕. 𝟏𝟏𝐈𝐈 𝟐𝟐 + 𝟎𝟎. 𝟔𝟔𝟔𝟔𝟔𝟔𝐈𝐈 𝟑𝟑 ) × 𝟏𝟏𝟏𝟏−𝟔𝟔

Pan Evaporation

No
1

𝑬𝑬𝑬𝑬𝟎𝟎 = 𝑲𝑲𝒑𝒑 × 𝑬𝑬𝒑𝒑𝒑𝒑𝒑𝒑

𝟐𝟐. 𝟏𝟏 × 𝑯𝑯𝒕𝒕 𝟐𝟐 𝒆𝒆𝒔𝒔(𝑻𝑻𝒎𝒎𝒎𝒎𝒎𝒎𝒎𝒎 + 𝟐𝟐𝟐𝟐𝟐𝟐. 𝟑𝟑)

𝑬𝑬𝑬𝑬𝟎𝟎 = 𝟎𝟎. 𝟒𝟒𝟒𝟒𝟒𝟒 + 𝟎𝟎. 𝟐𝟐𝟐𝟐𝟐𝟐𝑹𝑹𝒏𝒏 + 𝟎𝟎. 𝟎𝟎𝟎𝟎𝟎𝟎𝑻𝑻𝒎𝒎𝒎𝒎𝒎𝒎𝒎𝒎

𝑬𝑬𝑬𝑬𝟎𝟎 = 𝟎𝟎. 𝟔𝟔𝟔𝟔𝟔𝟔 + 𝟎𝟎. 𝟏𝟏𝟏𝟏𝟏𝟏 𝑹𝑹𝒔𝒔 + 𝟎𝟎. 𝟎𝟎𝟎𝟎𝟎𝟎𝑻𝑻𝒎𝒎𝒎𝒎𝒎𝒎𝒎𝒎

3

4
5

6
7

maximum temperature (°C), Tmin is the daily
minimum temperature (°C), Ra is the daily
extraterrestrial radiation (mm day-1), KP is the pancoefficient, Epan is the pan evaporation (mm day-1),
Ht is average number of daylight hours per day [day],Rs is solar shortwave radiation (MJ m-2 day-1).
The available ET0 date with different
organization in Herat province is calculated throughsoftware developed by FAO, called CLIMWAT and
CROPWAT software. Except that, there is no any
method has been recommended for estimating the

Where:
ET0 is grass reference evapotranspiration (mm day-1),
Rn is net radiation (MJ m-2 day-1), G is soil heat flux
(MJ m-2 day-1), γ is the psychometric constant(kPa °C-1), es is the saturation vapor pressure (kPa),ea is the actual vapor pressure (kPa), ∆ is the slopeof the saturation vapor pressure - temperature curve(kPa °C-1), T is the average daily air temperature(°C), u2 is the mean daily wind speed at 2 m (m s-1)[2]. Ti is the mean monthly temperature (°C); N is
the mean monthly sunshine hour, Tmax is the daily584

SEE-Mie, Japan, Nov. 19-21, 2015

ET0 in Herat province yet, it means that, still no any
research has been done to compare different
methods in this regards so far. Thus, in order toestablish a common method which can provide amore accurate ET0, this research has been done withfollowing hypothesis:

2) The ET0 estimation value is more accuratewith the methods those require wind factor than thedose do not require wind factor.
ESTIMITION METHODSFor estimating the ET0 rate, six well known
methods are used as shown in Table 1. Climaticparameters that is important for estimation of the six
different methods, shown in Table 2.

1) Epan can be a good indicator for ET0
estimation through different methods.
Table 2 Metrological parameters for different methods.

Variables
Methods

Temperature

Humidity

Wind
speed

Radiation

FAO56-PMnecessarynecessarynecessarynecessary

Thornthwaite

necessary--

Hargreaves

necessary

-

-

Hamon

necessary--Rs- basedradiationnecessarynecessary-

Rn- basedradiationnecessarynecessary-

Due to lack of enough Epan data, only the datafrom year 2009 is used to estimate the ET0.
Collecting the metrological data is still achallenge in Afghanistan, but recently the ministryof Agriculture and livestock with support of FAO
organization could reestablish the metrologicalstations in each province of Afghanistan.
There is a metrological station in Herat province
which belongs to the department of Agriculture andlivestock. This station is called Urdu Khan ResearchCenter.
Urdu khan Regional Agricultural Research
Station with a total area of 225 hectares is located inlatitude of 39° 11' N and a longitude of 68° 13' Ewith an elevation of 964 meters in Urdu khan village,
at 5.8 kilometers southeast of Herat city. The
maximum mean annual temperature is around
28.9°C and minimum mean temperature -0.6 °C.
Precipitation is reported 220 mm in average baseyearly. The first frost almost occurs around
November 4th whereas the last frost is seen about
March 28th. The total frost-free days are 226 day
during the summer season [14]. A strong windwhich is called the “120-day winds” persists fromearly June until late September with a strong average

No. ofDaylight hours

Saturatedvapour pressurenecessarynecessarynecessary--necessary-necessarynecessary-necessarynecessary-

force (7.01 m/sec) [6].
RESULT AND DISCUSSION
Strong winds as a metrological factor, influences
the ET0 which is estimated by different methods.
The ET0 rate is shown different according to thedifferent methods because all applied methods
require different metrological factors in estimationof the ET0.
Among the applied methods in this study,
Penman-Monteith is the only method which requires
wind factor directly for estimating the ET0 includingof the temperature, relative humidity and sun shine
hours. Epan which is measured directly from A-classpan and Hargreaves methods, which requires
temperature only, are influenced by wind speed
whereas the other methods are seemed not
influenced by wind factor.
1. Seasonal difference among the metrologicalvariables is shown in Fig. 1. The monthly averagevariation of temperature, wind speed, humidity, solar
radiation and net radiation which are necessary forET0 estimation has been measured for 8 years.

585

586

Rs

10

5

0

Fig 1 Daily average temperature, wind speed and humidity of four seasons
25-Dec15
18-Dec2027-Mar25

20-Mar30
11-DecRn

13-Mar35
4-Dec

Winter

6-Mar

Rs

27-Nov

20-Nov

20

15

10

5

0

1-Jun

25-May18-May11-May4-May

27-Apr

22-Jun25

15-Jun30

23-Sep35

16-SepRn

8-Jun

Summer

9-Sep

2-Sep

26-Aug

19-Aug12-AugRs

27-Feb

13-Nov

5-Aug

20-Apr

13-Apr

6-Apr

30-Mar23-Mar(Jm-2 s-1)

Rn

20-FebWind Speed (m/s)

13-FebWinter
6-Nov

Fall

6-Feb

Wind Speed (m/s)
29-Jul

22-JulSummer

30-OctWind Speed (m/s)

23-Oct15-Jul(Jm-2 s-1)

22-Jun15-Jun

8-Jun

1-Jun

25-MaySpring30-Jan16-Oct

8-Jul

1-Jul

24-Jun23-Sep16-Sep

9-Sep

2-Sep

26-AugWind Speed (m/s)

23-Jan16-Jan

9-Oct

2-Oct

25-Sep(Jm-2 s-1)

80
70
60
50
40
30
20
10
0

9-Jan

80
70
60
50
40
30
20
10
0

(Jm-2 s-1)

25-Dec18-Dec11-Dec4-Dec

18-May11-May4-May

27-Apr20-Apr

13-Apr

6-Apr

30-Mar23-Mar

80
70
60
50
40
30
20
10
0

2-Jan

26-Dec27-Mar20-Mar13-MarTmen (°C)
Humidity (%)
27-Nov

Tmen (°C)
Humidity(%)

6-Mar

19-Aug12-Aug5-Aug

29-Jul

22-Jul15-Jul

8-Jul

1-Jul

24-JunTmen (°C)
Humidity (%)

27-Feb

20-Nov

13-Nov

6-Nov

30-Oct23-OctTmen (°C)
Humidity (%)

20-Feb

13-Feb

6-Feb

30-Jan23-Jan16-Jan16-Oct

9-Oct

2-Oct

25-Sep

80
70
60
50
40
30
20
10
0

9-Jan

2-Jan

26-DecSEE-Mie, Japan, Nov. 19-21, 2015

Spring

35
Rs

30

25

20

15

10
5

0

Fall

35
Rn

30

25

20

15

10

5

0

SEE-Mie, Japan, Nov. 19-21, 2015

It is shown in Fig. 2 that, there is deference
between Penman-Monteith ET0 value and Epan value
since early of summer until end of summer season;
as well, the deference is seen between Hargreaves
ET0 value and Epan value from January until June
shown in Fig. 3.
The other four methods show lower ET0 value
than the Epan, as there is a big deference between
each method and Epan, especially form around May
until late November (Fig. 4 to 7).

Humidity is seen high in the early spring, entire
the winter and late fall whereas the summer season
is characterized with low humidity, due to low
precipitation.
The entire of the summer season, wind speed isseen faster, almost more than 5 m/s averagely thanthe other seasons. Similarly, temperature is high inthe summer, but since early of fall the temperaturedrops till medal of spring.
Net radiation is decreasing by early of fall andagain increasing from late winter on.
2. Compression of the daily average ET0 value,estimated through the different six methods such as;
Thornthwaite, Hargreaves, Hamon, Solar radiation
and Net radiation, Epan and FAO-56PM between
each other is shown by (Fig. 2 to 7),using data ofyear 2009. All methods show a higher rate of ET0
from the early summer until late fall.
The Penman-Monteith and Hargreaves methods
show closer ET0 value to the Epan entire of the year,
especially at early of summer until late fall seasons(Fig 2 and 3). The reason might be referred to thestrong wind “120-day winds” which blows all thesummer season with high speed. This is why the ET0
estimated through penman-Monteith, which requires
wind velocity and Hargreaves method, which isrecommended at the arid area are closer in volume
with Epan.

25
Epan

Hamon

20

ET0 (mm/day)

(C)

15
10
5
0
1/1 2/1 3/1 4/1 5/1 6/1 7/1 8/1 9/1 10/1 11/112/1

Fig. 4 Daily average estimated ET0 throughEpan and Hamon methods
25
Epan

Thoranthwait

25
20

Penman-Montieth

ET0 (mm/day)

Epan

ET0 (mm/day)

20
15

(E)
15
10

10

5

5

0
1/1 2/1 3/1 4/1 5/1 6/1 7/1 8/1 9/1 10/111/112/1

0

Fig. 5 Daily average estimated ET0 throughEpan and Thornthwaite methods

1/1 2/1 3/1 4/1 5/1 6/1 7/1 8/1 9/1 10/1 11/112/1

Fig. 2 Daily average estimated ET0 through Epanand Penman-Monteith methods

25
Epan
Solar radiation (Rs) based method

25
Epan

Hargreaves

20

(D)

ET0 (mm/day)

ET0 (mm/day)

20

15

15

10

10

5
5
0
1/1 2/1 3/1 4/1 5/1 6/1 7/1 8/1 9/1 10/1 11/112/1

0
1/1 2/1 3/1 4/1 5/1 6/1 7/1 8/1 9/1 10/1 11/112/1

Fig. 6 Daily average estimated ET0 throughEpan and Solar radiation methods

Fig. 3 Daily average estimated ET0 throughEpan and Hargreaves methods
587

SEE-Mie, Japan, Nov. 19-21, 2015

25
Epan

The Hargreaves, Epan and Penman- Monteithshow higher total annual ET0 value than the fourothers. Variations in the ET0 estimation reflect thedifferences in the variables applied in each method.
According to the Fig. 3, Hargreaves shows thehighest total annual ET0 value that is 3500 mm/year,
whereas the Thornthwaite, Homan, Solar radiation
based method and Net radiation based methods show
the lower value of total annual ET0 of which
Thornthwaite method shows the lowest total annual
value that is 1000 mm/year.
As the Epan is considered as indicator, theestimated ET0 through Penman-Monteith andHargreaves methods are closer to the Epan value.
Therefore, the Penman-Monteith methods can beconsidered the most accurate method, whereas theHargreaves methods as the second accurate method
is useful to apply for designing of irrigation plan.

Net radiation (Rn)based Method

ET0 (mm/day)20
15 (F)
10
5
0
1/1 2/1 3/1 4/1 5/1 6/1 7/1 8/1 9/1 10/111/112/1

Fig. 7 Daily average estimated ET0 throughEpan and Net radiation methods
3. Yearly estimated ET0 value by using thesix well known methods is shown by Fig. 8.

4000

3500

3000

ETo (mm/y)

2500

2000

1500

1000

500

0

Fig. 8 Total annual ET0 estimates given by different methods covering 2009 year metrological data
penman-Monteith method and Epan. This correlation
is found by Zhang et al., 2007. Zhang considered
Epan as indicator for reference evapotranspiration and

4. Brutsaert and Parlange (1998) indicatedthat, Epan is often taken as a good indicator of ET0 [3].
Therefore Fig. 9 shows a strong correlation between
588

SEE-Mie, Japan, Nov. 19-21, 2015

which has (R2 = 0.8 & a = 0.80), all the others havethe low value of (a) coefficient. Furthermore,
Penman–Monteith requires the wind as a main factor
for estimating the ET0 and in other hand, Herat ischaracterized with strong wind velocity, thePenman–Monteith is recommended as the mostaccurate model for estimating the ET0.

potential evapotranspiration [17].

Penman-Montieth(mm/day)

25

5

0

5

10

15

20

Fig. 10 Relationships between daily average Epanevaporation and Penman-Monteith methods

Hargreaves (mm/day)25

Table 3 Correlated coefficient and mean error squareof six well known methods

y = 0.8037x + 3.6209
R² = 0.8067

20
15
10
5
0

0

5

10

15

20

Epan (mm/day)

ModelsMSE

Pvalue

R2

a

b

n

Hargreaves

0.8

0.8

3.6

365

3.32

0.00

FAO-56PM

0.8

0.6

0.7

365

2.70

0.00

0.8

0.2

1.4

365

5.70

0.00

Net radiation

0.6

0.2

1.9

365

6.11

0.00

Hamon

0.8

0.3

0.5

365

5.71

0.00

Thornthwaite

0.8

0.3

0.0

365

5.97

0.00

Fig. 11 Relationships between daily average Epanevaporation and Hargreaves methods

Thoranthwait (mm/day)coefficientsradiation

10

Epan (mm/day)

Therefore, The Hargreaves, Thornthwaite,
Hamon, solar radiation and net radiation-based
methods, Penman-Monteith are correlated with Epanas the value of (R2), (a) coefficients and Total yearlyET0 is shown by Table 4. By considering the (R2)and (a) value, in a case if the (R2) value is the same
between two methods, the most accurate andsignificant method is the one which has the (a)nearest to the 1.
The Penman-Monteith method with having (R2 =0.8& a = 0.69) is shown the highest correlation with
Epan as well as shows the closest ET0 value to the Epan.

Solar-

15

0

Fig. 9 Relationships between yearly PenmanMonteith ET0 and evaporation Epan calculated by thePenman equation (source: Zhang et al., 2007).

y = 0.6962x + 0.7842
R² = 0.8817

20

PM is Penman-Monteith method25

y = 0.3757x - 0.0749
R² = 0.8177

20
15
10
5
0

0

5

10

15

20

Epan (mm/day)The relationship between the six methods isshown in (Fig. 10 to 15). Based on P-value all themethods have significant correlation with Epan, but
by considering the (a) value, except the Hargreaves

Fig. 12 Relationships between daily average Epanevaporation and Thornthwaite methods
589

SEE-Mie, Japan, Nov. 19-21, 2015

recommended for estimating the ET0 as it showshigh correlation with Epan.

Hamon (mm/day)25
y = 0.349x + 0.5597
R² = 0.8306

20

CONCLUSION15In Herat province, the ET0 rate is shown different
according to the different methods because allapplied methods require different metrologicalfactors for estimation of the ET0. Among the applied
methods in this study, Penman-Monteith is the only
method which requires wind factor directly for
estimating the ET0 including the temperature,
relative humidity and sun shine hours.
Epan evaporation which is measured directly from
A-class pan and Hargreaves methods, which requires
temperature only, is also influenced by wind factor
whereas the other methods are not influenced.
1. Humidity is high in the early spring, entire
the winter and late fall whereas the summer season
is characterized with low humidity due to low
precipitation.
The entire of the summer season, wind speed isseen faster almost more than 5 m/s averagely thanthe other seasons. Similarly, temperature also is highin the summer, but since early of fall season thetemperature decreases till middle of spring.
Net radiation is decreasing by early of fall andagain increasing from late winter on.
2. All methods show a higher rate of ET0 fromthe early summer until late fall. The PenmanMonteith and Hargreaves show closer ET0 to the Epan
entire of the year, whereas the other four methods
are different especially at early of summer until latefall seasons. The reason is referred to the strong
wind “120-day winds” which blows all the summer
season with high speed. This is why the estimated
ET0 through penman-Monteith, which requires windvelocity and Hargreaves method, which isrecommended at the arid area, are closer to themeasured evaporation through Epan.
3. Hargreaves, Penman-Monteith and Epan
methods show the higher value of ET0 as theHargreaves shows the highest total annual value ofET0 3500 mm/year, whereas the Thornthwaite,
Homan, Solar radiation based method and Net
radiation based methods, show the lower value of
ET0 as Thornthwaite has the lowest total annual
value of 1000 mm/year.
4. As the Epan is considered as indicator, theestimated ET0 through Penman-Monteith andHargreaves methods are closer to the Epan value.
Therefore, those methods are applicable than theother four methods in Herat, Afghanistan.
ACKNOWLEDGEMENT

10
5
0

0

5

10

15

20

Epan (mm/day)Solar radiation (Rs) based
method (mm/day)Fig. 13 Relationships between daily average Epanevaporation and Hamon methods
25

y = 0.2775x + 1.4685
R² = 0.8256

20
15
10
5
0

0

5

10

15

20

Epan (mm/day)

Net radiation (Rn) based
method (mm/day)Fig. 14 Relationships between daily average Epanevaporation and Solar-radiation methods
25
y = 0.201x + 1.9272
R² = 0.6556

20
15
10
5
0

0

5

10

15

20

Epan (mm/day)Fig. 15 Relationships between daily average Epanevaporation and Net radiation Methods
In a case if the requirement factors for penmanMonteith is not available, the Hargreaves with (R2 =0.8067 & a = 0.8037) method, which only requires
temperature and radiation for calculation, is590

SEE-Mie, Japan, Nov. 19-21, 2015[9] Hargreaves, George H., and Richard G. Allen.
"History and evaluation of Hargreaves
evapotranspiration equation." J. of Irrigation
and Drainage Engineering, Vol. 129(1), Feb.
2003, pp. 53-63.
[10] Irmak, S., et al. "Solar and net radiation-based
equationstoestimate
reference
evapotranspiration in humid climates", J. of
irrigation and drainage engineering, Vol. 129(5),Oct. 2003, pp. 336-347.
[11] Li, F., Lyons, T.J., 1999. Estimation of regional
evapotranspiration through remote sensing. J.
Appl. Meteorol.38, 1644-1654.
[12] Mintz, Y., and Walker, G. K. “Global fields ofsoil
moistureandland
surfaceevapotranspiration derived from observed
precipitation and surface air temperature.” J. of
Meteorology, Vol. 32, Aug. 1993, pp. 130512334.
[13] O. Alkaeed, C. Flores, K. Jinno and A.
Tsutsumi. 2006. Comparison of Several
Reference Evapotranspiration Methods for
Itoshima Peninsula Area, Fukuoka, Japan.
Kyushu University, Vol. 66, No.1.
[14] Osmanzai, M. 2009. Annual Report. CIMMYT,
Afghanistan.
[15] Penman, H.L. 1948. Natural evapotranspirationfrom open-water, bare soil and grass. Proc. R.
Soc. Acad., 193: 120-145.
[16] Thornthwaite, C. W. 1948. “An approach
toward a rational classification of climate.”
Geography. Rev. 38.
[17] Zhang, Yongqiang, et al. "Trends in pan
evaporation and reference and actual
evapotranspiration across the Tibetan Plateau", J.
of Geophysical Research: Atmospheres, Vol.
112.D12. Jun. 2007.

REFERENCES[1] Allen, Richard G., and William O. Pruitt.
"FAO-24 reference evapotranspiration factors."
J. of irrigation and drainage engineering, Vol.
117(5), Sep. 1991, pp. 758-773.
[2] Allen,
Richard
G.,
et
al.
"Crop
evapotranspiration-Guidelines for computing
crop water requirements-FAO Irrigation anddrainage paper 56" FAO, Rome , Vol. 300(9),year 1998.
[3] Brutsaert, W., and M. B. Parlange. "Hydrologic
cycle explains the evaporation paradox", J. of
Nature, Vol. 396.6706, Nov. 1998, pp. 30-30.
[4] Dingman, S.L.1994. Physical Hydrology. Upper
Saddle River, NJ: Prentice Hall
[5] Fontenot, R. L., An evaluation of reference
evapotranspiration models in Louisiana. Diss.
Faculty of the Louisiana State University andAgricultural and Mechanical College in partial
fulfillment of the requirements for the degree ofMaster of Natural Sciences In The
Interdepartmental Program of Natural Sciencesby Royce Landon Fontenot BS, Louisiana State
University, 2004.
[6] Ganji H, Rahmany Ab. S, Kajisa T, Kondo M,
Hajime N, “Comparison of the Crop Water
Need between Actual Wind Condition and ZeroWind Simulation; Wind Velocity within 24Hour Interval in Herat, Afghanistan”. In Tokyo
University of Agriculture. 20th Int. Conf. on
ISSAAS, 2014, pp. 91.
[7] Hanson, Ronald L. "Evapotranspiration anddroughts." Paulson, RW, Chase, EB, Roberts,
RS, and Moody, DW, Compilers, National
Water Summary (1988), pp. 99-104.
[8] Haith, Douglas A., and Leslie L. Shoenaker.
"Generalized Watershed Loading Functions for
Stream Flow Nutrients1", J. JAWRA, Vol.
23(3), Jun. 1987, pp. 471-478.

591

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

USE OF FLU GAS DESULFURIZING GYPSUM FOR REMOVAL OF
OFF-FLAVOR COMPOUNDS IN FISH PONDS WATER
Niwooti Whangchai1*, Redel Gutierrez2, Udomluk Sompong1, Supannee Suwanpakdee1,
Pornpimol Pimolrat3 and Kanda Whangchai4
1Faculty of Fisheries Technology and Aquatic Resources, Maejo University, Sansai, Chiang Mai,
Thailand; 2College of Arts and Sciences, Central Luzon State University, Science City of Munoz, Nueva Ecija,
3120, Philippines; 3Program in Fisheries, Maejo University, Chumphon Campus, La Mae, Chumphon,
Thailand; 4Department of Biology, Faculty of Science, Chiangmai University, Thailand*Email: niwooti@hotmail.co.th
ABSTRACT
Accumulation of off-flavor in fish flesh caused by the presence of geosmin and 2-methylisoborneol (MIB) in
pond water is a worldwide quality problem in aquaculture. This study investigated the effectiveness ofcommercial flue gas desulfurizing gypsum (CFG), a cheap and readily soluble material, for the removal of off
flavor substances: geosmin and MIB, in fish pond water. Water samples from fish ponds were spiked with known
concentrations of geosmin and MIB and varying amounts of CFG (0, 200, 400 and 600 mg/L) were added to compare theremoval rate of geosmin and MIB, chlorophyll a levels and orthophosphate. The experiment was conducted for 9 days. It
was revealed that CFG had significantly reduced both geosmin and MIB in spiked ponds water when comparedwith the control (0 mg/L) (P<0.05). The highest removal rates of geosmin (63.41%) were found when 600 mg/L
of CFG was used after 9 days. However, the removal rate of geosmin at 200 and 400 mg/L CFG was not
significantly (P>0.05) different from 600 mg/L. The highest removal rates of MIB (75.63%) were found with thetreatment with 400 mg/L CFG after 6 days. In addition, 200 mg/L CFG was also highly effective in reducing
chlorophyll a and orthophosphate concentration through calcium phosphate precipitation. It was suggested that
200 mg/L CFG is the suitable dose to apply for removal of off flavor compounds in fish ponds water.
Keywords: Off-flavor, Removal, Gypsum, Fish pond water, Geosmin, MIB
calcium and sulfur that has been widely used inagriculture for recovery of alkali soils and as a source of
calcium and sulfate in fertilizer [9]-[11]. Some studiedsuggested that natural rock gypsum powder could be used
as a pond treatment in aquaculture for: flocculation ofclay particles, increasing the concentration of calcium andtotal hardness, precipitation of phosphate and reducing inwater pH [12]. However, the information on using CFG
for water treatment in aquaculture especially in algal richponds water is limited. So, this study aimed to evaluate
and the effectiveness of CFG in removing off-flavors
compounds. The changes of phytoplankton cells andwater qualities were also observed.

INTRODUCTION
Increase in population resulting in increased demand
has pushed extensive aquaculture towards intensively
operated production systems and commonly resulting ineutrophic conditions and cyanobacterial blooms.
Cyanobacterial secondary metabolites can cause
undesirable tastes and odors leading to acceptability inaquaculture products [1], [2]. Off-flavors especially
earthy-musty off-flavors in drinking water supplies andaquatic animals for human consumption are world-wide
problems. 2-methylisoborneol (MIB) and geosmin are
the two most common earthy/musty-causing compounds.
These off-flavors metabolites can be detected byconsumers at the concentrations as low as 5–10 ng/L [3].
Some studies have shown that earthy/musty aromas wereexcreted by cyanobacteria such as Anabaena sp.,
Oscillatoria sp., Lyngbya sp. [4]-[6]. The conventional
methods for controlling cyanobacterial bloom (sources ofmetabolites) are coagulation, clarification, filtration,algaecide and ozone [7], [8]. These methods, except
coagulation, are usually expensive, complicated and cancause further pollution due to the use of chemicals.
Commercial flue gas desulfurizing gypsum has
been used in agriculture purposes for soil amendment.
Because it is a cheap and readily available source of

MATERIALS AND METHODS
Experimental Protocol
Algal-rich water samples collected from fish ponds
were spiked with known concentrations of geosmin and
MIB and varying amounts of CFG (0, 200, 400 and 600mg/L) were added. Three replications of each group were
performed. Commercial flue gas desulfurizing
gypsum used in this study was purchased from local
company.
The removal rate of geosmin and MIB, chlorophyll a592

SEE-Mie, Japan, Nov. 19-21, 2015

levels and water quality were monitored for 9 days. The
production of hardness of each concentration was
analyzed to compare with analytical grade gypsum.
Analysis of Geosmin and MIB in Water
Off flavor analysis was conducted by headspacesolid phase microextraction (HS SPME) and gas
chromatography-mass spectrometry (GC/MS) model
Agilent Technology, USA [13]. A Geosmin and
MIB standard from Sigma were used as source of off
flavor.
Water Quality and Nutrient Analysis
Fig. 1 Relation between total hardness andgypsum concentration

Standard methods [14] were used for the analysisof total hardness, and orthophosphate-phosphorus in
the laboratory.
Hydro-biological Analysis
Chlorophyll-a in the water samples was extractedwith 10 mL of hot methanol (60oC in water bath)and quantified with a spectrometer (Hach DR4000,
USA) [14]. Chlorophyll-a concentration was
calculated as described by Wintermans and de Mots
[15] and Saijo [16].
Data Analysis
Analysis of variance (ANOVA) was used to testfor difference between means of observed
parameters in each treatment. Duncan Multiple
Range Test (DMRT) at 95% confidence level wasused for treatment comparison.

Fig. 2 Total hardness concentration from 1 mg/L
analytical and commercial grade gypsum

RESULTS AND DISCUSSION

2. Effect of CFG on geosmin and MIB removal in fish
ponds water

1. Effect of gypsum on total hardness

In this study, CFG could reduce both geosminand MIB in ponds water when compared with thecontrol (0 mg/L). Geosmin could be reduced since 3days when treated with different concentrations of CFG(Fig. 3a). The highest removal rates of geosmin (63.41%)
were found in the treatment using 600 mg/L CFG (Table1). However, the removal rate of geosmin in the groups
that use 400 and 200 mg/L CFG was not significantly
different from 600 mg/L (Fig. 3b-c, Table 2). It is
possibly due to the solubility of different gypsum
concentrations in water. The solubility of calcium sulfate(in pond water) at the concentrations of 50-1,600 mg/L at
25 °C ranged from 88.6 to 95% and dissolution increased
with decreasing concentration and with increasing
temperature [11]. In addition, it was also founded thatthe intracellular forms of both compounds showed
better removal rate than the dissolved forms. It canbe assumed that the negatively charged of
cyanobacteria cells aggregated, and then settled, due
to surface charge neutralization with the positively

In this study, it was founded that gypsum fromdifferent sources (analytical grade and CFG) gavedifferent concentrations of total hardness (Fig. 1).
The analytical grade showed higher total hardness
than commercial grade and positive correlation
between total hardness and gypsum concentration inboth analytical and commercial grade. The total
hardness per 1 mg of analytical and commercial
grade gypsum was 0.546 and 0.329 mg/L of CaCO 3 ,respectively (Fig. 2). In this study, CFG could
dissolve easily and provide harness in to the water.
Some studies reported that gypsum is more soluble
than liming materials and has been widely used inagriculture for increasing concentration of calcium
and total hardness [11], [12]. However CFG:
available and cheap material is suggested to use as
hardness source in aquaculture.

593

SEE-Mie, Japan, Nov. 19-21, 2015

charged colloidal formed by coagulant gypsum [19].
MIB concentration decreased slightly with thedifferent concentrations of CFG added on 3 days (Figure.
3d). However, after 6 days the removal rate of MIB

showed sharply decrease when treated with CFG (Fig.
3e-f). The highest removal rates of MIB (75.63%) were
found when 400 mg/L CFG was used (Table 1).

Fig. 3 Effect of CFG on particulate and dissolved geosmin (a-c) and particulate and dissolved MIB (d-e) concentrations at
different times

Table 1 Removal rate (%) of geosmin and MIB at different CFG concentrations
Removal rate (%)
Days
3
6
9

200 mg/L
6.92
51.32
51.14

Total GSM
400 mg/L
24.25
56.50
56.14

600 mg/L
31.11
58.47
63.41

594

200 mg/L
2.62
39.15
36.67

Total MIB
400 mg/L
3.89
75.63
72.68

600 mg/L
10.43
64.64
40.79

SEE-Mie, Japan, Nov. 19-21, 2015

Table 2 Effectiveness of CFG in removing off-flavor compounds (geosmin and MIB) (mean ±SD)
CFG concentration (mg/l)
200
400
600

Effectiveness in removing off-flavor compounds
geosmin (ng/l)/ CFG 1 mg/l
MIB (ng/l)/CFG 1 mg/l
3.30 ± 0.63
5.71 ± 2.63
2.98 ± 1.11
5.42 ± 2.64
2.37 ± 1.02
3.35 ± 1.30

In general some filamentous cyanobacteria andactinomycetes released geosmin and MIB to thewater. When algal die and decompose, thesemetabolites consisted both particulate and dissolved
forms and have been shown to be somewhat
recalcitrant to conventional water treatment [17],[18].
Base on this study, CFG could apply for off
flavor removal in fish pond. The recommendationlevel is 200 mg/l

dissolved orthophosphate concentration throughcalcium phosphate precipitation in water. [11].

Table 3 Removal of chlorophyll a by different CFG
concentrations
Gypsum(mg/l)
200
400
600

3. Effect of CFG on chlorophyll a concentrations
Increasing of cyanobacteria and the release of
their secondary metabolite, including geosmin and
MIB, present an enormous risk to fish pond water.
Chlorophyll a is generally considered as animportant indicator of algal biomass [20].
In this study, the application of CFG to reduce
the algal biomass was evaluated in the laboratory
conditions. it was shown that all the three
concentrations of CFG (200, 400 and 600 mg/L)
could reduce chlorophyll a level when comparedwith the control treatments (Table 3). The highest
effectiveness of 1 mg/L CFG that could reduce
chlorophyll a was obtained in the treatment using
200 mg/L CFG (Table 3). The reduction of
Chlorophyll a occurred by coagulation mechanism.
Coagulation is a key step in conventional drinking
water treatment for algal removal through colloidal
charge neutralization followed by aggregation into
floc [8]. In general, the effectiveness of coagulants
increases with the charge on the metal ion. The
calcium (Ca2+) in gypsum (CaSO 4 ) is more effective
because it carries a +2 charge [21]. Wu and Boyd[11] also reported that treatment of ponds at Auburn
University with 250-500 mg/L of agricultural
gypsum affected turbidity: many substancessuspended in water including phytoplankton.
Removal is similar to that achieved with 15-25 mg/L
alum but gypsum has the advantage of a longer
residual life than alum, and it is safer to use. Anotherpossible mechanism of gypsum treatment is the
reduction of phytoplankton abundance by lowering

Effective removal of chlorophyll a(µg chlorophyll a/ mg CFG)
1.26
1.16
0.74

4. Effectiveness of CFG on orthophosphateremovalPhosphorus is an essential phytoplankton
nutrient. In the commercial fish culture most
phosphate gets into the water from metabolic wasteof fish and from decomposition of uneaten feed [6],[22]. As feeding rate increases, nutrient
concentration rises then the phytoplankton become
more abundant.
In this experiment, the effect of CFG on
dissolved orthophosphate concentration wasinvestigated. The CFG treated water showed higher
reduction in orthophosphate concentration than thecontrol group (Figs. 4 and 5). The highest effect of
CFG that could reduce orthophosphate concentration
was observed in the treatment using 600 mg/L CFG
after 9 days.
However, the removal rate oforthophosphate in the groups that use 200 and 400
mg/L CFG was not significantly different (P>0.05)
from the 600 mg/L group.
CFG
treatment
reducedorthophosphateconcentration
through
calcium
phosphate
precipitation. Wu and Boyd [11] reported that in thewater with low calcium concentration, gypsum
application
would
precipitate
phosphate.
Additionally, gypsum is safe for human and aquatic
life; its residual time in the pond depends on waterflocculant retention time. Therefore, CFG is asuitable for use in aquaculture ponds.

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SEE-Mie, Japan, Nov. 19-21, 2015

Fig. 4 Orthophosphate concentration in fish pond
water

Fig. 5 Removal rate of orthophosphate withdifferent CFG concentrations[4] Tabachek JL and Yurkowski M, “Isolation andidentification of blue-green algae producing
muddy
odor
metabolites
and2methylisoborneol in saline lake in Monitoba”,
J. Fish Res. Board Can., Vol. 33, 1976, pp. 2535.
[5] Lovell RT and Broce D, “Cause of musty flavor
in pond culture penaeid shrimp”, Aquaculture
penaeid shrimp, Aquaculture, Vol. 50, 1985,
pp. 169-174.
[6] Pimolrat P, Whangchai N, Chitmanat C, Itayama
T and Lebel L, “Off-flavor Characterization inHigh Nutrient Load Tilapia Ponds in Northern
Thailand”, Turkish J. of Fisheries and Aquatic
Sciences, Vol. 15, No.2, 2015, pp. 275-283.
[7] Cooke GD, Welch EB, Peterson SA and Nichols
SA, Restoration and Management of lakes andreservoirs. CRC Press, Inc., Boca Raton,
Florida: USA, 2005.
[8] Sun F, Pei HY, Hu WR, Li XQ, Ma CX and Pei
RT, “The cell damage of Microcystis
aeruginosa in PACl coagulation and floc
storage processes”, Separation and Purification
Technology, Vol. 115, 2013, pp. 123-128.
[9] Jackson ML, Soil chemical analysis. Prentice
Hall, Englewood Cliffs, New Jersey, 1958.
[10] Jones US, Fertilizers and soil fertility. Reston
Publishing, Reston, Virginia. 1979.
[11] Wu R and Boyd CE, “Evaluation of calcium
sulfate for use in aquaculture ponds”, The
Progressive Fish-Culturist, Vol. 52, 1990, pp.
26-31.
[12] Boyd CE, Water quality management for pond
fish culture. Elsevier Scientific, Amsterdam,
USA, 1982.
[13] Gutierrez R, Whangchai1 N, Sompong U,
Prarom W, Iwami N, Itayama T, Nomura N
and Sugiura N, “Off-flavour in Nile tilapia(Oreochromis niloticus) cultured in an
integrated pond-cage culture system”, Maejo
Int. J. Sci. Technol., Vol. 7(Special Issue),2013, pp. S1-13.

CONCLUSION
It was confirmed that CFG at 200 mg/L was
suitable for the reduction of geosmin and MIB
especially in the particulate form. It also reduce
phytoplankton in algal rich pond water because it isshown to be effective in reducing chlorophyll a In
addition, CFG could also remove orthophosphate infish ponds water through calcium phosphate
precipitation which is an alternative way to control
the problem from phytoplankton in fish culture.
Finally it was recommend that CFG can use forwater improvement in aquaculture pond.

ACKNOWLEDGEMENT
The work was carried out with the aid of a grantfrom the Thailand Research Fund (RDG5620050)
and Maejo University for the laboratory instruments
and research facilities.

REFERENCES[1] Smith JL, Boyer GL and Zimba, PV, “A review
of cyanobacterial odorous and bioactive
metabolites:
Impacts
andmanagement
alternatives in aquaculture”, Aquaculture, Vol.
280,bNo.1-4, 2008, pp. 5-20.
[2] Han J, Jeon BS, Futatsugi N and Park HD, “Theeffect of alum coagulation for in-lake treatmentof toxic Microcystis and other cyanobacteria
related organisms in microcosm experiments”,
Ecotoxicology and Environmental Safety, Vol.
96, 2013, pp. 17-23.
[3] Zhou B, Yuan R, Shi C, Yu L, Gu J and Zhang
C, “Biodegradation of geosmin in drinking
water by novel bacteria isolated from
biologically active carbon”, J. Environmental
Sciences, Vol. 23, No.5, 2011, pp. 816-823.

596

SEE-Mie, Japan, Nov. 19-21, 2015[14] APHA, Standard Method for the Examinationof Water and Wastewater. 15th Edition,
Washington DC: American Public Health
Association, USA, 1980.
[15] Wintermans JFGM and de Mots A,“Spectrophotometriccharacteristics
ofchlorophyll a and b and their pheophytins inethanol”, Biochim. Biophys. Acta., Vol. 109,
1965, pp. 448-453.
[16] Saijo Y, “A method for determination ofchlorophyll”, Jpn J. Limnol., Vol 36, No.3,
1975, pp. 103-109.
[17] Nerenberg R, Rittmann BE and Soucie WJ,“Ozone/biofiltration for removing MIB andgeosmin”, J. Am. Water Work Ass., Vol. 92,
2000, pp. 85-95.
[18] Ho L, Hoefel D, Bock F, Saint PC andNewcombe G, “Biodegradation rates of 2methlyisoborneol (MIB) and geosmin throughsand filters and in bioreactors”, Chemosphere,
Vol. 66, 2007, pp. 2210-2218.

[19] He W, Zhu Y, Xiao QH, Yang J, Lei LM, Han
BP and. Zhang YM, “Study of removal ofwater bloom cells by red earth modified withpolyaluminium chloride and ferric chloride”,
Ecol. Environ. Sci., Vol. 19, 2010, pp. 550555.
[20] Izydorczyk K, Carpentier C, Mrówczyń ski J,
Wagenvoort A, Jurczak T, and Tarczyń ska M,“Establishment of an alert level framework forcyanobacteria in drinking water resources byusing the algae online analyser for monitoring
cyanobacteria chlorophyll a”, Water Res., Vol.
43, 2009, pp. 989-996.
[21] Bockris JOM and Reddy AKN, Modern
Electrochemistry. New York: Plenum Press,
1973, 622pp.
[22] Boyd CE, “Chemical budgets for channel
catfish ponds”, Transactions of the American
Fisheries Society, Vol. 114, 1985, pp. 291-298.

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First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

KNOWLEDGE, ATTITUDE, AND SELF-CARE PRACTICE AMONG
HYPERTENSIVE PATIENTS IN PATHUM THANI, THAILAND.
Chotisiri L.1, Yamarat K. 1, Trongskul T.2, Taneepanichskul S.1
College of Public Health Sciences, Chulalongkorn University, Bangkok, Thailand
2
Bueng KhamPhroi Health Promoting Hospital, Ministry of Public Health, Thailand
1

ABSTRACT
Hypertension is a major risk factor for cardiovascular disease (CVD). The purpose of this study was toexplore knowledge, attitude and, self-care among hypertensive patients in Pathum Thani Province, Thailand.
A cross-sectional study was conducted at Bueng Kham Phroi Hospital between January and March 2015. One
hundred and forty four cases were recruited. The data were collected by using NCD screening and a structure
questionnaire. Descriptive statistics and Chi square were used to analyze the data. Most of respondents were
women (74.3%), age 66.1 years old (±9.0 years), married (66.7%), housekeeper/retirement (67.4%), and with anelementary education (79.2%). NCD screening found that blood pressure was 136.4 (±14.4)/79.2 (±10.1) mmHg,
body mass index was 24.9 Kg/m2 (± 3.6 Kg/m2), waist circumference was 88.6 cm (±7.1 cm) for men and 85.7
cm (±6.8 cm) for women. The knowledge of hypertension score was moderate to high. Most of respondents had
a neutral attitude towards the overall score. Self-care practice to control blood pressure was low. In addition,
self-care practice in term of healthy diet and physical activity was inadequate.
Keywords: Knowledge, Attitude, Self-care practice, Hypertensive patients.
among hypertensive patients in Pathum Thani
Province, Thailand.

INTRODUCTION
Hypertension is a major global health problem,
the Global Burden of Disease Study (GBDS) statedthat premature deaths, disability, stroke, and heartdisease are related to increased blood pressure [1].
Higher incidence rates of hypertension are attributed
to population growth, ageing, and behavioral risk
factors such as unhealthy food intake, physicalinactivity, obesity, smoking, excessive alcohol
drinking, and chronic stress [2]. Uncontrolled bloodpressure is associated with an increased risk of heartdisease, stroke, and kidney disease [3], [4].
In all regions of Thailand, there is a highprevalence of newly diagnosed hypertension cases[5], [6]. High blood pressure is associated with manyfactors including age, gender, body mass index(BMI), family history of hypertension, and sedentary
habits. Furthermore, lifestyle choices such as
unhealthy food intake, physical inactivity, tobacco,
alcohol use, stressful conditions, and insufficient
sleep also increase the risk of hypertension [7]-[9].
Both pharmacotherapy and lifestyle modification arerecommended treatments for high blood pressure.
However, in order to prevent high blood pressure
and concomitant cardiovascular disease, changes to
medication adherence and lifestyle therapy must be
made based on knowledge, awareness, andunderstanding of changes [10], [11]. As a result, itis necessary to find out knowledge, attitude, andself-care practice in hypertensive patients who are atincreased risk of failing to reach blood pressure
control treatment. The purpose of this study was toexplore knowledge, attitude, and self-care practice

MATERIALS AND METHODS
Participants
A cross-sectional study was conducted at the
Buerng Kham Phroi Health Promoting Hospital(HPH), Lam Luk ka district, Pathum Thani,
Thailand. The sample size was of 144 cases. Study
participants were aged 20 years and older, both maleand female, currently diagnosed with hypertension,
with regular appointment at Hypertension clinic of
HPH. Individuals suffering from serious chronic
illness or who were not willing to participate were
excluded. The survey was carried out between
January 13 and February 23, 2015.
Instruments and Procedures
Measurement tools consisted of digital bloodpressure measurement devices, scales for measuring
height and weight, and a measuring tape todetermine waist circumference. A five partquestionnaire was used to collect the following
information: 1) general demographics; 2) knowledgeof hypertension; 3) attitude towards high bloodpressure; 4) self-care practice to control bloodpressure; and 5) past medical history and other risk
factors. Data collection was divided in to several
phases.
The preparation phase began with the validation of
the questionnaire by three public health experts. The
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High level of knowledge was defined as a score ≥to the mean +SD, moderate level of knowledge wasdefined as the score between mean – SD and mean +SD, and low level of knowledge was defined as ascore ≤ to the mean – SD. Mean and standard
deviation of attitude was also used to categorize thescore as positive, neutral, and negative. Positive
attitude was defined as a score ≥ mean +SD. A
neutral attitude was defined as the score between
mean –SD and mean + SD. Negative attitude wasdefined as a score ≤ mean –SD.
The score of self-care practice was categorized
into 3 subgroups: unhealthy dietary intake, physicalactivity, and social activity. Unhealthy dietary intake
was defined as frequent weekly consumption of highsalt, high fat, high-energy foods. Participants wereconsidered physically active when they engaged inany form of exercise for 30 minutes a day, at least
three times a week. Social activity, emotional status,
stress, and sleep were categorized as stressful
condition. Similarly, the mean and standard
deviations of self-care practice were used tocategorize the score from low to high. High level
scores of self-care practice were defined as a score ≥mean +SD, moderate level of self-care practice wasdefined as a score between mean – SD and mean +SD, and low level of self-care practice was defined
as a score ≤ mean – SD.

Items-Objective Congruence Index (IOC) was of
0.73. A pilot study was examined to test thereliability of the questionnaire and showed KuderRichardson (KR) 0.87. The Cronbach’s Coefficient
Alpha for attitude towards high blood pressure was
0.74. Data were collected by well-trained village
health volunteers and trained nurses from HPH.
The collection phase consisted of introducing the
research team, explaining the objective of the study,
and obtaining written consent from participants that
met the inclusion criteria and were willing toparticipate. Participants went through a complete
physical examination including measurement ofbody weight and height. Body mass index (BMI)
was calculated as weight/height (kg/m2) and waist
circumference (WC) was measured [12], [13]. This
study defined high blood pressure by diagnosing
hypertension under physician’s treatment. Bloodpressure was taken after a 10 minutes rest in a sitting
position using a digital blood pressure measurement
device and following a standardized procedure. Two
readings of mean measures were used for the
analysis. However, if a high systolic blood pressure
measurement was greater than 5 mmHg a third
reading was taken.
Following this procedure, the lowest of the three
readings was taken as the blood pressure measurement. Using the Seventh Report of the Joint National
Committee on Prevention, Detection, Evaluation,
and Treatment of High Blood Pressure (JNC7), prehypertension was read when SBP was 120-139mmHg and DBP was 80-89 mmHg. Hypertension
stage 1 was read when SBP was 140-159 mmHg and
DBP was 90-99 mmHg. Hypertension stage 2 when
SBP was ≥ 160 mmHg and DBP was ≥ 100 mmHg.
In addition, the lowest and highest group from thosecategories were noted [3].
The operation phase, trained by the researchersbegan when the nurses at HPH and village healthvolunteers interviewed all participants using thequestionnaire. Interviews lasted an estimated 30
minutes each.

Ethical Consideration
Ethics approval was sought from the Ethics
Review Committee for Research Involving Human
Research Subjects, Health Sciences Group from
Chulalongkorn University(COA No.178/2557). Prior
to participation, the purpose and procedures of thestudy were fully made clear and all participants gave
written, informed, consent.
RESULTS
General characteristics

Statistical analysis

The majority of the 144 respondents, 74.3%,
were women. The average age was 66.1 years old(±9.0 years) with ages ranging from 33 to 80 years
old. 66.7% of respondents were married, 79.2% hadcompleted elementary school, and 67.6% were not
employed (housekeeper/retirement). Most of the
respondents were not cigarette smokers or alcohol
drinkers. Over 50% were unaware of family history
regarding hypertension. Over 80% of respondents
had been diagnosed with hypertension and had been
taking antihypertensive drugs for over five years.
Nearly 30.0% of patients had other health issues
such as diabetes, blurred vision, and hearing loss. As
Table 1 shows, the clinical assessment found bloodpressure to be 136.4 (±14.4)/79.2 (±10.1) mmHg
(43.1%), BMI was 24.9 Kg/m2 (±3.6 Kg/m2)

SPSS statistical package (Version16.0. Chicago,
SPSS Inc) was used for data analysis. Descriptive
statistic
includingfrequency
distribution,
percentage, mean, and standard of deviation wereused to describe the following generalcharacteristics: chronic conditions and risk factors,
clinicalassessment,
biologicalparameters,
knowledge, attitude, and self-care practice ofhypertension. The total score for knowledge was 10
points. The total score for attitude was 30 points.
The total score for self-care practice was 30 points.
The mean standard of deviation of knowledge wasused to categorize the score as high, moderate, or
low, respectively.
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(43.1%), waist circumference was 88.6 cm (±7.1
cm) for men (13.9%) and 85.7 cm (±6.8 cm) for
women (53.5%), as shown in Table I.

DISCUSSION
The result findings in the present study had
shown that the majority of the respondents were
women, had hypertension with taking medication
greater than 5 years, control blood pressure less than
140/90 mmHg, BMI 24.9±3.6 Kg/m2. There wereobserved in proportions of overweight (BMI> 25
Kg/m2) and waist circumferences (> 90 cm for men
and > 80 cm for women) particular for women weregreater than Tiptaradol, S. and W. Aekplakorn study[6]. Similarly, a previous study found that the
average BMI and waist circumferences in both sex
and socioeconomic factors had also increased a past
decade [5], [14]. Furthermore, most of respondents
in this study were women, average aged 66.1± 9.0
years might more correlate with cardiovascular,
metabolic abnormality and menopausal change [5],[6], [15]. The results finding showed high score ofknowledge for hypertension and neutral score of
attitude to hypertension, it is possible to explain that
Ministry of public health has launched healthpromoting activities to primary care settings overall
regions such as Thailand healthy lifestyle strategicplan 2010-2020 to promote Thai people particularin patients with chronic diseases including
hypertension for sufficient lifestyle by balance diet,adequate physical exercise and suitable emotion
management as national health campaign into
primary health care level over all regions in country[16]. Therefore, patients might more gain a lot ofknowledge as same as changing some parts ofattitude about diseases than the previous time due togiving education by mass media or communicationfrom health care services [17]. However, we foundthat the score of self- care practice particular in apart of healthy diet and physical activity in Thaicontext, socio-geography and individual lifestyle
were not adequate. One of reasons was individual
factors such as age group and sex, as in [16], [18].

Knowledge attitude and self-care practice to control
blood pressure.
Of the 144 respondents, 62.5% present a highknowledge score for hypertension while the overall
score of attitude towards hypertension was neutral
for 77.8% of respondents. However, positive
attitudes and negative attitudes were equal. The
score for self-care practice to control blood pressure
showed unhealthy eating habits 3 to 4 days of theweek (72.9%) and physical activity less than 3 daysa week (66.0%). Results for stressful conditions
showed low stress (72.2%), as shown in Table II.
Table I Distribution of general characteristics,
chronic condition &risk factors, clinical assessment
parameters.
Parameters
N (144)%
Age 61-70 year (66.1± 9.0)
58 (40.3)
Women
107 (74.3)
Married96 (66.7)
Elementary school
114 (79.2)
Housework/retirement
106 (67.6)
Chronic conditions
Non-cigarette smoker
108 (75.0)
Non-alcohol drinker
109 (75.7)
No Family history of HTN
82 (56.9)
Duration of HTN ≥5 years
120 (83.3)(9.0 ± 3.4)
Taking medication ≥ 5 years
118 (81.9)(8.7 ± 3.5)
HTN with other problems
43.3 (29.9)
Blood pressure (mmHg)
SBP 120-139 (136.4 ±14.4)
62 (43.1)
DBP <80 (79.2 ±10.1)
77 (53.5)
BMI > 25Kg/m2(24.9 ±3.6)
63 (43.8)
WC (M =37, W=107)>90 cm in men (88.6 ±7.1)
17 (13.9)>80 cm in women(85.7 ±6.8)
77 (53.5)
Note: HTN; hypertension, SBP; systolic bloodpressure, DBP; diastolic blood pressure, BMI; bodymass index, WC; waist circumference.

LIMITATIONThe results of the study did not representative dueto the convenience samples of hypertensive patients
utilized for this study. Secondly, the number was notlarge enough. Finally, we were not able to control
others factors such as public health information fromoutside the center or elsewhere that might effect toperceptions of illness, such as patient utilization,
taking herbal supplements, etc. It is also possiblethat different results may have been obtained amonga more homogeneous patient sample having a
specific chronic illness, such as kidney disease.

Table II Distribution of knowledge, attitude and selfcare practice to control blood pressure.
Variablesscore of knowledge: highScore of attitude: neutral
Score of self-care practice- Unhealthy food: moderate- Physical activity: moderate- Stressful condition: lowN(144)
90112%(62.5)(77.8)

105
95
104(72.9)(66.0)(72.2)

RECOMMENDATIONThe results from this study present a high score ofknowledge and neutral attitude for hypertension.
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However, self-care practice score to control bloodpressure did not high. Therefore, it indicates acompelling need for the specific activities toencourage them for better health.

Journal of hypertension, 2012. 30(9): p. 17341742.
[6] Tiptaradol, S. and W. Aekplakorn, Prevalence,awareness, treatment and control
ofcoexistence of diabetes and hypertension in
Thai population. International journal of
hypertension, 2012. 2012.
[7] Chongthawonsatid, S., Demographic Factors
and Health Care Behavior of Hypertension
Disease in Thailand. Silapakorn University
Sciences and Technology Journal, 2015. 9(1).
[8] Gangwisch, J.E., et al., Short sleep duration asa risk factor for hypertension analyses of thefirst national health and nutrition examination
survey. hypertension, 2006. 47(5): p. 833-839.
[9] Koti, A. and R.G. Roetzheim, Patient factors
associated with documented provision of JNC
7–recommended hypertension care at an
academic family medicine office. The Journalof the American Board of Family Medicine,2015. 28(1): p. 97-104.
[10] Rahman, A.R.A., et al., Perception of hypertension management by patients and doctors in
Asia: potential to improve blood pressure
control. Asia Pacific family medicine, 2015.
14(1): p. 2.
[11] Barr, P.J., et al., Public knowledge and perceptions of connected health. Journal ofevaluation in clinical practice, 2014. 20(3): p.
246-254.
[12] WHO, E.C., Appropriate body-mass index for
Asian populations and its implications forpolicy and intervention strategies. Lancet,
2004. 363(9403): p. 157.
[13] Wildman, R.P., et al., Appropriate body massindex and waist circumference cutoffs for
categorization of overweight and central
adiposity among Chinese adults. The American
journal of clinical nutrition, 2004. 80(5): p.
1129-1136.
[14] Aekplakorn, W., et al., Prevalence and trendsof obesity and association with socioeconomic
status in Thai adults: national healthexamination surveys, 1991–2009. Journal ofobesity, 2014. 2014.
[15] Chen, S.C., et al., Variations in Aging, Gender,
Menopause, and Obesity and Their Effects on
Hypertension in Taiwan. International journalof hypertension, 2014. 2014.
[16] Bureau of Policy and Strategy, M.o. Public, andHealth., Thailand healthy lifestyle strategicplan,B.E.2554-2563 [2011-2020]. 2011: p.161.
[17] Geaney, F., et al., Nutrition knowledge, dietquality and hypertension in a working
population. Preventive Medicine Reports,
2015. 2: p. 105-113.
[18] Lee, J.-E., et al., Correlates of self-carebehaviors for managing hypertension among

CONCLUSIONSThe knowledge score of hypertension showed
moderate to high. The overall score of attitude
toward high blood pressure showed neutral level.
However, self-care practice to control blood pressurein term of healthy diet and physical activity wasinadequate.
ACKNOWLEDGEMENTS
The author specially thank Asst. Prof. Dr.
Khemika Yamarat, Assoc. Prof. Dr. Wiroj Jiamjarasransi, Dr. Pornpun Vorasiha, and the healthcare
team from Bueng Kam Phroi health promoting
hospital and Lam Lukka community hospital,
Pathum Thani.
The study has been supported by the Higher
Education Promotion and National Research
University Project of Thailand, Office of Higher
Education Commission (AS1148A-55) and the
Ratchada-phiseksomphot Endowment Fund of
Chulalongkorn University (RES560530243-AS).
REFERENCES[1] Campbell, N.R., et al., Using the Global
Burden of Disease Study to Assist
Development of Nation‐Specific Fact Sheets toPromotePrevention
andControlofHypertension and Reduction in Dietary Salt: A
Resource From the World Hypertension
League. The Journal of Clinical Hypertension,2015. 17(3): p. 165-167.
[2] Organization, W.H., A global brief onHypertension, Silent killer, global public healthcrisis. 2013. URL: http://apps. who.
int/iris/bitstream/10665/79059/1/WHO_DCO_
WHD_2013. 2_eng. pdf [accessed 2013-0717][WebCite Cache ID 6IBqAI2eN], 2014.
[3] Chobanian, A.V., et al., The seventh report of
the joint national committee on prevention,
detection, evaluation, and treatment of highblood pressure: the JNC 7 report. Jama, 2003.
289(19): p. 2560-2571.
[4] Forman, J.P., M.J. Stampfer, and G.C. Curhan,
Diet and lifestyle risk factors associated withincident hypertension in women. Jama, 2009.
302(4): p. 401-411.
[5] Aekplakorn, W., et al., Changes in prevalence,awareness, treatment and controlofhypertension in Thai population, 2004–2009:
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IV.
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Korean Americans: a questionnaire survey.
International journal of nursing studies, 2010.
47(4): p. 411-417.

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THE EFFECTS OF TRADITIONAL THAI SELF-MASSAGE USINGWILAI MASSAGE STICKTM IN PATIENTS ON UPPER TRAPEZIUS
WITH MYOFASCIAL TRIGGER POINTS: A RANDOMIZEDCONTROLLED TRIAL
Phanida Wamontree1, Naowarat Kanchanakhan1 Wichai Eungpinichpong2 and Apichon Jeensawek3
College of Public Health Sciences, Chulalongkorn University, Thailand; 2Research Center in Back, Neck,and Other Joint Pain, and Human Performance, Khon Kaen University, Khon Kaen, Thailand; 3Lat Lum
Kaew Hospital, Pathumthani, Thailand

1

The purpose of this study was to investigate the effects of traditional Thai self-massage using Wilai massage
stickTM in patient with upper trapezius with myofascial trigger points. Sixty patients were randomly allocated toeither a massage group using Wilai massage stickTM or a medication group. Both groups were advised to havethe same daily stretching exercise. Pain intensity, pressure pain threshold (PPT) and tissue hardness wereassessed at baseline, and the fifth day after the last treatment session. The results showed that after 5 days oftreatment, there are significant improvement in all assessment time points (p<0.05). The adjusted post-test meanvalues for pain intensity, PPT and tissue hardness were significantly better in the massage group than medicationgroup (p<0.05). We conclude that traditional Thai self-massage using Wilai massage stickTM provides better
results than taking medication for patients who have upper trapezius pain associated with MTrPs.

Keywords:Massage stick, Myofascial trigger point, Upper trapezius,

aim to evaluated the effects of Wilai massage
stickTM (TTMW) on pain intensity, pressure pain
threshold, and tissue hardness in patients with upper
trapezius muscle pain associated MTrPs.

INTRODUCTION
Myofascial trigger points (MTrPs) could result
from various causes, including muscle overload,
severe muscle injury from accident, post-operative
conditions leading to the stiffness or immobility of
the affected muscles, mental stress, mild injury thatleft untreated for a long time [1]. The common
treatments are either medication and/or massage. In
some patients, drug treatment results ingastrointestinal tract side effects. In the past 10 years,
non-drug treatment such as massage, chiropracticeand acupuncture have become more popular [2]-[3].
Traditional Thai massage (TTM) is one of theoldest forms of Thai remedies. TTM is promoted as
an effective means of alleviating pain. In a study inthe therapeutic effects of TTM on patients with
scapulocostal syndrome, it was found that was
effective in alleviating pain, muscle tension, andanxiety [4]. A study comparing the effects of TTM
and Swedish massage on patients with back pain
also indicated that both type of massage resulted inpain alleviation [5]. Despite it proven benefits,
massage was done mainly by therapist. Self-massage
is generally use for people but there are some
limitations of use for back region. Therefore, a selfmassage device to serve people’s need for use torelieve muscle tension and pain. Wilai massage stick
was a device under investigation because it can beused to determine the location of trigger points(TrPs) and to apply pressure massage line according
to TTM principle. A pilot study suggested that it
could decrease pain and increase AROM [6]. Our

SUBJECTS AND METHODS
A randomized controlled trial, was conducted at
Lad Lum Kaew Hospital, Thailand. The study wasapproved by Ethics Review Committee for Research
Involving Human Research Subjects of Health
Science Group of Chulalongkorn University (COA
No.082/2557).
The main inclusion criteria were, aged 18-60
year, VAS pain ≥ 3, suffered from upper trapezius
pain for longer than 3 months. Had with diagnosis 1)
taut band, 2) nodules, and 3) spot tenderness.
Patients should not have received any analgesic or
anti-inflammatory drug within two days of entering
the study. Those individual, who had undergone
surgery, and those with dislocation, fractures,neurological deficits, systemic disorders, orcontraindication to treatment were excluded.
Informed consent was obtained. Patients who met
the inclusion criteria were randomly allocated toeither the massage treatment or drug treatment group.
Outcome measures:
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 a603

SEE-Mie, Japan, Nov. 19-21, 2015

tissue hardness meter/algometer (OE-220, Japan).
Themeasurementoftissuehardnessmeter/algometer (OE-220, ITO, Japan) equippedwith a 10-cm diameter plastic disc. Pressure wasexerted vertically on the painful pressure point to be
examined, and tissue hardness was automaticallyrecorded.
All outcome measures were evaluated by physio
therapist who was not informed of subject’s groupassignment. Assessments were done pre-test the firstday and post-test the fifth day treatment sessions.
Statistical analysis: Characteristic data were as
mean±(SD) and percentage. An unpaired t-test wasused to compare differences of massage group anddrug group. The significance was set at an alphalevel of 0.05.
In the Wilai massage stickTM group, provided
with instructions regarding self-massage according
to TTM principles. The back was to be divided into
the left side and the right side using the spinal
processes as the points of reference [Fig.1] For eachside, there are two massage lines. The first one wasabout the width of a finger from the spinous
processes, and the second line was about the widthof three fingers from the spinous processes. Eachline is further comprised of eight on the back region.
Then self-massage was done in a self-massage wasdone in a sitting or standing posture, starting fromthe first point along the massage line on the left sideof the back. The pressure was gradually increased
until mild pain was felt, maintained for 5 seconds,
and then releases. This was performed for all theeight points and then repeated 5 times. The
procedures were performed for all the massage linesof both sides, lasting approximately 10 minutes.
Medication group took a 400 mg. Ibuprofen tablet
three times a day after each meal. For the both group
did muscle stretching 2 minutes every day for 5 days.

RESULTS
Details of demographic data and healthcharacteristics were shown in (Table 1). The averageage of TTMW were 42.85±10.06 and 41.67±11.72
years, respectively. The data demographic data wereequally balanced between two groups. Clinicalcharacteristics of patients upper trapezius pain
shown that no significant differences were foundbetween the groups on any of these measures.
Table 1 Demographic and characteristic
Massage group
Control group(N=30)(N=30)
Mean
SD
Mean
SD
Age (years)
42.85
10.06 41.67
11.72
Weight (kg) 59.73
14.77 62.46
11.37
Height (cm) 159.79
7.90
159.30 7.44
VAS
5.43
1.45
5.20
1.51
PPT
1.96
0.58
1.77
0.52
Tissue
47.74
6.78
46.09
6.36
hardness
Table 2 Comparison of the outcome measure
between pre-test and post-test assessments in the
TTMW and control group (paired t-test) (Mean±SD)
OutcomePain
intensity(VAS)
Pressurepain
threshold(kg/cm2)
TissueHardness

Group
TTMW

Pretest5.4±1.4

Post-test
0.8 ±0.5

P-value
0.5

Control
TTMW

5.2±1.5
1.9 ±0.5

1.87 ±1.3
3.96 ±0.6

0.5
0.5

Control
TTMW
Control

1.7±0.547.7±6.7
46.0±6.3

2.5±0.438.1±7.644.5±6.5

0.5
0.5
0.5

Note: TTMW = Wilai massage stickTM, Control=
Ibuprofen. P < 0.05 statistically differences frompretestTable 3 Comparison of the adjusted mean and 95%
CI outcome measures (adjusted for pretest using
ANCOVA
OutcomePost-test (Mean±SD)
Control
Difference(95%CI)
1.8±1.3-1.1(-1.6
to 0.6)

Pvalue<0.05

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

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

Fig. 1 The massage of TTM [8]0.8±0.8

Note: TTMW = Wilai massage stickTM, Control=
Ibuprofen. P < 0.05 statistically differences frompretest604

SEE-Mie, Japan, Nov. 19-21, 2015

DISCUSSIONACKNOWLEDGEMENTS

This results of this study provide evidence that
TTMW is effectiveness treatment reducing pain andimproving upper trapezuis muscle pain in patientswith MTrPs. The finding of this study suggest that
TTMW on the trapezius area was effective indecreasing pain intensity with MTrPs can reduce
after 5 days of treatment with either TTMW orcontrol group. This finding consistent with previous
studies ischemic pressure using Thera cane andstretching exercise found comparable results. They
used the combination of ischemic pressure followedby sustained stretching to treat neck and upper backpain. The author reported reducing in pain intensity
after 5 days of treatment [9]. In addition the study of
Buttagate used the TTM and stretch exercise to treat
upper back pain, and reported a reduction in present
pain of treatment. After the patients received
treatment with TTMW on the upper trapezius area,
PPT was significantly increased at the end of 5 daysof treatment. This results similarity from the study ofHantan who applied ischemic pressure localized at
the MTrPs and found an improvement in the PPT at
the end of a 5 days home program for patients withneck and upper back [10]. Moreover, the present
finding support the study of Gulick used ischemicpressure with Backnobber II device on discomfort
with MTrPs. at which revealed PPT from31.74±12.8 at baseline to 44.20±13.33 at the end ofa week [43]. The present study demonstrated thattissue hardness was reduced after treatment compare
baseline. This indicated that the treatment by
TTMW was effective in decreasing tissue hardness,consistent with the results of a previous study whichfound that use of deep massage on low back pain.
The authors reported reduction in tissue hardness
after treatment.

The study was supported by the Higher
Education Research Promotion and Nation Research
University Project of Thailand, Office of the Higher
Education Commission, and the 90th Anniversary of
Chulalongkorn University (Ratchadaphiseksomphot)
Endowment)Fund. Office of the Higher Education
Commission, University Staff Development under
Higher Education Research Promotion(USD-HERP),
Office of Thai Traditional Medical Knowledge Fund.
REFERENCES[1] Armstrong RB, Warren GL, Warren JA:
Mecchanism of exercise-induce muscle fiber
injury. Am J Sports Med, 1991,12: 184-207.
[2] Eisenber DM, Davis RB,and Ettner SL.Trends
in alternative medicine use in the United States,
1990-1997: results of a follow-up national
survey.JAMA 1998;280: 1569-1575.
[3] Ernes E. Massage therapy for low back pain: asystemic review. J Pain Symptom Manage
1999;17:65.
[4] Buttagat V, Eungpinichpong W, David K,
Chatchawan U, Arayawichanon P. Acute effects
oftraditional
Thaimassageonelectroencephalograminpatients
withscapulacostal syndrome. Comp Ther Med 2012;
20: 167-74[5] Chatchawan U, Thinkhamrop B, Kharmwan S,
Knowles J, Eungpinichpong W. Effectiveness of
traditional Thai massage versus Swedish massage
among patients with back pain associated withmyofascial trigger points. J bodywork Mov Ther
2005; 9 (4) : 298-309.
[6] Wamontree P, Kanchanakhan K and
Eungpinichpong W. Effects of traditional Thai
self-massage using a massage stick versus
Ibuprofen on upper back pain associated withmyofascial trigger points: A pilot study. JHR
2015; 29(6) (In press)[7] Hanten WP, Olson SL, Butts NL, Nowicki AL.
Effectiveness of a home program of ischemicpressure followed by sustained stretch fortreatment of myofascial trigger points. Phys
Ther 2000; 80(10): 997-1003.
[8] Eungpinichpong W. Manual of Stick Wilai ;Bongkok, Suweeriyqwqrn,2008.
[9]Gulick DT, Palombaro K, Lattanzi JB. Effect ofischemic pressure using a Backnobber II device
on discomfort associated with myofascial trigger
points. J bodywork Mov Ther 2011; 15: 319-25.

CONCLUSION
The results of this study indicated that a
traditional Thai self-massage using a Wilai massage
stickTM to the upper trapezius area for the effective
in reducing pain, tissue hardness increasing PPT inpatients associated with myofascial trigger point.
This treatment technique is a non-pharmacologicalmanagement with no side effects. A Wilai massage
stickTM can therefore, be promoted as an alternative
treatment in cases of limited number of therapists
and those patients who have risk effects frommedication

605

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

ENGLISH LEARNING DEVELOPMENT OF AGRICULTURALSTUDENT IN AGRICULTURAL MACHINERY SUBJECT
1

Dowroong Watcharinrat1 and Fathiyyah2
Faculty of Agricultural Technology, Rajamangala University of Technology Thanyaburi, Thailand; 2Faculty ofAgricultural Technology, 17 Agustus 1945 University of Banyuwangi, Indonesia
ABSTRACTThis research for developing english ability of agricultural student in agricultural machinery subject.
They were the second year of crop production students of Agricultural Technology Faculty, Rajamangala
University of Technology Thanyaburi, Thailand in academic year 2/2014. This research was on January – April
2015. There were forty five students in agricultural machinery subject. The first meeting, they got pre-test anhour to know their ability in English. There were 100 questions and picture. The same questions and pictures ofpre-test and next post-test was made by researcher. The question also has been recommended by three lecturers
who expert in agricultural machinery, research and english. Every questions, there were picture with thai name.
Students should write in English name. Those question included about tillage, planting, crop protection andfertilizing, harvesting and processing equipment. The question divided into three part; multiple choice, check listand essay.This class was twice and two hour every meeting . At the end meeting, they got post-test to know
their improvements. After that, Lecturer gave the answer of question to the student. The statistical in thisresearch were frequency, presentage and mean.There were forty five students those are sixteen male and twentynine female. The all student average mean of pre-test was 20.36, they improved 61.24 for post-test 81.6.Theaverage mean improved were 62.06 of male and 60.79 for female and there was a significant difference between
pre-test and post- test at .05 level of significance.
Keywords: English Learning, English Picture, Machinery Picture, Machinery English

requirement for crop production major in faculty, thestudents should learn, know and remember farmmachinery equipment name in English. From above
mention the research is use lecture with picture formethodology to improving their English.

INTRODUCTION
Our world is large as our language. Because bylanguage we can communicated in many place asthat language used. Language is important to survive
in communication as way in all part. Asean
Economic Community(AEC) is one of part businessthat need more language to know. Also, english
language as international language.
English language have many method to learn it.
Here we need try to know more vocabulary also
grammar. but, in daily conversation that only needunderstanding for speaker and listener. But, english
character is different with thai character. Because ofthis, need method that can make thai student easier
to know and increase their ability in english.From
one of the policy of Rajamangala University ofTechnology Thanyaburi [8], Faculty of Agricultural
Technology is improve an english for the students
with going to international in the future.
One of the best way for lecturer to increase theirstudents english is study with picture, the student
can quickly learning and easy to remember.
Agricultural machinery subject course descriptions
are study and practice on use of tractor andagricultural machinery,tillage equipment, planter,
maintenance equipment for crop production ,pre andpost harvester, selecting and buying of farm Tractor
and agricultural machinery. This subject one of the

METHODOLOGYThis research aim to development english
ability of agricultural student. They were the second
year of
Crop Production Major students ofAgricultural Technology Faculty, Rajamangala
University of Technology Thanyaburi, Thailand in
Academic Year 2/2014. This research was on
January – April 2015. There were forty five students
in agricultural machinery subject. The first meeting,they got pre-test a hour to know their ability in
English. There were 100 questions and picture. They
have one score every question. Totally they have
100 score of all question.
The pre-test and next post-test was made byresearcher.
The question also has been
recommended by three lecturers who expert inagricultural machinery, research and english. Every
questions, there were picture [3][4]][5][6][7][9] withthai name. Students should write in English name.
Those question included about tillage, planting,crop protection and fertilizing, harvesting andprocessing equipment[1][2]. The question was606

SEE-Mie, Japan, Nov. 19-21, 2015

37
38
39
40
41
42
43
44
45

multiple choice. This class was twice and two hour
every meeting. At the end meeting, they got post-test
to know their improvements. After that, Lecturer
gave the answer of question to the student. The
statistical in this research were frequency,
presentage, mean, t-test and independent t-test.
RESULT

𝑿𝑿
S.D.

This chapter showed the result of all score of
forty five students in agricultural machinery subject
in pre-test and post-test. it showed they
improvement of their ability in english. It showed
the statistical analysis of all student average mean,
standard deviation, t-test and independent t-test of
their pre-test and post test. it also compared between
male and female improvement.

Gender

1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
32
33
34
35
36

M
M
M
F
M
F
M
M
F
F
F
F
F
F
F
F
F
F
F
M
F
F
M
F
F
F
F
F
M
F
M
M
F
F
F
M

PreTest
23
21
14
20
11
21
15
23
25
24
21
23
21
26
22
23
23
21
20
17
19
13
21
25
23
13
21
26
20
19
24
21
22
24
21
15

PostTest
87
89
80
91
73
86
72
83
88
85
83
84
78
90
83
85
81
79
88
77
75
72
74
86
78
61
73
80
88
78
82
81
86
87
81
79

20
25
23
20
19
21
19
12
16
20.36
3.78

81
92
88
78
82
81
88
76
83
81.6
6.15

61
67
65
58
63
60
69
64
67
61.24
4.77

The table above explain the final score of pre-test
and post-test from forty five students in agricultural
machinery subject to development english. Threehighest scores of pre-test score 26, 25 and 24. There
were two students of score 26, three students ofscore 25 and three students of score 24. Threehighest scores of post-test scores 92,91 and 90.
There were one each of them. Three highest scoresof improvement score 71, 69 and 68. There were one
student of score 71 and 69 score and three student ofscore 68. The 𝑿𝑿 of pre-test was 20.36 and thestandard deviation was 3.78. The 𝑿𝑿 of post-test was
81.6 with standard deviation 6.15. They improved in
𝑿𝑿 61.24 and the standard deviation 4.77.

Table 1 Pre-test and post-test score of student inlearning english of agricultural machinery subject
No

F
M
M
M
M
F
F
F
F

Improvement
64
68
66
71
62
65
57
60
63
61
62
61
57
64
61
62
58
58
68
60
56
59
53
61
55
48
52
54
68
59
58
60
64
63
60
64

Table 2 Pre-test and post-test score of male student
in learning english of agricultural machinery subject
NO

Gender

1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16

M
M
M
M
M
M
M
M
M
M
M
M
M
M
M
M
𝑿𝑿
S.D.

PreTest
23
21
14
11
15
23
17
21
20
24
21
15
25
23
20
19

PostTest
87
89
80
73
72
83
77
74
88
82
81
79
92
88
78
82

19.50

81.56

62.06

4.03

6.02

4.33

Improvement
64
68
66
62
57
60
60
53
68
58
60
64
67
65
58
63

Table 2 explain the male score in all parts. There
were six teen male in this course. The highest pre-607

SEE-Mie, Japan, Nov. 19-21, 2015

test score were 25 of one male student, 24 of one
male student and 23 of three male students. There
were one student in each highest score of post-test,
that was 92 and 89 and two students in 88. There
were two students on 68 score in improvement partas the highest score and one student in each score 67
and 66. The 𝑿𝑿 of pre-test from 16 male students was
19.50 and standard deviation 4.03. The 𝑿𝑿 of theirpost-test was 81.56 and standard deviation was 6.02.
they have improved by 𝑿𝑿 62.06 and standard
deviation 4.33.

Female score in each part explain in Table 3.
There were two student of each highest pre-testscore 26, 25 and 24. There were one student of eachhighest post-test score 91 and 90 and three students
of score 83. There were one student of each highest
improvement score 71, 69 and 68. From twenty nine
female student they have 𝑿𝑿 for pre-test 20.83 and thestandard deviation 3.62. They have 𝑿𝑿 of post-test
81.62 and the standard deviation 6.32. They
improved by 𝑿𝑿 60.79 and standard deviation 5.02.

Table 4 The Compared of average mean between
Pre-test and post-test score of all student in learning
english of agricultural machinery subject by using
paired samples t-test

Table 3 Pre-test and post-test score of female student
in learning english of agricultural machinery subject
No

Gender

1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29

F
F
F
F
F
F
F
F
F
F
F
F
F
F
F
F
F
F
F
F
F
F
F
F
F
F
F
F
F
𝑿𝑿
S.D.

PreTest
20
21
25
24
21
23
21
26
22
23
23
21
20
19
13
25
23
13
21
26
19
22
24
21
20
21
19
12
16

PostTest
91
86
88
85
83
84
78
90
83
85
81
79
88
75
72
86
78
61
73
80
78
86
87
81
81
81
88
76
83

20.83

81.62

60.79

3.62

6.32

5.02

Improvement
Test

71
65
63
61
62
61
57
64
61
62
58
58
68
56
59
61
55
48
52
54
59
64
63
60
61
60
69
64
67

𝑿𝑿

Pre20.36
Test
Post81.6
Test*significant at .05

S.D.

t-value

Probability

86.079*

.000

3.78
6.15

From the table 4 the result showed that there
were significant different between average mean of
pre-test and post-test of english learning in
agricultural machinery subject. That showed by the
𝑿𝑿 pre-test was 20.36 and 𝑿𝑿 post-test was 81.6 by tvalue 86.079* and probability .000 with statisticalsignificant different .05. Post-test was higher scorethan pre-test.
Table 5 The Compared of average mean between
male and female post-test in learning english of
agricultural machinery subject by using independent
samples t-test
Group

𝑿𝑿

Male
81.56
Female 81.62*significant at .05

S.D.

tvalueProbability

6.02
6.32

-.030

.976

This final table compared of average mean ofmale and female post-test score english learning in
agricultural machinery subject. That showed 𝑿𝑿 ofmale post-test was 81.56 and the S.D. 6.02. The
male 𝑿𝑿 post-test was 81.62 and S.D. 6.32. The tvalue was -.030 and the probability was .976. There
were no significant different both of them of theirachievement or knowledge that showed byindependent sample t-test of the post-test withstatistical different 0.5.

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SEE-Mie, Japan, Nov. 19-21, 2015

DISCUSSION

REFERENCES

There were forty five students those are sixteen
male and twenty nine female. They were second
year of Crop Production Major Agricultural
Technology Faculty Rajamangala University ofTechnology Thanyaburi Thailand 2014. The all
student average mean of pre-test of learning english
in agricultural machinery subject was 20.36, they
improved 61.24 for post-test 81.6. The average mean
improved were 62.06 of male and 60.79 for female.
The best score on the final grade of Agricultural
machinery subject was grade 4 from twenty three
students, five students for grade 3.5 and elevenstudents for grade 3. This grade related with theirimproving in english.
From the statistical analysis has result that
there was significant different between pre-test andpost-test score. Because the all student improved
about English in agricultural machinery subject. But,
there was no significant different between male andfemale. Because both of them have same ability inenglish in agricultural machinery subject.

[1] Dowroong Watcharinrat. 2013. Agricultural
Machinery(Handout
Teory).
Rajamangala
University Of Technology Thanyaburi Faculty ofAgricultural Technology. Pathumtani Province,
Thailand. 123 p.
[2] Dowroong Watcharinrat. 2013. Agricultural
Machinery (Handout Labratory). Rajamangala
University Of Technology Thanyaburi Faculty ofAgricultural Technology. Pathumtani Province,
Thailand. 35 p.
[3] Goering, C.E. 1986. Engine and Tractor Power.
University of Illinois, United States of America.
404 p.
[4] Hunt, D. 1973. Farm Power and Machinery
Management. Iowa State University Press, Ames.
Iowa. 324 p.
[5] John Deere Publications. 1976. Fundamentals of
Machine Operation, Tillage. John Deere Service
Training Dept. F.,Moline, Illinois. 368 p.
[6] John Deere Publications. 1974. Fundamentals of
Machine Operation, Agricultural Machinery Safety.
John Deere Service Training Dept. F.,Moline,
Illinois. 334 p.
[7] Patthipa Intarawichai. 1992. Farm Machinery
Part 2. Agricultural Engineering Training Center.
Pathumthani Province, Thailand. 135 p.
[8] Policy and Planning Division. 2014. Policy of
RMUTT. Rajamangala University Of Technology
Thanyaburi. Pathumtani Province, Thailand. 33 p.
[9] Smith, H.P., and Wilkes, L.H. Farm Machineryand Equipment. McGraw-Hill Book Company.488p.

ACKNOWLEDGEMENTS
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 encouragement609

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

A PARAMETRIC STUDY OF CLIMATIC-HYDROLOGIC FACTORSIMPACT ON WATER QUALITY IN KHLONG U-TAPAO RIVER
BASIN, THAILAND
Saudee Maprasit1, Chaisri Suksaroj2 and Rotchanatch Darnsawasdi3
Faculty of Environmental management, Prince of songkhla University, Hatyai, Songkhla 90110, Thailand;
2,3
Prince of Songkhla University, Hatyai, Songkhla 90110, Thailand

1

ABSTRACT
Water quality degradation in Khlong U-Tapao river basin is come from various factors of land use. Out of
this is effect from natural processes. This research objective is to study correlation of water quality by spatialtemporal change of climatic-hydrology in years of 2007-2013. Using multivariate statistical analysis to analyze
water quality dataset 9 parameters such as pH, water temperature (WT), turbidity (TB), conductivity (CD),dissolved oxygen, (DO) biochemical oxygen demand (BOD), total coliform bacteria (TCB), fecal coliform
bacteria (FCB), Ammonia Nitrogen (NH3-N). The results show that seasonal change has affected to water quality
by climatic-hydrologic factors influence. The climatic-climate relationship is humidity had positive correlations
with temperature. The climatic-hydrology relationship is precipitation had positive with humidity but negativewith temperature. The climatic-water quality relationship is temperature had positive with WT but negative with
NH3-N. The temporal hydrologic-water quality relationship is precipitation had positive with TB but negativewith WT, pH and DO. Water inflow had positive with TB but negative with WT and CD. Water outflow had
positive with TB and DO but negative with WT. Water level had positive with TB, BOD and TCB. The spatialhydrologic-water quality relationship is river cross-section had positive with WT and CD but negative with DO.
The assessment from multiple linear regression equations can explain water quality variations. Therefore, water
quality management should be consideration climatic-hydrologic change to provide basal information fordeveloping improved water pollution control procedures of Khlong U-Tapao river basin.
Keywords: Water quality, Climatic-hydrologic factors, Multivariate analysis, Khlong U-Tapao river basinzone of the Mun river basin [5]. Agricultural
practice in Nakhon Nayok province in off-season is
the problem for water quality management becauseof nutrients carried out to river by rain [6]. Wet
season and rain fall make crisis with wastewaterfrom industry and surface water in Lahan swamp of
Chaiyaphum [7] and increasing nutrients in
Ayutthaya watershed because of water level andwater flow increased [8].
Accordingly, water quality study andmanagement in Khlong U-Tapao river basin shouldbe operation in system by consideration quantity ofsystem components and interrelationship behavior
with fluctuate and uncertainty variables. The
relationship between climatic and hydrologic
factors and all those variables have direct impact towater quality or not, because water quality
management projects are determined and operated.
Even if water quality continuing deterioration,
therefore the management should be considerationin other factors such as climate and hydrology
change [9]. Seasonal change is temporal effectedfrom climate and can affect to hydrologicalprocesses [10]. Which it can induce water quality
variation by rainfall increase is the main driver forwater level and water flow change [10].

INTRODUCTION
There are large scale and plenty of factors inwater quality management, including population
growth and density, land use in each pattern andpractice of urbanization, agriculture, aquaculture
and industry comprehensive all activity in watersupply system [1]. The unpredictability in the water
quality management is physical characteristics andphenomena change of nature. These are impact
from geological attribute for example drainage
pattern, land slope and soil property, hydrodynamic
processes for example rainfall, runoff, river flow
and discharge and climate for example temperatureand solar radiation [2], [3].
The problem of water quality management inThailand has uncertainty factors from naturalchange, for example in coastal zone of Phuket, wetseason increasing water level and flow rate to
making problem with wastewater discharge control
from domestic and household. Geographic
characteristics such as land slope and soils
properties are aggravate to water quality
degradation [4]. Rainfall, the cause of water level
and water flow are higher than dry season toincrease nutrients in river especially in agricultural

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SEE-Mie, Japan, Nov. 19-21, 2015

Fig. 1 Map of the Khlong U-Tapao river basin and water quality monitoring station
There are more researches to study impact fromhydrology to water quality, from hydrology towater quality and from land use change to water
quality. But there is incomplete understanding of
the complex influence relationship among climatechange in maximum and minimum value withspatial-temporal hydrology especially in Khlong UTapao river basin.
So, the conclusion of the study and implication
for water quality management in Khlong U-Tapao
river basin are complex system education andproblem solving. The management should be
administrative based on temporal-spatial change by
considered human activity change and behavior ofnatural dynamic change including the assessment
under different scenarios. This research objective is
to study correlation of water quality by spatialtemporal change of climatic-hydrology.

resources both of natural and manmade, lowland
and other land uses for example fields, waste
landfills, recreation zone, golf court, airport,
graveyard and others.
MATERIALS AND METHODS
Data
Data gathering: to collect secondary data forwater quality such as, pH, water temperature (WT),
turbidity(TB),
dissolved-oxygen(DO),conductivity (CD), biochemical-oxygen-demand(BOD), Total-Coliform-Bacteria (TCB), NitrogenAmmonia (NH3-N) and Fecal-Coliform-Bacteria(FCB) from Regional Environmental Office 16,
Songkhla from 2007-2013. The secondary data ofwater quality come from 21 stations along the
Khlong U-Tapo river basin (Fig.1, table 1) andcover 13 administrative districts, there are 4 subdistrict administration organization (SAO), 6 subdistrict municipality (SM) and 3 town
municipalities (TM).
Climate variables; there are maximum,
minimum and mean of temperature (MAXT, MINT
and MEANT respectively), humidity (MAXH,
MINH and MEANH respectively) and wind flowfrom Songkhla Meteorological department.
Hydrology; there are precipitation (PRECI),
inflow (IF) and outflow (OF) from Regional
Irrigation Office 16, Songkhla. In the spaceparameter, there are cross-section (C-SECT) is
computed by river width (RW) and depth (RD)from data of REO 16.

STUDY AREA
Khlong U-Tapao river basin (KUT) is a main
Songkhla lake sub-basin which located at southernpart of Thailand. There are about 40 km wide (westto east) and 60 km long (north to south). It is
important water resource for people living in
Songkhla province and Hatyai district which is
economic significance [11], [12]. There are 2,840
square kilometer and 7 district (fig.1) such as
Sadao, Namom, Hatyai, Khlong hoi kong,Bangklam, Ratpum and Kuanniang. Land use-landcover (LULC) in the area of Khlong U-Tapao canclassify in 8 main groups [12]. There are residential
land uses, agricultural land uses, forestry land uses,
industrial land uses, shrimp farming, water611

SEE-Mie, Japan, Nov. 19-21, 2015

Table 1 water quality stations monitoring in KUT river basin
Geographic co-system
Canal
Location areaxy
UT01
The bridge of huiku temple
664730.0729095.0
Sadao
Samnak Taeo SAO
UT02
Sadao water supply office659083.0733842.0
Sadao
UT03
the bridge of mitrsampan community
655884.0
729678.0
Krob
Sadao TM
UT04
The bridge of Saenpong school
656722.0733392.0
Krob
UT05
The bridge of Ban Namhua
654394.0733327.0
Laeh
UT06
The back of Safe skin medical factory
658130.0736990.0
Laeh
UT07
The bridge of Ban Huatanon
658774.0
737533.0
U-tapaoPrik SMUT08
the bridge of Ban Takianpao
658731.0741088.0
U-tapao
UT09
the bridge of Ban thapohoak
659883.0749279.0
U-tapao
Tha Poh SAO
UT10
the bridge of Muangkong temple
659264.0
754133.0
U-tapaoPhang La SM
UT11the bridge of Ban Prao
662071.0757846.0
U-tapao
Phatong SM
UT12
the bridge of Siam fiber board factory
661236.0
759087.0
U-tapao
UT13
the bridge of Ban Khlongpom
661418.0760892.0
U-tapaoBan Phru TM
UT14
the bridge of Khlong Phla-Kokphyom
661033.0762692.0
U-tapao
UT15
The bridge of Bangsala temple
659416.0
766076.0
U-tapao
UT16
the bridge of Hatyai university
661984.0771489.0
U-tapao
Khohong SM
UT17
Water gate of Khlong U-tapao
661851.0772341.0
U-tapaoKhuan Lang SM
UT18
the bridge of thasae temple
660804.0
777315.0
U-tapao
Khlong Hae TM
UT19
the bridge of Narungnok temple
662471.0
781796.0
U-tapao
Mae Tom SAO
UT20
the bridge of Kutao temple
662140.0
785665.0
U-tapao
Ku Tao SM
UT21
the bridge of Songkhla lagoon
661073.0
787729.0
U-tapao
Note: SAO: Subdistrict Administration Organization, SM: Subdistrict Municipality, TM: Town Municipality (Department of Provincial
Administration, Ministry of Interior, 2013).
stationStation name

Statistical analysis
Relationship analysis of climatic-climate andclimatic-hydrology

A parametric study is a study process aboutparametric statistics for a normal distribution
statistical data. There are several statisticalprocedures in this study such as two-sample t-test
for compare the different of average value between
two groups variable of dependent and independent,
one-way-ANOVA is relationship test for more than
2 groups of in/dependent variables. Correlation andregression analysis is for related variables andwater quality variation equations to explain trendsof dependent variable by multiple independents[13], [14].

From table 3-4, the result shows that, climate
temperature in KUT river basin is affected byhumidity and wind change. Almost climate
temperature had positive correlation with humidity
but negative with wind flow because wind flow canreduce temperature by dispersed but humidity canincrease temperature by expanded heat energy.
Climate MAXT had negative correlation withPRECI, W-level, Inflow, and river depth so MINT
had positive correlation [18], [10]. All humidity
change had positive correlation with hydrologicalvariables. The phenomenon of precipitation into
rainfall have affected by maximum climate
temperature, the higher change can reduce occurred
raining but higher humidity especially minimum
value can support precipitation and hydrologicalparameters such as rainfall, water level and water
flow.

RESULT AND DISCUSSION
Relationship analysis of water quality by spatialtemporal patterns
Results in table 2 reveal the significancecorrelations of climatic-climate and climatichydrology. The correlation results show water
quality change depends on temporal patterns suchas time-period and season [15], [16]. In case of
TCB and FCB are not changed by time because
average value in each year not different (higher
than standard value but increased a few in everyyear). CD is not depends on season that meansoluble matters is not different by seasonal change.
Spatial patterns such as station or area of land use isrelated to water quality which WT and CD maybe
because of wastewater characteristic, DO and TCB
from the different of land use such as agricultural,industrial and urbanized zone [17].

Relationship analysis
water qualityofclimatic-hydrologic

Results of significance correlation of climatechange, hydrological processes and water quality of
KUT river basin in table 5, explain the impact ofwater quality change based on climatic-hydrologicchange by follows;

612

SEE-Mie, Japan, Nov. 19-21, 2015

Table 2 Significant t-test/ F-test of spatial-temporal water quality
Parameters
Time (year)

WT
pH
TB
CD
DO
0.000
0.000
0.000
0.025
0.002
**
**
**
**
**
Season (SS)
0.000
0.000
0.000
0.095
0.000
**
**
**
**
Station (St)
0.000
0.391
0.152
0.000
0.000
**
**
**
Note: **Significant at 0.01 level (2-tailed) / * Significant at 0.05 level (2-tailed)

BOD
0.000
**
0.002
**
0.421

TCB
0.886

FCB
0.715

0.019
**
0.038
**

0.035
**
0.111

NH3-N
0.000
**
0.000
**
0.217

Table 3 correlation analysis of Climatic-climate
Climate
MAXT
MINT
MEANT
MAXH
MAXT
MINT
0.541**
MEANT
0.926**
0.695**
MAXH
0.506**
0.653**
0.743**
MINH-0.101*0.506**
0.256**
0.634**
MEANH
0.534**
0.356**
0.746**
Wind-0.337**-0.169**Note: **Significant at 0.01 level (2-tailed) / * Significant at 0.05 level (2-tailed)
ClimateParameters

MINH
0.951**-0.350**MEANH-0.275**MINH
0.699**
0.154**
0.427**
0.116*
0.259**

MEANH
0.660**
0.138**
0.391**
0.221**

Table 4 correlation analysis of Climatic-hydrology
Climate
MAXT
MINT
MEANT
PRECI
-0.244**0.231**
W-level-0.109*
Inflow-0.250**0.141**
Outflow
Width
Depth-0.177**
Note: **Significant at 0.01 level (2-tailed) / * Significant at 0.05 level (2-tailed)Hydrology

Parameters

MAXH
0.383**
0.187**
0.118*

Table 5 correlation analysis of Climatic-hydrologic water quality

ClimateParameters
MAXT
MINT
MEANT
MAXH
MINH
MEANH

WT
0.582**
0.196**
0.507**
0.107*-0.209**-0.114*pH
0.249**
0.220**
0.154**-0.107*-0.274**-0.266**

TB
0.255**
0.288**
0.574**
0.497**

CD
0.206**
0.163**-0.121*-0.096*

Water quality
DO-0.106*-0.236**-0.209**-0.244**

Hydrology

PRECI-0.145**-0.328**0.591**-0.098*
Inflow-0.248**0.434**-0.144*0.131*
Outflow-0.167**0.301**
0.278**
Width
0.350**
0.184**
0.211**
Depth
0.558**-0.194**
Note: **Significant at 0.01 level (2-tailed) / * Significant at 0.05 level (2-tailed)

BOD
-

TCB
-

FCB
-

NH3-N
-0.540**-0.494**-0.558**-0.505**-0.208**-0.346**0.150**

0.273*

0.277*

0.188*-

WT, pH, CD, DO and NH3-N but positive
correlation with TB. Humidity can expand climate
temperature, therefore water temperature isdecreased can induce to decline the biologicalchemical process [19], [10] and for turbidity may
come from the after-effect from water flushed on
surface soils [10], [20].
Hydrological process is showed by precipitation(PRECI) had negative correlation with WT, pH andDO but positive with TB. Results mean watertemperature is affected by precipitation.

Climate temperature had positive correlation
with WT, pH, TB and CD but negative correlation
with DO and NH3-N. It is possibly explained, watertemperature is directly impacted by climate
temperature (MAXT) [10], [2] and increased pH iscomes from increased chemical change form highclimate temperature and induce to alkalinity inwater. So, dissolved oxygen and nutrients is
reduced from biological and chemical process [19],[10].
Climate humidity had negative correlation with613

SEE-Mie, Japan, Nov. 19-21, 2015

Table 6 multiple linear regression equations
Parameter

Multiple linear regression equations

R

R2

Sig
**

WT

8.754- 0.209(DO) +0.625(MAXT) -0.018(OF) +0.026(RW)

0.757

0.573

pH

5.304+ 0.009(RW) -0.056(WT) +0.136(MINT) -0.002(PRECI)

0.424

0.180

TB

86.794 +38.826(RD) -3.716(WT) +5.164(OF)

0.797

0.635

**

CD

-408.04 -0.764(RW) +67.736(pH) -1.756(IF) +2.187(MAXT) +1.244(DO)

0.380

0.144

**

DO

13.131- 0.083(RD) -0.258(WT) -0.136(BOD) -1.227(Wind) +0.002(PRECI)+0.064(OF) +0.034(MAXH) -0.018(IF) -0.098(MINT)

0.739

0.545

**

BOD

4.431 -1.124(DO) +0.126(MAXT) -0.022(RW) +0.411(RD)

0.459

0.211

**

TCB

6984.179 -3030.444(RD) -345.027(SS) +85.830(TB) -835.662(DO) +1.002(FCB)

0.988

0.976

**

NH3-N

1.498 -0.001(TB) +0.004(BOD) -0.042(MAXT)

0.603

0.364

**

Multicollinearity**

0.70-0.99

Note: **Significant at 0.01 level

temperature is a main driver to increase watertemperature.
Turbidity (TB) variation is can description by
climatic-hydrologic change. River depth andoutflow are major factors to impact on turbidity
with moderate coefficient of determination values(R2).
Dissolved Oxygen (DO) variation is impacted
by climate variables such as wind flow, MINT,MAXH and hydrology by PRECI, water flow andriver depth with moderate coefficient ofdetermination values (R2).
Total coliform-bacteria (TCB) is affected byriver depth, the driving source of this parameterwith high coefficient of determination values (R2).
The variations of pH, Conductivity (CD), BOD
and NH3-N is a few explanation by climatic andhydrology with multi-collinearity conditions. Thissuggests that other factors should be considerationin the regression equations to explain the variationof water quality with good coefficient ofdetermination values (R2)Which lower temperature is leading pH and DO
decreased by TB increase can reduce absorbed DO
and biological-chemical process [10], [19].
Water flow (inflow and outflow fromreservoirs) had positive correlation with TB, DO
and NH3-N and negative with TEMP and CD.
Water flow is a driver for turbidity increase [21]and soluble matter decrease. The increase of waterflow can flushed erosive soils and nutrients fromland surface and increase sediments in river [10],[20], [22] but in other words it can decrease
conductivity by carried soluble matters along theriver that not similar to the study of [10], [19] but
similar with the study of [20].
River cross-section in terms of river width had
positive correlation with WT, pH and CD and depth
had positive correlation with TB, BOD, TCB andFCB but negative with DO. The river width canincrease water temperature and leading to rising pH
and conductivity by increased chemical change.
The river depth is depends on water level, therefore
turbidity and waste-matter is increased by flushedwater [10], [21], [22] and large amount at riverbottom.

CONCLUSION
There were significant correlations between
climatic-hydrologic factors with water quality of
Khlong U-Tapao river basin. Climate temperature,
precipitation, water level, water flow and crosssection are main drivers to impact water quality.
Water temperature and NH3-N are as sensitive formonitoring impact from climate and turbidity as forhydrology. Therefore, water quality management
planning should be consideration climatic-

Multiple linear regression analysis
Water quality variation is impacted by climatichydrologic change can explained by regression
equations in table 6;
Water temperature (WT) variation is depend on
MAXT, DO, OF and RW with moderate coefficientof determination values (R2). Maximum climate
614

SEE-Mie, Japan, Nov. 19-21, 2015

hydrologic change for developing improved inprotection and control wastewater discharge fromvarious land use.

Basin”, J. of Environ. Res. Vol.34 (2), 2012,
pp. 89-106.
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basin”, year reports of 2006-2014.
[13] Ethington B., “Things To Know About
Regression:, Edpr 7/8542, Spring, Retrieved
on
07
June
2013
from
https://umdrive.memphis.edu/yxu/public/Bunt
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regression analysis”, Statistics for Scientificresearch, 1st ed. Bangkok: Chulalongkorn
University, 2007, pp. 279-302.
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Conf. on Bangkok, Thailand, 2004, pp. 33-42.

ACKNOWLEDGEMENTS
This study was supported by Office of theHigher Education Commission, Ministry of
Education, Thailand.
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615

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

A SIMULATION MODEL FOR COUPLED GROUNDWATER AND
OPEN-CHANNEL FLOW IN RECLAIMED TIDAL PEATSWAMP
Aswandi1, Robiyanto. H. Susanto1, Edward Saleh1, Iskhaq Iskandar1 and M. RaisAbdillah2
1
Department of Environmental Sciences, Sriwijaya University, South Sumatra, Indonesia
2
Department of Geophysics, Graduate School of Science, Tohoku University, Sendai, Japan
ABSTRACTA three-dimensional (x,y,t) model of coupled groundwater and open-channel flow is developed for
simulating irrigated tidal peat swamp land in Berbak Delta, Jambi, Indonesia. It exhibits spatial feature andcoupling ability which are rarely used in groundwater analysis in this region. The model uses Saint-Venantand Manning equations for open-channel flow and Darcy equation for groundwater flow. On the canalboundary, the water height data is simply assimilated on the previous day to reflect the tidal influence. Model
performance is investigated in a small irrigated area for two periods during 2012/13 and 2013/2014.The
simulated water table show coherent result with the observation. The model is expected to be useful for not
only groundwater and irrigation application, but also broader analysis related subsidence and carbon loss inlocal area. It facilitates consumer (user) and policy makers (decision maker) in deciding on land-use planningand water management scenarios in the reclaimed area of tidal peat swamps.
Keywords: Modeling, Canal, Groundwater, Spatial, and Management

then calculated in the model cores which consist of
two systems: open-channel flow and groundwater
flow. Finally, the predicted water table is produced.
It can be used for the next iteration in the next day.

INTRODUCTION
For a complex environment system, not all
driving factors could be identified or measured
directly by people. A computer model helps us torepresent the complex system and gives
approximate solutions for users. In South Sumatera
and Jambi Province, Indonesia, hydrology models
have been used for water management system in
irrigated lands. So far, the model applications were
often limited to 2-dimensional (x,t) analysis forwater flow in the canals only or soils only. For
instance, Imanudin, M.S (2010) performed
groundwater simulation using Drainmod model ina crop land. Damayanti, Evi (2013) used
DUFLOW to study the water flow on the canals.
To obtain more detail and more reliable results, wedevelop a 3-D (x,y,t) model that is able to reflect
both groundwater and open-channel flow
simultaneously. The model is named as
Groundwater-Canal Flow (GCFlow) model.
GCFlow has features that highlight the easiness forusers. Therefore, it can be easily utilized by local
institution and be developed for further analysis
related to water management system.

Basic Equations
Open-channel system simulates the behaviorof water in the canal (open-canal type). The
groundwater system simulates the flow of water insoil pores. Both components interact with eachother in the model.
.
System of Open Channel Flow
Two equations in an open flow component
are Saint-Venant equation and the Manningequation. The Saint-Venant equation is given by𝜕𝜕ℎ 𝜕𝜕𝜕𝜕
=𝜕𝜕𝜕𝜕 𝜕𝜕𝜕𝜕

(1)

where 𝜕𝜕ℎ and 𝜕𝜕𝜕𝜕 are the change in water height(L) and change in discharge per cross-sectional
width (L2T-1), respectively. 𝜕𝜕𝜕𝜕 and 𝜕𝜕𝜕𝜕 denotechange in time and space, respectively. In finite
difference approach, Eq. (1) can be written into

MODEL DESIGN∆ℎ 1 𝑄𝑄𝑖𝑖𝑖𝑖 − 𝑄𝑄𝑜𝑜𝑜𝑜𝑜𝑜=∆𝑡𝑡 𝑤𝑤∆𝑥𝑥

Flowchart of the modelFig. 1 exhibits the general flowchart of
GCFlow model. The model needs daily rainfall
and evapotranspiration dataset, soil and canalparameters data, and initial water table in the landand canal as initial condition. These dataset areℎ𝑖𝑖𝑘𝑘+1 = ℎ𝑖𝑖𝑘𝑘 +616

1 𝑄𝑄𝑖𝑖𝑖𝑖 − 𝑄𝑄𝑜𝑜𝑜𝑜𝑜𝑜
∆𝑡𝑡
𝑤𝑤
∆𝑥𝑥

(2)
(3)

SEE-Mie, Japan, Nov. 19-21, 2015

Soil and canal parameters
Initial groundwater
Daily rainfall andEvapotranspiration

Initial canal height

Groundwater flow system

Open-channel flow system

Output: Daily simulated
water table

Fig. 1 Flowchart of GCFlow model
where 𝑤𝑤 , 𝑄𝑄𝑖𝑖𝑖𝑖 and 𝑄𝑄𝑜𝑜𝑜𝑜𝑜𝑜 denote width of channel(L), total discharge entering and exiting a segment(L3T-1), respectively. ℎ𝑖𝑖𝑘𝑘+1denotes simulated waterheight at time step (𝑘𝑘 + 1). The total discharge isestimated based on Manning equation as follow
𝑄𝑄 =𝐴𝐴 2/3 1/2
𝑅𝑅 |𝑆𝑆|𝑛𝑛

Aquifer system is simplified into a number ofgrids that have the same width (ΔX). Each grid is athree-dimensional body whose depth dimension isrepresented by the thickness of the aquifer. The
flow is assumed to occur in the direction of the Xaxis and Y-called flow between grids. Flow
between grids occurs following the hydraulicgradient (dH/dX) formulated in finite difference
method as ΔH/ΔX. The groundwater flow
direction is determined by five neighboring cells.
Based on the principle of conservation of mass,
we can derive the following equations:(4)

where A is cross section of the segment (L2), n is
Manning roughness coefficient (L-1/3T-1), R is
hydraulic radius (L) and S is energy slope in the
upstream and downstream of the segment,
simplified to the slope of the surface water
between segments (LL-1). If S > 0 (S < 0), then thecomputed 𝑄𝑄 is classified as 𝑄𝑄𝑖𝑖𝑖𝑖 (𝑄𝑄𝑜𝑜𝑜𝑜𝑜𝑜 ), respectively.
In model, the canal is represented as grids that
distributed spatially (Fig. 2). To measure thedischarge 𝑄𝑄𝑖𝑖𝑖𝑖 and 𝑄𝑄𝑜𝑜𝑜𝑜𝑜𝑜 , model evaluates every
energy slope S in all surrounding canal-type grids
as illustrated in Fig. 2 (right). Note that to obtain 𝑄𝑄,
model uses the actual width of the canals, not thewidth of the simplified canal in the box.

𝒅𝒅𝒅𝒅
= � 𝑸𝑸𝒊𝒊𝒊𝒊 − � 𝑸𝑸𝒐𝒐𝒐𝒐𝒐𝒐
𝒅𝒅𝒅𝒅∆𝑯𝑯 ∑ 𝑸𝑸𝒊𝒊𝒊𝒊 − ∑ 𝑸𝑸𝒐𝒐𝒐𝒐𝒐𝒐=∆𝒕𝒕(∆𝑿𝑿)𝟐𝟐∆𝑯𝑯𝒊𝒊,𝒋𝒋
𝑲𝑲𝑨𝑨𝒊𝒊,𝒋𝒋 �∑𝟒𝟒𝑵𝑵=𝟏𝟏 𝑯𝑯𝒌𝒌𝑵𝑵 � − 𝟒𝟒𝑯𝑯𝒊𝒊,𝒋𝒋=∆𝒕𝒕𝒇𝒇𝒊𝒊,𝒋𝒋 (∆𝑿𝑿)𝟐𝟐
∆𝑿𝑿

(5)

(6)

(7)

𝟒𝟒

� 𝑯𝑯𝒌𝒌𝑵𝑵 = 𝑯𝑯𝒊𝒊+𝟏𝟏,𝒋𝒋 + 𝑯𝑯𝒊𝒊−𝟏𝟏,𝒋𝒋 + 𝑯𝑯𝒊𝒊,𝒋𝒋+𝟏𝟏 + 𝑯𝑯𝒊𝒊,𝒋𝒋−𝟏𝟏

System of Groundwater Flow

𝑵𝑵=𝟏𝟏

In Eq. 5, V is the volume occupied by groundwaterin a grid integrated from aquifer until the watertable position (L3). Qin and Qout are flow enteringand exiting a grid (L3T-1). Eq. 6 shows the finite
difference form of Eq. 5.
We then can break down the parameter of 𝑸𝑸 into
water table height (H), saturated hydraulicconductivity (K), storage coefficient (f), and crosssectional area of flow (A). By adding Darcy
equation, we obtain Eq. 7 where ∑ 𝑯𝑯𝒌𝒌𝑵𝑵 is sum ofsurrounding cells height, N = (1,2,3,4) is an index
for the water height H in four neighboring
cells:{(i-1,j), (i+1,j), (i,j+1), (i,j-1)}. Notation i andj denote the indices of grids/boxes. Notation 𝒌𝒌
denotes the time step of the model. The crosssectional area (A) is a scalar product of water table
depth (D) with width of the grid (ΔX),

GCFlow assumes 1-layer aquifer systembecause characteristic of vertical hydraulicvariation in peat soils is more uniform compared inmineral soils. The vertical hydraulic conductivity
value is observed very low and can be neglected.

Fig.2 Canal schematization. (left) blue line denotes
real position of water body. (right) blue boxes
denote canal in the model. See text for details.
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SEE-Mie, Japan, Nov. 19-21, 2015

𝑨𝑨𝒊𝒊,𝒋𝒋 = 𝑫𝑫𝒊𝒊,𝒋𝒋 ∆𝑿𝑿

Table 1. The parameters used in GCFlow model(8)

Data Input
Canal system:• Map of canal• Depth of canal• Top width of canal• Bottom width of canal• Manning coefficient• Initial water table
Soil characteristics:
Hydraulic conductivity
Coefficient storage
Elevation (DEM)
Net-precipitation

The Eq. 8 is then modified after including net
precipitation (P):𝒌𝒌
𝑯𝑯𝒌𝒌+𝟏𝟏𝒊𝒊,𝒋𝒋 = 𝑯𝑯𝒊𝒊,𝒋𝒋 +𝑷𝑷𝒌𝒌𝒊𝒊,𝒋𝒋+
𝒇𝒇𝒊𝒊,𝒋𝒋
𝟒𝟒
𝑯𝑯𝒌𝒌𝑵𝑵 � − 𝟒𝟒𝑯𝑯𝒌𝒌𝒊𝒊,𝒋𝒋
𝑲𝑲𝑫𝑫𝒊𝒊,𝒋𝒋 �∑𝑵𝑵=𝟏𝟏�� ∆𝒕𝒕𝒇𝒇𝒊𝒊,𝒋𝒋(∆𝑿𝑿)𝟐𝟐(9)

The net precipitation is raw precipitation measured
in meteorological station minus evapotranspiration.
Basic depth of groundwater flow (D) is calculatedby Hooghoudt principle as shown in Eq. 10, where
L is the distance between the canals (L), r0 is the
specific radius of flow (L), m is a function ofaquiver thickness ratio and distance between
canals (L/L), T is the thickness of the aquifer (L),w is the flow width in the canal (L) and l is theflow depth in the canal (L).
𝑫𝑫 =

𝒍𝒍𝒍𝒍

𝑳𝑳

𝝅𝝅𝐋𝐋
𝟖𝟖

+ 𝑭𝑭(𝒎𝒎)𝝅𝝅𝒓𝒓𝟎𝟎𝟐𝟐𝝅𝝅𝐓𝐓
𝒎𝒎 =
𝑳𝑳
∞

(10)

𝒏𝒏=𝟏𝟏

Initial conditionmmmmm day-1
m3 m-3m
mmday-1

After that, the groundwater flow equation is used
to represent initial water table in the land. This
option is suitable for simulations of various
scenarios assuming a uniform averaged canalwater height.
The method of data logger is similar with theuniform, except user must input real observation
data in canal. If the user wants to perform
simulations of real-case for a certain time span, theuser must prepare the water level observation data
canal on the first day. The data logger is expectedto spread across all segments of the canal in orderto accurately form the water table surface.

𝑭𝑭(𝒎𝒎) = 𝟐𝟐 � 𝒍𝒍𝒍𝒍(𝐜𝐜𝐜𝐜𝐜𝐜𝐜𝐜(𝒏𝒏𝒏𝒏))
𝒓𝒓𝟎𝟎 =

Unit (dimension)𝒘𝒘𝒘𝒘
𝝅𝝅(𝒘𝒘 + 𝟐𝟐𝒍𝒍)

Model codes, layouts and features
The GCFlow codes are written in MATLAB
programming language (www.mathworks.com).
The model is designed with GUI feature foreasiness to user. A snapshot of the model interface
is shown in Fig. 3. GCFlow provide interesting
features for visualization of ground water. In
addition to displaying spatial map of groundwater,
user can see the cross-section of water level fromvarious locations. Users can also view time-series
water level in any cell selected by the user. The
model output can be saved in a format
ArcView/ArcGIS, Ms. Excel, or ASCII.

Model uses UTM coordinate for identifying
grid location. The dataset is compatible with GIS
software such as ArcView/ArcGIS. Table 1 shows
the data parameters needed by the model. For
canal parameters, it should be provided in a shape
file (shp) line-type vector format that consist
geographical location of actual canal, depth andwidth of the canal segment. GCFlow will discrete
the canal segments into grids/cells (Fig. 2). Modelalso needs soils parameter, DEM, and netprecipitation dataset.
To prepare the initial condition, the model
calculates initial water table in the canal first andadjusts initial water table in the land afterwards.
There are two methods to prepare the initialcondition of water table: method of uniform anddata-logger. Both control the initiation in the canal.
In uniform method, user will be asked to
input a value for average water table depth in thecanals relative to surface topography. The openchannel flow equation is then applied to smoothing
the initial water table in a short period.

Fig.3 A snapshot of GCFlow model.

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SEE-Mie, Japan, Nov. 19-21, 2015

CASE STUDY IN RANTAUMAKMUR
Model performance is investigated in small
irrigated land in Rantau Makmur village, Jambi,Indonesia from 1 April 2012 to 31 March 2013
(Fig. 4). The domain has two primary canals (PC),two secondary canals (SK), and two tertiary canals(TC). Total grids simulated in the model are 202 ×
181 or 36 562 grids with 10 m resolution. The
topography of the study area is presented in Fig. 5.
Preparation of soil and canal data
To make 2-dimensional datasets of soil andcanal parameter, we perform interpolation
technique and simple calibration. The former one
is used when the observations are considerably
much and scattered. The latter one is used whendata observations are less.

Research Site

Spatial interpolation
We consider the topography (DEM) andhydraulic conductivity (K) datasets are appropriate
for interpolation. Interpolations are done using
ArcView/ ArcGIS program using natural neighbormethod for DEM data and hydraulic conductivity(K). The observation of K is constrained in the
inner part of domain where the main analysis isconducted.

Fig. 4 (Top) Sumatra Island, Indonesia and(bottom) the location of the research site for casestudy in Rantau Makmur village, Jambi Province,
Indonesia (depicted by red circle in (top) andpointed by red arrow in (bottom)).

Calibration
Storage coefficient (S) and the manningcoefficient parameter are calibrated. This isbecause these parameters are considered
uncertainty great value but less observation point.
To obtain appropriate value for S and n, GCFlow
runs several times with different initial conditions.
The range of initial values is based on previous
measurement in Berbak Delta. The simulated
water table for all experiments are assessed byfinding the highest correlation coefficient with theobservation. For S, the calibration result showsthat 0.3 m3m-3 is the best so far for our calculation.
While the results of the calibration for manningcoefficient is 0.03.
Inserting tidal influence
Water canals in Rantau Makmur village arestrongly affected by sea tidal force thus it isimportant to include tidal force in the model.
However, we do not use basic dynamic equationsof tidal force. In GCFlow, we simply assimilate
the tidal force by a proxy of WT canal observation
at the previous day of simulated WT in every outerboundary of PC canals (water table observation isheld every 24-hours). In details, if number of time

Fig. 5 Topography (m msl) and canals location thatused in case study (projection in UTM 48S)
step for each day is 12 steps (2 hour), the initialwater height for calculating water height at step 1
is obtained by modifying simulated water height at
24th step in previous day. The modified simulated
water height is619

SEE-Mie, Japan, Nov. 19-21, 2015������
𝒉𝒉𝒌𝒌𝒊𝒊,𝒋𝒋 = (𝟏𝟏 − 𝜶𝜶)𝒉𝒉𝒌𝒌𝒊𝒊,𝒋𝒋 + 𝜶𝜶𝒉𝒉𝒐𝒐𝒐𝒐𝒐𝒐

(11)

100
50

𝒌𝒌
where 𝒉𝒉𝒊𝒊,𝒋𝒋
is raw simulated water height at last step
𝒌𝒌 for previous day. ������
𝒉𝒉 is the average of canal

0-50

𝒐𝒐𝒐𝒐𝒐𝒐water height observations on previous day. 𝜶𝜶 isassimilation factor which has a value between 0 to
1 depending on user’s demand. In our case, we
simply use 𝜶𝜶 of 0.5.

-100

S5 (obs)-150

S5 (model)-200
04/2012 06/2012 08/2012 10/2012 12/2012 02/2013

Simulation for year 2012/2013

100
50

In this period, GCFlow simulates water tablefrom April 1, 2012 to March 31, 2013. Fig. 6
exhibits spatial simulation result on 30 April 2012.
This model provides a feature for analyzing thecross-section of water table from any locations.
Fig. 7 shows daily time-series of simulated
and observed canal water and groundwater height.
In the canal, the model simulates good in-phaserelationship (Fig. 7 top). The model succeeds toshow the fluctuation affected by tidal although theamplitude seems a bit suppressed. The modelshows surprisingly great result after November
2012 when the canal water is observed on thesurface. In general, the R2 values on the canalpoints of P8, P9, S5 and S2 are considerably good
(Table 2), indicating good performance of themodel. The difference on R2 value may be causedby assimilation process which includes only
averaged value of observational data.

0-50

O.A1-1-100

Mz2.A1-1-150
04/2012 06/2012 08/2012 10/2012 12/2012 02/2013

Fig. 7 Daily time-series of simulated water table(black line) versus observation (red line) on thesecondary canal (top) and on the land (bottom)
during 1 April 2012 to 31 March 2013. Y-axis is in
cm relative to ground surface.
Table 2. R2-value of observational data and model
results for the period 1 April 2012 - May 31, 2013
in available observation points on canal and land
Canals

P8

P9

S2

S5

2

0.82

0.90

0.73

0.62

Lands

A1-1

A1-2

A1-3

A1-4

A2-1

A2-3

R2

0.87

0.85

0.81

0.87

0.68

0.77

R

Simulated water depth on the land ispresented on Fig. 7 (bottom). In A1-1, thesimulation shows very coherent result. It is also
shown on the R2 of secondary block of A1-2, A1-3,
and A1-4 (Table 2). In addition, the simulated andobserved water table on tertiary block (A2-1 &A2-3) is not as good as secondary block,particularly starting the dry season (July) which
led under-estimation (figure not shown).
Simulation for year 2014/2015
In the second case, the model produces highcorrelation of water table on the canals (Fig. 8 top).
It seems that the consistency of observational data
used for assimilation in this period is better thanprevious period (Fig. 7 top). The values of R2 on
the canal exceed 0.9 (Table 3). In the land, themodel can also produce coherent result as shownin Fig. 8 (bottom) and Table 3 of AP12 and AP13.
However, some variations are not captured by themodel in the middle of period (July-October).

Fig. 6 (top) Result of simulated water table on 30
April 2012. Black line denotes location for crosssection. (bottom) the cross-section of water table.
Black (red) line indicate DEM (water) height.

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SEE-Mie, Japan, Nov. 19-21, 2015

REFERENCES

500[1] Christian, Aswandi, and Dipa. 2004.
Hydrological Modelling. “Promoting the river
basin and ecosystem approach for sustainable
management of SE Asian lowland peatswamp
forests” Case study Air Hitam Laut river basin,
Jambi Province, Indonesia
2016. Improving Water[2] Damayannti, Evi.
Management for Increasing Production andConserving Peat Land Areas. Case
StudyMuaro Jambi, Indonesia. UnescoIHE. Case Study Muaro Jambi, Indonesia .
MSc Thesis (WSE-HELWD.13.3.
[3] Dipa.S.R. 2011. Drainage-driven subsidence
and carbon emission in Air Hitam Forest
Reserve and its surrounding area, JohorMalaysia.
[4] Hooijer. A, S. Page, J.Jauhiainen, W.A.Lee,
Aswandi, and G. Anshari. 2011. Subsidence
and carbon loss in drained tropical peatlands.
Journal Biogeosciences 9, 1053-1071.
[5] Imanuddin, M.S. 2010. Strategi pengendalianmuka air untuk pertanian daerah rawa pasang
surut Sumatera Selatan, Indonesia.
[6] Susanto, R.H. 1998. Water status evaluation in
tertiary and secondary blocks of South
Sumatra reclaimed tidal lowlands using thehidrotopography and SEW-30 concepts.
Proceeding of the Young Professional ForumInternational Commission on Irrigation andDrainage Seminar (B3). Bali July 23, 1998.
[7] Susanto, R.H. 1994. METODE AUGER:
Pengukuran Keterhantaran Hidrolik Tanah di
Bawah Muka Air Tanah. Terjemahandari THE
AUGER HOLE METHOD: A Field
Measurement of the Hydraulic Conductivityof Soil below the Water Table. W.F.J. Van
Beers. 1983. ILRI, the Netherlands. Jurusan
Tanah Fakultas Pertanian. Universitas
Sriwijaya.
[8] Susanto, R.H. dan R.H. Purnomo. 1996.
Pengantar Fisika Tanah. Terjemahan. Fakultas
Pertanian. Universitas Sriwijaya.
[9] www.clarklabs.org . Clark University, USA:[10] www.
Viva.
Co.
id.
2015.
file:///E:/PBB%20Perubahan%20Iklim%20Du
nia%20
Bergantung%20Hutan%20Indonesia.html[11] http://redmonk.com/sogrady/2014/06/13/langu
age-rankings-6-14/).
[12] http://www.mathworks.com

-50
-100
-150

23/09/2014

SK5(Mz5)SK5
23/11/2014

23/09/2014

23/11/2014

-200
-250
23/05/2014

23/07/2014

80
60

AP12

40

(Mz5)AP12

20
0
-20
-40
-60
23/05/2014

23/07/2014

Fig. 8 As in Fig. 7, but for the simulation period of
23 May 2014 to 31 December 2014.
Table 3.Value R2 of observational data and model
results in the period 23 May to 31 December 2014
Pointof obsR

2

Canals

Lands

TC1

SK5

AP12

AP13

0.95

0.91

0.73

0.81

CONCLUDING REMARKS
Model GCFlow is 3D models that simulate
the movement of water in the canal and on land as
well. The model can calculate the movement ofwater in primary canal, secondary canal, tertiary
canal and land for water management planning in
tidal land reclaimed, with the data observation
period in 2012/2013 and 2014 in Block-A Rantau
Makmur, Tanjabtim-Jambi. Testing results of thesimulation WL (water level) in all canals and on
land has been very good, with the R2 value reaches
0.95.
From the results, the model can be used fornext simulation of CO2 emissions and subsidence
prediction using yearly predicted groundwater. The
hope is to be found the optimum water level
predictions for crop cultivation, and minimum
damage to the environment (CO2 emissions andsubsidence) in the peat swamps tidal reclamation
results in Delta Berbak in particular, or in othertropical tidal areas.
This model is newly made for developing
Berbak Delta in Jambi, Indonesia. We started from
simple calculations that at least can produce
coherent result. However, there are still some lacks
and many assumptions in the model that needs tobe improved and evaluated, for example the tidal
forcing and the existence of water gate.

Acknowledgement: The authors appreciatively
acknowledge funding from DP3M project,
Directorate of High Education, Department of
National Education of Republic of Indonesia.

621

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

A METHOD OF PARTNERSHIP BETWEEN GOVERNMENTS AND CITIZEN’SCOMMUNITY GROUPS FOR ACHIEVING ENVIRONMENTALSUSTAINABILITY: FOCUSING ON THE LANDCARE MOVEMENT IN
AUSTRALIA
Tomomi Maekawa
Department of Value and Decision Science, Graduate School of Decision Science and Technology,
Tokyo Institute of Technology, Japan

ABSTRACTWith regard to achieving environmental sustainability, it has long been recognised that partnership between
citizens and governments is important for conservation and for solving environmental problems. It has also beenrecognised that what form that partnership takes makes a difference. However we are still in the process of
seeking out a methodology for an ideal form of partnership between citizens and governments. This study will
focus on the partnership between citizen’s community groups and governments in an Australian communitybased approach to natural resource management called Landcare, which has been recognised as a successful
approach for natural resource management through multi-party partnership. In the Landcare movement, local
voluntary groups care for the local environment, including such things as parks, creeks, forests and farms. In
order to clarify the nature of the partnership between citizen’s community groups and governments in the
Landcare movement, documention analysis and in-field research in the State of Victoria, Australia, were
undertaken. The in-field research included observations through participation and interviews with individuals
participating in the Landcare movement as volunteers or staff members. As a conclusion, the partnership
between citizen’s community groups and governments in the Landcare movement has been found to include
respect for the voluntary and autonomous nature of the local groups that carry out the activities for improving
local environments with informational, financial, technical, and motivational support from the state and federal
government.
Keywords: Partnership between Governments and Citizen’s Community Groups, Environmental Sustainability,
Landcare Movement in Australia, respect for voluntary and autonomous nature of the local groups, supports
from the state governments and the federal government

adopted at the United Nation’s Conference on
Environment and Development (UNCED) in 1992,
lists women, children, youth, non-governmentalorganisations, local governments, labourers, labour
unions, the industrial world, etc., as actors who play
primary roles for environment and development, andsuggests the establishment of a genuine social
partnership among them. This is true in conservationof the local environments.” [5]. With regard to what
is required for building partnerships for conservationand for dealing with environmental issues, [2]suggests the establishment of groups ororganisations where people can find worthwhile
activities in given local areas across Japan, and alsosuggests the distribution and sharing of information
among citizens, businesses, and governments.
Clearly, there is a strongly sensed need for ameans of partnership between citizens andgovernments.
However,atruly
effective
methodology remains to be discovered.

INTRODUCTION
What the Partnership Should be?
Research in Japan has shown that partnership
between citizens and governments has beensignificant for conservation and for solving
environmental problems, and also that the form thepartnership takes is important [1], [2].
Reference [1] points out that “For the creation ofenvironmental capital grounded in a partnership
between governments and citizens, it is important
that, through making clear the roles expected of andactually performed by each, a relationship that iswell suited to the needs of both be established, andthat the tasks apportioned to each be made clear inorder for projects to progress effectively. In casestudies too, this has been a central issue.” [3]. [2]also points out that “From now on, to addressenvironmental issues, it will be important to makeclear the respective roles of governments andcitizens and the form that networking between theseshould take.” [4]. As [2] points out, “Agenda 21

Purpose of this Study

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SEE-Mie, Japan, Nov. 19-21, 2015

Keeping in mind the indications and thesuggestions provided by the research mentioned in
the previous section, this study will aim to clarify
the nature of the partnership between citizen’s
community groups and governments in an
Australian community-based approach to natural
resource management called Landcare, as a
successful model that may be relevant to Japan. The
reasons for focusing on the partnership in Landcare
as a model in this study are the following:
Various stakeholders have participated in
Landcare and it has been recognised as “effective”
and “successful”. It “has been embraced bygovernments,
farmerorganizations,andconservation groups throughout Australia as a modelfor effective community action to assist the move tomore sustainable resource use [6]” and is “a highly
successful community-based volunteer movementthat facilitates and coordinates actions to care for ourenvironment” where people “come together todiscuss shared land management issues, and toaction to address these issues” [7].
Landcare has had over twenty-five years ofhistory since its inception in 1986 in Victoria andhas spread across the nation. There are more than
630 groups in Victoria alone [8] and over 5,000
groups across Australia [9].
These facts indicate that Landcare is highly
regarded and that it is successfully provided a stableform of partnership between citizens’ community
groups and governments.

Landcare movement as volunteers or staff members.
The in-field research, the observation throughparticipation and the interviews with individuals,
was carried out in the state of Victoria, Australia,
with support from the chair of Australian Landcare
International, who has been involved in Landcare
since its beginning and has a broad range of contacts
with individuals related to Landcare in Victoria andacross Australia. The in-field research was carriedout during the period from 18 March 2014 to 24
March 2014.
In this study, at first I identified the main
existing institutions and the other forms of support
for Landcare provided by governments, focusing on
the case of the State of Victoria. I then undertook
documentation analyses, observation throughparticipation, and interviews with individuals todetermine how the institutional and other forms of
support identified have been working in field.
In order to identify main existing institutions andother forms of support, information was gatheredfrom the websites of the Department of Environment
and Primary Industries in the State of Victoria, theDepartment of Agriculture in the AustralianGovernment, and other related organisations.
FINDINGS
Identifying and Categorising Institutional andother Forms of Government Support
The institutions and the other forms of support
identified for the citizen’s community groups
collectively called Landcare groups or Landcare
networks from the State Government of Victoria andthe federal government of Australia can be
categorised into four different groupings. There areinformational, financial, technical, and motivational.
(See Table 1)

METHODOLOGY
The methodologies used to clarify the nature of
the partnership between citizen’s community groups
and governments in Landcare, were documentation
analysis (including gathering information from the
webpages of the related organisations on theinternet), observation through participation, andinterviews with individuals participating in the

Table 1 Institutions and the other forms of support provided by the State Government of Victoria and the federal
government
Category
informational

institution
Victorian Landcare Gateway
The Victorian Landcare &Catchment Management
Magazines
National Landcare Directoryfinancial

Victorian Landcare Grants
National Landcare Program
Regional Funding

sourcethe State Government ofVictoria
the State Government ofVictoria (DEPI)
the federal governmentand other organisations
the State Government ofVictoria
the federal government

623

deliverer
DEPI
Available through theVictorian Landcare Gateway
Landcare Australia Limited
10 CMAs in Victoria
56 natural resource
management organisations

SEE-Mie, Japan, Nov. 19-21, 2015

Landcare tax benefits

technical

Regional Landcare
Coordinators
Regional Landcare Facilitators

the federal government(Department ofAgriculture)
the State Government ofVictoria (DEPI)
the federal government

across Australia
Deduction claim available
via Australian Taxation
Office10 CMAs in Victoria

56 natural resource
management organisations
across Australia
motivational
States and Territory / National
the federal government
Nominations available on
Landcare Awards
the internet
Victorian Landcare Awards
the State Government ofNominations available on
Victoria
the internet
Note: in Table 1, “institution” means institution and the other forms of support by the State Government ofVictoria or the federal government of Australia; “source” refers to the original source or provider of theinformation/funding/assistance; “deliverer” refers to the institution or individuals that mediate this to therecipient. “DEPI” is for the Department of Environment and primary Industries in the State Government ofVictoria, and “CMAs” is for the Catchment and Management Authorities.
Through this directory, people can find Landcare
Institutions and the other Forms of Support
groups “to volunteer and learn about Landcare
Identified
activities” in given areas, related events in which
Informational Support
people can get involved such as special events,“regular activities,…environmental workshops, andWith regard to informational support, in the state
training” in given areas, and projects “that Landcareof Victoria, the State Government of Victoria
Australia has funded in partnership with ourprovides information related to Landcare throughCorporate Partners” [12].
managing a website called Victorian Landcare
Gateway and through a magazine called Victorian
Financial Support
Landcare & Catchment Management. At thenational level, Landcare Australia Limited which isWith regard to financial support, in the state ofa non-profit private company formed and funded byVictoria, the State Government of Victoria provides
the federal government of Australia in order tofunding in the form of Victorian Landcare Grants.
“raise awareness and generate corporate support for
At the national level, the federal government
Landcare” [10] provides information on its website
provides funding through National Landcare
which includes a National Landcare Directory.
Program Regional Funding and also provides theWith regard to the institutional support provided
possibility of tax deductions for landowners
by the State Government of Victoria, “The Victorian
incurring capital expenditures for their property
Landcare Gateway is the central point of contact for
improvements (known as a Landcare tax benefit).
Landcare in Victoria” and in this system people “canThe Victorian Landcare Grants are provided
find news from Landcare groups and networks,
through 10 Catchment Management Authorities
including up-coming volunteer activities and events,(CMAs) to “on-ground works that deliver on local,
resources and toolkits for groups, information on
regional and State priorities, capacity building
grants and projects, as well as group and network
activities for land stewardship and on-ground change,
contacts” [11]. The magazines Victorian Landcare
projects that promote innovation through& Catchment Management features stories that areexperimental trials and pilot programs, start-up“primarily contributed by community Landcarers”
funding (for new groups & networks) andon broad natural resource management issues and ismaintenance grants to ensure a strong Landcare baseavailable through the Victorian Landcare Gateway
across the State, and opportunities to promote(Department of Environment and Primary Industries,
Landcare and increase membership and volunteer
the State of Victoria. Available online atnumbers” [13].
http://www.depi.vic.gov.au/environment-andOn the other hand, the delivery of the National
wildlife/community-programs/landcare/victorianLandcare Program Regional Funding, which islandcare-gateway. Accessed 20 July 2015).
available only to the 56 regional natural resource
On the other hand, with regard to support at the
management organisations across Australia, “should
national level, there is the National Landcare
be designed to maintain or build upon current
Directory managed by Landcare Australia Limited.
engagement in landcare and practice change624

SEE-Mie, Japan, Nov. 19-21, 2015

activities, while increasing the engagement andparticipation rates in natural resource management
and sustainable agricultural activities of a wide
variety of groups” with of the stipulation that at a“minimum 20 per cent of their annual regional
allocation [should go] to small, on ground projects
and related activities that are delivered by, or
directly engage with, the local landcare community”[14]. At the national level, specific landholders withapproved land management plans, who “incur
capital expenditure on a landcare operation” such as“exterminating “animal pests from the land” and“combating land degradation other than by the useof fences”, can claim a tax deduction [15], [16].

on to represent their state or territory” at the
National Landcare Awards which are held following
the State & Territory Landcare Awards [17]. In theseAwards, there are categories such as “individual
Landcarer Award”, “Landcare Facilitator or
Coordinator Award”, and “Qantas Landcare
Innovative Community Group Award” [18] which
are sponsored by governments, private companies,
and other organisations [19].
How the Institutions and the other Forms of
Support by Governments Work in-field?
Making Farms Sustainable and Better Environment
for Farmers

Technical Support
Through participation in an event held at amember’s farm of one Landcare group in Drouin
South, it has been found that grants, volunteers, andstaff have, through Landcare, been supporting thefarmer in carrying out more sustainable farming
practices and other farmers have also used this as apoint of reference.
According to the document distributed to theparticipants at the event, the member who is theowner of the farm where the event was held “started
to planting indigenous plants on his property in thelate 80s… He initially started by fencing off andplanting the steep embankment at the back of theproperty where small landslips were occurring”. He“has been involved in Landcare since the 1980s andis an inaugural committee member of Lardner andDistrict Landcare Group. He has hosted andsupported many Landcare plantings and field dayson his property and has inspired others to also
become involved.” He “believes the farm is a better
environment now for his family to live and work.
Some of the benefits to the farm” that he “hasobserved include; more shade for cows resulting inless stressed cows and improved milk quality,
increased production, improved cow condition, andbetter quality of pastures. He believes that their farmis more drought resilient and observed that during
the height of the drought his farm had a tinge ofgreen whereas other areas were brown.” (based on
documentation entitled Demonstrating Sustainable
Farm Practices Field day - Drouin Sth).
At the event he gave a presentation on his farm’s
history and what he has done to make its
environment better and showed the participantsaround his farm. According to the documentation
distributed, the event was a project launch event.
The project, entitled “Demonstrating Sustainable
Farm Practices in Western Port, Port Phillip andYarra catchment” is “managed by the Western Port
Catchment Landcare Network and supported by Port
Phillip & Western CMA through funding from theAustralian Government”. The “aim of this project is
to work with farmers from all enterprises to promote

With regard to technical support, in the state ofVictoria, the State Government of Victoria invests inwhat are called Regional Landcare Coordinators.
There is one based in each region in Victoria.
Likewise, the federal government invests in what are
called Regional Landcare Facilitators, with one
based in each of 56 natural resource management
organisations across Australia.
Regional Landcare Coordinators facilitate“communication through newsletters and throughthe Victorian Landcare Gateway”, “conduct annual
regional forum”, “assist with funding”, “managing
the annual Victorian Landcare Grants program”, and“represent the region’s interests at the state level”(based on an interview with staff members at
Glenelg Hopkins Catchment Management Authority,
24 March 2014).
Regional Landcare Facilitators assist Landcare
and other community groups in seeking funding,membership, and resources for natural resource
management activities, for the development,delivery, monitoring, and evaluation of regional
plans, and for building and strengthening partnership
between Landcare, community, grower groups,
industry groups and each CMA (based on aninterview with staff members at Glenelg Hopkins
Catchment Management Authority, 24 March 2014).
Motivational Support
With regard to motivational support, the State
Government of Victoria provides Victorian
Landcare Awards, and the federal government
provides States & Territory Landcare Awards andNational Landcare Awards.
State & Territory Landcare Awards, which
include Victorian Landcare Awards, are held every
two years “to acknowledge the success andachievements of community Landcarers, groups,
networks, and organisations who have been working
to protect and restore our environment” and thewinners of some national awards categories “will go
625

SEE-Mie, Japan, Nov. 19-21, 2015

and support the uptake of sustainable farming
practices. Landcare staff will primarily deliver the
project but we will utilise the services of farmconsultants, agronomists, DEPI and soil scientists
when required.”

Goulburn Landcare Network at Flowerdale, 19
March 2014).

A Bushfire Recovery Project as a Model Restoration
Through visiting and through interviews with themembers of one Landcare network in Flowerdale, it
has been found that, through Landcare, the grants,
volunteers, and staff have been supporting thelandowners and local community in the Murrindindi
Shire and Mitchell Shire with rebuilding andrehabilitating the local environment on private
properties that were destroyed by the bush-fire in
2009, known as the Black Saturday Bushfire.
Based on interviews with the members of one
Landcare network which has been carrying out aproject for achieving bushfire recovery, and also
according to the documentation provided by them,after the Black Saturday bushfire, the Upper
Goulburn Landcare Network (UGLN) “recognisedthat recovery, support, direction needed to happen toassist landholders”. The network started a projectwith support from the Goulburn Broken CMA and a
program of the federal government for “developing acommunity driven fire recovery program operating
within the fire affected areas of the upper Goulburncatchment”. In the recovery project, “soil retention”,“revegetation”, “implementation of threatened
species action plans”, etc., were the topics to beconsidered, and in the implementation of the project,
the activities required were assessments of burnt andnon-burnt resources, “seed collection”, fencing,coordination of “volunteer and paid labour”,“management of finances from government coffers”,
etc. Volunteers from private companies, public
sectors, schools, and other organisations have joined
field days of tree plantings, building nest boxes forbirds and animals, or supplying seedlings forplantings.
According to the members of the network
interviewed and the documentation provided bythem, the volunteers have supported the network
continuously since the Black Saturday Bushfire of
2009, and the network has a wide range ofachievements such as a “weed ID & control
workshop for landholders”, “revegetation” (See Fig.
1) and coordination of “remnant vegetation surveys”,“harnessing volunteer labour [to] remove burnt
fences, [and] build new ones”, “seed collection”, thepurchase of a trailer and protective gear, and“communication; media release, calendar of events,
website, brochures, pamphlets, branding, logos”.
The process and achievements of the project werepassed on to Landcare Queensland “after floods tohelp them with restoration using UGLN model”(based on an interview with members of Upper

Fig. 1 Property of a Landcare group’s member
where the fire recovery project has been carried out(at Strath Creek on 5 September 2012).
Discussion on the Nature of Partnership between
Citizen’s Community Groups and Governments in
Landcare Movement
Two examples of institutional and the otherforms of support by governments operate in-field in
the previous section show that they promote thesustainability of both farms and farming throughencouraging voluntary activities by farmers andthrough promoting recovery from natural disasters
by supporting community driven projects. Thisshows that institutional and other forms of support
by governments work in-field to respect for thevoluntary and autonomous nature of the localgroups/networks and their activities.
The possible benefits of this institutional support,
and of the other forms of support from governments
are the following: the grants from governments areallocated to projects proposed by local groups or
networks or regional natural resource management
organisations who know what the local or regional
environment and people need in each area.
Therefore, the money can be used effectively for
local or regional priorities: technical support
provided through Regional Landcare Coordinators
and Regional Landcare Facilitators to local groups
and networks help the groups and networks to besustainable. Choosing awardees and celebrating
awards from the states and from the nationencourage diversity which increases the chance ofcross-reference among local groups and networks.
Delivery systems of information on the internet
which promote interaction among individuals, localgroups, and networks make it easier for farmers inrural areas isolated from towns to access related
information and to join specific local groups or
networks.
626

SEE-Mie, Japan, Nov. 19-21, 2015

[9] Landcare Australia Limited, Annual Report
2013, Landcare Australia Limited, 2013.
Availableat
http://www.landcareonline.com.au/?page_id=11
78. Accessed 20 July 2015.
[10] Johnson M, Poussard H, and Youl R, “Landcare
in Australia”, Landcare: Local action – global
progress. Catacutan, Neely, Johnson, Poussard,
and Youl, Ed. Nairobi: World Agroforestry
Centre, 2009, p16.
[11] Department of Environment and Primary
Industries, the State of Victoria. [online]
Availableat
http://www.depi.vic.gov.au/environment-andwildlife/communityprograms/landcare/victorian-landcare-gateway.
Accessed 20 July 2015.
[12] Landcare Australia Limited. [online] Availableat
http://nld.landcareaustralia.com.au/.
Accessed 20 July 2015.
[13] Department of Environment and Primary
Industries, the State of Victoria. [online]
Availableat
http://www.depi.vic.gov.au/environment-andwildlife/communityprograms/landcare/victorian-landcare-program.
Accessed 20 July 2015.
[14] The Commonwealth of Australia, The National
Landcare Programme Regional Funding 201415
to2017-18
ApplicantGuidelines
Commonwealth of Australia, 2014. Available at
http://www.nrm.gov.au/regional/regionalfunding. Accessed 20 July 2015.
[15] Australian Government,
Department
ofAgriculture. [online] http://www.daff.gov.au/agfarm-food/natural-resources/landcare/tax.
Accessed 20 July 2015.
[16] Australian Government, Australian Taxation
Office.
[online]https://www.ato.gov.au/business/primaryproducers/in-detail/capitalexpenditure/landcare-operations/. Accessed 20
July 2015.
[17] 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.
[18] pp.3-7 in [17].
[19] Australian Government, Department ofAgriculture. [online]
http://www.agriculture.gov.au/ag-farmfood/natural-resources/landcare/nationallandcare-programme/landcare-awards.
Accessed 20 July 2015.

CONCLUSION
The partnership between citizen’s community
groups and governments in the Landcare movement
in Australia has been found to include respect for thevoluntary and autonomous nature of the localgroups/networks and their activities, which enables
to keep them independent from each other without
indifference. It has been also found that this nature
has been realized in the informational, financial,technical, and motivational institutions and othersupports from the governments across the state andthe nation.
ACKNOWLEDGEMENTS
This work was highly supported by Charles Sturt
University Institute for Land, Water and Society,and Mr. Rob Youl, chair of the Australian Landcare
International, and his family and colleagues who are
engaged in Landcare or other activities tacklingenvironmental issues, and by administrative officers
who support these individuals and groups. I would
like to express my appreciation to all the people who
kindly helped the in-field research in Australia, andto the support from the members of the Secretariat toPromote the Establishment of Landcare in Japan andfrom the members of Kuwako Lab at the Tokyo
Institute of Technology.
REFERENCES[1] Matsumoto Y, “Kankyoushisandukuri topartnership”, Kankyoukeikaku, seisakukenkyu
no tenkai – jizokukanounashakaidukuri henogouikeisei-, Harashina, Ed. Tokyo: Iwanami
Shoten, 2007, pp. 177-210.
[2] Utsunomiya F, Kankyougyousei no rinen tojissen – kankyoubunmeishakai no jitsugen wo
mezashite-,
Kanagawa:
Toukaidaigaku
shuppankai, 2006.
[3] p182 in [1].
[4] p268 in [2].
[5] p268 in [2].
[6] Curtis A, Birckhead J, and De Lacy T“Community Participation in Landcare Policy inAustralia: The Victorian Experience with
Regional Landcare Plans”, Society and Natural
Resources, Vol.8, 1995, p415.
[7] Department of Environment and Primary
Industries, the State of Victoria. [online]
Availableat
http://www.depi.vic.gov.au/environment-andwildlife/community-programs/landcare/aboutthe-victorian-landcare-program. Accessed 20
July 2015.
[8] See [7].

627First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

DEVELOPMENT OF ANTHROPOMETRIC CHAIR
BASED ON ARM SPAN, KNEE HEIGHT, AND SITTING HEIGHTFOR ELDERLY
Fatmah1, Erwin2
Public Health Nutrition Department, Faculty of Public Health,
University of Indonesia, Depok City, West Java Province, Indonesia; 2Sultan Ageng Tirtayasa University,
Banten Province, Indonesia
1

Elderly with less nutritional status would be susceptible to get infectious disease, immune deficiencies,
reduced productivity, high risk of various complications of disease, and can even cause death. Height as theone indicator of nutritional status assessment in elderly is difficult to measured due to such conditions as
osteoporosis, scoliosis, kyphosis, etc. Arm span, knee height and sitting height can be used to predict theheight. However, some anthropometric measurements with different positions are not effective because of
discomfort. Three anthropometric measurements in one tool like a chair can overcome the problems. The
study aimed to develop the anthropometric chair (Body Mass Index/BMI Meter) for elder’s nutritional statusassessment with an easy, practical measurement. The study design was cross sectional using survey method
toward 300 healthy older people. Upper leg length, lower leg length, pelvic width, shoulder width, elbow
height, shoulder height and patellar height were measured to design the chair. The study revealed that the
male elderly had higher data anthropometric than female. The mean of anthropometric data decreased withage. The validity of anthropometric chair from the sensitivity (85-100%), specificity (70-80%), Positive
Predictive Value (80-90%) and Negative Predictive Value (80-100%). The anthropometric chair can be used
for assessing elders nutritional status.
Keywords: Anthropometric Chair, Arm Span, Knee Height, Sitting Height, Elderly
so that the results are not accurate. One recent andsophisticated discovery to assess the nutritional
status of elderly who can not be measured in
upright position is the use of Nutrition Status
Assessment (NSA) Card from predicted heightusing arm span, knee height and sitting height [4].
This card has been developed and validated in2009 towards 560 elderly in Depok, Jakarta, andBogor respectively [5]. Validation test forpredictive HB model of this card revealed that all
three aspects had the highest sensitivity andspecificity rather than Eleanor S. and Chumlea
model so it is accurate enough in determining thepredicted height in elderly. As many as 33 cadresof integrated training post (as called “Pos
Pembinaan Terpadu” or Posbindu) and nutrition
workers of health center or hospital in the Districtof Pancoran Mas Depok in 2009 had previously
been trained. The aims of this training were tomeasure and interprete anthropometric nutritional
status in elderly with NSA cards, as well as toprovide a set of anthropometric tool for several
integrated training posts selected to be applied in
the field. However, the study showed that elderly
cadres of integrated service post and nutrition
workers or clinic midwifes in Depok still haveproblems using anthropometric predictors for allmodels with tool made by wood. While using thetool, the elderly have to undergo three times

INTRODUCTION
Malnutrition remains a major nutritional
problem commonly found in groups of elderly
such as undernutrition and overnutrition.
Combination of changes in physiology andpsychology also contributes in the development ofmalnutrition cases in the elderly. Therefore, early
screening of elderly malnutrition is urgently
needed in assessing nutritional status through thecalculation of Body Mass Index (BMI) withheight and weight as indicators [1]. However,height in elderly is difficult to measured becausechanges in posture due to aging; abnormalities ofthe spine due to osteoporosis, kyphosis, or
wheelchair-bound or bedridden Inappropriate
height measurements may lead to inaccurate
assessment of the nutritional status in elderly [2].
Currently, geriatric service workers in healthcenters and hospitals in Indonesia has difficulty inmeasuring height in elderly who are unable tostand up. They are still using a device made bywood and aluminum to measure knee height. The
results then are to be converted to height
prediction with Eleanor’s formula as defined in
The Guidance of Elderly Management for
Dietitian at the Health Center [3]. Meanwhile, thisformula developed in Caucasian elderly who havedifferences in posture and height with Indonesian,628

SEE-Mie, Japan, Nov. 19-21, 2015

measurement in two different positions i.e.
standing and lying down. This anthropometric
tool is also quite heavy when taken to a field thatis not practical to use and requires four people tooperate it. Whereas the elderly activities in
integrated training post were in high level ofmobility that was often moved from one place toanother with the same tools and different
schedules, even in a limited number of field
workers. Therefore, there should be a study
available in designing or developing the tools ofanthropometric which may cover all of three
predictors of height for elderly with ergonomic
beneficial and practical on hand. The aim of thisstudy was to develop a digitally anthropometric
tool which capable to analyze (integrated
analysis) of arm span, sitting height and kneeheight, namely BMI Meter in assessing thenutritional status in elderly to meet the ergonomic
value as needed based on physical condition ofthem.

measurement of anthropometric data conductedby five students who had been trained for using
anthropometer.
Data Analysis
Furthermore, data(s) were analyzed andprocessed with SPSS for Windows 13rd version.
Univariate analysis of data was presented todescribe the frequency distribution, maximumminimum value and the mean value of all
variables studied. The data(s) resulted fromvalidation test of the chair were analyzed with thechair sensitivity, specificity, Positive Predictive
Value (PPV) and Negative Predictive Value(NPV).
RESULT AND DISCUSSION
Mean age of respondents was 61.6 years with
87 years age as the highest while 48 years age as
the lowest. Elderly women had a mean of age
slightly less than men. The anthropometric data
for appropriate chair design was depicted in Table
1. It showed that elderly men have greater results
than women related to the upper and lower legs
length, shoulder width and height, and patellar
and elbow height. The mean of anthropometricparameters measured in elderly men had a value
greater than the elderly women, unless the widthof the pelvis. Male posture was higher and larger
than female. Since body dimensions was took into
account, male generally larger than women,
except for several particular parts such as hip, etc.
[7]. Table 2 showed the distribution ofanthropometric measures decreased with age. The
size of the human body varies according to age.
As advanced age, the value of anthropometricparameters measured in the elderly is low.
Physical development in both men and womencontinued to increase until adolescence. However,around aged of 40, it tends to decrease ordepreciate until old age. BMI is an indicator forassessing obesity and CED (Chronic Energy
Deficiency) risks in elderly. However, it isdifficult to measure stature of elderly due tokyphosis and scoliosis. To overcome the problem,
we can measure the predicted height of elderly
using arm span, knee height, and sitting height [8,9]. Table 3 showed that the mean of height andweight, arm span, knee height and sitting heightin elderly men were greater than women. This
result supported the studies conducted in elderly
Chinese in South America [10] and Chile [11].
Elderly men were taller and heavier than women
because both groups experienced a loss of fat-freemass is greater. Reduction in height of men islower than female. The decreasing of height in

MATERIAL AND METHODS
Study Design
This descriptive analytical study described therelationship inter-variables. Hypothesis was tested
to assess the association between anthropometricchair ergonomically with the validity of thenutritional status of elderly based on height
prediction of arm span, knee height and sittingheight. The study was cross sectional method
using observation approaches [6].
Subject and Data Collection
The subject was elders (senior citizens) with
the inclusion criteria: men and women, aged over
60 years, able-bodied, stand still and resided in
Jakarta and Depok. At the beginning,anthropometric database was collected using aform that embraces measurement of upper andlower legs length, shoulder width and height, hipwidth, elbow and patella height. The
anthropometric data collection was conducted todetermine the shape, size and exact dimensions
related to product designed and to specify
individuals who will operate or use the product.
As many as 200 elderly in Jakarta and Depok
have been chose as samples for this study. The
chair will be designed within 6 months based onanthropometric dimensions of data. Validity test
for the chair conducted on 100 elderly whom
resided in Jelambar district, Grogol Petamburan
subdistrict, West Jakarta. The test included themeasurement of body weight, sitting height, kneeheight, and arm span using the form. The

629

SEE-Mie, Japan, Nov. 19-21, 2015

elderly associated with posture, osteoporosis,
spinal damage, kyphosis and scoliosis. Malecommonly have mean knee height, arm span, andsitting height higher than female. It is consistent
with two studies who found that the mean heightof the three predictors in elderly male was larger
than the female [12], [13]. It may be caused by
the differences in posture and physical activity
between them. Mean difference of prediction
height for the three predictors with actual heightis presented in Table 4. Sitting height has thelowest distinction rather than arm span and knee
by gender and wholly, as followed by knee heightin elderly men and arm span in elderly women.
Table 5 showed the validity of the test is basedon four indicators of anthropometric chair i.e. thesensitivity, specificity, PPV (Positive Predictive
Value), and NPV (Negative Predictive Value).
Sitting height is a predictor that has the highest
sensitivity in the group of elderly men and womenwhich subsequently followed by a knee height
and arm span. Moreover, that predictor may
become a filter to screen whether elderly are
under nutrition or over nutrition among those withnormal status nutrition during assessment. In
contrast, knee height has the greatest level of
specificity rather than arm span and commonly
sitting height. It means that the first predictor isable to recognize the elders with normal
nutritional status among those with malnutrition.
Positive Predictive Value (PPV) is themeasurement parameter to find the likelihood thatthe patients were ‘true positive’ disease [14]Knee height is the most precise predictor to assess
the probability of elderly malnutrition whether inover nutrition and under nutrition to both elderly
men and women. Afterwards, the sequential
predictors are sitting height and arm span. In
elderly men, sitting height more precisely
measure the likelihood of malnutrition cases inwell-nourished elderly. Meanwhile knee height
becomes the most accurate predictor to assess thelikelihood of malnutrition status among elderly
women with normal nutritional status. Negative
Predictive Value (NPV) describes the likelihoodthat the patients are really free from disease or in

healthy status [14]. Sitting height has the largest
NPV value among all elderly and as genderaccordingly. It is the most accurate way to assess
the likelihood of elderly people with actuallynormal nutritional status. Based on the results ofvalidity test above, it can be concluded that theanthropometric chair has been tested and valid inassessing the nutritional status of elderly people
whom their actual height was unmeasured
manually by measuring arm span, knee height,
and sitting height. Thus, it was practical tool tomeasure the nutritional status of the elderly atonce without the need to change the measurement
in varying position, as it merely done while sitting.
The reading of the NSA can be seen in BMI meter
which denotes the value of IMT elderly of all
three predictors. In addition, over 300 grams Load
Cell can be used to solve the difficulty ofweighing the elderly who unable to stand up
during weighing due to disability or paralysis. All
tool components such as sensor at the three-point
anthropometric measurements, BMI meter andload cell have been calibrated to obtain the exact
value of BMI.

REFERENCES

Nutrition Directorate – MOH, 2006, pp. 1922.
[4] Fatmah. Developing predicted height modelof Javanese Elderly based on knee height,
arm span, and sitting height. Indonesian
Medical Journal Vol. 58, 2008, pp 509-516.
[5] Fatmah. Validation span, knee height andsitting height in Indonesian elderly people.
Journal of Clinical and Medicine ResearchVol. 2, 2010, pp, 67-73.

CONCLUSION AND SUGGESTION
The type of chair as an anthropometric tool forassessing nutritional status in elderly was selectedbased on practical reasons i.e. it measured
nutritional status in elderly at once in sitting
position since the convenience of the elderly was
also considered. The verification of the estimating
body height of such predictors, as arm span, kneeheight, and sitting height with anthropometricchair to nutritional status of elderly people
showed that the results of nutritional status ofolder adults extracted from the three predictors as
measured proved to be representative or may
represent the BMI value of the actual body height.
It is suggested that the validity test ofanthropometric chair for elderly can be performed
widely with greater number of elderly either inurban and rural for the variances of the sensitivity,
specificity, PPV, and NPV.

[1]Gibson R. Principles of Nutritional
Assessment 2nd edition. USA: Oxford
University Press, 2005, pp 15-20.
[2]Fatmah. Nutrition in Elderly. Jakarta:
Erlangga, 2010, pp. 25-30.
[3]Indonesian Ministry of Health (MOH).
Manual on Geriatric Nutrition Managementfor Health Staffs Jakarta: Community630

SEE-Mie, Japan, Nov. 19-21, 2015[6] Sastroasmoro S. Basics on Clinical Research
Methodology. Jakarta: Sagung Seto, 2006, pp.
101-105.
[7] Pheasant S. Body Space Anthropometry,
Ergonomics and the Design of Work Second
Edition. Taylor & Francis, 2000, pp, 36-42.
[8] Jarzem PF., Gledhill RB. Predicting heightfrom arm span measurement. J. Pediat.
Orthopedy Vol. 13, 1993, pp. 761-765.
[9] Myers T. Stature estimated from knee heightin Elderly Japanese Americans. Am J
Geriatric Soc Vol 42, 1994, pp 157-160.
[10]Edmun L.T.S., Emily K.T., Cora Y.W., Susan
S. L. Predicting stature from knee height inChinese elderly subjects. Asia Pacific J.
Clinical Nutrition, Vol. 9, 2000, pp. 252-255.

[11]Santos J.L., Albala C., Lera L. Garcia C.,
Arroyo P., Perez-Bravo F. Anthropometricmeasurements in the elderly population ofSantiago, Chile. Nutrition, Vol. 20, 2004, pp.
452-457.
[12] Fatmah. Predictive equations for estimationof stature from knee height, arm span, andsitting height in Indonesian Javanese elderly
people. International Journal of Medicine
and Medical Sciences, Vol 1, Oct 2009, pp.
456-461.
[13]Tancocho C, Charmain AD, Edna SL. Arm
span and knee height as proxy indicators forheight FNRI, Jan 2007.
[14]Altman DG and J.M. Bland. Statistics Notes:
Diagnostic tests 2: predictive values. British
Medical Journal, Vol. 309, 1994, pp.102.

Table 1. Anthropometric data for appropriate chair design according to genderKneeheight
(cm)

Lower
leg
length(cm)

Pelviswidth(cm)

Shoulder
width
(cm)

Shoulderheight
(cm)

Pat
hei
(cm

Sex

Statistic

Age(years)

Male

Mean

62.8

39.5

48.7

29.8

39.0

57.9

49

Median

64.0

39.0

49.1

29.9

39.1

58.4

49

Minimum

49.0

32.0

36.0

24.1

32.5

43.5

43

Maximum

81.0

50.0

53.0

32.7

43.3

65.5

58

SD

7.1

3.8

2.7

1.7

2.0

3.9

3

n

68

68

68

68

68

66

6

Mean

61.0

38.1

45.1

30.3

35.4

52.9

45

Median

60.0

38.1

45.0

30.1

35.5

53.3

46

Minimum

48.0

30.2

38.8

25.5

30.9

43.0

39

Maximum

87.0

55.0

52.5

35.5

39.0

60.5

52

SD

7.3

3.4

2.2

2.1

1.8

3.4

2

n

141

141

141

141

141

134

13

Mean

61.6

38.6

46.2

30.2

36.6

54.6

47

Median

61.0

38.2

46.0

30.0

36.5

54.2

46

Minimum

48.0

30.2

36.0

24.1

30.9

43.0

39

Maximum

87.0

55.0

53.0

35.5

43.3

65.5

58

SD

7.3

3.6

2.9

2.0

2.5

4.3

3

n

209

209

209

209

209

200

20

FemaleTotal

631

SEE-Mie, Japan, Nov. 19-21, 2015

Table 2. Anthropometric data for ergonomically design of chair according to age groupAge group

StatisticKneeheight(cm)

Lower leg
length(cm)

Pelviswidth(cm)

Shoulder
width
(cm)

Shoulderheight(cm)

Patellaheight(cm)

Elbow
height(cm)

45-59 y.o

Mean

38.8

45.9

30.2

36.6

55.5

46.6

23.2

Median

38.5

46.0

29.9

36.7

55.0

46.0

23.0

Minimum

30.6

36.0

24.1

31.1

45.8

39.0

16.2

Maximum

55.0

53.0

35.0

43.3

65.5

58.6

53.0

SD

3.8

2.7

2.1

2.2

3.6

3.3

4.4

n

89

89

89

89

85

85

85

Mean

38.4

46.7

30.2

36.8

53.9

47.4

21.1

Median

38.0

46.1

30.1

36.6

53.7

47.0

21.1

Minimum

30.2

41.2

26.0

31.7

43.0

40.0

2.0

Maximum

50.0

53.0

35.5

43.3

64.0

58.9

29.5

SD

3.3

2.9

1.9

2.7

4.7

3.3

3.2

60-74 y.o.

75-89 y.o

Total

Table 3.

n

112

112

112

112

107

107

107

Mean

37.3

44.7

29.6

34.0

52.6

45.8

22.6

Median

38.0

45.5

30.0

34.2

51.1

45.5

22.0

Minimum

31.1

38.8

25.5

30.9

49.8

42.0

20.0

Maximum

41.8

49.0

31.4

37.3

61.5

50.0

26.0

SD

3.8

3.4

1.8

2.0

3.9

2.5

2.0

n

8

8

8

8

8

8

8

Mean

38.6

46.2

30.2

36.6

54.6

47.0

22.0

Median

38.2

46.0

30.0

36.5

54.2

46.8

22.0

Minimum

30.2

36.0

24.1

30.9

43.0

39.0

2.0

Maximum

55.0

53.0

35.5

43.3

65.5

58.9

53.0

SD

3.6

2.9

2.0

2.5

4.3

3.3

3.8

n

209

209

209

209

200

200

200

Mean of height (H), weight (W), arm span (AS), knee height (KH) and sitting height (SH)centimeter
Sex
Male

FemaleTotal

Statistic

H

W

AS

KH

SH

Mean

159.,2

61.9

161.4

48.7

83.3

Minimum

150.,0

43.1

130.5

45.0

76.0.

Maximum170.,5

81.0

183.0

53.0

88.5

SD

5.3

9.4

11.6

2.5

3.0

Mean

149.1

58.5

152.9

44.9

78.4

Minimum

136.5

34.0

134.4

38.0

72.0

Maximum

166.0

88.4

170.0

50.5

85.2

SD

6.2

11.6

7.9

2.6

3.5

n

72

72

72

72

72

Mean

151.9

59.5

1553

46.0

79.8

Minimum

136.5

34.0

130.5

38.0

72.0

Maximum

170.5

88.4

183.0

53.0

88.5

7.5

11.1

9.8

3.1

4,0

100

100

100

100

SD
n

100

632

in

SEE-Mie, Japan, Nov. 19-21, 2015

Table 4. Mean difference of predicted height of arm span (AS), knee height (KH), sitting height (SH) withactual height according to gender (in centimeter)
Sex

Statistic

AS

KH

SH

Male

Mean

2.6

0.5

0.3

Minimum

-14.5

-15.6

-7.8

Maximum

24.1

10.4

6.6

SD

9.1

5.0

3.4

n

28

28

28

Mean

0.9

1.6

-0.1

Minimum

-16.8

-8.8

-6.7

Maximum

23.2

12.1

12.6

SD

5.4

4.1

3.7

n

72

72

72

Mean

1.4

1.3

0.1

Minimum

-16.8

-15.6

-7.8

Maximum

24.1

12.1

12.6

SD

6.7

4.4

3.6

n

100

100

100

Female

Total

Table 5. Sensitivity, specificity and predictive value of estimating heght in elderly according toanthropometric chair (arm span, knee height and sitting height)

Indicator
Sensitivity

Normal nutrition
Specificity

PPV

NPV

Male
Arm span

75.0

41,7

63.2

55.6

Knee height

87.5

58.3

73.7

77.8

Sitting height
FemaleArm span

100.0

75.0

84.2

100.0

93.2

82.1

89.1

88.5

Knee height

93.2

85.7

91.1

88.9

Sitting height

97.7

75.0

86.0

95.5

Arm span

88.3

70.0

81.5

80,0

Knee height

91.7

77.5

85.9

86,1

Sitting height

98.3

75.0

85.5

96,8

Total

Note:
PPV : Positive Predictive Value
NPV: Negative Predictive Value

633

SEE-Mie, Japan, Nov. 19-21, 2015

Fig.1

Anthropometric chair for elderly634

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

HIGHLY EFFICIENT OXIDATION AND SIMULTANEOUS REMOVALOF ARSENITE WITH CuO/ZnO PHOTOCATALYST
Abdus Samad 1,*, Hideyuki Katsumata1, Tohru Suzuki2 and Satoshi Kaneco1,2
1

Department of Chemistry for Materials, Graduate School of Engineering, Mie University, Tsu, Mie 514-8507,
Japan
2
Mie Global Environment Center for Education & Research, Mie University, Tsu, Mie 514-8507, Japan

ABSTRACT
Pre-oxidation of arsenite to arsenate is a crucial step for its removal from aqueous solution as As(V) showshigher affinity towards adsorbent. The photocatalytic oxidation of trivalent arsenic to pentavalent arsenic andsimultaneous removal through adsorption on CuO/ZnO photocatalyst surface under UV irradiation at mild
condition was evaluated in this study. Mechanical mixing technique was used to prepare catalyst mixture ofvarious weight ratios. Experiments were carried out using 30 mg L-1 of As(III) solution containing 0.33 g L-1
catalyst at pH of about 7. As(III) oxidation was negligible with bare CuO. Oxidation efficiency with pure ZnO
was low. The results were significantly improved by the addition of CuO. The various weight ratio wasevaluated, and CuO(20%)/ZnO exhibited highest oxidation efficiency. As(III) was completely oxidized within 4hours of irradiation time. Simultaneous oxidation and removal study with various initial concentration of As(III)was checked. About 85% of 5 mg L-1 As(III) can be removed using this technique. The adsorption efficiency ofAs(III) with ZnO was very low. Although both ZnO and CuO showed preferential adsorption tendency towards
As(V), ZnO demonstrated higher adsorption efficiency to As(V). This technique might be a potential one steparsenic removal method for the highly contaminated water.

Keywords: Photocatalyst, Arsenic, Oxidation, Adsorption, Removal.

transition metal [8] as well as use of compound withlower bandgap.
Previous researches have demonstrated that therecombination rate of the photo-induced electron–
hole pairs in ZnO plays an important role in thephotocatalytic reaction process [9], which is usuallyfaster than surface redox reactions [10]. Therefore,
the incorporation of charge-accepting nanomaterials
is considered to be one of the most effective
strategies
tosuppresstheelectron–holerecombination, leading to high photocatalytic
efficiency.
Recently, the nanocomposites based on ZnO andother metal oxides have been studied anddemonstrated that a higher photocatalytic activity
can be obtained due to the effective transfer ofcharge carriers [11]-[13]. Copper oxide (CuO) is asemiconductor material with a narrow band gap (1.7
eV). Enhanced photocatalytic activity of ZnO
coupled with CuO, synthesized by various
techniques has been reported in recent times for the
degradation of dyes and oxidation of metals [14][16]. Nonetheless, photocatalytic treatment ofarsenite on ZnO and CuO mixture is not available inliterature. The photocatalytic oxidation of As(III) on
CuO/ZnO under UV irradiation and its simultaneous

INTRODUCTION
Arsenic contaminated water poses serious toxic
effect on human health and is termed as the biggest
natural calamity in the world. Over 20 million
people in Bangladesh [1] and 144 million over theworld [2] are at health risk from drinking arsenic
contaminated water. Arsenic in ground water exists
as arsenite (As(III)) and arsenate As(V). Arsenite is25-60 times more toxic than arsenate [3]. Typically,arsenite is removed by first oxidizing to As(V) either
by chemical oxidation or by photocatalytic oxidation
using various photocatalyst, then As(V) is removed
through adsorption, coagulation, ion exchange ormembrane process. ZnO is one of the widely usedphotocatalyst due to its high photosensitivity,
physical and chemical stability, low cost, ease ofavailability and non-toxicity [4]. It is an alternative
to TiO2, as they have similar bandgap energy andphotocatalytic mechanism [5]. Furthermore, recent
study demonstrates that ZnO is a potential adsorbent
for heavy metals [6]. Nevertheless, the low
photocatalytic efficiency has been recognized as amajor obstacle for its application as a photocatalyst
in large-scale. The photocatalytic activity of ZnO
can be enhanced by various techniques such as
modification of ZnO by non-metal [7], addition of635

SEE-Mie, Japan, Nov. 19-21, 2015

removal by adsorption on catalyst surface wasinvestigated in this research.

RESULTS AND DISCUSSION
The effect of CuO on the photocatalytic oxidationof As(III) to As(V) and simultaneous adsorption on
photocatalyt surface was investigated. Pure CuO,
pure ZnO, CuO(5%)/ZnO, CuO(10%)/ZnO andCuO(20%)/ZnO were tested and the results arepresented in Fig. 1. Arsenic oxidation was negligible
with bare CuO (Fig.1a). Although oxidation of
As(III) with pure ZnO was possible, its oxidizing
efficiency was low. It was observed that the
CuO/ZnO mixture exhibited faster photooxidation
rate than pure ZnO. Experiment with CuO/ZnO
mixture showed that the photocatalytic efficiency
was enhanced with the increase of proportion of
CuO in the CuO/ZnO mixture. Among the various
ratios of CuO/ZnO analyzed, CuO(20%)/ZnO
showed highest oxidization efficiency. With
CuO(20%)/ZnO, complete oxidation of 30 mg L-1 of
As(III) was observed within 4 hours. The higher
oxidation efficiency of ZnO in presence of CuO was
due to the effective separation of photogenerated
electron and hole. During photocatalytic oxidation
reaction, a fraction of arsenic was also adsorbed on
catalyst surface which was evidenced by thedecrease of total arsenic with reaction time. As
shown in Fig. 1, the total arsenic was also decreased
with the increase of CuO content in the mixture.
Decrease of total arsenic concentration in solution
was found proportional to the photocatalytic
efficiency of oxidation of arsenite to arsenate. These
results suggested that the conversion of As(III) to
As(V) facilitate the adsorption of arsenic on catalyst
surface; As(V) was preferentially adsorbed on
catalyst surface. We performed further analysis with
CuO(20%)/ZnO as it showed highest oxidation
efficiency.

EXPERIMENTAL
Chemicals
ZnO; Particle size 50 ~ 70 nm, surface area 15 ~25 m2/g and CuO; Particle size 33 nm, surface area
29 m2/g were used as received. Potassium arsenite(KAsO2, 90%, nakarai), Potassium arsenate(KH2AsO4, extra pure, nakarai) were used for the
preparation of As(III) and As(V) stock solution
respectively.
Ammoniummolybdate((NH4)6Mo7O24·4H2O, nakarai), L-ascorbic acid
(C6H8O6, 99%, nacalai), antimony potassium tartrate(C4H4KO7Sb·1/2H2O, 99.8%, nacalai), sulphuricacid (H2SO4), potassium permanganate (KMnO4,
99.3%, chameleon) were also used as reagent. Stocksolution of 1000 mg L-1 for both As(III) and As(V)were prepared from estimated amount of solid
KAsO2 and KH2AsO4. Dilute solutions wereprepared daily before experiment. Pure water was
further purified with an ultrapure water system(Advantec MFS, Inc., Tokyo, Japan) having
resistivity > 18 MΩ cm.
Preparation of photootocatalyst
Commercially available ZnO and CuO was used
for experiment. Mechanical mixing method wasused for the preparation of photocatalyst mixture.
The different weight ratios of mixture were preparedby adding calculated amount of ZnO and CuO.
Photocatalytic oxidation and removal experiment
UV irradiation was performed in a cylindricalquartz photoreactor cell of 50 mL with black light asirradiation source. Photon flux of the light source
was measured as 2.0 mW cm-2 with actinometer.
Reactor with CuO/ZnO suspension was positionedon the top of a magnetic stirrer for agitation. Prior toirradiation, suspension was stirred 30 minute in dark
to allow sufficient time for arsenic to establish
adsorption equilibrium. The decrease in As(III)concentration before placing UV cell was calculated
and subtracted from starting concentration to take
into account the change of concentration due tophotocatalytic treatment only. Each experiment was
performed with 30 mg L-1 30 mL As(III) solution.
Initial pH was about 7 and loading of CuO/ZnO wasalways 0.33 g L-1. After treatment, solution was
filtered with 0.20 μm Millipore filter. Concentrationof arsenic was measured by UV-Visible
spectrophotometryusing
arseno-molybdate
technique [17].

30a[As] (mg L-1)

25
20

As(V)

15

As(III)

10

As(total)

5
0
-30

0

30

60

90 120 150 180 210 240

Reaction time (min)636

SEE-Mie, Japan, Nov. 19-21, 2015

Effect of initial concentration on simultaneousoxidation and removal of arsenite to arsenate was
examined. For each treatment, irradiation time wasfour hour. Fig. 2 describes the efficiency ofphotocatalytic oxidation of As(III) with various
initial concentrations. It shows that, C/Ci curve forboth As(V) and As(total) is almost same whichindicates that for all the initial concentrations,
As(III) almost completely converted to As(V) within
the treatment period except for 40 mg L-1. About
94% of As(III) was oxidized for the initialconcentration 40 mg L-1. These data demonstrates
the high oxidation efficiency of CuO(20%)/ZnO
mixture. During UV light irradiation, As(III) wasconverted to As(V) and part of them wassimultaneously removed via adsorption on thesurface of the photocatalyst. For low initialconcentration, major portion of arsenic was adsorbedon the catalyst surface. With the increase in theinitial concentration, percentage of arsenic adsorbed
was decreased. Removal efficiency was 84.5%,
67.7%, 44.0%. 31.4%, 25.3% and 22.8% for the
initial concentration of 5, 10, 15, 20, 30, and 40 mg
L-1. However, with the increase in the initialconcentration, the total amount of arsenic removed(mg g-1) was increased. Amount of arsenic removed
was 12.7 mg g-1 when the initial concentration was 5
mg L-1 and 27.6 mg g-1 when the initial concentration
was 40 mg L-1. The decrease in the percentage
removal of arsenic can be explained with the factthat all adsorbents had a limited number of active
sites, which would have become saturated above acertain concentration.

30b[As] (mg L-1)

25
20
15

As(V)
As(total)
As(III)

10
5
0
-30

0

30

60

90 120 150 180 210 240

Reaction time (min)30c[As] (mg L-1)

25
20

As(V)

15

As(total)

10

As(III)

5
0
-30

0

30

60

90 120 150 180 210 240

Reaction time (min)[As] (mg L-1)

30

d

25
20
As(V)

15

As(total)
As(III)

10
5
0
-30

0

30

60

90 120 150 180 210 240

Reaction time (min)

0.8

e
C/Ci

30

[As] (mg L -1)

1

25

0.6

20

As(V)
As(V)

15

0.4

As(total)As(total)
10

As(III)As(III)
0.2

5
0
-30

0

0

30 60 90 120 150 180 210 240

Reaction time (min)

0

10

20

30

40

Initial concentration (mg L-1)

Fig. 1 Effect of CuO on the oxidation andsimultaneous removal of As(III).
(a) pure ZnO, (b) pure CuO, (c) CuO(5%)/ZnO,(d) CuO(10%)/ZnO (e) CuO(20%)/ZnO.

Fig. 2 Effect of Initial concentration on thephotocatalytic oxidation and removal of As(III).
The preferential adsorption of As(V) over
As(III) by photocatalyst was examined. The
adsorption of both As(III) and As(V) on ZnO, CuO
and CuO(20%)/ZnO was evaluated and the results
637

SEE-Mie, Japan, Nov. 19-21, 2015

are depicted in Fig. 3. It is clear that the adsorption
efficiency of As(V) on ZnO was higher than As(III).
CuO also had higher affinity to As(V) than As(III)but CuO has higher adsorption efficiency of As(III)than ZnO. Meanwhile ZnO showed higher affinity to
As(V) than CuO. CuO(20%)/ZnO mixture also
showed higher adsorption efficiency to As(V) than
As(III). These properties explain the higher removal
efficiency during simultaneous oxidation andremoval experiments.
1

As(III), ZnO[As]t/[As]0

As(III), CuO
As(V), CuO

0.9

As(V), ZnO

Fig. 4 Schematic diagram of the band structure andcharge transfer process in the CuO/ZnO photocatalyst.

As(III),
CuO(20%)/ZnO

0.8

As(V),
CuO(20%)/ZnO

CONCLUSIONS
0.7
0

100

200

This method utilizes simultaneously the higher
oxidizing efficiency of Zinc oxide and Cupper oxide
mixture and the higher adsorption capacity of ZnO
for As(V).Commercial ZnO and CuO was used fortreatment which are cheap and usually available inlarge amount. It is effective for the removal ofarsenic from highly contaminated aqueous solution.
As both the oxidation and removal is simultaneous
process, it is less time consuming as compared tocontemporary available techniques. Arsenic removal
is possible at pH about 7 that is the pH of natural
water indicating that pH adjustment is not necessaryduring the use of this technique for typical water.

Adsorption time (min)Fig. 3 Adsorption of arsenic species on ZnO, CuO
and CuO(20%)/ZnO.
MECHANISM
The schematic band structure and charge transfer
process of the CuO/ZnO photocatalyst are illustrated
in Fig. 4. The photo-induced electron–hole pairs are
separated from each other in ZnO under UV
irradiation. The electrons transit from the valenceband (VB) to the conduction band (CB) and leave
positive holes (h+) in VB. After separation ofelectrons and holes, the dissolved oxygen (O2)adsorbed on ZnO surface will react with photoinduced electrons to form superoxide radical (·O2- ).
Considering the band structures of ZnO and CuO,
direct transfer of photo-induced holes from ZnO to
CuO thermodynamically occurs in the CuO/ZnO
composite [15], leading to low recombination rate of
the photo-induced electron-hole pairs. The hydroxylions (OH−) will be oxidized into hydroxyl radicals(·OH) by photo-induced holes [18]. The As(III)species can be oxidized by both superoxide andhydroxide radicals by the continuous generated
reactive oxidation species. Therefore, the enhanced
photocatalytic oxidation of the CuO/ZnO photocatalyst should be attributed to the effective chargetransfer between ZnO and CuO.

ACKNOWLEDGEMENTS
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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[2] Clancy TM, “Arsenic Waste Management: A
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arsenic removal from drinking water”, Environ.
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[3] Korte NE, “A review of arsenic(III) in
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[4] Xu F, “Enhanced photocatalytic activity ofhierarchical ZnO nanoplate-nanowire
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[5] Daneshvar N, “Photocatalytic degradation of
azo dye acid red 14 in water on ZnO as analternative catalyst to TiO2”, J. Photochem.
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[6] Madhavi S, “Removal of heavy metals from
aqueous solutions using Fe3O4, ZnO, and CuOnanoparticles” J. Nanopart Res, Vol 14, 2012,
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[7] Shifu C, “Preparation, characterization andphotocatalytic activity of N-containing ZnO
powder”, Chem. Eng. J, Vol. 148, 200, pp. 263–
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[8] Kanade KG, Self-assembled aligned Cu
doped ZnO nanoparticles for photocatalytichydrogen production under visible lightirradiation, Mater. Chem. Phys, Vol. 102, 2007,
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[9] Li B, “Facile synthesis and photocatalytic
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nanocomposite”,
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with enhanced performance for the removal ofdye from water”, J. Mater. Chem, Vol. 21, 2011,

pp. 3346–3349.
[11] Zhang C, “Preparation and photocatalytic
activity of hollow ZnO and ZnO–CuO
composite spheres”, Mater. Lett, Vol. 67, 2012,
pp. 303–307.
[12] Wei A, “CuO nanoparticle modified ZnOnanorods with improved photocatalytic activity”,
Chin. Phys. Lett, Vol. 30, 2013, pp. 046202–5.
[13] Wang
C,“Enhanced
photocatalytic
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Photochem. Photobio. A: Chem, Vol. 168, 2004,
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[14] Xu T, “Significantly enhanced photocatalytic
performance of ZnO via graphene hybridizationandthe mechanism study”, Appl. Catal. B:
Environmental, Vol. 101, 2011, pp. 382–387.
[15] Wang J, “Fabrication of CuO/T-ZnO
nanocomposites using photo-deposition andtheir photocatalytic property”, Appl. Surf. Sci.
Vol. 258, 2011, pp. 1797-1805.
[16] Saravanan R, “Enhanced photocatalytic activityof ZnO/CuO nanocomposite for the degradationof textile dye on visible light illumination”,
Mater. Sci. Eng. C, Vol. 33, 2013, pp. 91–98.
[17] Tsang S, “Determination of phosphate/arsenate
by a modified molybdenum blue method andreduction of arsenate by S2O42-”, Talanta, Vol.
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639

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

VISIBLE WEAK FLUORESCENT LIGHT PHOTOCATALYTIC
DEGRADATION OF ORANGE II AND METHYL ORANGE WITH
DYE-SENSITIZED TIO 2
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

1

ABSTRACT
Wastewaters containing azo-dyes from the textile industries raise much concern because of the harmfulenvironmental and toxic effects they cause on ecological systems. In this study, we applied the dye-sensitization
technique to TiO 2 catalyst and used it under visible light generated from a LED lamp (λ = 450 nm) and visible
weak room (fluorescent) light for Orange II (O II) and Methyl Orange (MO) degradation. The photodegradation
experiments were carried out at different periods of time using 20 mg of TiO 2 and 30 mL of 5 mg/L of initialconcentration of O II and MO at room temperature and at natural pH values of the solution without theadjustment of pH. The percentage of MO and O II removal increases with an increase of irradiation time andreached up to 23.9% and 60.8% for room light and 41.1% and 88.4% for LED light, respectively, after 6 hirradiation time. The adsorption (removal) percentage on TiO 2 particles in the dark was found to be large for of
O (II) and very little for MO, respectively, up to 30 min. There were no visible changes in the O II and MO
solutions during photolysis. The kinetic behavior was described in terms of the Langmuir-Hinshelwood model.
The possible mechanism of photodegradation under visible light was proposed.
Key words: Photodegradation, Visible Light, Dye-sensitization, Irradiation time

only by extending the light absorption capacity ofTiO 2 catalysts. Semiconductor photocatalysts can be
modified to expand their photoresponse to thevisible region for dyes degradation in several ways.
Most of these methods, however, are quite expensive
and time-consuming. Dye sensitization, on the other
hand, is new and simpler methods that can extend
TiO 2 activation to wavelengths longer than thosecorresponding to its band gap.
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 [7]. Dye sensitization begins with electron
injection from the excited dye into the conduction
band (CB) of TiO 2 , followed by interfacial electrontransfer [8-12].
In this study, we applied the dye-sensitization
technique to TiO 2 catalyst and used it under visible
light generated from a LED lamp (λ = 450 nm) andvisible room light for orange II and methyl orange
degradation. The degradation of dyes was achievedat room temperature and at natural pH values of thesolution, without the adjustment of pH. In thepresent experiment, the visible weak room
(fluorescent) light was effective for the selfsensitized photocatalytic degradation of dyes with
TiO 2 .

INTRODUCTION
Azo-dyes are an abundant class of synthetic,
colored, organic compounds that comprise about
half of the textile dyestuffs used today [1].
Wastewaters containing azo-dyes from the textile
industries raise much concern because of theharmful environmental and toxic effects they cause
on ecological systems [2]. Orange II (O II) is a
textile azo-dye resistant to light degradation and theaction of O 2 and common acids and bases. The highstability of O II is useful in textile applications makethem difficult to degrade. Moreover, O II does notundergo biological degradation in wastewater
treatment plants [3,4]. Methyl Orange (MO) is acommonly used water-soluble azo-dye. Its
production and use as a pH indicator and as a dye for
textiles may result in its release into the environment
through various waste streams. MO dye in water ishighly visible, even at very low concentrations,which hinders the penetration of light and therefore
causes adverse effects on photosynthesis [5].
Therefore, the effective decolorization of dyecontaining wastewater is an important andchallenging task that must be approached.
In the solar spectrum, the range of wavelengths isbroad, spanning from 250 to 2500 nm, but only
3.5−8% of it is in the UV range [6]. Hence, TiO 2
can make use of only a small fraction of solar lightfor photodegradation. This problem can be solved
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SEE-Mie, Japan, Nov. 19-21, 2015

EXPERIMENTAL
1.2

All reagents were of analytical grade and wereused without further treatment. Orange II and methyl
orange used in this study was purchased from
Nacalai Tesque Inc., Kyoto, Japan (grade >99%) andused to make standards and aqueous solutions forthe photocatalytic reactions. Ultrapure water (18MΩ) 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. The
dye concentration was measured by UV-Visible
spectrometry.

1

C/C0

0.8
0.6
0.4

0
-30 0 30

Table 1 Experimental conditions
Samples:

Temperature
TiO 2
Light source:::

Instrument
λ max

Illumination
time

:
:
:

photolysis
darkroom light
450 nm0.2

Orange II, 5 ppm (30 mL)
Methyl orange, 5 ppm (30 mL)
Room temperature
20 mg
LED lamp (450 nm) and roomlight
UV-Visible spectrometry
Orange II (485 nm)
Methyl orange (464 nm)
6h90

150 210 270 330 390
Time (min)Fig. 1 Time courses of concentration of orange II in
the dispersions containing TiO 2 under dark, LED
light, room light and during the photolysis (without
TiO 2 ).
The
effectofirradiation
timeonphotodegradation of MO was carried out by
measuring the percentage of MO removal atdifferent periods of time under LED light (450 nm)
and room light (Fig. 2). The results revealed that thepercentage of MO removal increases with anincrease of irradiation time and reached up to 23.9%
for room light and 41.1% for LED light, respectively,
after 6 h irradiation time.

RESULTS AND DISCUSSION
The
effectofirradiation
timeonphotodegradation of O II was carried out by
measuring the percentage of O II removal atdifferent periods of time under LED light (450 nm)
and room light at ambient temperature (Fig. 1). The
results revealed that the percentage of O II removal
increases with an increase of irradiation time andreached up to 60.8% for room light and 88.4% for
LED light, respectively, after 6 h irradiation time.
The adsorption experiment of O II at different
periods of time using 20 mg of TiO 2 and 30 mL of 5
mg/L of initial concentration of O II was conductedwith aluminum foil coverage to block the impact ofradiation. The adsorption (removal) percentage of O
II on TiO 2 particles was found to be large up to 30
min, and after the time it was almost flat. The O II
solutions with the photocatalysts were stirred in thedark for 30 min, prior to the exposure to the visible
light radiation, which is expressed as the “negative
time” in Fig. 1 and the “positive time” starts when
the radiation exposure of the O II solution was
initiated. There were no visible changes in the O II
solutions
duringphotolysis(withoutthephotocatalyst).

1.2
1

C/C0

0.8
0.6
photolysis
darkroom light
450 nm

0.4
0.2
0-30 0 3090

150 210 270
Time (min)

330

390

Fig. 2 Time courses of concentration of methyl
orange in the dispersions containing TiO 2 underdark, LED light, room light and during photolysis(without TiO 2 ).

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SEE-Mie, Japan, Nov. 19-21, 2015

Ln(C/C 0 ) was plotted as a function of the visible
light illumination time for O II and MO shown in fig.
3 and fig. 4, respectively. Since the linear plots wereobserved, the primary photocatalytic degradation
dynamics of O II and MO may be pseudo first-orderkinetics.

The adsorption experiment of MO at different
periods of time using 20 mg of TiO 2 and 30 mL of 5
mg/L of initial concentration of MO was carried out
in the dark. The adsorption (removal) percentage ofMO on TiO 2 particles was found to be very little up
to 30 min, and after the time the appreciable change
was not observed in the time range. This weakeradsorption process of methyl orange compared to theorange II dye could be due to it that the MO
molecule has the only one SO 3 - group while the O II
molecule has one SO 3 - and one OH- groups. There
were no visible changes in the MO solutions inpresence of visible light without any catalyst. Theseobservations revel that visible light andphotocatalyst are needed for effective destruction ofboth dyes.
The efficiency of the photocatalytic degradation
process of both dyes under LED light was more
effective than room light radiation. Since the catalyst
powders are suspended in a stirred solution, the lightintensity will affect the degree of absorption of lightby the catalyst surface.

0

Ln(C/C0)-0.1-0.2
photolysis
darkroom light
450 nm

-0.3
-0.4
-0.5
0

60

120

Kinetic Analysis

Fig. 4 Plot of Ln(C/C 0 ) versus
for methyl orange.

The heterogeneous photocatalytic degradation ofdyes selected for the study viz., O II and MO,
containing TiO 2 obeys apparently pseudo-first orderkinetics at low initial substrate concentration and therate expression is given by the equation:r = - dC/dt = kC
(1)
where k is the pseudo-first order rate constant.
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:(2)
Ln(C 0 /C t ) = kt
where C 0 is the equilibrium concentration of
amitrole and C t is the concentration at time t.

Ln(C/C0)-0.8
photolysis
dark

-2
120

180 240
Time (min)Fig. 3 Plot of Ln(C/C 0 ) versus
for orange II.

LightsourceLEDLightk (min-1)
O II
MO0.0055 0.0013

O II
0.974

MO
0.975

t 1/2 (min)
O II
MO
125
525

Room
light

0.0019

0.801

0.968

367

0.0007

R2

1029

Dye-sensitized photodegradation of orange II andmethyl orange under visible light (LED light androom light) is initiated through excitation of the dyes
molecule from its ground state to the excited state,
which finally facilitates electron transfer to the
conduction band of the semiconductor (TiO 2 ). A
possible degradation reaction mechanism is
proposed below.

450 nm60

time

Proposed Degradation Mechanisms

room light0

irradiation

360

Table 2 Rate constants, R2 and half-life values of O
II and MO dyes using TiO 2

-0.4

-1.6

300

The values of rate constants have been
determined from the slope and intercept of theseplots. As shown in Table 2, the rate constant values
k (min−1) were found to be decrease in room lightthan LED light for both dyes, when other parameters
are kept unchanged. During the photodegradation
experiment, the substrate half-life t 1/2 of O II and
MO were about 125 min and 525 min for LED lightand 367 min and 1029 min for room light,
respectively.

0

-1.2

180 240
Time (min)300

irradiation

360

time

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SEE-Mie, Japan, Nov. 19-21, 2015

Dye + hv → Dye*
Dye* + TiO 2 → Dye+ • + TiO 2 (e)TiO 2 (e)+ O 2 → TiO 2 + O 2 − •O 2 − • + TiO 2 (e) + 2H+ → H 2 O 2
H 2 O 2 + TiO 2 (e) → •OH + OH−
Dye+ • + O 2 (or O 2 − • or •OH) →peroxylated or hydroxylated intermediates →→degraded or mineralized products[8] Ellingson R J, Asbury J B, Ferrere S, Ghosh H
N, Sprague, J. R.; Lian T, Nozik A J, J. Phys.
Chem. B, 102, 1998, 6455.
[9] Elena G, Coord. Chem. Rev., 248, 2004, 1283.
[10] Gratzel M, Inorg. Chem., 44, 2005, 6841.
[11] Duncan W R, Prezhdo O V, Annu. Rev. Phys.
Chem., 58, 2007, 143.
[12] Kim W, Tachikawa T, Majima T, Choi W, J.
Phys. Chem. C , 113, 2009, 10603.

(3)
(4)
(5)
(6)
(7)

(8)

CONCLUSIONS
The degradation of dyes was achieved at constantambient temperature, pressure, and natural pH
values of the solution, without the necessity to adjust
the pH values. O II adsorbs better onto P25 TiO 2
than MO does. The photodegradation of both dyes
were less effective in room light radiation than theradiation created by the lamp. Negligible
degradation occurred for both dyes in presence ofvisible light without any photocatalyst. The kinetics
of O II and MO photodegradation were found tofollow the pseudo-first order rate law and could be
described in terms of Langmuir–Hinshelwood model.
The visible weak room (fluorescent) light was
effective for the self-sensitized photocatalytic
degradation of dyes with TiO 2 .
ACKNOWLEDGEMENTS
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.
REFERENCES[1] Zollinger H, Color Chemistry, Properties andApplications of Organic Dyes and Pigments.
New York: Publishers VCH, 1987.
[2] Combes R. D’ Havelandsmith R. B, A review ofthe genotoxicity of food, drug and cosmeticcolors and other azo, triphenylmethane, andxanthene dyes, Mutat. Res. , 98, 1982, 101–243.
[3] Helz G, Zepp R, Crosby D, Aquatic and Surface
Chemistry. Boca Raton, FL: Lewis Publishers,
1995.
[4] Halmann M, Photodegradation of Water
Pollutants, Boca Raton, FL: CRC Press, 1996.
[5] Liu Q, Zheng Z, Yang X, Luo X, Zhang J,
Zheng B, Effect of factors on decolorization of
azo dye Methyl Orange by oxone/natural
sunlight in aqueous solution, Environ. Sci.
Pollut. Res., 19, 2012, 577–584.
[6] Galvez J B, Rodriguez S M, Solar
Detoxification, UNESCO: Paris, 19, 2003.
[7] Ni M, Leung M K H, Leung D Y C, Samathy L
K, Renewable Sustainable Energy Rev., 11,2007, 401.
643

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

GREEN SUPPLY CHAIN IMPLEMENTATION IN MALAYSIA: A
PERSPECTIVE

1

Alina Shamsuddin1, Eta Wahab2 and Nor Hazana Abdullah2
Center of Academic Development, Universiti Tun Hussein Onn Malaysia, Malaysia 2,Faculty of Technology
Management and Business, Universiti Tun Hussein Onn Malaysia

ABSTRACTThis paper is a case study in Malaysia which examines the level of implementation of Green Supply Chain
Management (GSCM) practices in Malaysia. The findings serve as an indicator to the future prospects of GSCM
in Malaysia. The study was carried out in the manufacturing industry as the manufacturing industry produces
more emissions compared to other industries. A quantitative method was adopted. Questionnaires were sent to
the employees of the manufacturing companies and the data was analyzed using the Statistical Package forSocial Science (SPSS) program. The levels of implementation of the manufacturing companies were determinedusing a descriptive analysis. The results indicate that the company had a medium implementation level of GSCM
practices. From the results, it can be concluded that the manufacturing companies are aware of green practices
but are not able to implement it out in each of the supply chain. Despite this, it is reassuring that there is some
initiative to implement green practices even it is not required by law.
Keywords: Green Supply Chain, Green Practices, ISO 14001

implementation of GSCM in manufacturing
companies that are attained the ISO 14001
certificate. This certification is to certify that acompany’s processes are green but it does not certifythat the whole supply chain is green. According to[4], the ISO 14001 principle provides a framework,
which guides firms to implement Environmental
Management
System(EMS)
toimproveenvironment performance only within a firm’s
operation boundaries instead of throughout thewhole supply chain management of the
manufacturing company.
In Malaysia, environmental issues havebecome a priority for the government and the public[2]. The depletion of natural resources has caused ashortage in some raw materials as the population of
the world increases while resources start to decrease.
Companies are starting to realize that the supply
chain must be redesigned [5]. Researchers have now
come to the conclusion and claim that the future of
supply chain management is sustainability [5,6].
Concept of GSM is gaining more attention among
the public as it enables companies to minimize thenegative impact of the industries while enhancing
their competitiveness [7]. Fully owned Malaysiancompanies have the lowest level of participation ingreen supply chain initiatives as compared to foreign
based companies [2]. Various reasons have been
identified such as difficulties and barriers to adopt
green supply chain initiatives low involvement ingreen initiatives as compared to multinational

INTRODUCTION
Manufacturing companies produce more
emissions compared to other industries during the
manufacturing processes of their products to meettheir customer needs and demands. Hence, themanufacturing companies need to be moreconcerned about the environment and how theirprocesses are influencing the environment. Becauseof this massive ignorance of the majority of
manufacturing companies, manufacturing companies
are now accused for the cause of global warming in
the form of waste generation, ecosystem disruption,and depletion of natural resources [1]. Nevertheless,manufacturing companies have now begun to be
more aware of their processes and how it affects theenvironment.
Over the years, green supply chain
management (GSCM) has gained popularity among
Malaysian manufacturing companies although not as
popular when compared to developed countries [2].
However, there are still a lot of manufacturing
companies which are not adopting green supply
chain practices in their manufacturing processes.
According to [2], green supply chain management
can be considered as closing the loop. The reason forthis is because the product’s “life” does not end
when the consumer is done with it, but instead, it isbrought back to the first stages where it can be usedas raw materials or be reused, remanufactured, or
recycled. This research addresses the level of644

SEE-Mie, Japan, Nov. 19-21, 2015

implement effective green practices. Government
support systems are industry friendly policies topromote GSCM. Innovative Green Practices
involves hazardous solid waste disposal, energy
conservation, reusing and recycling materials. Top
management commitment is a dedication toempower people to change, the progress to ensure
core manufacturing strategies and business strategies.
An international environment agreement means
green practices should be promoted at international
platforms. Supplier motivation involves involving
the suppliers in design process and technology
affects overall performance of whole chain. All
these factors were identified by the researcher using
existing literature review and expert opinion.
In a summary, GSCM is best described as thefirms full responsibility towards a product from the
beginning of the supply chain process (acquisition of
raw materials), until the end of the product life cycle(disposal of product). The level of implementation is
influenced by IT implementation, Technology
Advancement and Organization Adoption, Qualityof Human Resources, Government Support systems,
Innovative Green Practices, Top Management
Commitment,International
Environment
Agreements, and Supplier Motivation, new concept,
and firm size. By realizing the factors and level of
implementationof
GSCM
practicesinmanufacturing companies, this study is able to not
only get an idea of GSCM in Malaysia, but also to
propose an action plan for future companies tofollow.

companies (MNC) [8,2]. This supports the fact that
there are definitely barriers and obstacles that arehindering the local manufacturing companies fromconverting and start practicing GSCM. Greening
supply chain not only allow firms to achieve
substantial cost saving, it would also enhance sales,
market share, exploit new market opportunities,
which lead to greater profit margins [9].
Putting GSCM into context
The traditional supply chain is an integrated
manufacturing process wherein raw materials are
manufactured into final products, then delivered tocustomers via distribution, retail, or both [10]. The
focus of the definition of supply chain has shifted
over the years; early definition took into
consideration the integration of a firm’s internalfunctional groups such as purchasing, manufacturing,and distribution but the current definition pays
attention to the interdependence in a broader sense, aglobal perspective. Definitions of GSCM haveranged from green purchasing to integrated supply
chains flowing from supplier, to manufacturer, tocustomer and reverse logistics, which is closing theloop [10]. GSCM improves environmental
performances as measured by reductions in air
emissions, effluent waste, solid waste, and theconsumption of toxic materials. In a nutshell, unlike
traditional environmental management, green supply
chain assumes full responsibility of a firm towards
its products from the extraction or acquisition of raw
materials up to final use and disposal of products.
Fully owned Malaysian firms have the lowest
participation of green supply chain initiatives
compared to foreign based companies or MNCs
(Multinational Companies) [2]. The reason for thisis that the concept of green purchasing is still new in
Malaysia. In addition firm size plays an importantrole too in influencing GSCM, the bigger the firmsize, the more willing to participate in green supply
chain initiatives [2]. Nine influencing factors of
GSCM, they are Information Technology (IT)implementation, Technology Advancement andOrganization Adoption, Quality of Human
Resources, Government Support systems, Innovative
Green Practices, Top Management Commitment,International Environment Agreements, and Supplier
Motivation [11]. IT implementation refers toefficient information technological system isnecessary for effective communication andsupporting the GSCM. Technology advancement
and organization adoption is advancements inmachinery and equipment to improve the products
and services to increase the environmental
performance to achieve GSCM. Organization
Encouragement is to motivate the employees toachieve efficient GSCM. Quality of humanresources means well qualified and professionals to

METHODOLOGYThis study adopts a quantitative approach ingathering and analyzing the data. Quantitative
research methods attempt to maximize objectivity,
the ability to replicate it, and the generalization offindings, which are normally interested in
prediction. In this study, purposive sampling isapplied. This type of sampling is the purest form of
probability sampling with each member of the
population has an equal and known chance of being
selected. The population of this study is theemployees in a manufacturing company with the
ISO 14001 certification. The sample of this study istaken from different levels of employees within acompany with the ISO 14001 certification. The
primary method for collecting data for this study isthrough questionnaires. The questions are adopted
from a journal “The Implementation of Green
Supply Chain Management Practices in Electronics
Industry” by Ninlawan et al. (2010). The type ofdata analysis used in this study is descriptive
analysis. The data collected will be analyzed using
the Statistical Package for Social Science (SPSS)
program. This program calculates the frequency,
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SEE-Mie, Japan, Nov. 19-21, 2015

percentage, and mean are determined.
Internal environment assessment
Green purchasing
Eco design
Cooperation with customers
Investment recovery
Total

DATA ANALYSIS AND DISCUSSIONSThis study analyses the data collected via
questionnaires distributed and uses the aid of
Statistical Package Social Science (SPSS) to analyze
and determine the level of GSCM in this Malaysian
manufacturing company. Instrument reliability
analysis, demographic analysis, and also descriptive
analysis was conducted in order to give a clearer
picture and better understanding of the data collectedusing the questionnaire. The population size of thecompany was 600 and according to the table done by
Krejcie and Morgan (1970) on population andsample size, a population of 600 required a sample
size of 234, thus to be on the safe side, 250
questionnaires were distributed and only 200 werereturned.
To ensure that the questions contained in thequestionnaire are valid and reliable, pilot testing was
carried out before distributing the questionnaire forthe masses. The people chosen for the pilot test weresupervisors and executives who in general know
more about GSCM. The number of questionnaires
used in the pilot test was 20. According to Sekaran(2003), the coefficient of Cronbach‘s Alpha should
be higher than 0.6 to considered an acceptable, goodand valid question. If the question scores lower than
0.6, then the question may contain a few problems
like vagueness or appropriateness. The table below
shows a summary of the results of the pilot test.

The total of the Cronbach’s Alpha for the actual test
is 0.906 which indicates that the questions are valid
and are appropriate for the research.
Descriptive Analysis
Descriptive analysis can be used to generalize thesample to the population. This research will use
descriptive analysis on each section to analyze thedata collected.
The discussions continues with the personal
information of the respondents such as their gender,
age, position held, and department their attached to.
Frequency and percentage will be used to explain
the data collected. Out of the 200 samples analyzed,
there were 102 males and 98 females or 51% and
49% respectively that took part in this study. This
showed that there is almost a balanced number of
respondents between males and females in thisresearch. The results are shown in Table 3.
Table 3 Gender analysis
Item
Male
Female
Total

Table 1 Pilot Test (Reliability)
Item
Internal environment assessment
Green purchasing
Eco design
Cooperation with customers
Investment recovery
Total

Cronbach’s
Alpha
0.748
0.748
0.895
0.881
0.603
0.910

Frequency
102
98
200

Percentage
51%
49%
100%

In this study, age was divided into four categories.
Below 30, between 31 to 40, between 41 to 50, andabove 50. The ages between 31 to 40 has 96
respondents which is the highest followed by ages
41 to 50 with 71 respondents and then the below 30
category with 26 respondents and finally thoseabove the age 50 with 7 respondents. Table 4 below
shows the tabulation and the percentage of eachcategory.

The results of the test clearly show that thequestionnaire is valid and can be used for the
research and is ready to be distributed. In addition to
the validity of the questionnaire, previous
researchers have used these questions in theirresearch such as Ninlawan et.al., (2010).
After collecting the data from the respondents,
the data was analyzed again for its reliability. The
table below shows the results of the analysis.

Table 4 Age analysis
Item
<30
31-40
41-50
>50
Total

Table 2 Actual Test (Reliability)
Item

Alpha
0.648
0.707
0.837
0.656
0.774
0.906

Frequency
26
96
71
7
200

Percentage
13%
48%
35.5%
3.5%
100%

The positions held by the respondents were divided
into four categories namely Executives, Supervisors,
Managers, and Operational or Staff. Being a

Cronbach’s
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SEE-Mie, Japan, Nov. 19-21, 2015

manufacturing company, the labor force dominates
the number of respondents with 159 or 79.5% of the
respondents. This is followed by supervisors with 17
people or 8.5%, executives with 13 people or 6.5%
and lastly by managers with 11 people or 5.5%.
Table 5 shows the distribution of the positions heldwith their frequency and percentage.

Internal Environment
Question one to question nine in the questionnaire
are indicators for internal environment assessment.
Based on the mean results of these nine questions,the level is only medium. It is clear that there areplans to carry out (or even is being carried out) ISO
14001 activities, as the mean is the highest with
4.245. The lowest mean would be plans for eco
labeling of products, with a mean of only 3.290.
Despite this, the overall level is medium as theoverall mean is 3.619. Table 8 shows the mean
breakdown of each question

Table 5 Position analysis
Item
Manager
Executive
Supervisor
Operational or Staff
Total

Frequency
11
13
17
159
200

Percentage
5.5%
6.6%
8.5%
79.5%
100%

Table 8 Internal environment assessment
No
1.
2.
3.
4.
5.
6.
7.
8.
9.

The data collected revealed that there are nine
departments that took part in the survey. They are
Human
Resource,
Information
Technology,
Marketing,Customer
Service,
GeneralAdministration,
FinanceandAccounting,
Production, Engineering, and Quality Control. In
keeping in line with the number of positions held,
the production department yields the most amount ofresponders, while at the opposite side of the scale,Engineering, and Finance and Accounting
departments yielded the least amount of responders
with 10 people each. Table 6 below shows theresults collected.

Item
Question 1
Question 2
Question 3
Question 4
Question 5
Question 6
Question 7
Question 8
Question 9
Total Average

Mean
3.75
3.66
3.38
3.63
3.71
4.25
3.58
3.29
3.34
3.62

Level
High
MediumMediumMediumHigh
High
MediumMediumMediumMediumGreen Purchasing
Table 6 Department analysis
Item
Human Resource
Information Technology
MarketingCustomer Service
General Administration
Finance And Accounting
Production
Engineering
Quality Control
Total

Frequency
14
15
12
13
13
10
100
10
13
200

Questions 10 to question 13 discuss on green
purchasing. Overall, the level of green purchasing ismedium with cooperation with suppliers forenvironmental regulations receiving the lowest mean
with 3.250, and the highest mean of 3.275 goes tocertifying suppliers with ISO 14000. This shows that
there is indeed intention of applying GSCM. Table 9
below shows each question’s mean and level.

Percentage
7%
7.5%
6.0%
6.5%
6.5%
5.0%
50%
5.0%
6.5%
100%

Table 9 Green purchasing
No
1.
2.
3.
4.

In order to figure out the level of implementation,
the mean of each question and each section is taken
into account and based on Chua (2006), the level of
implementation can be determined by using the
calculated mean. The table 7 shows the central
tendency level and the mean range.

Mean
3.25
3.26
3.28
3.27
3.26

Level
MediumMediumMediumMediumMedium

Eco Design

Table 7 Agreement level of mean measurement
Central tendency level3.68 – 5.00
2.34 – 3.67
1.00 – 2.33

Item
Question 10
Question 11
Question 12
Question 13
Total Average

The next section starting from question 14 toquestion 20 indicates the level of eco design. Plans
to design products that minimize capacity, time, area
stored, and energy between transport has the highest
mean with 3.385, while plans to design products foreasy set up for users with minimal effort receives thelowest mean which is 3.200. Table 10 below shows

Mean range
High
MediumLow

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SEE-Mie, Japan, Nov. 19-21, 2015

the mean and level of the questions involved.

respective means and levels are shown in table 13
below. As seen from the table below, it is clear thatthe company implies a medium level of GSCM
across the board and as a result, the overall
implementation can be considered as medium level
as the total mean average is less than 3.68.

Table 10 Eco design
No
1.
2.
3.
4.
5.
6.
7.

Item
Question 14
Question 15
Question 16
Question 17
Question 18
Question 19
Question 20
Total Average

Mean
3.32
3.35
3.30
3.27
3.39
3.20
3.38
3.31

Level
MediumMediumMediumMediumMediumMediumMediumMediumTable 13 Summary of GSCM practices
GSCM Practices
Internal
Environmental
Management
Green Purchasing
Eco Design
Cooperation with Customers
Investment Recovery
Total Mean Average

Cooperation with Customers
The next three questions show the level ofcooperation with customers that the company has.
The overall level of cooperation with customers is
medium with a mean of 3.223. The lowest mean isshared between plans to cooperate with customers
for eco-design, and plans to cooperate withcustomers for green packaging, with a mean of
3.225. The highest of the three is plans to cooperatewith customers for cleaner production with a meanof 3.230. Table 11 below shows the data.

Item
Question 21
Question 22
Question 23
Total Average

Mean
3.23
3.23
3.23
3.22

Level
MediumMediumMediumMediumThe last three questions of the questionnaire deal
with investment recovery and has an overall meanlevel of 3.291. The lowest mean which is 3.200
belongs to plans for sale of excess inventories ormaterials; whereas plans to sell excess capital
equipment have the highest mean of 3.370. Table 12
below illustrates the collected data.
Table 12 Investment recovery
Item
Question 24
Question 25
Question 26
Total Average

Mean
3.20
3.31
3.37
3.29

3.26
3.31
3.22
3.29
3.34

MediumMediumMediumMediumMediumThe level of GSCM practices implemented by thecompany had to be measured. The questions thatwere adopted from Ninlawan et al. (2010) are basedon a scale of one to five thus allowing themeasurement of the level of implementation. The
mean results from the research have revealed thatthe company has been implementing some of the
GSCM practices and according to the agreementlevel of mean measurement, it can be concluded thatas an overall, the company has achieved an
implementing level of medium for GSCM practices,which is a mean of 3.34 out of 5.00. To achieve ahigh level, the mean must be at least 3.68. Despite
only achieving a medium level, a closer look at theresults show that the company’s mean is only 0.34
shy from achieving a high implementation level of
GSCM practices. The questions in the questionnaire
were analyzed in five categories which were internal
environmental management, green purchasing, eco
design, cooperation with customers, and investment
recovery. Each category was measured with thesame agreement level of mean measurement, and all
the categories had a medium level of GSCM
implementation with 3.62, 3.26, 3.31, 3.22, and 3.29
respectively.
Companies that would want to implement
GSCM could start off by fulfilling the conditions ofacquiring the ISO 14000 certification. Although thisdoes not make them a fully green supply chain [4], it
is a start. From there, companies slowly work their
way to a green supply chain by tackling the elementsof green supply chain like Internal Environmental
Management, Green Purchasing, Eco Design,
Cooperation with Customers, and Investment
Recovery [13]. It all starts with the companies, after
acquiring the ISO certification, they can start by
selecting suppliers that not only deliver on quality
and affordable prices, but also adhere toenvironmental standards. They can also design their

Investment Recovery

No
1.
2.
3.

Level
MediumDiscussions

Table 11 Cooperation with customers
No
1.
2.
3.

Mean
3.62

Level
MediumMediumMediumMediumSummary of GSCM Practices
A summary of all the GSCM practice with their648

SEE-Mie, Japan, Nov. 19-21, 2015

Zhu, Q.H.; Sarkis, J.; Geng, Y.;. (2004). Greensupply chain management in China: pressures,practices and performance. Green supply chain
management, 449-465.
[4] Handfield, R. B.; Sroufe, R.; Walton, S. V.;.
(2005). Intergrating environmental management
and supply chain strategies . Busines Strategy
and the Environment Vol. 14(1), 1-19.
[5] Carter, C.R., Jennings, M.M. (2004). The role ofpurchasing in corporate social responsibility: A
structural equation analysis . Journal ofBusiness Logistics, Vol.25 (1), 145-186.
[6] Murphy, P.R. and Poist, R.F. (2002). (2002).
Socially responsible logistics: an exploratory
study. Transportation Journal, Vol. 41 (4), 2335.
[7] Rao, P. (2006). Greening of suppliers/In-boundlogistics-in the South East Asian context. In J.
Sarkis (Ed). Greening the Supply Chain
London: Springer .
[8] Wycherley, I. (1999). Greening supply chains:the case of The Body Shop International.
Business Strategy and the Environment, Vol. 8(2), 120-127.
[9] Rao, P. & Holt, D. (2005). Do green supply
chains lead to competitiveness and economic
performance?
International
JournalofOperations & Production Management, Vol. 25
No. 9, 898-916.
[10] Beamon, B. M. (1999). Designing the Green
SupplyChain.
Logistics
Information
Management, 332-342.
[11] Zhu, Q.H; Sarkis, J.;. (2004). Relationships
between operational practices and performance
among early adopters of green supply chain
management practices in Chinese manufacturing
enterprises. Journal of Operations Management
Vol. 22, 265-289.
[12] Luthra, S.; Garg, D.; Kumar, S.; Haleem, A.;.
(2012). Implementaion of the green suply chain
management in manufacturing industry in India
using interpretive structural modeling technique.
A Journal of Science, Technology &Management .
[13] Ninlawan, C.; Seksan, P.; Tossapol, K.; Pilada,W.;. (2010). The implementaion of green supply
chain management pratices in electronics
industry. Proceedings of the International
Multiconference of Engineers and Computer
ScientistsVol. 3 .
[3]products to reduce the need for environmentallyhazardous materials. It also needs to be designed forreuse, repairs, reduced energy consumption (APO,
2004), and recycling. They could also introduce
reverse logistics which deals with reuse,remanufacturing, and recycling of their products
after consumers are done with them.
This study was to examine the implementation levelof GSCM practices. To examine the implementationlevel of GSCM practices, a descriptive analysis was
performed on the data collected through purposive
sampling. The results from the analyzed data
showed that the implementation level of GSCM wasa medium level which was based on the mean and it
fell in the medium range as described by theagreement level of mean measurement. Overall, theliterature supported the results that manufacturing
companies in Malaysia were not so keen in GSCM
yet. Future research on the topic can be improved
dramatically by increasing the sample size of thecompanies sampled to include manufacturing
companies from all over Malaysia. But as far as
results go, it is encouraging to see that at least thecompany sampled was applying some methods of
GSCM in: Internal Environmental Management
 Green Purchasing Eco Design
 Cooperation with Customers
 Investment Recovery
ACKNOWLEDGEMENTS
We would like to thank UTHM for funding thisresearch under vot number MDR 1317/2013

REFERENCES
Fiksel, J. (1996). Design for environment:
Creating eco-efficient products and processes.
New York, NY and London: McGraw-Hill.
[2] Eltayeb, T. K.; Zailani, S.;. (2009). Going green
through green supply chain initiatives towards
environmental sustainability. Operations &Supply Chain Management Vol. 2 No, 2, 93110.
[1]

649

First International Conference on Science, Engineering & Environment,
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

INNOVATIVE GREEN EXTRACTION TECHNOLOGY FOR OIL
EXTRACTION AND ITS APPLICATION IN DIFFERENT FIELDS
Wael Abdelmoez,
Chemical Engineering Department, Minia University, 61516, Egypt

ABSTRACTThis study presents the extraction of oil using subcritical water technology from different oil containing
procurers. The effect of extraction parameters including temperature, water to feed ratio, extraction time andmean particle sizes were studied for different procurers. Cotton seeds and edible oil bleaching powder were
presented and compared to explore the efficiency as well as the diversity of the subcritical water technology inoil extraction as a green solvent. In addition, the application of the technology in the field of pharmaceuticalactive ingredient was also investigated through demonstration of extracting medical oils such as jojoba oil fromits seeds. Moreover, the kinetic as well as the thermodynamic of the extraction process were investigated. The
obtained results revealed that the increase in both temperature and the time of extraction while a decrease inparticle size generally improved the yield of extraction up to certain limits. Both rates of extraction anddecomposition were estimated using the reaction rate equations using nonlinear regression method. It was also
found that in the case of oil extraction using subcritical water, the reaction kinetics could be correlated well with
an irreversible consecutive unimolecular-type first order and the extraction process is mainly diffusion control.
The apparent activation energy was calculated to be 46.1 kJ.mol-1. This result indicates a diffusion controlled
reaction. For more exploration and deep understanding of the extraction mechanism, other thermodynamic
parameters were also calculated and analyzed including, ∆H#, ∆S#, and ∆G# of the extraction step.
Keywords: (Subcritical water, Extraction, waste management, green technology)

that raising the temperature with enough pressure to
maintain the liquid state allows it to quantitatively
extract a wide variety of organic solutes from manydifferent matrixes.
Subcritical water extraction (SWE) is a new andpowerful technique at temperatures between 100 and
374o C and pressure high enough to maintain theliquid state (Fig.1) [4]. Unique properties of water
are namely its disproportionately high boiling point
for its mass, a high dielectric constant and highpolarity [4]. As the temperature rises, there is amarked and systematic decrease in permittivity, an
increase in the diffusion rate and a decrease in theviscosity and surface tension while the diffusivity
increases, allowing a deep penetration of the solvent
into the matrix, thus enhancing the efﬁciency andspeed of the extraction process .In addition,
increases in vapor pressures and rapid thermal
desorption of target compounds from matrices could
also enhance the extraction efﬁciency.
In consequence, more polar target materials withhigh solubility in water at ambient conditions are
extracted most efficiently at lower temperatures,
whereasmoderately
polar and nonpolar targets require a less polar medium induced byelevated temperature [5].
For SWE, the extraction times were very shortcompared with any other conventional extraction
techniques. But, a long heating time during theextraction may cause the compound degradation.

1-INTRODUCTION
Extraction always involves a chemical masstransfer from one phase to another. The principles ofextraction are used to advantage in everyday life, forexample in making juices, coffee and others. The
principles of green chemistry are critically important
today, and pressurized hot water extraction, as a“solvent less” extraction technique fulfils the criteriaof green chemistry well. According to definition,
green chemistry involves approaches that reduce or
eliminate the use or generation of hazardous
substances in the design, manufacture andapplication of chemical products. The first principleof green chemistry is that it is better to prevent waste
than to treat or clean it up after it is formed.
In the move to reduce or eliminate the use oforganic solvent and improve the extraction
processes, newer sample preparation methods suchas microwave assisted extraction (MAE), supercritical ﬂuid extraction (SFE), accelerated solvent
extraction (ASE) or pressurized liquid extraction(PLE) and pressurized hot water extraction havebeen introduced for the extraction of analyses
present in plantmaterials [1–3].Water is nonﬂammable, non-toxic, readily available and an
environmentally acceptable solvent. It has not yet
received much attention as an analytical extraction
solvent for plant materials because water is too polarto efficiently dissolve most organics that areassociated with botanicals. It has been demonstrated

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SEE-Mie, Japan, Nov. 19-21, 2015

Therefore, optimization of time is very important toconstruct the SWE process.
Based on the research works published in the recent
years, it has been shown that the SWE offers aseries of important advantages over othertechniques: the higher quality of the extracts, afaster process, a reduction in the amount of solvents
used, and its cost. Additionally, by using waterinstead of organic solvents, SWE is a moreenvironmentally friendly extraction process for
extracting functional food or pharmaceuticalingredients that are beneﬁcial to health .
This article discusses recent results in theapplication of SWE to various plants for use in thefood and pharmaceutical industries. The ﬁrst partviews the properties of SWE, its mechanism, and its
beneﬁts. The second part discusses how thesubcritical water technology is applied to plant
extraction, and many other applications in different
fields.

characteristic of the water results in the hydrogenbond formation. Each water molecule is hydrogenbonded to four others as shown in Fig. 1.

2. Unique properties of water undersubcritical conditions
Water is a natural occurring and abundant substancethat exists in solid, liquid, and gas forms on ourplanet. The physics and chemistry of water is the
backbone of engineering and sciences. The water inthe vicinity of the critical point is compressible fluid
and, in addition, most of its properties are all totallydifferent in its physics and chemical feature.
Working within the critical point which so called thesubcritical region has the advantageous ofmoderating the condition of the reaction media withmaintaining some of the distinctive properties of thesupercritical region. In this sense, water within its
critical point (subcritical water) could be defined asa hot water under sufficient pressure to maintain theliquid state. In the following we will explore briefly
the important parameters, including the hydrogenbond, density, dielectric constant, and ion product,
which directly affect the waste treatment near or
above the critical point.

Figure 1 Hydrogen bonding of water molecules
The ability of water molecules to form suchhydrogen bond is responsible of the uniqueproperties of water including the solvent ability topolar compounds and on the contrary, the squeezing(the hydrophobic) effect which resulting in the
exclusion of non-polar compound [6]. The polarityof the water molecules determines the forces of
attraction between the molecules in the liquid state.
The high internal-energy of water near and above
the critical point keeps farther distances between thewater-molecule. As the result the intensity of thehydrogen bond between molecules in closer
neighborhood becomes forcedly reduced andconsequently the polarity decreased.

2. 1.THE HYDROGEN BOND
When two water molecules close to another atambient temperature, a hydrogen atom on one of themolecule is attracted to the oxygen of the othermolecule. Such behavior is attributed to the specificcharacterization of the covalent bond existing
between the oxygen and hydrogen atoms in thewater molecule itself. When the distribution ofelectrons in the water molecule is considered indetail, it becomes apparent that one of the atoms gets
"more" of the shared electrons than the other does.
As a result, oxygen has a partial negative charge,
and the hydrogen has a partial positive charge withforming two different poles. Thus, when watermolecules are close together, their positive andnegative poles are attracted to the oppositely charged
regions of nearby molecules. This polar

2.2. DENSITY AND VISCOISTY
The density of water is extremely sensitive to minorchanges in temperature and pressure near the criticalpoint (Fig. 2). The liquid-vapor coexistence curve
ends at this point. Upon heating under pressure, as
the liquid water expands, many of its molecules
become vapor (steam) and rise above the liquid.
Vapor density consequently increases, while liquiddensity decreases. Eventually, when the pressure
reaches 220 times or more beyond normal
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SEE-Mie, Japan, Nov. 19-21, 2015

effect on the solubility properties of solvent
materials. Under ambient conditions, liquid water
has a high dielectric arising from dipoles ofindividual molecules and association of molecules
due to hydrogen bonding. However, becausehydrogen bonding is exothermic, the equilibrium
constant decreases with increasing temperature andthe intermolecular associations break down causing
the dielectric constant to fall down [8,9]. Therefore,
organics are much more soluble in supercriticalwater but there is essentially no ionizing power andsalts drop out of solution (precipitate, as we
mentioned for the density). However, in the water
under the SCW conditions, it has a dielectric
constant which is greatly reduced from that ofambient water, but still possesses a degree ofionizing potential (Fig. 3). Thus many of the benefitsof working in supercritical water is available in
SCW as well, but with many additional advantages.
Polar organics of any sort are completely miscible
and even hydrocarbons dissolve to a large degree.
For example, benzene shows a complete miscibility
in supercritical water, whereas in liquid water underambient conditions the benzene solubility is equal toa few ppms [10]. Moreover, separation after reaction
becomes very easy; simply lowering the temperature
raises the dielectric constant enough to renderorganics insoluble, and products can be simply
decanted.

atmospheric pressure, the liquid and vapor densities
are identical. The density under this state is closer tothat of organic liquids but the solubility of solids canbe 3-10 orders of magnitude higher. A plot of thesolubility parameter versus pressure
would resemble that a plot of density versus
pressure. This confirms that the solvation strength of
the water near or above the critical point is directly
related to the density. Similarly, the viscosity ofwater decreases with increasing temperature, and at
500 °C and 10 bar is only 10% of its magnitudeunder ambient conditions [7]. Even under more mild
conditions the viscosity is still lowered, and thus it
may be envisaged that the mobility of dissolved ionsand molecules is higher under sub and supercriticalconditions than at ambient pressure and temperature.
Thus, the solubility of a solid can be manipulated bymaking slight changes in temperatures and pressures
to remote both the density and viscosity of the water.

Figure (3) Water properties under different
conditions of temperatures and pressures

2.4. ION PRODUCTPure water is a poor conductor of electricity because
it does not ionize to any great extent.
However, a little ionization of water results in the
production of H+ and OH-ions. At room
temperature, one in a billion water molecules will
ionize. Water can react with its own molecules to
produce hydronium and hydroxide ions in what socalled ion production process. As shown in Fig. 4,
one molecule of water acts as an acid and the otheracts as a base to produce a conjugated acid andconjugated base. The equilibrium constant for thisreaction can be calculated as follows:

Figure 2 density of water under different
conditions
2.3. THE DIELECTRIC CONSTANT
The key properties of water that influences many ofthe most important interactions are the dipole
moment and its ability to both donate and accept
protons. This imparts on water the ability tohydrogen bond with itself, to hydrogen bond withboth proton donors and proton acceptors, todissociate, to coordinate with ions and other dipoles.
Water has a very high dipole moment due to theelectro negativity of oxygen and the fact thathydrogen-oxygen bonds are short which results in ahigh dielectric constant with a typical value at thestandard conditions of 80. In methanol, for instant,
one of the hydrogen atoms is replaced by a CH3
group lengthening the bond and so reducing the
dipole moment and consequently the dielectric
constant by a factor of over 2. So, what implications
does the dielectric constant have for chemicalinteractions? The first thing to note is that theconcept of a dielectric constant is an essentiallymacroscopic concept. Such concept has a direct

Figure (4) the dissociation of water(a)The characteristics of water as a reactive catalyst canbe evaluated with the value of the ion product (theproduct of the hydrogen ion concentration and thehydroxyl ion concentration). Increasing in the ion
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SEE-Mie, Japan, Nov. 19-21, 2015

product value
concentration.

increases

thehydrogenion[17]. Also, acid pretreatment is considered too
expensive because it requires corrosion resistantmaterials of construction and some mineral acids
produce degradation products [18]. To overcome
the drawbacks of the acid hydrolysis and to go
through a more environmentally friendly process,enzymatic hydrolysis was thoroughly studied [19,20]. The results showed that high yields ofhydrolysate could be obtained by using enzymatichydrolysis, but the economic feasibility of theprocess is uncertain so far.
Cellulose hydrolysis in subcritical and supercriticalwater was been studied [21, 25]. The results
revealed that subcritical water technology is apromising technique and it is strongly advocated to
be an alternative route for not only cellulose
hydrolysis but also other biomass conversions. This
technique has immediate advantages overtraditional hydrolysis techniques. It represents a
flexible process due to the possibility of continuouschanging of the solvent power/selectivity of thesubcritical water. Also, it allows the elimination ofpolluting acid solvents and the expensive postprocessing of the hydrolyzates for solvent
elimination. Using of subcritical water inhydrolyzing wheat straw to recover available sugars
for subsequent fermentation to produce ethanol orother sugar-based fermented products is investigated[26].The results showed under subcritical watercondition the value of ion product increases, sowater possesses the effect of an acid catalyst and forthat particular reason subcritical water was found to
be a safe, green, and sustainable alternative for acidhydrolysis.

Figure (4) the dissociation of water(b)Under subcritical conditions, the hydrogen bonding
network of water is minimized. The weakening of
the hydrogen bonding is thought to induce theevolution of protons, further increasing its acidity.
Then, under high ion product values water possesses
the effect of an acid catalyst. Such a high ion
product value for the subcritical water allows it tocatalyze many reactions in the absence of any extra
catalyst.

3. Applications
TechnologyofSubcriticalWater

3. 1. Hydrolysis of agriculture wastes
Cellulose wastes represent an attractive source of
renewable energy. The cellulosic nature of
agricultural wastes makes them suitable raw
materials for bioconversion processing to produce
end products with high value added. They are
renewable, available in large quantities, and cheap.
The utilization of agricultural wastes as a feedstock
has a double effect consequence, environmentallyand economically, by minimizing the waste disposal
problems, and producing valuable products fromlow-cost cellulosic wastes. About 26-28 million tonsof agriculture wastes are produced annually in Egypt[11]. The amount of wheat straw produced in theyear 2004 was estimated to be 4.65 million tons
according to data in the report of The Ministry ofAgriculture and Land Reclamation [12]. In practicethese agriculture wastes are burned, which createsenvironmental pollution problems [13].
There are several technologies available for thehydrolysis of wheat straw and other cellulosic
wastes, such as acid hydrolyses, enzymatichydrolyses and others. Many researchers studiedacid hydrolysis under different operating conditions[14, 15, 16]. The results indicated that acidhydrolysis could produce high yields ofhydrolysate.. However, this technique has many
drawbacks like using toxic and corrosive chemicals

3.2. Using SWE for extraction of edible oils
Extraction of compounds from natural sources is themost important application of subcritical water. In
1999, Hiroyuki Yoshida, showed that a relatively
large amount of oil, organic acids, and amino acids
could be extracted from ﬁsh, squid entrails and meat
wastes by subcritical water treatment [27, 28]. The
essential oil from plants has been extracted by using
subcritical water. Usually the oil in these plants istraditionally extracted either using steam distillation[29, 30] or solvent extraction [27, 28, 31, 32]. These
techniques present some shortcomings, namely
losses of volatile compounds, low extraction
efﬁciency, long extraction time, degradation of
unsaturated compounds, and toxic solvent residue.
That encourages the use of alternative techniques forthe extraction of essential oils [33]. Continuous
subcritical water extraction presented a powerfulalternative for solid sample extraction [34–36]. Its
use in the ﬁeld of essential oils is recent and seems
to be very promising [37, 38].
Subcritical water has been used as a new pathway
for cottonseed oil extraction. Comparing thistechnique with the traditional hexane extraction
method, it is found that the new technique has ashorter time of extraction providing anenvironmentally friendly proceeding, since it uses
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SEE-Mie, Japan, Nov. 19-21, 2015

water as the solvent and no organic solvents are
involved [39].
Subcritical water treatment is an emerging techniquefor extracting useful materials from agricultural byproducts or food wastes or for degrading
environmental pollutants [40-42]. The subcriticalwater extraction was applied to soy sauce cake toproduce useful materials from it. The properties ofthe extract were compared with those of the extracts
from defatted rice bran and wheat bran. Althoughhydrolysis and degradation reactions would occur
during the treatment, the term of extraction is used
for the purpose of the treatment [43].
The extraction of oil from jojoba seed using SCWT
for bio-fuel production was investigated to find out
the optimum extraction conditions. The oil was
extracted directly from the virgin jojoba seed. The
results were compared with those obtained bytraditional techniques to study the advantages ofusing subcritical water method for the extraction ofjojoba oil [44].

technology [51] .Subcritical water is a promising
medium for dissolution of biomass in water. The
waste can be hydrolyzed into high value industrial
raw material: amino acid, unsaturated fatty acid, oiland polysaccharide [52-55], hydrogen and methane[56] and so on. The thermal protein hydrolysis is
gaining in importance in economical as well as
ecological aspects.

3.4. Using subcritical
Biomass conversion

Technology

forAs energy demands increase and fossil fuels arelimited, research is directed towards alternative
renewable fuels. Biomass is the most importantcandidate as a renewable recourse for energy,
chemicals, food, and feedstock. This makes
cellulose, which is the major component of biomass,an important compound to study for achieving thisgoal. For the conversion of biomass resources into
useful chemicals and bio-energy, three major
process types, direct combustion, gasification, andliquefaction are reported to be effective [57]. Theses
methods suffer many drawbacks, as low conversion
rates and additional purification methods are
required for the by-products.
Antal and others [58] investigated the conversion of
biomass feedstocks consists of a semisolid gel of 4
% starch in water. Wood sawdust and otherparticulate biomass were mixed into the starch gel toform a suspension which was delivered to asupercritical flow reactor by a cement pump. The
biomass vaporized over a packed bed of carbon
within the reactor could be steam reformed to a gas
composed of hydrogen, carbon dioxide, methane,carbon monoxide, and traces of ethane. Although thehigher yield of hydrogen and other combustible
gases obtained by this method, the over all processes
suffers many disadvantageous, including theplugging of the reactor due to the cake and ash build
up and the sever corrosion of the reactor material.
On the contrary, subcritical water was proved to beeffective for the biomass conversion. Arai and his
group began a series of fundamental researches on
the non- catalytic conversion of cellulose using the
SCWH [59]. The results showed that using the
SCWH without any catalyst the cellulose was
rapidly converted to water-soluble species with arelatively high glucose yield which this yield
increased with elevating the temperature. The
overall reaction rate was 1 or 2 orders of magnitude
higher than of the conventional acid catalytic
process.
Another example of biomass conversion was given
by Alemán and others [60]. They reported thepossibility of the hydrolysis and saponification ofcarboxlic esters (methyl benzoates) in both waterand slightly alkaline solution (2% KOH) under the
SCWH (200-300 °C) using a batch reactor. They
achieved a partial hydrolysis or quantitative
saponification of sterically hindered and psubstituted methyl benzoates in 30 minutes.

3.3. Production of valued materials from fishprocessing wastes
Subcritical water hydrolysis was carried out toproduce valued materials from squid viscera, thewaste product of fish processing industries. These
wastes contain a lot of protein, lipid and many kindsof biological active matter. From environmental andeconomical point of view, it is appreciated toconvert these wastes into useful materials. Someworks have been carried out for isolation andidentification of polyunsaturated fatty acids
especially EPA and DHA, enzymes and otherbioactive compounds from fish waste [45-49].
Recently the requirement of biomass (aquatic,
livestock, bird etc.) products is enormously
increasing around the world. Recognition of thelimited biological resources and increasing
environmental pollution has emphasized the need forbetter and more value added utilization of the underutilized fish and the by-products from the fishingindustries. Traditionally, much of this material has
been converted to powdered fish meal by a
combined process of cooking, separation of soluble
from insoluble, concentration of the soluble anddehydration of the insoluble [50]. The hydrolysis ofwaste into value added products (proteins, aminoacids, reducing sugar etc.) is an alternative andeffective way.
Current industrial hydrolysis methods of biomass
waste include chemical (acid, alkali or catalytic)hydrolysis and enzymatic hydrolysis. But thechemical hydrolysis needs violent reaction
conditions and often brings serious pollution of theenvironment. Enzymatic hydrolysis is expensive,
and with long production cycle. Most of biomass
waste is easily hydrolyzed in super- or subcriticalwater, which is structurally different from normal
liquid water, and possesses some marvelous
properties. Without any pollution, hydrolysis insuper-or subcritical water is environment-friendly
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SEE-Mie, Japan, Nov. 19-21, 2015

King and co-workers reported the hydrolysis of thesoybean oil using the SCWH [61]. They used a
subcritical water flow reactor in the hydrolysis
processes. The results showed that such reactor
system represents an effective system for thehydrolysis of the soybean oil to free fatty acids. The
hydrolysis of soybean oil; whose fatty acidcomposition was: palmitic (12.6%), Olic (26.0%),
linoleic (51.0%), and linolenic (5.8%), occurred
rapidly, within 10 to 15 minutes of residence time.
The reactions were carried out at temperatures
between 330 and 340oC. The total conversion yieldwas 97% or better
without the needed for catalysts, emulsifying
agents, or any reactor internals . Such rapidhydrolysis rate contrast with the multi-hour
conversion utilized industrially to achieve a 96-98%
fatty acid yield.

by Sasaki [65]. The optimum condition for the
subcritical water technology under the tested
conditions were found at temperature of 220°C andreaction time of 20 min. under these conditions,higher optical purity of L-LA is recoverable. Studyon the effect of temperature on the optical isomer oflactic acid product demonstrated L-type wasdominant at low range temperature of 180-220°C. At
higher temperature, optical purity was drop andracemic mixture was observed. Based on theobtained results, the method was found to be a
promising technique for recycling of PLA into its
monomer, LA. Figure (5) shows a comparison
between the tradition recycling method and thatuses the subcritical water technology.

3.5. Hazardous wastes treatment and plastic
recycling
Hazardous wastes could be classified into thefollowing categories, (1) Corrosive that damages
human tissue, (2) ignitable that catches fire undercertain conditions, (3) toxic that causes injury or
death if swallowed, absorbed, or inhaled, and (4)reactive that capable of causing an explosion. Such
categorization covers a wide area of wastes. Bothsubcritical water oxidation and hydrolysis showedpromising results for being used as a newtechnology for hazardous waste treatment.
Supercritical water oxidation can decontaminate
hazardous organic wastes, including mixtures whose
constituents vary widely in their susceptibility tooxidation. Many studies reports the complete
destruction of many hazardous using both the sub
and supercritical water oxidation including,polychlorinated biphenyls (PCBs) [62] andirradiated materials [63] which are facing unusuallychallenging problems due to the very high chemical
stability and low water solubility of thesecompounds.
Regarding the SCWH, it found many applications in
the chemical recycling of waste plastics.Such target
becomes more important from the viewpoint ofpreservation of natural resources and global
environmental protection. The decomposition ofsynthetic polymers with subcritical water has been
investigated [64]. Usually the recycling ofcomposite plastics is more difficult than recycling
those composed of a single polymer. The SCWH
was used for the recycling of the laminate film
composed of polyamide and polyethylene. Using
subcritical water, the polyamide was hydrolyzed to a
monomer, ε-caprolactam, which dissolves in water.
However, the polyethylene was not decomposed,
but deposited in water. Therefore, polyamide wasrecovered as ε-caprolactam and polyethylene as asingle-component polymer [64]. Moreover, thedecomposition of additional polymerization plastics
like polystyrene has been presented.
Another example of plastic recycle is the depolymerization of Poly Lactic acid (PLA) reported

Fig (5) comparison between the tradition plastic
recycling method and that uses the subcriticalwater technology

3. 6. Application of SWE in PharmaceuticalIndustry
At present, plant medicine, which mainly comesfrom plant extraction, has occupied nearly 30
percent to 40 percent among the thousands ofworldwide used pharmaceutical products. As anatural healthy protection product, it has
incomparable natural advantages, compared with therelative chemical drugs. Extraction and separation ofeffective pharmaceuticals, looking for leading
compounds, is the first and most important step inthe new drug development. However, chemicalcomposition of various medicinal plants is very
complex, usually containing many kinds of effective
ingredients.
Numerous
methods,
includingconventional solvent extraction, steam distillation,and sublimation, etc., are known for extracting
phytochemicals from plant materials, most based onsequential extraction processes incorporating one ormore organic solvents in combination with washingsteps. Phytochemical extracts produced by suchmethods must be further processed to remove all
trace of the organic solvents, to remove impurities,655

SEE-Mie, Japan, Nov. 19-21, 2015

andtoseparateandpurifyindividual
phytochemicals. While such methods are useful for
extraction and purification of small quantities ofphytochemicals for research purposes, they are
difficult to scale to commercial through-put volumes
because of the problems associated with costeffectively, safely and completely removing andrecovering the organic solvents from the extracts andspent plant materials. Furthermore, the types andconcentrations of organic solvents must be carefully
selected in order to avoid structural changes to thetarget phyto-chemicals during extraction that may
adversely affect one or more of their desirable
physical, chemical and biological properties [66].
Recently many new technologies and methods, suchas ultrasonic extraction, microwave extraction,
membrane separation technology, moleculardistillation, macroporous resin adsorption andsupercritical CO2 extraction technology, areintroduced to the extraction and separation ofeffective components in medicinal plants, promoting
the development of plant extracts industry.
Sub-critical water extraction has been extracted themost active compounds from herbs, such as
Rosmarinus officinalis (rosemary), Matricaria
recutita (German chamomile), Cassia angustifolia(senna), Valeriana officinalis (valerian), Scutellaria
baicalensis (Baikal skullcap), Schisandra chinensis(Wuweizu), Zingiber officinale (ginger), Astragalus
Membranaceus, etc. [67]. Those extracts were
demonstrated to exhibit a composition essentiallysimilar to that of the corresponding methanol oraqueous alcohol, which would show comparable
pharmacological activities. The most common
application of SWE in the field of pharmaceuticalindustry is summerised as follows:

were compared with hydro-distillation, supercriticalcarbon dioxide and extraction. All of the further
evidences supported the
sub-critical water
extraction as a powerful alternative of the extractionof essential oil from herbs with higher oil yield andshorter extraction time.

3.6.2. Extraction of Plant Phenols
Plant phenolic compounds mainly exist in plants,roots, leaves the skin, shell and pulp,
including tannins, flavonoids, anthraquinones, lignin
and some simple phenols as a kind of widespread
active ingredients of many medicinal plants innature, could inhibit tumor development in animals
and humans, prevent cardiovascular disease, as wellas anti-mutation, anti-virus and anti-oxidation, thestudy of polyphenols has been attracted more andmore attention. Sub-critical water has been proved
good to extract plant phenolic compounds according
to many results of researches. Some examples will
be given below

3.6.2.1. Extraction of Tannins
G. M. Matilde [77] studied grape seed extraction inbatch and continuous Manners at different
temperatures (50˚C, 100˚C, 150˚C), the result
showed that a continuous extraction of material isconducive to the dissolution of tannin. Antuon [78],the extraction time has fixed to 20 min, the total
polyphenol content of grape seed by sub-criticalwater extraction is 2 times higher than that of 70%
ethanol extraction.

3.6.2.2. Extraction of Anthraquinones
As another subtype of plant polyphenols,
anthraquinones which make the potential usefulness
in several medical applications. A research [79] ofthe extraction anthraquinones from dried roots ofMorinda citrifolia (Noni)., which possesses several
therapeutic
properties,
suchasantiviral,
antibacterial, and anticancer, indicated the increaseof extraction yield with the rise of temperature,
while almost unaffected by pressure. In theextraction of damnacanthal, which is the mostvaluable anthraquinone compound in the roots ofMorinda citrifolia (Noni)., Anekpankul et al [80]studied the extraction yield at different temperaturesand flow rates, and suggested that the subcriticalwater extraction would be a promising method.
Also, the extraction of anthraquinones by subcritical water from the roots of mulberry was also
reported [81-83].

3.6.1. Extraction of Volatile Oils
Volatile oil, also known as essential oil, is present ina class of plants with aromatic smell, which is water
insoluble and can be distilled with steam. As an
important class of active ingredients, essential oils
are volatile oil like components of the general, witha variety of pharmacological activities andapplications in medicine and food industry.
Traditional methods include steam distillation andorganic solvent extract, indicating much more
shortcomings, such as volatile components loss, low
extraction efficiency, heating for a long time,organic solvent residual and so on. In 1998, Basile
et al [68] first confirmed that the sub-critical water
extraction was a practical method for the essentialoil. In their research, the extracts from rosemary wascompared with that from steam distillation, the result
showed short extraction time, high yield of
oxygenated compounds, good quality and lower
energy consumption. From that brand-new start,
sub-criticalwater extraction has been applied on
essential oils of different kinds of herbs, including
Fructus Foeniculi [69], Thymbra spicata [70],Marjoram [71], Peppermint [72,73], Laural [74],
Eucalyptus [75], and clove buds [76], etc., which

3.6.2.3. Extraction of Flavonodis
Flavonoids are widely found in fruits, vegetables,
beans, tea and many medical plants. As a type ofphytochemicals, they have been applied to treat andinhabit disease and medically functional disorders as
healers, antimicrobial agents, as well as antioxidants.
However, the poor water solubility and lipid
solubility limit their application. With the rise of
sub-critical water extraction, a study, focused on the656

SEE-Mie, Japan, Nov. 19-21, 2015

influence of different pressures, temperatures andflow rates in the water extraction of five isoflavonesfrom defatted soybeans, was started by Chang et al[84]. The results exhibited the best extraction yieldof total isoflavones up to 99.7%. Charlotta Turner
et al. [85] showed that sub-critical water extraction
following by β-glucosidase-catalyzed hydrolysis wasa rapid method to determine the content of quercetin
and isorhamnetin in onion samples, andenvironmentally sustainable as the only use of water.
Zhi-hong Xu et al. [86] has figured out the influenceof temperature, pressure, time, particle size, solvent
ratio on the extraction of baicalin from Scutellariae
Radix by sub-critical water and compared with theorganic solvent extraction method.

set-ups, in-order to prevent deposition of the solutes
from the water that cools during collection, a second
pump is used to inject chloroform/dichloromethane
into a fused silica-lined tee placed in the ovenbetween the saturation cell and collection valve (Fig.
6A). A cooling trap is used to cool the fluid coming
out from the extraction cell to room temperature(Fig. 6A) [96–100]. From the systems that are built,
care must be taken to avoid narrow bore tubing thatmight be blocked by a precipitate when the botanicalextracts leave the oven.

3.6.3. Extraction of Lactones
Active ingredients from the roots and rhizomes ofpiper methysticum forst, named Kavalactones arewidely used as medicine and soft drink in Europe
and America. Kubatova et al. [87] compared its subcritical water extraction with that of soxhlet
extraction, ultrasonic extraction in boiling water andacetone extraction. The result showed that theextraction rate of the first method, sub-critical water
extraction, was much higher than the others, whether
the peper was crushed or not.
In conclusion, the use of sub-critical water asavailable alternative solvent for the extraction ofphytochemicals from medical plants has been shown
to be feasible.

4. Instruments and basic experimental set-up
for SWE

Fig.6. (A) Schemtic diagram of SWE equipmentwith a cooling coil and a second pump (rinse
solvent) delivering dichloromethane [92] and (B)Schematic diagram of an alternative laboratory madeSWE system proposed by other group [93–95].

The experimental set-up in most of the previous
researches was performed using a laboratory madesystem [27, 28, 39, 43–44]. The differences in thedesign of the various instruments used can be seen in(Fig. 6). As seen in Fig. 6A and B, some set-up
requires the use of gases, cooling coils and a secondhigh pressure pump. Some groups have proposed
coupling on-line SWE with microporous membraneliquid–liquid extraction (MMLLE) and gas
chromatography (GC) [88]. Instruments for subcritical water extraction with an on-line solid-phaseextraction (SPE) or sorbent trap was proposed [8991]. All the set-ups consist of a stainless steel
preheating coil to ensure that the water is at theoperating temperature prior to entering theextraction cell. The stainless steel tubings used were
1/16 in. O.D. and 0.18mm I.D. For the experimental
set-up in Fig. 6B, the backpressure was generatedusing a back pressure regulator by VICI Jour
Research (Onsala, Sweden). The system consists ofstainlesssteel
extraction
cells
with
10mmI.D.×150mm (approximately 10ml) or larger.
The extraction cell was heated in a gas
chromatograph oven and a pump was used to pumpthe fluid into the extraction cell. By pressurizing thesample cell, it was possible to keep the fluid inliquid phase at the high extraction temperatures used
(up to 200 ◦C) [89–90]. For some work, a restrictor
was used to generate the back pressure. For certain

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X. Y. Chen, “Study on Subcritical Water
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660

SEE-Mie, Japan, Nov. 19-21, 2015[87] A. Kubatova, D. J. Miller and S. B.
Hawthorne, “Sub-Critical Water and Organic
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Kava Root,” Journal of Chromatography
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J.A. Jonsson, M.L. Riekkola, Anal. Bioanal.
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Nazzari, S. Marchese, R. Samperi, Anal. Chem.
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1533.
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661

First International
on Science, Engineering & Environment,
SEE-Mie,
Japan, Nov.Conference
19-21, 2015
Tsu City, Mie, Japan, Nov.19-21, 2015, ISBN: 978-4-9905958-5-2 C3051

DIGITAL HERBARIUM OF THE CROP PLANTS OF BANGLADESH
FOR TAXONOMIC STUDIES*M A Baset Mia, T. Hossain, H. I. Khan and M.M. Uddin
Department of Crop Botany
Bangabandhu Sheikh Mujibur Rahman Agricultural University
Gazipur, Bangladesh

ABSTRACT
Recently, digital herbarium is introduced and gaining prominence for easy use and maintenance. Additionally,
digital herbarium along with database on plant characters is being used for quick identification and taxonomic
studies of plants. However, digitization in agriculture especially the analyses of plant image for identificationof crop plants of Bangladesh are obscure. Image analysis is a modern area of research in biology for generating
information on plants in digital mode. Different universities along with the Bangladesh National Herbarium
are maintaining the herbaria for plant identification and to dissect the plants in diversified purposes. However,digitization of plant image along with virtual herbarium is new era in Bangladesh. The department of Crop
Botany, BSMRAU, Gazipur, Bangladesh has initiated a project for the establishment of digital herbarium for
crop, medicinal and forest plants. Under this project images of different crop plants are captured in proper way
with desired resolution and processed for database development. A virtual herbarium is being developed for
global uses for identification and taxonomic studies of crop plants.
Key words: Plant taxonomy, Herbarium, Image, Digitization
INTRODUCTION
Bangladesh has an excellent scope of collecting
crop specimens for developing database whichmight be used as source of academic and research
purpose. The national agricultural research
institutes and agricultural universities havedeveloped and released a large number of cropvarieties. Many of those varieties are successfully
cultivated throughout the countries and some ofthem are recognized as mega varieties e.g. rice
varieties like BR11, BRRIdhan 28, BRRIdhan29[3].

A herbarium is a collection of preserved plant
specimens where specimens are kept at mainly
dried and pressed, although it is often stored 'wet'plant collections preserved in chemicals like inethanol and formalin. Specimens of herbarium
form an important record of plants for different
purposes over time. They may have been produced
as a voucher for botanical research, and serve as apermanent record allowing anyone to go back andcheck the identification, re-sample or repeat
research. It is a special type of data banks for plants
with vast quantities of genuine information and thespecimens therein supply a lasting record of theflora of a location or a region [1]. However,maintenance of plant materials in the herbarium islaborious and difficult task which needs alternative
approach.

However, crop varieties in most cases, not properlyindexed and documented following a standard
format incorporating the key characteristics of thevarieties. Crop herbarium of those varieties are notestablished which is very essential for identificationand demarcation. Therefore, it has become
necessary to prepare a consolidated documentation
following a standard format incorporating thesalient feature with digital image of the crop plants.
Digital herbarium of the crop plants in Bangladesh
is very much necessary and considering the

Recently, digital herbaria and online databases are
emerging area of plant systematic and biodiversity
studies. A conventional herbarium-based database(virtual herbarium), thus maximizes the usefulnessof the collection by providing authentic and lasting
information [2].
importance many countries like India, Australia,
USA have already launched virtual herbaria [1].
Therefore, a project has been initiated to digitize

the crop plants of Bangladesh along with theirtaxonomic attributes.

662

SEE-Mie, Japan, Nov. 19-21, 2015

METHODOLOGY
The digitized herbarium specimens at a minimum
resolution of 300 dpi and images of live specimens
provided in the database form an information
synergy on the species [5].

The images of different parts of crop plants, both
external and internal are being captured by highquality digital camera (EOS70D DSLR Camera).
The images and morphological data to be presented
on the ‘Herbarium’ website of crop plant varieties
are first recorded into Microsoft Excel
spreadsheets. Each entry bears all required
information such as the herbarium specimen label,including species name, author citation, sub-species
if any, variety if any, family, subfamily, collection
number, locations, date of collection, habitat andthe collector’s name. The data further comprise‘crops’ in which the species are described.
Additional information includes the nomenclature
update according to ‘the variety list’. The
adaptation of DSpace software, originally foracademic repositories, to develop a repository for a
Digital Herbarium seems effective, making it
possible to give access to a type of collection
usually restricted, in an organized and structured
manner. Therefore, there is relevant importance ofoffering an information service that provides acollection of exsiccates, which has aspects ofdigital data. Thus, it is a structured open datarepository, while disseminates information relating
to the herbarium [4].

The focus is on digitization workflow, the sequenceof tasks that are performed in order to create digital
information
thatcharacterizes
individual
specimens. These tasks typically include
photography of specimens and labels, image
processing, capture of label information as text.
The presentation of workflow characteristics in thispaper provides the framework for analyzing theeffectiveness and efficiency of workflows and forthe development of new effective workflows [2].

RESULTS AND DISCUSSION
The contribution of agricultural researchorganizations for the improvement of national
economy is very significant in Bangladesh. There
are six national agricultural research institutes andthree agricultural universities which are working
with the development of crop varieties in
Bangladesh. According to [3] around 594 cropvarieties have been developed and are successfully
cultivated throughout the country (Table 1 andTable 2).

A detailed description in a scanned copy of thecrop pages, phenology, distribution, threat status
and comments on any special features of the taxon.

Table 1. Institute-wise developed crop varieties grown in Bangladesh

Research Institute/Agricultural Universities

No. of varieties developed

Bangladesh Agricultural Research Institute (BARI)
Bangladesh Institute of Nuclear Agriculture (BINA)
Bangladesh Jute Research Institute (BJRI)
Bangladesh Sugarcane Research Institute (BSRI)
Bangladesh Tea Research Institute (BTRI)
Cotton Development Board (CDB)
Bangladesh Agricultural University
Bangabandhu Sheikh Mujibur Rahman Agricultural University
Shere-e-Bangla Agricultural University
Total

303
53
29
57
40
22
64
24
02
594

Table 2. Crop-wise variety developed by Bangladesh national agricultural research institute and agricultural
universities
Broad crop area
Cereal crops
Root and tuber crops

No. of varieties
110
45
663

SEE-Mie, Japan, Nov. 19-21, 2015

Oilseed crops
Pulses crops
Vegetable crops
Fruit crops
Spices crops
Flowers
Sugarcane
Tea
Total

47
54
92
121
22
32
40
22
594

Besides this, some traditional crop varieties andvarieties developed by private companies like LalTeer Seed Limited have developed 32 vegetable
crops which are being cultivated throughout thecountry.

Development of Digital Archives of Crop
Varieties
The images of crop variety are being collected anddescribed their morphological characters (bothexternal and internal). The collected images were
submitted in Dspace metadata for preparing thedigital herbarium. Metadata pages to describe theplant specimen; each page caters to a different
category given in specimen metadata; upload step,
where file will be uploaded; verify step, where
metadata is verified. The data can be browsed byaccession number; by collector; by family; by date;by location. The archive can be searched throughadvanced search by crop variety detail, taxonomy,
coverage; contributors; date. The simple search allof DSpace for the nearest match and even provides
full text search. This content digital archive system
will store individual data structure, metadata
standards, management policy and search interface[4].

Bangladesh National Herbarium (BNH)
Bangladesh National Herbarium is working as a
Directorate of the Ministry of Environment andForest, Bangladesh. The organization has collectednearly 100,000 (one hundred thousand) specimens(having duplicate) of plants of the country. The
oldest specimen dates from 1855 but the main bulkof the historic specimens comes from the 20th
century. The specimens of BNH stored in theherbarium act as reference for identification ofplants, writing of Floras (a description of all theplants in a country or region), monographs (adescription of plants within a plant group, such as afamily) and the study of plant evolutionary
relationships [3]. The most important specimens
are called ‘types' which is a specimen chosen by
the author of a new species as a reference point fora particular species.

Design of Website
The website is being developed for using publicdomain open-source web server Apache andspecialized database software like MySQL in backend which run under windows platform , a scripting
language like PHP or HTML,CSS, Javascript infront-end. Plant taxonomic data will be stored in
the database, which allows rapid indexed searches
to be carried out and the content will be generated
dynamically.

Recently, BNH is starting to digitize the herbarium
material involves the process of capturing data andimages and storing them in digital form.
Herbarium in University
Besides the NHB, department of botany ofuniversities of Bangladesh like Dhaka University,
Rajshahi University, Chittagong University,
Jahangirnagar University, Bangladesh Agricultural
University, Bangabandhu Sheikh Mujibur Rahman
Agriculrural
University,
Shere-e-Bangla
Agricultural University, Patuakhali Science andTechnology University, Hajee Danesh Science andTechnology University, Sylhet Agricultural
University are working with herbaria for academic
and research purposes. Among them thedepartment of botany of Dhaka University has aherbarium with over 5000 specimens.

Interface of Website User
An image gallery will be provided that allows
species to be identified by browsing images. Each
image is hyperlinked to the corresponding species
webpage. Alphabetically sorted species and family
lists allow users to browse by species name andfamily, respectively. The website will provide basic
and advanced search capabilities [5]. Text enteredin basic search will be explored in all fields of theherbarium database, while advanced search allows
text to be searched in one or more fields like genus,
threat status or common name.

664

SEE-Mie, Japan, Nov. 19-21, 2015[2] Nelson G., Paul D, Riccardi G, Mast A R, Fivetask clusters that enable efficient and effective
digitization of biological collections, Zoo Keys,
vol.209, pp19–45.
[3] Afroz D, Kamal MRM and Hossain S M M,
Plant varieties developed by the NARS
institutes and agricultural universities ofBangladesh, 2011, BARC, Dhaka.
[4] Anonymous, A Guide to Handling andDigitizing of Specimens. In Rapid Digitization
Project: Final Report of Australian Museum(http:// ustralianmuseum. net.au/ Uploads/
Documents/22932/rchive%20Training%20Compressed.pdf), 2011.
[5] Antweb Automontage imaging guidelines,
http://www.antweb.org/homepage/AntWeb%20Imaging%20guidelines%20v01.pdf,
2010.

Herbarium-based databases
Herbarium-based databases (virtual herbaria)
worthy of mention are Herbarium Catalogue of
Digitization of existing collections is an enormous
undertaking. Initial digitization efforts focused on
assembling very complete data records and accessto researchers and the public was granted only after
extensive quality control [4]. More recently, it has
been recognized that not every element of acollection record needs to be recorded in a single
digitization event For example, recording of animage and “filed-under” taxon name are sufficient
to start the process. Digital capture of useful
information can follow at a later stage and betreated as annotations (e.g., a history of taxonomic
determinations).
Additionally, collected morphological data will be
generally available online, updating nomenclatureand taxonomic interpretations and vetting typespecimens can occur after the publication of dataand images on the internet, providing an
opportunity for off-site experts to comment on thespecimens [1].
CONCLUSIONS
Development of virtual herbarium of crop plants of
Bangladesh will be a new resource of crop varieties
for academician, researchers and policy makers.
Digitization of crop varieties developed by research
institutes and traditional varieties is a tedious job
and needs quality control in taking images.
Protocols for periodic quality control should beestablished for all stages in the digitization
workflow to ensure data accuracy and the
production of high quality digital images. Selectionof data entry and imaging technicians should be
guided by highly skilled personnel. A welldeveloped digital herbarium will be built which
will utilized both academician and researchers.
ACKNOWLEDGEMENTS
The authors are grateful to Higher Education
Quality Enhancement Project (HEQEP), UGC,
Ministry of Education, Government of Bangladesh
for providing the fund for implementing the project
entitled “Establishment of Digital Herbarium and
Herbal Museum for Increasing the Academic andResearch Capability in Crop Botany, BSMRAU”,
and the present research is the part of the project.
REFERENCES[1] Morris P J, Relational Database Design and
Implementation for Biodiversity Informatics.
Phyloinformatics, vol 7, 2005, pp1–66.

665

Authors' Index

A
A. ChikA. S. G.Faruque
Abdeen Omer
Abderrafiaa Elkalay
Abdul Naser Abdul Ghani
Abdulqader Mohsen
Abdulrahman Alenezi
Abdus Samad
Akihiko Yagi
Akiko Inoue-Kohama
Akinola Johnson Olarewaju
Akio Sato
Akira Kondo
Alaa A. Masoud
Alaa El-Din H. Sayeda
Alves de Oliveira E.S.

Amira Azha
Andri Kusbiantoro
André Luiz Veiga G.
Apichon Jeensawek
Apiwat Thawonkaew
Asim Ayoub
AswandiAzeanita Suratkon
B
B. JoharBandita Mainali
Bang-Fuh Chen
Barnaure Mircea
Behroze Rostami
Bhakapong Bhadrakom

33
176
340
393,437
577
160
160
635
496
468
387
501
490
543
213
485
324
377
426
603
507
513
616
365

Boontarika Thongdonphum
Bouchra El Johra
Budhi Kuswan Susilo

33
318
260
330
583
420
485
200
566
18

C
Catherine N. Mulligan
Chaisri Suksaroj
Chaitanya D. Karamchedu
Charun Likitrattanaporn
Chee-Ming Chan
Chih-Chun Chu

287
610
62
147
324
260

Bilal E.

Choi Woo Byung
Cholthicha Suwanpinta
Chotisiri L.
Chung Fang

115
168
598
353

D
Daisuke Hayasaka
Dalal Adnan Maturi
Daniela Ionescu
David Robinson
Davydova N.O.
Dhuha E. Mohammed
Dowroong Watcharinrat
Duanpen Sirithian

501
126
318
318
57
282
606
507

E
E. B. Starikov
E.M. Cheng
E.M. Cheng
Edward Saleh
Edy Sutriyono
Emad H. M. Zahran
Endang Wiwik Dyah Hastuti
Erwin
Eungpinichpong W.

121
33
38
616
18
98
18
628
171

F
Farzana F.
Fathiyyah
FatmahFeng Lijun

Fernandes-Horn H.M.

176
606
628
350
485

G
G. Mustapha

445

H
H. Isshiki
H.N.P. Singh
Hidenori Yoshida
Hidetaka Noritomi
Hidetaka Tsuji
Hideyuki Katsumata
Hiromi Suda
Hiroshi Mitani

414
182
572
236
50
635,640496
213

Authors' Index

Homayoon Ganji
Horn A.H.

Hu Chaokang
Huei-Tau Ouyang
Humera Rafique
Hussein I. Maiyza

583
485
350
242
225
457

I
Ibrahim A. Maiyza
Ilya Kavalchuk
Iskhaq Iskandar

457
403
616

J
J. Mahmud
Jamal Algraeo
Jamel Ariffin
Jana Labudkova
Jemily Sweet
Jiradech Maneerate
Joe Petrolito
Juan Carlos Covarrubia
Julia Md. Tukiran
Julio Romero
Jun Tanaka
Junichiro Takeuchi

445
462
577
312
318
432
318
44
577
137
501
50,550K
K.Y. Lee
K.Y. You
Kanda W.
Kanda Whangchai
Kanokwan Rudisirisak
Kanpittaya J.
Karl Vergel
Katsuaki Koike
Katsumi Uchiyama
Kazuhito Murakami
Kazunari TANAKA
Keiichiro Shibata
Ken-ichiro Iijima
Kenichiro Yamamoto
Kentaro Kondo
Khaled Alenezi
Kittima Vanichkul
Korotkova A.M.

38
38
592
75,81
92
171
474
543
236
468
266
572
231
293
501
160
200
57

Kosyan D.B.
Krisada Chaiyasarn
Krittachai Sarakul
Kvan O.V.
Kyuhwan Oh
L
L.A.Tuan
Lalita Siriwattananon
Lalita Siriwattananon
Larbi Abidi
Lasita Jinawa
Lasita Jinawa
Le Ma

26
420
219
57
115

Lev Zimanov
Lubomír Pepucha

306
200
432
381
507
532
479
485
403
276

M
M. A. Abdou
M. J. Chisti
M. RaisAbdillah
M.A. Rojan
M.F. Abd Malek
M.F. Abdul Razak
M.F.A. Malek
M.H.A. Md Yusoff
M.M. Prasad
M.S. Mohd Hamzah
Majid Mirzaei
Makoto Kawabata
Manal Inchaouh
Marc Boulon
Marilia Hagen
Marloe Sundo
Masaaki Kondo
Masaaki Tanaka
Masayuki Fujihara
Md. Ashraful Islam Molla
Megumi Nobori
Mehdi Sharifi-Nistanak
Melissa Neave
Miguel Morales U.
Minoru Yoneda
Miroshnikov S.A.

152
176
616
33,38
33
445
38
33
182
445
247
550
566
359
11
474
583
496
50,550640
496
287
44,5538426
293
26

Lepsch I.F.

Authors' Index

Miroshnikov S.A.
Mohamed Chakraoui
Mohamed G. Atwia
Mohamed M. El-Horiny
Mohamed S. Kamel
Mohamed Tahir
Mohammad A .M.
Mostafa M.A. Khater
Muhammad Bashir Ibrahim
Muntana Nakornriab

57
393,437
543
543
457
566
176
98
68
209

N
N.F.M. Nasir
N.H. Mohd Yahya
N.H. Zunaidi
N.H.Chiem
N.V. Tuyen
Nakao Nomura
Namir G. Ahmed
Namir G. Ahmed Alkawaaz
Naomichi Matsumoto
Naoual Mouhni
Naowarat K.
Naowarat Kanchanakhan
Napatsawan Thanaphonganan
Nasir Shafiq
Nazar K. Oukaili
Nguyen Huu Nhan
Nikita Pozhivilov
Nittaya Ngowatana
Niwooti W.
Niwooti Whangchai
Nobuyuki Endo
Nuanchai Kotsaeng

38
445
270
306
306
81
282
371
572
437
86
603
186
377
253
519
403
92
592
75,81
236
209

P
P.V.Toan
Pantitcha Outapa
Paulo Helio Kanayama
Peerada D.
Peerada Damapong
Peter Nichols
Petr Mynarcik
Phanida Wamontree
Phattraporn Krangpanich

306
451,490
426
86
143
299
312
603
168

Pongmada D.
Pongmada Damapong
Pornphan Champa
Pornpimol P.
Porntip Wongkaew
Prasobsook P.
Prasong Srihanam
Preeyanat Hongthong
Premrudee Kanchanapiya
Puasa S.W

86
143
75
592
194,20486
129,133
168
526
344

R
R.-T. Jung, K. Akai
Rachid Abboubi
Radim Cajka
Rahimah Embong
Redel G.
Ricardo G. Sigua
Rich Lee
Ricky RACKRobiyanto. H. SusantoRolando P. Javellonar
Rotchanatch Darnsawasdi
Rusakova E.A.
Ruzitah M.S

414
566
312
377
592
474
334
6
616
557
610
26,57
344

S
S.A. Bakar
S.F. Khor
S.F. Khor
Saad F. Ibrahim
Sadiq Sani
Safuan JusohSamina RafiqueSampaio R.A.

Sang Keun Oh
Sarawut Thepanondh
Satoru Kato
Satoshi Kaneco
Saudee Maprasit
Sawat Pimsuwan
Scott H. Murray
Scott Rayburg
Shahnawaz A.
Sharifah A.S.A.K

38
38
33
282
68
365
225
485
115
451,490,507,532
236
2,635,640
610
168
137
44,538176
344

Authors' Index

Shigeko Haruyama
Shin YOSHIKAWA
Shunichi Kurihara
Sirivongs D.
Sizova E.A.
Skuridina I.V
Sripongngam T.
Stoica Daniel
Suchira Nongaudom
Sumon K.D.
Sunisa Tesanan
Sunita Kumari
Supannee S.
Supat Jumparwai
Suphaphat Kwonpongsagoon
Suriyavut Pra-ai
Suta Poosittisak
Suwadi Saikomol

513,519
266
236
171
26
57
171
330
186
176
526
182
592
143
526
359
194,204
451

T
T.S. Khor
Taizo Uchida
Takamitsu Kajisa
Takashi Shiono
Taneepanichskul S.
Tangvoraphonkchai K.
Tarek M. El-Geziry
Terry Lucke
Teruo Arase
Tetsuya YANOBE
Thaar S. Al-Gasham
Thanarat Sripongngam
Tohru Suzuki
Tomomi Maekawa
Toshihito Ohtake
Toufik Cherradi
Trid Sriwichai
Trongskul T.

270
501
3,583
293
598
171
457
299
501
266
253
186,219635,640
622
231
381
81
598

U
Udomluk S.

592

V
V.P.D.Tri
Victor Maksimov

306
403

Victorino T. Taylan
Vithaya Tavenooth
Vitor Hugo Eiti M.
Vlastimil Chebeň

557
111
426
276

W
W. H. Tan
Walid Aljoby
Warangkana Chompoopan
Wataru Sumi
Weerasak Songeon
Wei-Hong Tan
Wen-Jie, NG
Wichai E.
Wichai Eungpinichpong
Wilai Eungpinichpong
Willy Juimo

38
160
190
50
129
270
6
86
190,219,603
190
381

X
Xian Kaiyi

350

Y
Yamarat K.
Yaowalak Srisuwan
Yasuto Matsui
Yausheva E.V.
Yi-Chun Chen
Yoshiro Fujii
Yuk Feng Huang

598
133
293
26
242
563
247

Z
Z. Zakaria
Z.A. Talib
Zhang Huanming

38
33
350

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